From: Freedom of Information [mailto:foifsa.gov.uk] Sent: 27 October 2005 16:29 To: IFA Defence Union Subject: RE: Right to Know Request under the Freedom of Information Act
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Direct line: 020 7066 9048
Email: foifsa.gov.uk
Evan Owen
The IFA Defence Union
(By email)
27 October 2005
Our Ref:
Dear Mr Owen
David Kenmir’s e-mail of 23 August 2005
Thank you for your request for information in relation to the following two items:
a) An e-mail issued by the FSA to the IFA Defence Union dated 23 August 2005, and
b) Publication of the e-mail on the FSA Web Site.
In particular, you asked the four questions shown below in bold, which I will answer in turn:
1. Whilst we have little doubt on this matter - We wish to know that this e-mail, ((a) above), was issued with the full knowledge and consent of David Kenmir.
David Kenmir issued the instruction for this e-mail to be drafted and sent to you. It was therefore issued with his full knowledge and consent.
2. Whilst we have little doubt on this matter - We wish to know that this Notice, ((b) above), was issued with the full knowledge and consent of David Kenmir.
Yes it was.
3. We wish to know if the Board of the Financial Services Authority, and in particular the Non-Executive Members of the Board were aware of, and gave their prior approval to both the content and issue of items (a) and (b) above.
No they were not. This matter was not brought to the attention of the FSA Board ("the Board") as it was not an issue of sufficient importance for the Board to be made aware of. The Board were not told and did not need to be told. This is because production and dispatch of such emails is not a matter reserved to the Board, and so their approval is not required. To find out more about the schedule of matters reserved to the Board please click on the following link: http://www.fsa.gov.uk/pubs/other/SoM.pdf
4. We wish to know if the Board of the Financial Services Authority, and in particular the Non-Executive Members of the Board, if unaware of the content and issue of the items in advance of their issue, have since been made aware of and given their approval to both the content and issue of items (a) and (b) above.
No they have not, for the reasons given in answer to the previous question.
Yours sincerely
Phil Todd
Information Access Team
-----Original Message----- From: IFA Defence Union [mailto:enquiriesifadu.co.uk] Sent: 23 October 2005 13:38 To: Freedom of Information Cc: public.enquirieshm-treasury.gov.uk; ministershm-treasury.gsi.gov.uk; wider.implicationsfinancial-ombudsman.org.uk; wider implications; ComplaintsCommissionerfscc.gov.uk; treascomparliament.uk; Sue Burness; Elisabeth Bertalanffy; SBPP; Charlie.Mc-Creevycec.eu.int; martin.merlincec.eu.int; shane.sutherlandcec.eu.int Subject: Right to Know Request under the Freedom of Information Act
This is a Right to Know Request prepared under the terms of the Freedom of Information Act.
It also contains an appendix by way of an explanatory commentary, and brief contextual summary, issued in advance of and preparatory to a series of subsequent Right to Know Requests prepared under the terms of the Freedom of Information Act.
It contains 4 requests, all of which we believe to be both simple and straightforward. The requests relate to these two items:
(a) An e-mail issued by the FSA, found here:
http://www.fs-du.co.uk/downloads/FSA_Kenmir.pdf
(b) A Notice appearing on the FSA Web Site found here:
http://www.fsa.gov.uk/pages/Library/Other_publications/Miscellaneous/2005/email_ifa.shtml
These are our four requests;
1: Whilst we have little doubt on this matter - We wish to know that this e-mail, ((a) above), was issued with the full knowledge and consent of David Kenmir.
2: Whilst we have little doubt on this matter - We wish to know that this Notice, ((b) above), was issued with the full knowledge and consent of David Kenmir.
3: We wish to know if the Board of the Financial Services Authority, and in particular the Non-Executive Members of the Board were aware of, and gave their prior approval to both the content and issue of items (a) and (b) above.
4: We wish to know if the Board of the Financial Services Authority, and in particular the Non-Executive Members of the Board, if unaware of the content and issue of the items in advance of their issue, have since been made aware of and given their approval to both the content and issue of items (a) and (b) above.
The explanatory commentary, and brief contextual summary are undernoted.
We would remind the recipients of this e-mail that the treatment of the Freedom of Information Requests above and the treatment of the explanatory commentary and brief contextual summary below are governed by two items - which are the items (a) and item (b) above, only one to avoid repetition, namely (b) has been inserted below, and can be found here:
http://www.fsa.gov.uk/pages/Library/Other_publications/Miscellaneous/2005/email_ifa.shtml
Evan Owen The IFA Defence Union www.ifadu.co.uk
Evan Owen Preswylfa Dyffryn Ardudwy Gwynedd LL44 2EH
Explanatory Commentary and Brief Contextual Summary
We do not believe the above requests, simple and straightforward as we trust the recipients will find them to be, should be made without an explanation and a context against which our further requests will be made.
1: We believe, indeed trust, that all of the recipients of this e-mail will have a detailed and comprehensive knowledge of the terms of the Financial Services and Markets Act, and of the "statutory duties", "status" and "immunities" granted to the Financial Services Authority under that Act, - all without additional commentary from us.
2: We also believe, indeed trust, that all of the recipients of this e-mail will have a detailed and comprehensive knowledge of the terms of the European Convention on Human Rights, - again without additional commentary from us.
3: May we however, for our part, comment that a distinction can be drawn between the "immunities" afforded by the former (1 above) and the provisions of the latter (2 above), as they apply to "procedures" and "procedural immunity". We do not currently believe, nor currently trust, that the recipients of this e-mail will have a sufficiently detailed and comprehensive knowledge of the importance of the distinction to which therefore we wish we draw their attention. That in part prompts the above Right to Know Requests under the Freedom of Information Act. We currently harbour the anxiety that a decision taken at executive level within the FSA, may not have been advised to, nor approved of at, a higher level, and in particular by the Non-Executive Directors of the Board of the Financial Services Authority. If our anxiety has any foundation in fact, thus the above requests, we believe there may be implications and consequences which we do not believe should be left unattended and undiscussed by the Board of the FSA, and in particular by the Non-Executive Directors.
4: This area of responsibility at a senior level, and the parallel area of accountability may prove to be of importance, and nor is this solely our opinion. It is we believe shared, understood and supported by many others. By way of example, we would highlight this extract from a speech made by David Kenmir:
" .............Everything I have said also applies to me. It occurred to me that John Tiner is my appointment and oversight officer, which I had not realised before. I think I know 99% of the things that I am accountable for. I have a very complex accountability framework; I am accountable to the media, to Parliament, and to the consumer, practitioner and small business practitioner panels. We have one of the most complex and transparent accountability frameworks within any organisation in the world. I am also accountable to the non executive board members in terms of whether or not I am doing my job properly."
The full speech, given on 15-12-2004," FSA - Training & Competence Conference. Senior Management Responsibilities. Why Does the Buck Stop with Senior Management?", can be found here:
http://www.fsa.gov.uk/pages/Library/Communication/Speeches/2004/sp221.shtml
.
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