THE INSOLVENCY SERVICE
EQUAL OPPORTUNITIES COMPLAINTS PROCEDURE

Equal Opportunities Complaints Procedure:  Revised: March 2001

The major changes to the procedure are:

1.     Clarification of the rights and responsibilities of staff.
2.     Broadening of the definition of harassment and the introduction of Bullying at work.
3.     The introduction of the role of the Regional/HQ Equal Opportunities Contact Officer role.
4.     The specific identification of the following options within the procedure:
         -   No Action
         -   Individual action
         -   Informal Action
5.     The introduction of HR Resolution.
6.     More detailed guidance (allied to the disciplinary guidance) for staff and managers on the formal local procedure,     including the right to be accompanied at a formal hearing.

1.          INTRODUCTION

1.1     The Service is an Executive Agency of the Department of Trade and Industry (DTI) and has full, delegated responsibility for its Equal Opportunities Complaints Procedure (the EOC Procedure).  The aim of this booklet is to provide guidance to all staff on the EOC Procedure.  The provisions contained in this booklet supersede all previous instructions and where they conflict with the provisions of The Guide (the DTI’s staff handbook) this booklet will take precedence.

1.2     The Service’s EOC Procedure provides a mechanism for staff to raise a grievance relating to:

• Discrimination

• Harassment

• Bullying

• Victimisation.  

1.3    Details of the general grievance procedure and of specific appeal processes can be found in the following publications:      

2.       RIGHTS AND RESPONSIBILITIES

2.1     All staff have the right:

·        To equality of opportunity in their terms and conditions of employment and career development;

·        To a working environment free from discrimination, harassment, bullying and/or victimisation;

·        To be treated with respect, dignity and sensitivity.
 

2.2     All employees have a duty to fulfil the terms of their employment to the best of their ability and in doing so must seek to maintain good working relationships with colleagues and third parties. They have a responsibility:

       ·        To respect the dignity and sensitivity of others;

·        To ensure that their behaviour does not constitute discrimination, harassment, bullying and/or victimisation;

·        Not to condone the unacceptable behaviour of others.

 2.3     The Service’s Policy on Equal Opportunities and Policy on Harassment and Bullying exist to protect staff rights. Breaches of these policies may constitute a disciplinary offence. Any disciplinary offence amounting to gross misconduct can result in dismissal, even if it is a first offence. 

 3.       WHAT IS DISCRIMINATION, HARASSMENT, BULLYING AND VICTIMISATION?

 Discrimination

 3.1     An employee will suffer discrimination when he/she is treated less favourably than his/her colleagues on the grounds of sex, race or disability and there is no justification for the treatment in question. Discrimination (including “positive” discrimination) by an employer is unlawful.  

3.2     Sex discrimination includes discrimination on the grounds of gender reassignment, marital status and part-time working.

3.3     Race discrimination includes discrimination on the grounds of skin colour, nationality, citizenship, ethnic origin and national origin.

3.4     Discrimination applies in the following areas:

•  Recruitment

•  Terms and conditions of appointment

•  Appraisal

•  Training

•  Promotion

•  Career development

 3.5     Legislation that deals with discrimination includes:

•         The Equal Pay Act 1970

•         The Sex Discrimination Act 1975

•         The Race Relations Act 1976

•         The Disability Discrimination Act 1995

•         The Sex Discrimination (Gender Reassignment) Regulations 1999

 3.6     Discrimination on the grounds of religious affiliation, faith, cultural background, sexual orientation or age are not covered by specific employment law but are contrary to The Service’s Equal Opportunities Policy and will also not be tolerated.  

 Harassment & Bullying

 3.7     Harassment in the workplace is inappropriate conduct by an employee affecting the dignity and well being of colleagues. It covers physical actions, written or oral comments which, intentional or not, are unwelcome and create feelings of unease, humiliation and/or discomfort, cause offence or (appear to) threaten job security or career prospects. Bullying is the persistent criticism and/or humiliation of an individual, which undermines professional confidence. It is a form of harassment.

3.8     Whilst a proven case of harassment or bullying may result in disciplinary action under paragraphs 923 xvi of The Guide it can also involve conduct that is unlawful and render the individual, or The Service, liable under:

•         Health and Safety Act 1974

•         The Sex Discrimination Act 1975                          

•         The Race Relations Act 1976   

•         Public Order Act 1986

•         Trade Union and Labour Relations (Consolidation) Act 1992

•         The Disability Discrimination Act 1995                            

•         Employment Rights Act 1996

•         The Protection Against Harassment Act 1997

 3.9     Examples of Harassment include, but are not limited to:

•       Uncalled for physical contact ranging from touching to serious assault;

•       Verbal and written harassment through offensive language, jokes, innuendo, mockery or use of derogatory stereotype

•       Visual display of pornographic, sexually suggestive or racist material;

•       Intrusive questioning about a person’s marital status, sexual orientation, ethnic origin, faith or disability;

•       Exclusion of an individual from group activities which form part of office social life;  

•       Public and/or private humiliation, including unnecessarily overbearing supervision or constant overruling of an individual’s authority;

•       Shouting at or behaving aggressively towards a colleague;

•       Setting impossible targets or deadlines, or changing them without telling an individual and then subjecting them to criticism;

•       Unreasonably removing areas of work responsibility from an individual and reducing the job to demeaning tasks.

Victimisation

 3.10   Victimisation occurs if an employee is treated less favourably than a colleague because he/she has brought a complaint, or it is known or suspected that he/she is contemplating bringing a complaint of discrimination, harassment and/or bullying.  An employee may also be victimised on the grounds that he/she is or may be assisting someone else in relation to a complaint. 

4.       HOW DOES THE EQUAL OPPORTUNITIES COMPLAINTS PROCEDURE WORK -   INFORMATION FOR ALL STAFF

4.1     The Equal Opportunities complaints procedure provides you with various options for dealing with unwanted conduct that constitutes discrimination, harassment, bullying and/or victimisation.   The options are:

4.2     Whilst you are at liberty to choose the option that you feel will be the most appropriate in your particular circumstances, there is scope within most options for the matter to be referred through an alternative route if the individual investigating the issue feels that the alternative route would be more suited to the circumstances.  You will be informed if this happens. It is advisable therefore to contact the Equal Opportunities’ Contact Officer (EOCO), in the first instance, as
he/she has expertise in supporting you through the processes.

4.3     The procedures provide a staged approach for dealing with concerns fairly and reasonably according to the circumstances surrounding, and the seriousness of the complaint.  Technically, a complaint is not made unless one of the formal procedures is invoked.

4.4     The remaining paragraphs of this section provide you with guidance on how the various options of EOC Procedure operate. The guidance is written from the prospective of the complainant, but sets out the process for, and rights of, the respondent.  A flowchart attached at Annex A shows the linkage between the various stages. Section 7 sets out practical advice for managers investigating a complaint.

Review By The Equal Opportunities’ Contact Officer (EOCO)

4.5     If you feel you have been discriminated against, harassed, bullied or victimised, it is usual to contact your local EOCO in the first instance.  The names and locations of the contact officers are available on the intranet and on posters within each office.  You should ensure that you contact your EOCO within a timeframe that will allow you sufficient time to consider your options and decide how you wish to proceed and still comply with the 3-month timescale for making a complaint under the EOC Procedure (see paragraph 4.15 below).

4.6     If your grievance relates to an issue for which there exists a specific appeal procedure or recognized channel of review as well as an equal opportunities element, you may wish to discuss with your EOCO which procedure is the most appropriate for dealing with the issue. You must, however, do this as early as possible after the event to ensure that you comply with the prescribed timescales.  These are:

4.7     It is not normally possible to invoke several procedures to seek to resolve one issue. 

4.8     The EOCO will work with you to clarify and classify the complaint.  He/she will provide advice on the options available to you and support you in identifying and implementing whichever is the most appropriate.  

4.9     The meeting with the EOCO is confidential.  He/she will not divulge what you have told him/her to other members of staff or to managers (whether yours or his/hers).  However, if the EOCO forms a view that there has been a serious breach of Agency regulations, a risk to the health and safety of staff or the public generally or a criminal offence has been committed, he/she is under an obligation to release the information to Human Resources Section or The Inspectorate, as appropriate. 

4.10   Initial contact with the EOCO can be made by telephone, e-mail or in writing.  You should normally contact an EOCO from your own Region although this does not have to be from your own office.  However, there may be times when it is necessary to contact an EOCO from another Region.  If circumstances so dictate, advice may be given by telephone or in writing but generally the EOCO will arrange to meet you at your office at a mutually convenient time.  There may be occasions, due to the nature of the complaint, when a meeting outside your office will be appropriate.  Suitable arrangements can be made based on individual circumstances.   

4.11   If you are meeting with the EOCO at a time when you are normally working you will need to inform your manager of the meeting, although you do not need to discuss the reasons for the meeting. Your manager will not divulge the reason for your absence to anyone else. 

4.12   Human Resources Section will provide reimbursement of the travel and subsistence cost of a visit to or from an EOCO.  

No Action 

4.13   Following a meeting with the EOCO, you may decide that you do not wish to take the matter any further.  Simply being able to discuss your concerns and feelings may be all that you require to resolve the matter.  

Individual Action 

4.14   You may wish to tackle the problem yourself by warning the individual responsible - the respondent - that the behaviour displayed or action taken is unwanted and offensive or disrespectful.  Ask him/her to stop and advise him/her that you intend to pursue the matter further if he/she does not cease behaving in the way he/she is.  You can do this verbally or in writing.  Such action should not be undertaken by a friend or colleague on your behalf.  You must ensure that your action does not involve any form of retribution or threat. 

Local Procedure 

4.15   This is when you make a complaint to your line manager or a more senior manager, if appropriate (for example, if your complaint relates to your line manager).  You should raise your concerns with your manager within 3 months of the incident of discrimination, harassment, bullying or victimisation. 

4.16   If your concern is with an employee outside your line management chain, the investigation will need to be undertaken by the line manager of the respondent.  You can either contact the appropriate manager directly, or the matter can be transferred to the respondent’s manager once your manager has ascertained the details of your grievance.        

4.17   Speak to the investigating manager privately; advise him/her, orally, of the substance of the grievance and whether or not you want the respondent to know you have approached the manager.  There are only a few instances in which it will be possible for a manager to deal with an incident without loss of anonymity.  These are described broadly in the section ‘informal local procedure’ below. Otherwise, the substance of your complaint would have to be made known to the respondent via the formal local procedure. Decide whether the informal or formal arrangements are applicable. 

4.18   If you are reluctant for the investigating manager to invoke the formal local arrangements and he/she cannot resolve the problem objectively through the informal route then he/she will inform you, in writing, that the complaint cannot be tackled effectively without recourse to the formal local procedure.    

Informal local procedure 

4.19   If there has been no serious impropriety, it may be possible for the investigating manager to deal with the incident by a general discussion in the office/section about maintenance of correct standards of behaviour, in which case there will be no need for you or the respondent to be identified.   

4.20   If the nature of the grievance is such that the investigating manager is aware of the conduct that is causing offence then he/she may deal with the matter directly with the employee responsible through an informal talk without identifying you as a complainant. (For example, if you have been offended by the display of inappropriate pictures).  

Formal local procedure 

4.21   The investigating manager must be supportive and objective.  He/she will assume that your complaint is made in good faith but will not automatically assume that the allegation is true.  He/she has an obligation to investigate the complaint fairly and impartially. Both you and the respondent have equal rights.  

4.22   To invoke the formal local procedure you will need to make your complaint in writing.  You should be specific about the nature of your complaint, detail, as precisely as possible, the event(s) that resulted in your complaint and describe, if appropriate, how you felt. In order to ensure that the investigating manager acts in an objective manner he/she will adopt the following 6-stage approach: 

Interview you

Gather facts
Interview the respondent
Adjourn
Decision

       - dismiss or uphold complaint
       - disciplinary action, if appropriate    

Follow – up action  

Interviewing you 

4.23   The investigating manager will arrange to interview you formally.  A Trade Union representative, colleague, staff counsellor or an EOCO may accompany you if you wish.  

4.24   The investigating manager will take detailed notes of the meeting, setting out the nature of your complaint and all the circumstances surrounding the allegations. Where possible these notes should be typed for ease of reading.  You will be asked to sign the notes as an accurate record of events.  

4.25   The investigating manager should advise you of the timescale within which the complaint will be considered.  However, you will not be informed of any action taken against the respondent if the complaint is upheld. 

4.26   If you have made a complaint about an employee from another section, the investigation will normally be passed to the line manager of the respondent on completion of this stage. 

Gather The Facts 

4.27   The investigating manager will interview and take detailed notes from any third party who may have information regarding the complaint. He/she will gather any documentary evidence and check the relevant rules and procedures where appropriate including guidance, notices and instructions.  As part of the fact-finding process, the investigating manager will contact The Inspectorate to obtain details of any equal opportunities’ complaints and/or disciplinary penalties that are in force in respect of the respondent.   

Interview The Respondent 

4.28   The investigating manager will advise the respondent of the nature of the complaint and fix a date/time, giving at least 3 days notice, to formally interview the respondent.  The respondent is allowed to discuss the matter confidentially with an EOCO prior to the interview and can be accompanied at interview by a Trade Union representative, colleague, staff counsellor or an EOCO.  At the interview, the respondent will be given an opportunity to put forward his/her account of events.  The investigating manager will take detailed notes of the interview, which the respondent will be asked to sign as an accurate record of events.  

4.29   The respondent will be informed of the timescale in which the complaint will be considered.

Adjourn  

4.30   Once an investigating manager has gathered all necessary information from the respondent, he/she should adjourn the meeting so that the facts can be properly considered.   

Decision  

4.31   On the basis of the information obtained, the investigating manager should decide if on the balance of probabilities the allegations made are true (i.e. whether it is more likely than not that the allegations made are true).   If the complaint is upheld, the investigating manager will also need to consider if disciplinary action is appropriate. In deciding on a penalty, he/she will take into consideration any previous unspent local warnings.   

4.32   The investigating manager will then: 

•         Inform you whether the complaint has been upheld or dismissed and of the right of appeal. Ideally this
    information should be conveyed at a face-to-face meeting and confirmed in writing.  If this is not possible,
    the investigating  manager will write to you. 

•         Resume the meeting with the respondent to inform him/her of the decision to uphold or dismiss the
    complaint. This will be confirmed in writing.  

•         Take disciplinary action against the respondent, if appropriate (and confirm in writing1 to the respondent):

a.     Detail the penalty
b.     Discuss and agree how conduct is going to be improved to bring it back up to standard and give a timescale to
        comply with the penalty
c.     Offer support to enable the respondent to achieve the standards of conduct required

4.33   The consequences of disciplinary penalties are detailed in The Insolvency Service’s Guide to Disciplinary Procedures.   

Follow-up action 

4.34   If circumstances of the case so dictate, the investigating manager might suggest a meeting with you and the respondent to discuss maintenance of correct standards of behaviour.  Alternatively a HR Resolution meeting might be arranged. 

4.35   Details of the outcome of the complaint and any disciplinary penalty will be sent to The Inspectorate.  If a disciplinary penalty has been imposed, the investigating manager must review future conduct against agreed standards.  

Appeal 

4.35   If you are not satisfied with the outcome of an investigation into a complaint, you can appeal to the Official Receiver/Section Head (or the Regional Manager/HQ Director if the complaint has been investigated by the Official Receiver/Section Head).  The appeal should be made in writing within 15 working days of the decision being made available.  The manager dealing with the appeal will review the investigative process, in the light of new evidence if appropriate, and inform you and the respondent of his/her decision within 15 working days. If you are dissatisfied with the outcome of the appeal you can make a further appeal to the Equal Opportunities Officer in Human Resources Section.  

4.36   A respondent has the same right of appeal. 

Inspectorate Procedure 

4.37   If the matter cannot be resolved locally, or if the investigating manager or you believes that the matter is too serious to be dealt with locally, a minute detailing all the circumstances of the complaint should be forwarded to The Inspectorate.  If the referral is via the investigating manager, then he/she should add any necessary comments to the minute.  This should not delay the referral of the case.  The Inspectorate will then investigate the matter as it would a potential disciplinary offence.  

4.38   Essentially the procedure is the same as the local procedure but it is carried out by independent investigators, who will:

a.      Interview the complainant

b.     Gather facts

c.     Interview the respondent

d.     Consider the information collected

e.      Make a decision   

f.       Inform the parties of their right of appeal

4.39   The consequences of a disciplinary offence are more serious and can include dismissal.   

4.40   Further information about The Inspectorate disciplinary procedures can be found in The Insolvency Service’s Guide to Disciplinary Procedures.  

4.41   If either party is not satisfied with the outcome of The Inspectorate’s investigation it can appeal in writing, within 15 working days of notification of the outcome, to the Agency Chief Executive. 

Human Resources (HR) Resolution Meeting 

4.42   Often the most difficult part of the outcome of a case of discrimination, harassment, bullying or victimisation to manage is the subsequent work relationship of the parties involved.  

4.43   In particularly difficult cases, as part of the informal local procedure or on completion of the formal local procedure or the Inspectorate procedure, the Human Resources Equal Opportunities Team can be approached to facilitate a resolution meeting.  As part of the formal process, it is likely to be the investigating manager who makes contact with HR.  At the informal stage, either the member of staff with the grievance or the line manager may make contact.  The purpose of the meeting is to seek to secure the future of the work relationship between the parties involved.  Details of what might constitute inappropriate behaviour/actions will be outlined and the mechanisms to address any future misconduct will be identified in order to set ground rules for the work relationship.

5.       OTHER ISSUES 

False Malicious/ Vexatious Complaints 

5.1     The presumption is that complaints are made in good faith and they will be investigated on this basis.  The Service will treat seriously any complaint made on false grounds.  Disciplinary action may be taken against you if you act in bad faith.  This does not mean that disciplinary action will be considered in a case where allegations are deemed to be unfounded if the allegations are made in good faith. 

6.       LEGAL REMEDIES  

6.1     It is hoped that you will use The Service’s internal procedures to pursue complaints.  However, under the provisions of the Equal Pay Act 1970, the Sex Discrimination Act 1975, the Race Relations Act 1976 and the Disability Discrimination Act 1995, it is possible to take a complaint of sexual, racial or disability discrimination (including harassment and bullying on the grounds of sex, race or disability) to an Employment Tribunal.  The complaint to an Employment Tribunal should be made within 3 months of the date on which the incident occurred.  It may also be possible for action to be taken against a bully or harasser in the civil and/or criminal courts. You may seek assistance from the Equal Opportunities Commission, Commission for Racial Equality, legal advice centres or the Citizen Advice Bureaux as appropriate.

7.       THE LINE MANAGER’S ROLE 

Responsibilities 

7.1     As a Line Manager you have a duty to ensure that the Policy on Equal Opportunities and the Policy on Harassment and Bullying are observed. You have a role in maintaining a working environment that is free from discrimination, harassment, bullying and/or victimisation:  ensuring that instances do not occur within the workplace; taking prompt action, under the disciplinary procedures, if you witness such occurrences and dealing sensitively but objectively with complaints made under the local procedure.   

7.2     You must allow the members of your team to meet with an EOCO if they wish to.  You must keep this information to yourself. You do not have a right to know the specific purpose of the meeting and you should not seek to obtain such information from the employee or from the EOCO.  

The Informal Local Procedure: dealing informally with incidents of discrimination, harassment, bullying or victimisation. 

7.3     An employee may approach you informally to talk about an incident that has caused him/her concern.  Although this discussion is informal, it should be carried out in private.  

7.4     There are only a few instances in which it will be possible for you to deal with an incident without the loss of anonymity of the complainant. If there has been no serious impropriety, it may be possible for you to deal with the incident by having a general discussion in your office/section about maintenance of correct standards of behaviour.  

7.5     If the nature of the complaint is such that you are aware of the conduct that caused offence but were not aware that it had caused offence, (for example, language or behaviour that was not directed at the complainant or the display of inappropriate pictures) you may deal with the matter directly with the respondent through an informal talk without identifying the complainant.     

7.6     Otherwise, the substance of the complaint will have to be made known to the respondent via the formal local procedure. If a member of staff is reluctant for you to deal with the matter formally and you do not have an objective way of resolving the issue you should inform the complainant, in writing, that the complaint could not be tackled effectively informally. You should not identify the alleged respondent in your letter.  

Formal Local Procedure 

7.7     A complaint under the formal local procedure should be made to you within 3 months of the incident that resulted in the complaint. You may accept a complaint made out of time if there are substantial reasons why the complainant could not make the complaint within time.  The complaint should be made in writing and set out details of the complaint. The event(s) which led to the complaint being made and, if appropriate, the complainant’s feelings should be described. 

7.8     Such cases should be dealt with promptly, thoroughly and fairly. They should always be treated seriously and employees should never be given the impression that a manager is sweeping problems under the carpet or avoiding taking action.   

7.9     You have a responsibility to both parties involved. You must be supportive but remain impartial.  You must assume that the complaint has been made in good faith but you must not automatically assume that the allegation is true. 

7.10   You must aim to conclude the matter within 6 weeks of notification of the complaint.  

7.11   You should deal with the complaint by following a six-stage approach: 

Interview the complainant

Gather facts

Interview the respondent

Adjourn

Decision

•        uphold or dismiss of uphold the complaint

•        disciplinary action, if appropriate       

Follow – up action

Interview the complainant  

7.12   You should assure the complainant that he/she will be given a fair and sympathetic hearing without the threat of subsequent victimisation. You must advise a complainant that he/she will be informed of the outcome of the complaint but not of any action taken against the respondent if the complaint is upheld.   

7.13   You will start by interviewing the complainant, who may be accompanied by a Trade Union representative, colleague, staff counsellor or an EOCO. You will give the complainant at least three days notice of the interview and inform him/her of the right to be accompanied. Detailed notes of the meeting should be made.  The aim of the interview is to clarify the nature of the complaint and all the circumstances surrounding the allegations. The notes of the meeting should be signed by the complainant as an accurate record and where possible should be typed for ease of reading.   

7.14   On completion of this stage, if the complaint relates to an employee from another section, the investigation should be passed to line manager of the respondent.  You must inform the complainant that you are doing this. 

7.15   Although the intervention of the EOCO should help to ensure that complaints are dealt with through the most appropriate channel, if at this stage you feel that the complaint is too complex or serious to be dealt with locally, you should refer to the section “Referral of misconduct matters to The Inspectorate” in The Insolvency Service’s Guide to Disciplinary Procedures or consult the Inspectorate directly for advice on how to proceed. 

Gather The Facts 

7.16   You must speak to any third parties involved and take detailed notes of the information they provide you with. Documentary evidence may need to be gathered.  You will need to check the relevant rules and procedures where appropriate including guidance, notices and instructions.  As part of the fact-finding process, you should contact The Inspectorate to obtain details of any equal opportunities complaints and/or disciplinary penalties that are in force.  The latter will allow you to make an informed decision about whether or not you should continue to deal with the complaint.

Interview The Respondent 

7.17   Advise the respondent of the nature of the complaint and fix a date/time/meeting place for an interview, giving at least 3 days’ notice.  Inform the respondent that he/she may be accompanied by a Trade Union representative, colleague, staff counsellor or an EOCO. 

7.18   Ensure that you prepare properly and fully for the interview along the following lines:

•        Gather the facts and other relevant information

•        Plan your approach during the interview especially where the matter is complicated or there are many facts
   to put to the respondent

•        Ensure privacy and no interruptions

•        Allow adequate time (adjourn if time runs out or further facts need to be established)  

•        Keep an open mind 

7.19   The interview should proceed along the following guidelines: 

•         State the reason for the interview, confirming details of the complaint

•         Identify the ‘gap’ between the standards expected and displayed

•         Show or explain the facts that you have gathered to the respondent

•         Ask the respondent to describe his/her version of events and to explain his/her actions

•         Make detailed notes of the meeting.   These notes should be sufficiently detailed to enable you, or any
    independent third party, to support your decision making  

Adjourn  

7.20   Once you have interviewed the respondent you should adjourn the meeting.  The length of the adjournment will depend on whether you need more time to think about the matter or gather more information so that you can properly consider the facts:  Gather any further relevant information or interview other third parties. You should not rush into a decision on either the matter itself or, if appropriate, any resultant disciplinary action.  You must take into account all the information in your possession before you to reach a fair and reasonable decision.

Decision 

7.21   When making your decision, you should ensure that you have considered all the facts available to you and that your decision is reasonable given all he circumstances. On the basis of the information obtained, you should decide whether, on the balance of probabilities, the allegation made is true (i.e. whether it is more likely than not to be true) and thus whether to uphold or dismiss the complaint.  If the complaint is upheld, you will need also to consider what action should be taken to deal with the situation. This may include disciplinary action and the issue of a local formal disciplinary warning (either oral or written). In deciding on any disciplinary penalty you should take into consideration any previous unspent local warnings. However, you should ensure that you do not allow your knowledge of previous disciplinary action to influence your judgement when determining the outcome of the investigation. The Insolvency Service’s Guide to Disciplinary Procedures sets out the process for issuing such warnings and their consequence.   

7.22   Once you have made your decision you must: 

•         Resume your meeting with the respondent and inform him/her of your decision to uphold or dismiss the complaint and of their right of appeal, and 

•         If disciplinary action is appropriate: 

a.      Detail the penalty

b.     Discuss and agree how conduct is going to be improved to bring it back up to standard and any timescale for the improvement

c.     Offer support to enable the respondent to achieve the standards of conduct required

Follow this up in writing[1]. 

•       Inform the complainant whether the complaint has been upheld or dismissed and of the right of appeal. Ideally this should be undertaken at a face-to-face interview and confirmed in writing.  Otherwise, the appropriate information will be conveyed by a personal letter. You must not inform the complainant of any disciplinary action you may have taken against the respondent. 

Follow-up action 

7.23   You should send details of the outcome of the complaint and any resultant disciplinary penalty to The Inspectorate.  If a disciplinary penalty has been imposed, you must review future conduct against agreed standards.  

7.24   If circumstances of the case so dictate, you should consider whether a better work relationship between the complainant and respondent would be achieved by arranging a meeting with both to discuss maintenance of correct standards of behaviour.  In particularly difficult cases, it may be more appropriate for HR to facilitate a resolution meeting. 

Appeal 

7.25   If the complainant or the respondent is not satisfied with the outcome of the investigation into a complaint he/she can appeal to the Official Receiver/Section Head (or the Regional Manager/HQ Director if the investigating manager was the Official Receiver/Section Head).  The appeal should be made in writing within 15 working days of the parties being informed of the decision.  The manager dealing with the appeal will review the investigative process, in the light of new evidence if appropriate, and make a decision, in writing, within 15 working days. A further appeal can be made to the Equal Opportunities Officer in Human Resources Section if the individual is not satisfied with the outcome of the first appeal.