A Guide to Fair and Impartial Workplace Investigations
Workplace investigations are essential for maintaining integrity, trust, and a positive work environment within organisations. In Ireland, conducting these investigations requires adherence to specific legal frameworks and best practices to ensure fairness and compliance.
This blog delves into the key aspects of workplace investigations, offering guidance on initiating and conducting them effectively.
Legal Framework Governing Workplace Investigations in Ireland
In Ireland, employees possess constitutional rights to natural justice and fair procedures.
To provide structured procedures for handling grievances and disciplinary matters, the Code of Practice on Grievance and Disciplinary Procedures was introduced in 2000. This Code sets down guidelines for the compliance of procedures with natural justice and fair procedures, ensuring:
· Fair examination and processing of employee grievances.
· Presentation of detailed allegations or complaints to the concerned employee.
· Provision for the employee to respond fully to such allegations.
· Opportunity for the employee to be represented during the procedure.
· A fair and impartial determination of the issues, considering all representations and relevant evidence.
Further Codes of Practice addressing workplace bullying and harassment were published in 2021 and 2022, respectively. These codes are admissible in evidence before courts, the Workplace Relations Commission (WRC), and the Labour Court.
Initiating a Workplace Investigation
A workplace investigation typically commences when an incident occurs that the organisation deems potentially inappropriate or a breach of its policies. Common triggers include:
· Complaints against an employee regarding performance or conduct.
· Complaints from employees, clients, or third parties concerning an employee.
· Allegations of bullying, harassment, or sexual harassment.
Before initiating an investigation, it's crucial to have a well-defined plan and a clear Terms of Reference outlining the investigation's scope, objectives, and procedures. This ensures that the process remains focused and transparent.
The investigator in a workplace investigation can be either internal or external to the organisation, depending on the circumstances and the complexity of the case.
Internal Investigators
Organisations often appoint internal investigators, particularly for routine or less complex cases. Internal investigators are typically members of HR or senior management trained in conducting investigations.
Advantages of Internal Investigators:
- Cost-Effectiveness: Internal investigators do not incur the additional fees associated with external consultants.
- Familiarity with the Organisation: They have a deeper understanding of the company’s culture, policies, and procedures, which can aid in the investigation process.
- Confidentiality: Keeping the investigation in-house may reduce the risk of sensitive information being shared outside the organisation.
However, there are challenges with Internal Investigators:
- Bias and Impartiality: There is a potential for perceived or actual bias, especially if the investigator has prior interactions with the parties involved.
- Lack of Expertise: Internal investigators may lack specialised training for complex cases, such as those involving harassment or discrimination.
External Investigators
In more complex, sensitive, or high-stakes cases, organisations often engage external investigators. These are typically legal professionals, HR consultants, or specialised investigators.
Advantages of External Investigators:
- Impartiality: External investigators bring objectivity and are free from internal influences.
- Expertise: They are usually well-versed in employment law, investigative techniques, and handling sensitive matters.
- Credibility: Their involvement may enhance the credibility of the investigation, especially if challenged in court or by regulatory bodies.
As with Internal Investigators, there are some drawbacks to engaging with External Investigators, including:
- Cost: Hiring external experts can be more expensive than using internal resources.
- Familiarity: They may lack an understanding of the organisation’s culture and internal dynamics.
As a general guide, Internal Investigators are suitable for minor infractions, when there is no risk of bias, and the organisation has trained personnel. Meanwhile, External Investigators are recommended for serious allegations such as bullying, harassment, or discrimination, or when internal bias might be perceived.
Conducting the Investigation
The appointed investigator should conduct the process with integrity, fairness, impartiality, and respect.
Key steps include:
1. Gathering Evidence: Collect all relevant information, including documents, emails, and any physical evidence pertinent to the case.
2. Interviewing Witnesses: Identify and interview individuals who may have information related to the allegations. Ensure that interviews are conducted confidentially and that witnesses are protected from retaliation.
3. Documenting Findings: Maintain detailed records of all interviews and evidence collected. This documentation will be crucial for the investigation report and any subsequent proceedings.
Throughout the process, it's imperative to adhere to the principles of natural justice, ensuring that the accused employee has the opportunity to respond to allegations and that the investigation is conducted without bias.
Role of the Workplace Relations Commission (WRC)
The WRC is the National body tasked with handling employment law-related claims, including unfair dismissal. If an employee believes that an investigation was conducted unfairly or that their rights were violated, they may seek recourse from the WRC. The WRC provides mechanisms for resolving such disputes and ensures that employment laws are upheld.
Common Pitfalls and Risks
Poorly conducted investigations can expose organisations to significant financial, legal, and reputational risks.
Common mistakes include:
· Lack of pre-investigation planning.
· Absence of a clear Terms of Reference.
· Failure to adhere to fair procedures and natural justice principles.
· Inadequate documentation of the investigation process.
To mitigate these risks, businesses should ensure that their investigation procedures are robust, transparent, and in line with legal requirements.
Conclusion
Workplace investigations are a critical component of maintaining a fair and respectful work environment in Ireland. By adhering to established legal frameworks and best practices, organisations can address issues effectively, uphold employees' rights, and foster a culture of trust and integrity.
MSS – The HR People: Your External Experts
Workplace investigations can be complex. At MSS, we have a wealth of experience working with businesses, the WRC and the Labour Court. We provide objectivity and impartiality, ensuring that the investigation is conducted thoroughly and fairly. We also work closely with you, the business owner to navigate the legal intricacies thereby reducing the risk of potential challenges.
To learn more about our employer representation service, visit https://www.mssthehrpeople.ie/employer-representation or contact us today at info@mssthehrpeople.ie
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