Workplace investigations are a critical part of addressing employee complaints, misconduct, and grievances. However, the outcomes of these investigations don’t always satisfy everyone involved. If an employee feels that the process was unfair or the conclusions were flawed, can they appeal?
In the UK, the right to appeal the outcomes of a workplace investigation often varies depending on organisational policies. Generally speaking:
1. Complainants
- Appeal focus: The complainant (the person raising the grievance or complaint) may have the right to appeal the findings of the investigation if they believe it was mishandled, their concerns were inadequately addressed, or the outcome was unreasonable.
- Grounds for appeal: Procedural errors, overlooked evidence, or perceived bias in the investigation process are common reasons for appeals by complainants.
2. Respondents
- Appeal focus: The respondent (the person accused of misconduct or wrongdoing) typically does not have the right to appeal the investigation findings directly. However, if disciplinary action is taken against them based on the investigation’s conclusions, they can appeal that decision.
- Grounds for appeal: Appeals in this context might focus on procedural errors in the disciplinary process, the fairness of the decision, or the lack of consideration of mitigating factors.
Why policies matter
While the above distinctions are typical, it is essential to note that appeal rights can differ between organisations. The right to appeal is governed by the employer’s grievance and disciplinary procedures, which should align with the ACAS Code of Practice.
Organisations must ensure that:
- Rights are clear: Both complainants and respondents should know whether they can appeal and on what basis.
- Policies are accessible: Employees should have access to grievance and disciplinary procedures to guide their actions.
- Processes are impartial: Appeals should be handled by someone not involved in the original investigation to ensure fairness.
Employees are advised to refer to their organisation’s specific procedures to determine their rights and responsibilities regarding appeals.
Grounds for appealing a workplace investigation
Whether you are a complainant or a respondent, appeals must generally be based on specific grounds. These might include:
1. Procedural errors
- Was the investigation conducted in line with the organisation’s policies?
- Were all relevant witnesses interviewed, and was all evidence properly considered?
- Was the investigation free from bias or conflicts of interest?
2. New evidence
- Has additional evidence come to light that could significantly impact the findings or outcome?
3. Unfair conclusions
- Were the findings unreasonable based on the evidence presented?
- Did the investigation fail to consider mitigating factors?
How to appeal the outcome
If an appeal is allowed, the process usually involves the following steps:
1. Consult your organisation’s policy
Review the grievance or disciplinary policy to understand the appeal process, including timeframes and submission requirements.
2. Submit an appeal letter
Draft a formal appeal letter outlining:
- The decision you are appealing.
- The grounds for your appeal (e.g., procedural errors, new evidence).
- Any supporting evidence or documentation.
3. Attend an appeal hearing
If your appeal is accepted, the organisation will arrange a meeting to review the case. This meeting should be chaired by someone impartial who was not involved in the initial investigation.
4. Await the outcome
The organisation will review the appeal and provide a final decision, which could involve upholding, amending, or overturning the original outcome.
When an appeal may not be possible
In some cases, appeals may not be permitted. For example:
- If the investigation’s findings did not lead to any formal action, such as a grievance resolution or disciplinary measure, there may be no grounds for appeal.
- If the organisation’s policy does not provide a right to appeal, employees may need to explore other avenues, such as seeking advice from ACAS or legal professionals.
What happens if the appeal is unsuccessful?
If the appeal does not lead to a satisfactory outcome, further options may include:
- Engaging ACAS: Early conciliation through ACAS can help resolve disputes without legal proceedings.
- Employment tribunal claims: In cases of alleged discrimination or unfair dismissal, employees may consider filing a claim. This step should be taken with legal advice.
Appeals are an essential part of ensuring fairness in workplace investigations. However, their availability and scope can differ significantly between organisations. Employees should always refer to their employer’s grievance and disciplinary policies to understand their rights.
For employers, having clear, accessible, and fair appeal processes is vital to maintaining trust and reducing the risk of legal disputes. By adhering to best practices and the ACAS Code of Practice, organisations can handle appeals effectively, fostering a culture of transparency and accountability.
At Tell Jane, we can support your organisation in conducting fair and impartial workplace investigations through training in-house investigations or carrying out investigations on your behalf.
Email us today at hello@telljane.co.uk to find out more.
