Enforcement Investigation Guide
Ganesh Sittampalam made this Freedom of Information request to Insolvency Service This request has been closed to new correspondence. Contact us if you think it should be reopened.
Dear Insolvency Service,
Please can I have a copy of the "Enforcement Investigation Guide" that you were recently ordered to release by the Information Commissioner in his decision notice FS50435026?
Yours faithfully,
Ganesh Sittampalam
Dear Mr Sittampalam
RE: The Insolvency Service’s Enforcement Investigation Guide
With reference to your email of 11 April 2012.
The Insolvency Service holds a considerable amount of information that
comes within the scope of your request and due to the need to consider
where the balance of the public interest lies in relation to the
information that you have requested unfortunately the Insolvency Service
will require some further time to consider your request.
I wish to advise you that the following exemptions apply to the
information that you have requested:
o Section 31 (Law Enforcement)
o Section 42 (Legal Professional Privilege)
By virtue of section 10(3) of the Freedom of Information Act 2000, where
public authorities have to consider the balance of the public interest in
relation to a request, they do not have to comply with the request until
such time as is reasonable in the circumstances.
The Insolvency Service has not yet reached a decision on the balance of
the public interest. Due to the need to consider in all the circumstances
where the balance of the public interest lies in relation to the
information that you have requested, the Insolvency Service will not be
able to respond to your request in full within 20 working days.
I hope to let you have a response by 5^th June 2012.
If you are dissatisfied with the handling of your request, you have the
right to ask for an internal review. Internal review requests should
be addressed to:
Colin Evans
Head of Investigations and Enforcement Technical Team
Zone E, 4th Floor
PO 203
21 Bloomsbury Street
London
WC1B 3QW
(tel: 020 7637 1110 email: [email address])
Yours sincerely
David Baker
Investigations & Enforcement Technical Team | Insolvency Service |
Zone E, 4th Floor, 21 Bloomsbury Street, London WC1B 3SS | T: 020 7291
6741 | F: 020 7637 6339 |
[1][email address] |
[2][email address] |
[3]www.bis.gov.uk/insolvency
Dear Mr Baker,
In FS50435026, you were ordered to release the entire guide within 35 days of 27th March. Please can you advise on the status of that release?
Yours sincerely,
Ganesh Sittampalam
Thank you for your email.
That decision is being appealed.
David Baker
Investigations & Enforcement Technical Team | Insolvency Service |
Zone E, 4th Floor, 21 Bloomsbury Street, London WC1B 3SS | T: 020 7291 6741 | F: 020 7637 6339 |
[email address] | [email address] | www.bis.gov.uk/insolvency
Dear David Baker,
On 8th May, you said that you were considering the public interest test and that "I hope to let you have a response by 5th June 2012."
Please can you advise me on your progress?
Yours sincerely,
Ganesh Sittampalam
Dear Sir
RE: The Insolvency Service Enforcement Investigation Guide
I understand that you have asked for a copy of The Insolvency Service’s
Enforcement Investigation Guide (“EIG”).
The EIG is a collection of chapters relating to most aspects of The
Insolvency Service’s obligations in respect of enforcement and
investigation activity.
The EIG consists of three parts. Part I contains guidance for dealing with
all aspects of enforcement and investigation obligations regarding
insolvent companies and bankruptcies. Part II concerns the vetting of
complaints for live investigations. Part III contains guidance for
investigators carrying out live investigations.
In February 2012, the Insolvency Service received a request for the EIG to
be released. On 27 March 2012 the Information Commissioner’s Office
(“ICO”) determined that the EIG should be released within 35 days without
any form of redaction. The ICO were advised on 5 April 2012 that an appeal
would be made to the First Tier Information Rights Tribunal.
As a consequence of the proposed appeal, the EIG was reviewed to ascertain
which sections needed redaction before publication. On 30 November 2012
The Insolvency Service agreed with the ICO a schedule of justified
redactions. This was then presented to the Tribunal.
On 19 December 2012 the Tribunal Judge formally approved the Consent Order
that was agreed previously by the ICO and the Service.
Consequently please find enclose PDFs of Part I of the redacted EIG (Parts
II and III are currently being prepared and will be with you as soon as
possible).
The principle reason for the redaction is the combined effect of sections
31(1)(a),(b),(g) and (h) and 31(2)(b) and (d) of the Freedom of
Information Act 2000 which brings information held for the purposes of The
Insolvency Service’s functions under the Insolvency Act 1986, the Company
Directors Disqualification Act 1986 and the Companies Act 1985 within the
scope of the exemptions.
In essence information need not be disclosed if it would, or would be
likely to, prejudice the prevention or detection of crime, the
apprehension or prosecution of offenders, the ascertaining of whether any
person is responsible for any conduct which is improper (e.g. Bankruptcy
Restrictions) or the ascertaining of a person’s fitness or competence in
relation to the management of bodies corporate (namely disqualification).
Yours faithfully
David Baker
Investigations & Enforcement Technical Team | Insolvency Service | 3rd
Floor, 4 Abbey Orchard Street, London SW1P 2HT | T: 020 7291 6741 |
[1][email address] |
[2][email address] |
[3]www.bis.gov.uk/insolvency
--------------------------------------------------------------------------
From: David.Baker
Sent: 08 May 2012 15:47
To: '[FOI #113285 email]'
Subject: RE: Freedom of Information request - Enforcement Investigation
Guide
Dear Mr Sittampalam
RE: The Insolvency Service’s Enforcement Investigation Guide
With reference to your email of 11 April 2012.
The Insolvency Service holds a considerable amount of information that
comes within the scope of your request and due to the need to consider
where the balance of the public interest lies in relation to the
information that you have requested unfortunately the Insolvency Service
will require some further time to consider your request.
I wish to advise you that the following exemptions apply to the
information that you have requested:
o Section 31 (Law Enforcement)
o Section 42 (Legal Professional Privilege)
By virtue of section 10(3) of the Freedom of Information Act 2000, where
public authorities have to consider the balance of the public interest in
relation to a request, they do not have to comply with the request until
such time as is reasonable in the circumstances.
The Insolvency Service has not yet reached a decision on the balance of
the public interest. Due to the need to consider in all the circumstances
where the balance of the public interest lies in relation to the
information that you have requested, the Insolvency Service will not be
able to respond to your request in full within 20 working days.
I hope to let you have a response by 5^th June 2012.
If you are dissatisfied with the handling of your request, you have the
right to ask for an internal review. Internal review requests should
be addressed to:
Colin Evans
Head of Investigations and Enforcement Technical Team
Zone E, 4th Floor
PO 203
21 Bloomsbury Street
London
WC1B 3QW
(tel: 020 7637 1110 email: [email address])
Yours sincerely
David Baker
Investigations & Enforcement Technical Team | Insolvency Service |
Zone E, 4th Floor, 21 Bloomsbury Street, London WC1B 3SS | T: 020 7291
6741 | F: 020 7637 6339 |
[4][email address] |
[5][email address] |
[6]www.bis.gov.uk/insolvency
Dear Sir
RE: The Insolvency Service Enforcement Investigation Guide
Further to yesterday's email, I enclose Parts II and III of the EIG.
Yours faithfully
David Baker
Investigations & Enforcement Technical Team | Insolvency Service | 3rd
Floor, 4 Abbey Orchard Street, London SW1P 2HT | T: 020 7291 6741 |
[1][email address] |
[2][email address] |
[3]www.bis.gov.uk/insolvency
--------------------------------------------------------------------------
From: David.Baker
Sent: 06 February 2013 15:47
To: '[FOI #113285 email]'
Subject: RE: Freedom of Information request - Enforcement Investigation
Guide
Dear Sir
RE: The Insolvency Service Enforcement Investigation Guide
I understand that you have asked for a copy of The Insolvency Service’s
Enforcement Investigation Guide (“EIG”).
The EIG is a collection of chapters relating to most aspects of The
Insolvency Service’s obligations in respect of enforcement and
investigation activity.
The EIG consists of three parts. Part I contains guidance for dealing with
all aspects of enforcement and investigation obligations regarding
insolvent companies and bankruptcies. Part II concerns the vetting of
complaints for live investigations. Part III contains guidance for
investigators carrying out live investigations.
In February 2012, the Insolvency Service received a request for the EIG to
be released. On 27 March 2012 the Information Commissioner’s Office
(“ICO”) determined that the EIG should be released within 35 days without
any form of redaction. The ICO were advised on 5 April 2012 that an appeal
would be made to the First Tier Information Rights Tribunal.
As a consequence of the proposed appeal, the EIG was reviewed to ascertain
which sections needed redaction before publication. On 30 November 2012
The Insolvency Service agreed with the ICO a schedule of justified
redactions. This was then presented to the Tribunal.
On 19 December 2012 the Tribunal Judge formally approved the Consent Order
that was agreed previously by the ICO and the Service.
Consequently please find enclose PDFs of Part I of the redacted EIG (Parts
II and III are currently being prepared and will be with you as soon as
possible).
The principle reason for the redaction is the combined effect of sections
31(1)(a),(b),(g) and (h) and 31(2)(b) and (d) of the Freedom of
Information Act 2000 which brings information held for the purposes of The
Insolvency Service’s functions under the Insolvency Act 1986, the Company
Directors Disqualification Act 1986 and the Companies Act 1985 within the
scope of the exemptions.
In essence information need not be disclosed if it would, or would be
likely to, prejudice the prevention or detection of crime, the
apprehension or prosecution of offenders, the ascertaining of whether any
person is responsible for any conduct which is improper (e.g. Bankruptcy
Restrictions) or the ascertaining of a person’s fitness or competence in
relation to the management of bodies corporate (namely disqualification).
Yours faithfully
David Baker
Investigations & Enforcement Technical Team | Insolvency Service | 3rd
Floor, 4 Abbey Orchard Street, London SW1P 2HT | T: 020 7291 6741 |
[4][email address] |
[5][email address] |
[6]www.bis.gov.uk/insolvency
--------------------------------------------------------------------------
From: David.Baker
Sent: 08 May 2012 15:47
To: '[FOI #113285 email]'
Subject: RE: Freedom of Information request - Enforcement Investigation
Guide
Dear Mr Sittampalam
RE: The Insolvency Service’s Enforcement Investigation Guide
With reference to your email of 11 April 2012.
The Insolvency Service holds a considerable amount of information that
comes within the scope of your request and due to the need to consider
where the balance of the public interest lies in relation to the
information that you have requested unfortunately the Insolvency Service
will require some further time to consider your request.
I wish to advise you that the following exemptions apply to the
information that you have requested:
o Section 31 (Law Enforcement)
o Section 42 (Legal Professional Privilege)
By virtue of section 10(3) of the Freedom of Information Act 2000, where
public authorities have to consider the balance of the public interest in
relation to a request, they do not have to comply with the request until
such time as is reasonable in the circumstances.
The Insolvency Service has not yet reached a decision on the balance of
the public interest. Due to the need to consider in all the circumstances
where the balance of the public interest lies in relation to the
information that you have requested, the Insolvency Service will not be
able to respond to your request in full within 20 working days.
I hope to let you have a response by 5^th June 2012.
If you are dissatisfied with the handling of your request, you have the
right to ask for an internal review. Internal review requests should
be addressed to:
Colin Evans
Head of Investigations and Enforcement Technical Team
Zone E, 4th Floor
PO 203
21 Bloomsbury Street
London
WC1B 3QW
(tel: 020 7637 1110 email: [email address])
Yours sincerely
David Baker
Investigations & Enforcement Technical Team | Insolvency Service |
Zone E, 4th Floor, 21 Bloomsbury Street, London WC1B 3SS | T: 020 7291
6741 | F: 020 7637 6339 |
[7][email address] |
[8][email address] |
[9]www.bis.gov.uk/insolvency
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