Dear The Financial Conduct Authority,

My FOI is with regard to the various reports of the FCA fighting against proposals for FCA staff to have trade union representation. Please let me know:

1. Why is the the FCA so resistant to FCA staff having the same (trade union) rights as virtually all other similar public sector employers allow (and that these employers work positively together with their union bodies)? Also, please provide the analysis and reports that show the FCA's analysis, reasoning, comments and evidence, as to why it feels that FCA staff should be denied union representation.

2. With regard to the "Staff Consultative Committee" referred to in the Financial News and other reports, please advise as to:
a. How many such Committee members are there currently?
b. Are these ordinary FCA staff with full-time FCA job roles?
c. Do Committee members have any additional legal rights at all, regarding their Committee role in the same way that trade union officials have under the legislation? If so, please specify exactly what their additional legal rights are.
d. Provide all relevant documentation including any memorandum of understanding that show the role and remit of Committee members, including time allowance for consultative or representative worketc.

3. Is it correct that FCA managers have been repeating the same line every time FCA staff raise the question of a union, the line being: "We would not want to assume that all staff want to be represented by a union":
a. Please explain if the alleegd statement being repeated is correct and provide documentation of where it has been noted down.
b. If it is correct that the alleged statement has been constantly repeated, has the FCA actually asked the staff group as a whole whether it would welcome the union being recognised? Please provide relevant documentation and evidence.

Yours faithfully,

Matt Banoffi

Freedom of Information, The Financial Conduct Authority

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Dear The Financial Conduct Authority,

My FOI response was due by 4th April and you have not contacted me - please advise and send my response by return.

Yours faithfully,

Matt Banoffi

Freedom of Information, The Financial Conduct Authority

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Freedom of Information, The Financial Conduct Authority

Our ref: FOI9106

Dear Mr Banoffi

Further to your email of 5 April 2022, we are sorry to inform you that we are still processing your request concerning trade union representation. We are experiencing a high volume of requests and are currently focused on working through the cases.

We will continue to process your request and will provide you with a further update on our progress by no later than 4 May 2022. If we are able to respond sooner, we will of course do so.

Please accept our apologies for the delay and any inconvenience this may cause and thank you for your understanding and patience.

Yours sincerely

Information Disclosure Team
Financial Conduct Authority

dangos adrannau a ddyfynnir

Freedom of Information, The Financial Conduct Authority

3 Atodiad

Our ref: FOI9106

 

Dear Mr Banoffi

 

Freedom of Information: Right to know request

 

Thank you for your email of 5 March 2022, in which you asked for
information in relation to FCA trade union representation. Please see
Annex A for full details of your request. We are processing your email as
a request for information in line with the provisions of the Freedom of
Information Act 2000 (FOIA).

 

Please accept our apologies for contacting you at this late stage, but we
require clarification on question 3 of your request. For context, question
3 is as follows:

“3. Is it correct that FCA managers have been repeating the same line
every time FCA staff raise the question of a union, the line being: "We
would not want to assume that all staff want to be represented by a
union":

a.  Please explain if the alleegd statement being repeated is correct and
provide documentation of where it has been noted down.

b. If it is correct that the alleged statement has been constantly
repeated, has the FCA actually asked the staff group as a whole whether it
would welcome the union being recognised? Please provide relevant
documentation and evidence.”

 

Please could you explain precisely what information you are seeking with
this question. Are you asking for a copy of the recorded response of every
FCA manager every time an FCA staff member has raised the question of
unionisation?

 

The 20 working day period will therefore commence once we have received
sufficient clarification to allow us to deal with your request. If we do
not receive the further information we have asked you for within 40
working days of the date of this response, we will close this request.

 

Yours sincerely

 

 

Information Disclosure Team / Operations Division

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12 Endeavour Square

London

E20 1JN

 

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Follow us:

 

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Annex A

 

Request received on 5 March 2022:

 

My FOI is with regard to the various reports of the FCA fighting against
proposals for FCA staff to have trade union representation. Please let me
know:

 

1. Why is the the FCA so resistant to FCA staff having the same (trade
union) rights as virtually all other similar public sector employers allow
(and that these employers work positively together with their union
bodies)? Also, please provide the analysis and reports that show the FCA's
analysis, reasoning, comments and evidence, as to why it feels that FCA
staff should be denied union representation.

 

2. With regard to the "Staff Consultative Committee" referred to in the
Financial News and other reports, please advise as to:

a. How many such Committee members are there currently?

b. Are these ordinary FCA staff with full-time FCA job roles?

c. Do Committee members have any additional legal rights at all, regarding
their Committee role in the same way that trade union officials have under
the legislation? If so, please specify exactly what their additional legal
rights are.

d. Provide all relevant documentation including any memorandum of
understanding that show the role and remit of Committee members, including
time allowance for consultative or representative worketc.

 

3. Is it correct that FCA managers have been repeating the same line every
time FCA staff raise the question of a union, the line being: "We would
not want to assume that all staff want to be represented by a union":

a.  Please explain if the alleegd statement being repeated is correct and
provide documentation of where it has been noted down.

b. If it is correct that the alleged statement has been constantly
repeated, has the FCA actually asked the staff group as a whole whether it
would welcome the union being recognised? Please provide relevant
documentation and evidence.

 

 

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to contact with any queries about this, please see our privacy notices:
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The FCA (or, if this email originates from the Payment Systems Regulator
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Payment Systems Regulator Limited) reserves the right to monitor all email
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standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
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Dear The Financial Conduct Authority

Thank you for your email of 27 April.

Whilst I am unclear as th the FCA does not understand my request, I am nevertheless happy to restate it in simpler terms. HOWEVER, please note that as you have requested this further clarification well outside the 20-days advised by the Information Commissioner's Office, it is NOT THE CASE that "the 20 working day period will therefore commence once we have received sufficient clarification to allow us to deal with your request". This has just been confirmed with the Information Commissioner's Office, who rather than yourselves appear to have a detailed knowledge of the requirements. On that basis, to claify my question that was originally put as:

“3. Is it correct that FCA managers have been repeating the same line every time FCA staff raise the question of a union, the line being: "We would not want to assume that all staff want to be represented by a union".

My question above was simply asking whether "We would not want to assume that all staff want to be represented by a union" is the FCA's noted response (or "line") as to why it appears to be resisting trade union recognition - so that is my question. To assist you further: it is understood that in the real world different staff may put the above statement in a slightly different way - and that's not a particular concern. However, the question is whether that is essentially the FCA's "line" and if it is (as has been reported) then please supply the recorded information on which it is based (e.g. briefing notes etc).

Should you remain unclear as to what question 3 is please do come back to me. However, please note that as I have clarified via the ICO, the 20-day period for raising clarification elapsed 20 DAYS AFTER 5TH MARCH 2022. Should you not understand this then I will have no option but to report you to the Information Commissioner's Office for misrepresenting the position.

All the best

Matt

Freedom of Information, The Financial Conduct Authority

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Disclosure Team.

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have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
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The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
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standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

Freedom of Information, The Financial Conduct Authority

Our ref: FOI9106

 

ICO ref: IC-164737-J6T8

 

Dear Mr Banoffi

 

Further to our email of 12 April 2022, we are sorry to inform you that we
are still processing your request concerning trade union representation. 

 

However, please know that we are nearing the completion of our response,
and hope to provide you with it by Friday 20 May 2022. If we are able to
respond sooner, we will of course do so.

 

Please accept our apologies for the delay and any inconvenience this may
cause and thank you for your understanding and patience.

 

Yours sincerely

 

 

Information Disclosure Team

Financial Conduct Authority

 

This communication and any attachments may contain personal information.
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to contact with any queries about this, please see our privacy notices:
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immediately and delete the email from your computer. Further information
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Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
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standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

Freedom of Information, The Financial Conduct Authority

Our ref: FOI9106

 

 

Dear Mr Banoffi

 

Freedom of Information: Right to know request

 

Thank you for your email of 5 March 2022. We have processed your email in
line with the provisions of the Freedom of Information Act 2000 (FOIA) and
our response is below. Please accept our sincere apologies for the delay
in responding.

 

‘1a.  Why is the the FCA so resistant to FCA staff having the same (trade
union) rights as virtually all other similar public sector employers allow
(and that these employers work positively together with their union
bodies)?’

 

Please note that Section 1 FOIA creates a right for the public to access
information held by a public authority. As this question is not a request
for recorded information, but for comment on FCA policy, we do not
consider the FOIA applies to it.

 

‘1b.  Also, please provide the analysis and reports that show the FCA's
analysis, reasoning, comments and evidence, as to why it feels that FCA
staff should be denied union representation.’

 

We can confirm that we do not hold any such analysis or report.

 

Furthermore, please note that until recently we were following the
statutory process for trade union recognition after Unite the Union
submitted an application to the Central Arbitration Committee (CAC) for
formal recognition by the FCA for collective bargaining.  The statutory
process for union recognition through the CAC makes sure there is an
independent and a fair assessment of colleagues' opinions on collective
bargaining, which must meet statutory thresholds. As part of the statutory
process, we have formally responded to the CAC. You can [1]read more about
our response here.  

 

The CAC has [2]reviewed the union application and decided it is not
admissible to proceed. 

 

This means that in the CAC's view, Unite was not able to demonstrate that
a majority of colleagues would be likely to be in favour of recognition of
Unite, for collective bargaining purposes. We now look forward to
continuing the conversation with all colleagues and our Staff Consultative
Committee about different models of colleague voice and representation in
the future, which allow for an open discussion and reflect the valued
diversity of views we are proud of at the FCA.

 

‘2.  With regard to the "Staff Consultative Committee" referred to in the
Financial News and other reports, please advise as to:

 a. How many such Committee members are there currently?’

 

There are currently 14 Staff Consultive Committee (SCC) Representatives
who represent their respective constituencies (and all those working at
the FCA as a whole).

 

‘b.  Are these ordinary FCA staff with full-time FCA job roles?’

 

SCC Representatives are colleagues with either full-time or part-time FCA
job roles.

 

‘c.  Do Committee members have any additional legal rights at all,
regarding their Committee role in the same way that trade union officials
have under the legislation? If so, please specify exactly what their
additional legal rights are.’

 

SCC Representatives have the same legal rights as all other FCA
colleagues. However, to take account of the additional work on the
Committee, SCC Representatives are given reasonable time off with pay from
their normal duties to prepare for and attend SCC meetings and to
communicate with staff in their constituencies.  During the recent
consultation process SCC Representatives were allowed up to 30% of their
time to carry out SCC duties.

 

‘d.  Provide all relevant documentation including any memorandum of
understanding that show the role and remit of Committee members, including
time allowance for consultative or representative work, etc.’

 

Information on the role and remit of our SCC Representatives is publicly
available [3]here (page 45).

 

‘3.  Is it correct that FCA managers have been repeating the same line
every time FCA staff raise the question of a union, the line being: "We
would not want to assume that all staff want to be represented by a
union":

 a. Please explain if the alleged statement being repeated is correct and
provide documentation of where it has been noted down.
 b. If it is correct that the alleged statement has been constantly
repeated, has the FCA actually asked the staff group as a whole
whether it would welcome the union being recognised? Please provide
relevant documentation and evidence. Please provide the total amount
of fines (and other sanctions) for each year of the indicated period.’

 

Thank you for providing clarification for this question in your email of
29 April 2022, in which you said: ‘My question above was simply asking
whether "We would not want to assume that all staff want to be represented
by a union" is the FCA's noted response (or "line") as to why it appears
to be resisting trade union recognition’.

 

We can confirm that we do not hold this information. However, we are happy
to confirm that when communicating with colleagues on the issue of union
recognition, the FCA has consistently said it favours the statutory route
because it ensures the rights of all colleagues are respected, including
those who want collective bargaining through a particular union or those
who would not want to be represented in this way.

 

Your right to complain under FOIA

 

If you are unhappy with this response, you have the right to request an
internal review.  To do so, please contact us within 40 working days of
the date of this response at [4][email address].

 

If you are not content with the outcome of the internal review, you also
have a right of appeal to the Information Commissioner by phone or on
their website at:

 

Telephone: 0303 123 1113

 

Website: [5]www.ico.org.uk

 

Yours sincerely

 

Information Disclosure Team

Financial Conduct Authority

 

This communication and any attachments may contain personal information.
For more information about how and why we use personal information and who
to contact with any queries about this, please see our privacy notices:
FCA Privacy Notice (https://www.fca.org.uk/data-protection) and PSR
Privacy Notice
(https://www.psr.org.uk/cookies-privacy-a...).

This communication and any attachments contain information which is
confidential and may be subject to legal privilege. It is for intended
recipients only. If you are not the intended recipient you must not copy,
distribute, publish, rely on or otherwise use it without our consent. Some
of our communications may contain confidential information which it could
be a criminal offence for you to disclose or use without authority. If you
have received this email in error please notify [email address]
immediately and delete the email from your computer. Further information
on the classification and handling of FCA information can be found on the
FCA website
(http://www.fca.org.uk/site-info/legal/fc...).

The FCA (or, if this email originates from the Payment Systems Regulator
Limited, the FCA on behalf of the Payment Systems Regulator Limited / the
Payment Systems Regulator Limited) reserves the right to monitor all email
communications for compliance with legal, regulatory and professional
standards.

This email is not intended to nor should it be taken to create any legal
relations or contractual relationships. This email has originated from the
Financial Conduct Authority (FCA), or the Payment Systems Regulator
Limited.

The Financial Conduct Authority (FCA) is registered as a limited company
in England and Wales No. 1920623. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company
in England and Wales No. 8970864. Registered office: 12 Endeavour Square,
Stratford, London, E20 1JN, United Kingdom

Switchboard 020 7066 1000

Web Site http://www.fca.org.uk (FCA); http://www.psr.org.uk (the Payment
Systems Regulator Limited)

References

Visible links
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2. https://www.gov.uk/government/publicatio...
3. https://www.fca.org.uk/publication/corpo...
4. file:///C:/Users/sali3/AppData/Roaming/OTLocal/PRODRM/Workbin/3E7676D.0/[email address]
5. http://www.ico.org.uk/