Workplace Investigations and Mitigating the Risk of a WRC Claim
A workplace investigation is an independent and unbiased inquiry into a situation involving Employees. Adare’s most recent HR Barometer Series 9.1 revealed that two in five Organisations carried out investigation processes during the 2024 calendar year. The survey data highlights the need for Employers to have the capability to carry out a fair, timely, and effective workplace investigations to maintain efficient operations. Organisations of all sizes must therefore ensure they are equipped to respond appropriately to internal complaints, Employee grievances and allegations relating to misconduct, bullying, harassment, discrimination, or other breaches of policy.
The risks of failing to investigate complaints properly include reputational harm, and disruption to workplace relations. A poorly managed investigation may also lead to Employee claims and legal proceedings in the Workplace Relations Commission (WRC) or the Labour Court. This article will examine certain key components of a fair workplace investigation and how to mitigate the risk of an Employee submitting a claim to the WRC.
Key Component 1 – Is There a Policy in Place?
Every investigation should be grounded in clear, well-documented policies and procedures. Your Organisation’s grievance, disciplinary, and dignity at work policies should explicitly outline how complaints are to be made, how they will be assessed, and what steps will be followed during the investigation process.
Depending on the nature of the complaint to be investigated, these policies should also be consistent with any relevant Codes of Practice. Without clear written guidelines, Employers increase their exposure to the risk of claims of procedural unfairness by adopting an inconsistent approach to each individual investigation.
Key Component 2 – Is It Possible to Ensure an Impartial Investigation?
Depending on the size of the Organisation, it may be difficult to find an internal Employee who has no connection to the incident or complaint that needs to be investigated. External assistance may be necessary in smaller Organisations to ensure impartiality, objectivity and fairness.
Key Component 3 – Are Management Equipped to Conduct an Investigation?
The people carrying out a workplace investigation require a high degree of objectivity, procedural awareness, and interpersonal sensitivity. It is not sufficient to simply assign the task to a line manager or member of the HR team without ensuring that they have the appropriate experience or training to run an investigation in line with the principles of natural justice.
Investigators must be able to:
• Distinguish between preliminary information gathering investigations and investigations establishing facts that cannot later be challenged
• Handle sensitive information professionally
• Conduct interviews in a fair and balanced manner
• Maintain confidentiality and data protection standards
• Reach findings based on the balance of probabilities, not assumptions.
Key Component 4 – Record Keeping
Transparency and documentation are also critical throughout any workplace investigation. Should the matter be later examined in the WRC or Labour Court, an Employer’s defence will often depend on the quality of its documentation and correspondence surrounding the process.
All steps taken including the receipt of the complaint, terms of reference, interview notes, findings of fact, and the rationale for any subsequent decisions should be carefully recorded.
Organisations must also ensure that these records are retained in accordance with GDPR requirements and data protection principles.
Key Component 5 – The Scope of the Investigation
Employers seeking to ensure that they are affording Employees the appropriate level of fair procedures at a preliminary investigation stage are advised to ensure that any initial investigation should very clearly be solely about gathering information to determine if there is a case to answer, before a separate disciplinary hearing that will decide if the allegations are proven or not.
If the investigation is solely concerned with gathering information, it is important that the investigator sticks to their information gathering brief and does not make any findings of fact that cannot be later challenged by the Employee.
If the investigation is tasked with establishing binding findings of fact however and the Employee will not be permitted to subsequently challenge those findings, Employers need to apply the more rigorous requirements of natural justice and fair procedures.
Mitigating the Risk of an Employee WRC Claim
Employees have a wide range of statutory rights under a large body of employment laws. To minimise the risk of infringing an Employee’s rights, Organisations should aim to apply the principles of fair procedures and natural justice at every stage of the investigation process.
The following non-exhaustive list of steps feature in best practice approaches to disciplinary investigations for example:
• Strong policies: Policies should differentiate between “investigation” and “disciplinary” processes and clarify that the two will not be conflated.
• Stop, listen and assess: Carefully consider the real, potential risk arising and the seriousness of the allegations.
• Communicate with the relevant parties: Advise the relevant parties involved of the allegation made or situation which gives rise to the need for an investigation.
• Establish terms of reference: Set out an indicative timeframe and the scope of the investigation (i.e. establishing facts or gathering information).
• Arrange information gathering meetings: Investigator meets with relevant witnesses to establish facts and gather information.
• Prepare a report: Provide both the complainant and the alleged perpetrator with a written report setting out the findings of the investigation, i.e. whether the complaint is upheld or not upheld. Where a complaint is upheld, inform both parties and the relevant member of management.
• Confirm appropriate response: Management should take appropriate action based on the outcome of the investigation. This may include formal disciplinary action in line with the Organisation’s disciplinary procedure, further training, or another appropriate intervention deemed necessary to prevent a recurrence of the behaviour.
Conclusion
An investigation process that is well-structured and professionally managed can strengthen workplace culture, reinforce Employee trust, and demonstrate an Organisation’s commitment to accountability and due process. On the other hand, inadequate or inconsistent handling of complaints can have lasting negative consequences both for individuals involved and for the Organisation as a whole. Ultimately, Organisations that are well prepared to investigate workplace matters effectively reduce the risk of suffering wider Employee relations challenges.
Adare is a team of expert-led Employment Law, Industrial Relations and best practice Human Resource Management consultants. If your Organisation needs advice, support, or guidance about compliance requirements or any HR issues, please contact Adare by calling (01) 561 3594 or emailing info@adarehrm.ie to learn what services are available to support your business.