FOI8303 - Appeal
Dear The Financial Conduct Authority / Freedom of Information Appeals,
1. On 6 May 2021 I had made an information request which was the following;
In relation to the following Unfair Dismissal Employment Tribunal Claims:
3201378/2019
3202186/2019
3201665/2018
3202195/2018
Can you please confirm the following:
(1) What is the total cumulative monetary amount the FCA paid out as part of any settlement agreements with the Claimants?
(2) What was the total cumulative monetary cost of all external legal services (e.g. legal advice, solicitors, barristers etc.) incurred by the FCA?
(3) Can you confirm that the Decision Maker on behalf of the FCA that unfairly dismissed the individuals who had brought the respective Unfair Dismissal claims was Graeme McLean?
(4) If the Decision Maker queried in (3) is not Graeme McLean, please can you confirm the name(s) of the Decision Maker(s)?
Note: For (1) and (2) I am not asking for any personal data but the total cumulative monetary costs spent by the FCA.
2. After having to relentlessly chase yourselves for the information I had no choice but to submit a complaint to the Information Comissioners Office (ICO) in November 2021 who then subsequently provided you a hard deadline of 24 November 2021 to respond to my request.
3. On 24 November 2021, over 6 months since the original request was submitted, you responded, however, you did not fulfil the request at all citing 'costs exemptions'.
4. I wish to appeal because you have not provided sufficient information about how it would reasonably exceed the cost limit, and your assertion appears to be unreasonable.
5. Your actions also appear to be inconsistent since you had fulfilled an information request for the Wealth Manager (See: https://citywire.co.uk/wealth-manager/ne...) which was asking for similar information i.e. cumulative amount out out of court/settlement agreements, cumulative amount spent by the FCA defending Employment Tribunal litigation etc. This request however was fulfilled without citing costs exemption.
6. Please can you conduct an internal review. You have 20 days to do so.
Yours faithfully,
J Alom
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Systems Regulator Limited)
Our Ref: FOI8303
Dear Mr Alom,
Freedom of Information: Right to know request
Thank you for your email dated 24 November 2021. This is regarding the
information you have requested under the Freedom of Information Act 2000,
with the above reference.
We are now 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 following the date of receiving your email to respond in full, we
will write to you again.
Thanking you.
Information Disclosure Team / Operations Directorate
[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:
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to contact with any queries about this, please see our privacy notices:
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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
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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
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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
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...
Our Ref: FOI8303
Dear Mr Alom,
Freedom of Information: Right to know request
I refer to our email dated 25 November 2021. I am sorry to inform you
that we have not yet concluded our 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 now hope to be able to respond to
you by Friday 21 January 2022, although should we be able to contact you
sooner, we will do so.
Thanking you for your patience.
Yours sincerely
Information Disclosure Team / Operations Directorate
[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...
Dear Freedom of Information Appeals,
This is a polite reminder that the outcome of the internal review in relation to the appeal of not complying with a Freedom of Information Act request (originally submitted on 6 May 2021) is due this Friday 21 Jan 2022.
Yours sincerely,
J Alom
Our Ref: FOI8303
Dear Mr Alom,
Freedom of Information: Right to know request
Further to our email of 22 December 2021 I am sorry to inform you that we
are still undertaking the internal review you have requested of our
response to your information request with the above reference, made under
the Freedom of Information Act 2000.
We are still considering the points you have raised and now hope to be
able to respond to you by Friday 4 February 2022, although should we be
able to contact you sooner, we will do so.
Thank you again for your patience.
Yours sincerely
Information Disclosure Team / Operations Directorate
[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...
Our Ref: FOI8303
Dear Mr Alom,
Freedom of Information: Right to know request
I refer to your email dated 24 November 2021 asking the Financial Conduct
Authority (“FCA”) to review its decision provided 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.
For ease of reference, also please find below some links to information
that is referred to in the attached letter:
[1]https://ico.org.uk/media/for-organisatio...
[2]https://ico.org.uk/media/for-organisatio...
A copy of this response is also being sent to the Information
Commissioner’s Office.
Thanking you.
Yours sincerely
Information Disclosure Team / Operations Directorate
[3]Description: cid:image001.png@01D2A7C9.64DDD390
12 Endeavour Square
London
E20 1JN
Tel: +44 (0)20 7066 1000
[4]www.fca.org.uk
Follow us:
[5]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
1. https://ico.org.uk/media/for-organisatio...
2. https://ico.org.uk/media/for-organisatio...
4. http://www.fca.org.uk/
5. https://twitter.com/TheFCA
6. https://www.linkedin.com/company/financi...
Dear Freedom of Information Appeals,
1. You have not provided advice and assistance in accordance with section 16 of the Freedom of Information Act. Section 16 is particularly important when it comes to s12 cases (i.e. cost limit) and you should always explain what can be provided within the cost limit.
2. S16(2) states: “It shall be the duty of a public authority to provide advice and assistance, so far as it would be reasonable to expect the authority to do so, to persons who propose to make, or have made, requests for information to it.”
3. Much needed guidance for the FCA’s Information Disclosure Team on the duty to provide advice and assistance in relation to FOIA can be found here > https://ico.org.uk/media/1624140/duty-to... - please take some to review, understand and assimilate all the ICO guidance.
4. Furthermore, you do not appear to have given any basis for why fulfilling the request would take so long. Although you’re not obliged to provide any explanation with granular detail it is insufficient to simply say: “we hold a large volume of information relating to payments for legal services which may be of relevance to point 2 of your request"
5. You have not provided any explanation as to how or why responding to this FOIA request had taken over 6 months when it should have been responded to within 20 working days.
6. I will be submitting a formal complaint to the ICO since you have provided no realistic estimate and no numerical information as to why it would take over 18 hours and also on the grounds that you have not provided any advice or assistance as to how my request could be refined to bring it within the cost limit.
7. Furthermore , I also do not believe that ‘confidentiality’ applies to the total sum – there is no question that any individual’s confidentiality would be compromised by revealing the total sum as requested for part (1) of my request.
8. Regarding parts (3) and (4) of my request, Graeme MCLEAN is a senior officer within the FCA (Head of Department, Transformation) as well as the FCA’s Equal Opportunities Officer – he is not a junior officer below manager level and as such I do not believe the confidentiality exemption can be applied here. Furthermore, if Graeme MCLEAN is the individual who has unilaterally, on behalf of the FCA (a public authority body), taken the decision to dismiss FCA employees which then resulted in unfair dismissal Employment Tribunal claims being submitted against the FCA (in contravention of the Employment Rights Act), and ultimately resulting in the FCA settling with claimants out of court using industry money, then this could potentially be of interest to the public as well as the media.
Yours sincerely,
J Alom
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Gopio left an annotation ()
NOTE: A complaint to the ICO has been made and it has been accepted by them. The FCA's handling of this FOIA request is currently being investigated by the ICO and I will be providing further updates via annotations on here.