[Name removed] - investigation by Human Resources following numerous complaints including bullying

Gwrthodwyd y cais gan The Financial Conduct Authority.

Dear The Financial Conduct Authority,

Following the HR led investigation into the conduct of Head of Department [Name removed], and his sudden resignation, please confirm the following -

1. The total cost of the investigation and the length of time it took
2. The period covered by the investigation
3. How many complaints from staff were considered by the investigation and how many had been received by HR

I would also like to be informed of the number of investigations commenced in the last 5 years in respect of Heads of Department at the FCA and how many of these led to either dismissal or resignation of the subject

Yours faithfully,

Steven Franks

The Financial Conduct Authority

Thank you for e-mailing the Financial Conduct Authority's Information Access Team. This is an automatic acknowledgement to tell you we have received your email safely. Please do not reply to this email. We will be in touch in due course.

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: 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company in England and Wales No. 8970864. Registered office: 25 The North Colonnade, Canary Wharf, London E14 5HS, 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

3 Atodiad

Our ref: FOI6519

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

Thank you for your request, received on 6 June 2019, under the Freedom of
Information Act 2000 (the Act) for the following information (please note
we have renumbered your request for ease of responding):

 

Following the HR led investigation into the conduct of [named member of
staff], and his sudden resignation, please confirm the following -

 

1. The total cost of the investigation and the length of time it took

2. The period covered by the investigation

3. How many complaints from staff were considered by the investigation and
how many had been received by HR

4. I would also like to be informed of the number of investigations
commenced in the last 5 years in respect of [specified job grade] at the
FCA and how many of these led to either dismissal or resignation of the
subject

 

Your request has now been considered and in relation to questions 1 -3 we
can neither confirm nor deny whether we hold the information requested.
This is because you have requested information which could also constitute
the personal data of an individual other than yourself. Under section 40
(Personal information) of the Act, personal data of an individual is
exempt information when disclosure to a third party would breach the
Principles of the Data Protection Act 1998 (“DPA”). Please refer to Annex
A for a more detailed explanation as to why this exemption applies.

 

For question 4, we have taken this to relate to formal disciplinary action
against members of staff at the job grade specified in your request. We
are unable to provide you with that information as we consider disclosure
of that information would breach the requirement of the General Data
Protection Regulations (“GDPR”) including the data protection principles
of Article 5 and the Data Protection Act 2018 (“DPA”). Therefore, the
information is exempt from disclosure under section 40 (Personal data) of
the Act. Please refer to Annex B for a more detailed explanation as to why
this exemption applies.

 

If you are unhappy with the decision made in relation to your request, you
have the right to request an internal review.  If you wish to exercise
this right you should contact us within three months of the date of this
response.

 

If you are not content with the outcome of the internal review, you also
have a right of appeal to the Information Commissioner at Information
Commissioner's Office, Wycliffe House, Water Lane, Wilmslow, Cheshire SK9
5AF. Telephone: 01625 545 700. Website: [1]www.ico.org.uk.

 

Yours sincerely

 

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[2]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

[3]www.fca.org.uk

 

Follow us:

 

[4]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

Annex A

 

·              General right of access to information held by public
authorities

 

Under section 1(1)(a) of the Act, any person making a request for
information to a public authority is entitled to be informed in writing by
the public authority whether it holds information of the description
specified in the request. If the public authority holds information of the
type specified in the request, the person requesting the information is
entitled under section 1(1)(b) to have the information communicated to
them.  The rights in section 1(1)(a) and (b) are, however, subject to a
number of exclusions and exemptions, including the following:

 

·                  Section 40 (Personal Information)

 

Section 40(5)(b) of the Act provides that the duty to confirm or deny does
not arise in relation to information which is (or if it were held by the
public authority, would be) exempt information by virtue of section 40(1)
if the confirmation or denial that would have to be given to meet the
FCA’s duty under the Act would itself contravene any of the principles in
the DPA.

 

We have applied this exemption because the confirmation or denial that
would have to be given to satisfy questions 1- 3 of your request would
itself entail the disclosure of the personal data, which would breach the
requirement of the General Data Protection Regulations (“GDPR”) including
the data protection principles of Article 5 and the Data Protection Act
2018 (“DPA”).

 

In particular, it would be a breach of the first data protection Principle
as set out in Article 5 of the GDPR to confirm whether or not we hold the
information you have requested in questions 1-3, as it would not be
necessary or fair to the individual concerned, or lawful, where none of
the conditions in Article 6(1) of the GDPR have been met.

 

This is an “absolute” exemption, and so it is not necessary to balance the
public interest for and against disclosing the information.

 

Annex B

 

·                  Section 40 (Personal information)

 

To the extent that the information we hold may contain personal data about
an individual, section 40(2)(b) of the Act provides that "[a]ny
information to which a request for information relates is also exempt
information if … either the first or second condition below (see sections
40(3) and 40(4) of the Act) is satisfied".

 

We have applied this exemption because the first condition (as stated in
section 40(3) of the Act) would be satisfied if the information requested
comprises the personal data of individuals other than yourself and which,
if disclosed, would breach the requirement of the General Data Protection
Regulations (“GDPR”) including the data protection principles of Article 5
and the Data Protection Act 2018 (“DPA”).

 

In this case, in respect of question 4, the information comprises the
personal data of the individuals concerned.  The individuals concerned
have not given consent for their personal data to be made public and the
release of such information may be detrimental to the individuals
themselves.  In addition, they would not have had the expectation that
their names would be disclosed under these circumstances.  Disclosure
would therefore not be necessary, or lawful, where none of the conditions
in Article 6(1) of the GDPR have been met.

 

This is an “absolute” exemption, and so it is not necessary to balance the
public interest for and against disclosing the information.

 

 

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
1. http://www.ico.org.uk/
3. http://www.fca.org.uk/
4. https://twitter.com/TheFCA
5. https://www.linkedin.com/company/financi...

Dear The Financial Conduct Authority,

Please pass this on to the person who conducts Freedom of Information reviews.

I am writing to request an internal review of The Financial Conduct Authority's handling of my FOI request '[Name removed] - investigation by Human Resources following numerous complaints including bullying'.

I consider that the FCA is incorrect in stating that the information requested is precluded from release.

[ GIVE DETAILS ABOUT YOUR COMPLAINT HERE ]

A full history of my FOI request and all correspondence is available on the Internet at this address: https://www.whatdotheyknow.com/request/m...

Yours faithfully,

Steven Franks

The Financial Conduct Authority

Thank you for e-mailing the Financial Conduct Authority's Information Access Team. This is an automatic acknowledgement to tell you we have received your email safely. Please do not reply to this email. We will be in touch in due course.

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: 25 The North Colonnade, Canary Wharf, London E14 5HS, United Kingdom

The Payment Systems Regulator Limited is registered as a limited company in England and Wales No. 8970864. Registered office: 25 The North Colonnade, Canary Wharf, London E14 5HS, 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 Appeals, The Financial Conduct Authority

3 Atodiad

Our Ref: FOI6519

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

Thank you for your email dated 15 July 2019, regarding the information you
have requested under the Freedom of Information Act 2000.  

 

We are considering the points you have raised and will contact you again
as soon as possible.  If it is likely to take more than 20 working days
from the date of receiving your email to respond in full, we will write to
you again.

 

Yours sincerely

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[1]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

Tel:    +44 (0)20 7066 1000

[2]www.fca.org.uk

 

Follow us:

 

[3]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

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
2. http://www.fca.org.uk/
3. https://twitter.com/TheFCA
4. https://www.linkedin.com/company/financi...

Gadawodd Matt Knight anodiad ()

Following a legal notice received by the WhatDoTheyKnow Administration team, we have had to remove the name of a third party from this request.
-Matt
WhatDoTheyKnow.com Volunteer Admin Team

Freedom of Information Appeals, The Financial Conduct Authority

3 Atodiad

Our Ref: FOI6519

 

Dear Mr Franks

 

Freedom of Information: Right to know request

 

I refer to our email dated 15 July 2019, and am writing to inform you that
we have not yet reached a decision regarding your request for an internal
review of the FCA’s response to your information request with the above
reference, made under the Freedom of Information Act 2000.

 

We are still considering this matter and hope to be in a position to
respond to you by Tuesday 3 September 2019, although should we be able to
contact you sooner we will do so.

 

Thanking you for your continuing patience.

 

Yours sincerely

 

 

Information Disclosure Team / Cyber and Information Resilience Department
/ Operations

[1]Description: cid:image001.png@01D2A7C9.64DDD390

12 Endeavour Square

London

E20 1JN

 

Tel:    +44 (0)20 7066 1000

[2]www.fca.org.uk

 

Follow us:

 

[3]Description: https://g.twimg.com/Twitter_logo_blue.pn...
image003

 

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
2. http://www.fca.org.uk/
3. https://twitter.com/TheFCA
4. https://www.linkedin.com/company/financi...

Freedom of Information Appeals, The Financial Conduct Authority

4 Atodiad

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Our Ref: FOI6519
 
Dear Mr Franks
 
Freedom of Information: Right to know request
 
I refer to your e-mail dated 15 July 2019 asking the Financial Conduct
Authority (“FCA”) to review its decision in response to the information
you requested under the Freedom of Information Act 2000, with the above
reference.  Please find attached the outcome of the FCA's review.
 
 
Please accept our apologies for the time it has taken to complete this
review.   
 
Yours sincerely
 
Information Disclosure Team / Cyber and Information Resilience Department
/ Operations
12 Endeavour Square
London
E20 1JN
 
Tel:    +44 (0)20 7066 1000
[1]www.fca.org.uk
 
Follow us:
 
[2][IMG]   [3][IMG]
 
 
 
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
1. http://www.fca.org.uk/
2. https://twitter.com/TheFCA
3. https://www.linkedin.com/company/financi...