Informal resolution

Why might I choose informal resolution?

A full investigation can take time and may feel difficult for everyone involved. Many complainants want the respondent to:

• understand how their behaviour affected them
• acknowledge the impact
• take steps to fix the problem
• rebuild a professional working relationship

Informal resolution may be more suitable than a full investigation. It is not right for every case, but it has several benefits.

Benefits of informal resolution

Timing

Informal resolution can start and finish quickly.

Flexibility

If someone is unhappy with the informal resolution process, they can choose to continue with the complaint instead. If the complaint is eligible, it may move on to a full investigation.

Control

Both people have more say in what the outcome looks like. In a full investigation, the complainant will not usually be told what sanction the respondent receives (unless the complaint is about an MP, a Member of the House of Lords, or their staff).

Outcomes

Informal resolution can improve working relationships and help both people feel a sense of closure.

What are the possible outcomes of informal resolution?

Informal resolution can look different, depending on what outcome the complainant is looking for and what the respondent agrees to.

It may include:

• a facilitated phone call or meeting between the complainant and respondent
• written communication from the complainant
• a line manager or another suitable person helping both sides communicate

Informal resolution might lead to:

• an apology or acknowledgement from the respondent
• an agreed behaviour contract for working together in future (in cases of bullying and harassment)
• a behavioural agreement (in cases of sexual misconduct)
• agreement to external mediation (in cases of bullying and harassment)

What happens if I want to explore informal resolution?

When a complaint is made, the ICGS team reviews the information and makes a recommendation to the independent investigator. This is stage is called the Initial Assessment.

During this stage, the ICGS team may ask the complainant if they would like to think about informal resolution.

If the complainant is interested, the investigator will meet with them to explain the different informal resolution options.

After the Initial Assessment, if the complaint is eligible and meets the threshold for investigation, or if both the complainant and investigator think informal resolution might help, the respondent will be told about the complaint. The investigator will contact the respondent, explain what the complainant wants, and ask if they would be willing to try informal resolution.

Informal resolution can only happen if both people agree.

What happens in sexual misconduct cases?

If the complaint is about sexual misconduct, a person can choose informal resolution at any time after contacting the ICGS Helpline, even if they do not make a formal complaint.

Informal resolution may be carried out by the independent investigator. In some cases, the ICGS team may arrange for a professional mediator or another suitable person to support the process.

What if informal resolution doesn’t work?

You can stop informal resolution at any time.

If the investigator has already decided the complaint is eligible and meets the threshold for investigation, the complaint can then move to Full Assessment, where a full investigation will take place.

Is informal resolution available for complaints about Members of the House of Lords and their staff?

Yes, but it works slightly differently.

Complaints about Members of the House of Lords, or their staff, are investigated by the Lords Commissioners for Standards, supported by an ICGS investigator.

In these cases, there is an equivalent option called ‘agreed resolution’ within the Lords Code of Conduct.

At any time during an investigation, the Commissioner can agree a way to resolve the complaint with both parties. This brings the investigation to an end.

Read more information in the House of Lords Code of Conduct Enforcement Procedure (pdf, 737KB)