With this document you can:

This box is not visible in the printed version.

Employee investigations

Request date: 23 March 2023

This version was printed or saved on: 8 December 2023

Online version: https://www.gamblingcommission.gov.uk/about-us/freedomofinformation/employee-investigations

Request

Please advise on the following including but not limited to:

Q1:

  1. For the time period 2018- present, the total number of employee misconduct investigations opened each year and how many resulted in a suspension before or during the process.
  2. For the time period 2018- present, the total number of employee gross misconduct investigations opened each year and how many resulted in a suspension before or during the process.
  3. Relating to the above, of those suspended please indicate broadly what misconduct they were being investigated for (e.g. negligence, financial, criminal, sexual etc)
  4. For the period 2018 – present, the number of investigations of GC employees for performance reasons, the number of related suspensions and the outcome in each case (e.g. training, resignation, dismissal etc)

Q2:

How many of these investigations at 1, 2, 3 & 4 were undertaken by;

(i) the GC internally and at what grade relevant to the employee being investigated

(ii) an independent external organisation to the GC

(iii) How has point L in the disciplinary policy being applied and precedent set, please provide in relation to above requests why would some meet point i and others meet point ii?

(iv) How is point 9a in the disciplinary policy applied consistently?

Q3: How were the organisations at ii identified?

Q4: How long have they been contracted with from and to when including if to date?

Q5: Is there a rolling contract with a maximum value?

Q6: Who at the GC manages the contract(s)?

Q7: What are the grades of employees under 1, 2, 3 & 4 and i, ii, iii & iv?

Q8: How many employees under Q1 (1, 2, 3 & 4) and Q2 (i, ii, iii and iv) are represented by a:

Q8 a) union

Q8 b) independent employment lawyer

Q8 c) self-represented

Q9: What were the outcomes of the investigations for 1, 2, 3 & 4 under i and ii and the timings from start to conclusion?

Q9 a) Including number planned for tribunal

Q9 b) Number that went to tribunal and outcome

Q9 c) Number that settled prior to tribunal

Q9 d) Costs for the GC per case

Q10: How many settlement agreements have been agreed as a result of Q1 (1,2,3 & 4) and how many fall under Q2 (i & ii)?

Response

Thank you for your request which has been processed under the Freedom of Information Act 2000 (FOIA). Please sccept our apologies for the delay in receiving your response and for any inconvienance this has caused.

The Gambling Commissions responses to your enquiries are as follows.

Q1 1. For the time period 2018 to present, the total number of employee misconduct investigations opened each year and how many resulted in a suspension before or during the process.

The following dates are recorded on a calendar year basis:

None of the previously detailed investigations resulted in suspension.

Q1 2. For the time period 2018 to present, the total number of employee gross misconduct investigations opened each year and how many resulted in a suspension before or during the process.

The following dates are recorded on a calendar year basis:

Q1 3. Relating to the previous list, of those suspended please indicate broadly what misconduct they were being investigated for (for example negligence, financial, criminal, sexual etc.):

Q1 4. For the period 2018 to present, the number of investigations of Gambling Commission employees for performance reasons, the number of related suspensions and the outcome in each case (for example training, resignation, dismissal etc.).

0.

Q2. How many of these investigations at 1, 2, 3 and 4 were undertaken by:

Q2 (i.). the Gambling Commission internally and at what grade relevant to the employee being investigated.

15 internal investigations were completed – whilst the investigating manager was the same grade or higher in all cases.

Q2 (ii.). an independent external organisation to the Gambling Commission.

4 external investigations were commissioned, 2 of these were followed up by an internal investigation.

Q2 (iii.). How has 'point L' in the disciplinary policy being applied and precedent set, please provide in relation to above requests why would some meet point i and others meet point ii?

We have been unable to identify the ‘point L’ referred to in this part of your request.

Please note, the FOIA gives individuals the right to request only recorded information held by public authorities, such as the Gambling Commission. It does not provide an avenue for individuals to gain views or opinions of public authorities or information not held at the time the request is made.

Unfortunately, this part of your request is not sufficiently clear to enable us to locate or identify the recorded information you are requesting, and we do need further information from you to enable us to process further.

Q2 (iv.). How is point 9a in the disciplinary policy applied consistently?

This does not appear to be a request for recorded information. As such, we are unable to provide response in line with the FOIA.

However, for context People Services have provided the following guidance in answer:

Investigating managers are appointed based on a conversation between the RM and People Services. People Services will advise if there are any conflicts of time and/or resource based on availability of investigating managers.

Q3. How were the organisations at ii identified?

In conjunction with internal Legal advice.

Q4. How long have they been contracted with from and to when including if to date?
Q5. Is there a rolling contract with a maximum value?

In relations to parts 4 and 5 of your request, The Gambling Commission has a standing arrangements with a number law firms, which we will engage with on a case by case basis for all external legal advice as and when required.

Copies of the previous published notices are contained in the following links.

Set 1 - Provision of Solicitor Services 2017/S 196-402837

Set 2 - Provision of Barrister Services 2017/S 202-416024

The previous notices relate to United Kingdom (UK) services.

Please note, these contracts cover the period when we engaged external legal advice relevant to the information provided in the remainder of your request.

Q6. Who at the Gambling Commission manages the contract(s)?

The Gambling Commission in-house Legal team.

Q7. What are the grades of employees under 1, 2, 3 and 4 and i, ii, iii & iv?

We are unable to provide a further breakdown, as this could potentially identify individual employees.

The Data Protection Act 2018 requires the processing of personal data to be fair and lawful. It would be disproportionate for us to publicly disclose these details unless there is a strong public interest in doing so. These individuals have a legitimate expectation that their personal details will not be disclosed in the context in which they were held.

On balance, there is no legitimate public interest in disclosing this information and it would not be fair to do so. This information is therefore exempt under section 40(2) of the Freedom of Information Act 2000.

Q8. How many employees under 1, 2, 3 and 4 and i, ii, iii and iv are represented by a:

a) union – 13 colleagues
b) independent employment lawyer – 0 colleagues
c) self-represented – 5 colleagues
d) represented by colleague – 1 colleague
e) unknown – 1 colleague.

Q9. What were the outcomes of the investigations for 1, 2, 3 and 4 under i and ii and the timings from start to conclusion?

Q9a. Including number planned for tribunal.

0 - It would be the colleague’s decision to pursue a tribunal claim.

Q9a. i) With a date.
Q9a. ii) Without a date.

See answer to Q9a.

Q9b. Number that went to tribunal and outcome.

0 tribunal cases.

Q9c. Number that settled prior to tribunal.

2 cases.

Q9d. Costs for the Gambling Commission per case.
Q10. How many settlement agreements have been agreed as a result of 1,2,3 and 4 and how many fall under i and ii?

In order to fulfil parts 9d and 10 of your request, we would be required to disclose information relating to individual cases of individual employees. It would be disproportionate for us to publicly disclose these details unless there is a strong public interest in doing so. These individuals have a legitimate expectation that their personal details will not be disclosed in the context in which they were held.

On balance, there is no legitimate public interest in disclosing this information and it would not be fair to do so. This information is therefore exempt under section 40(2) of the Freedom of Information Act 2000.

Review of the decision

If you are unhappy with the service you have received in relation to your Freedom of Information request you are entitled to an internal review of our decision. You should write to FOI Team, Gambling Commission, 4th floor, Victoria Square House, Victoria Square, Birmingham, B2 4BP or by reply to this email.

Please note, internal review requests should be made within 40 working days of the initial response. Requests made outside this timeframe will not be processed.

If you are not content with the outcome of our review, you may then apply directly to the Information Commissioner (ICO) for a decision. Generally, the ICO cannot make a decision unless you have already exhausted the review procedure provided by the Gambling Commission.

The ICO can be contacted at: The Information Commissioner’s Office (opens in a new tab), Wycliffe House, Water Lane, Wilmslow, Cheshire SK9 5AF.

Information Management Team
Gambling Commission
Victoria Square House
Victoria Square
Birmingham B2 4BP