Preliminary Review and Assessment of a Workplace Complaint

When an employee submits a bullying or harassment complaint, it usually doesn't come out of nowhere. It's normal for individuals involved to try to resolve matters informally before filing a formal complaint. This could mean speaking to the person directly or going to a manager for help resolving the issue.

However, once a complaint is submitted, the organization must address it within the regulatory and policy frameworks that apply in its jurisdiction.

Not every complaint needs a full investigation, and starting one when it isn't needed costs time, money, and goodwill.

A preliminary review and assessment of the complaint's allegations is the first step in evaluating the approach to resolution.

Rachel Maxcy is an independent workplace investigator based in Vancouver, British Columbia. We conduct preliminary reviews and investigations for organizations in British Columbia, Alberta and Ontario, and for remote workplaces.

What is the threshold question?

A fundamental question at this stage is the threshold question, simply put:

• If the allegations are found to be true, do they breach the organization's policies or regulatory frameworks?
• If the allegations are found to be true, will they pose a potential legal issue or create reputational damage?
• If the complaint is not investigated or otherwise addressed, could it harm employees beyond the ones who complained?

What is the difference between a complaint and an allegation?

A complaint is when someone raises a concern, while allegations are the specifics of that complaint.

To address the complaint, the organization first needs to get to the root of the specific allegations to answer the threshold question.

The Preliminary Review and Assessment helps answer the first question before the organization commits to anything else like a full investigation: does this complaint meet the threshold for a full investigation, or can it be handled another way?

This is a fixed-fee review of the written record, not interviews. It ends with a report that answers this question, assesses risk, and recommends next steps.

When does a preliminary review make sense?

• The organization has received a complaint and is not sure whether it meets the threshold for a formal investigation.
• The allegations are broad or unclear, or mixed with a longer workplace conflict or internal politics.
• A board or leadership team needs to make a decision and wants an independent view of the material first.
• The organization has no internal HR, or the people who would normally handle the complaint are too close to it.

Where the organization has already decided that a full investigation is needed, it can retain us for the investigation directly. The overview and process page explains how that works.

How does the preliminary review process work?

1. Book a discovery call. A free 30-minute call to understand the situation in general terms and confirm the review is the right fit. No confidential details are needed at this stage.
2. Conflict check and agreement. We confirm there is no conflict of interest and send a short agreement. The first half of the fee is due on signing.
3. Documents. The organization provides the complaint and related records. This usually includes any responses already received, relevant policies, and emails, messages, or notes connected to the allegations. All of this is secured.
4. Review and assessment. We review the material against the organization's policies and the regulatory frameworks that apply. There are no formal interviews. Where an allegation is unclear, we may speak with the people involved to understand what is being alleged. That conversation is part of the assessment and is not an investigation interview. It follows our trauma-informed approach.
5. Report. We deliver a written report with our assessment and recommendations. The balance of the fee is due on delivery.
6. Walk-through. We walk through the report with the organization and answer any questions.

How long does a preliminary review take?

The typical turnaround time is 10 business days, commencing once we receive the complaint. However, this depends on complexity and how quickly we receive the information.

What does the report cover?

The report gives the organization a clear picture of what it faces. It sets out:

• Each complaint and allegation, as we understand it from the record, including a chronology of events.
• The documents we reviewed.
• Any gaps in the record. If documents have not arrived by the time the report is delivered, the report proceeds on the record as it stands and notes what is missing. Anything that arrives later is addressed separately.
• An assessment of each allegation against the organization's policies and the regulatory frameworks that apply.
• An assessment of any gaps in the organization's policies.
• A recommendation on whether a full investigation is warranted, or whether the matter could be handled another way.
• Any risks associated with each recommendation, so the organization has all the information it needs to consider next steps.
• Further recommendations, made case by case for the situation at hand.
• If an investigation is recommended, a proposed scope and estimate are sent in a separate document.

What does the preliminary review not do?

A preliminary review is an assessment, not an investigation. It makes no findings of fact and does not decide whether anyone did what is alleged. It does not assess credibility or recommend discipline. Those questions belong to a full investigation, where every party has the chance to be heard.

What happens if a full investigation follows?

If the organization decides to proceed, the review work carries forward. We don't review the documents again from the beginning, and we don't bill that work twice.

Full investigations are billed hourly. Rates and deposits are on the Fees page.

How much does a preliminary review cost?

$2,950 flat fee, plus applicable taxes.

Half is due on signing and is non-refundable. The balance is due when the report is delivered.

The flat fee covers the review, assessment, and written report.

See the Fees page for full investigation rates.

Common questions

Does the preliminary review involve interviews?

No formal interviews take place. Where an allegation is unclear, we may speak with the people involved so that we understand what is being alleged. We do not take statements or test evidence at this stage.

Will the report say whether the complaint is founded?

No. The report assesses whether the complaint meets the threshold for a full investigation or potentially breaches policy and regulation. Findings on what happened can only be made through an investigation.

Can a preliminary review be used for a complaint about an executive director or CEO?

Yes. Boards often use a preliminary review to make an informed decision before they commit to an investigation of a senior leader.

Book a call

A short call is the first step. We will talk through the situation in general terms and confirm whether a preliminary review is the right place to start.

Book a call