Professional Documents
Culture Documents
The policies that form part of this Handbook are developed and agreed
through the FSA’s Employee Policy Governance Framework. The
framework is owned by the HR Division.
Holiday Policy 11
2 Career Development 33
Community Affairs 35
4 Family Leave 77
Adoption Policy 77
Maternity Policy 90
13 Wellbeing 253
15 Whistleblowing 281
Principles
Eligibility criteria
Employees must meet the following criteria before being eligible to apply for
career leave.
• You must have three or more years’ satisfactory continuous service within the
FSA.
• You must not have a current warning under either the Disciplinary or the
Performance Management Procedures.
• Your last two appraisal ratings must have been a two or above.
• You must have completed three years' continuous service after returning from
any previous period of career leave.
Duration
• You can take between 10 and 52 weeks unpaid career leave.
• You must take the leave in one continuous block.
• Career leave can be combined with either holiday or parental leave, but the total
time away from work must not exceed 52 weeks.
Principles
Holiday Year
The FSA’s holiday year runs from 1 June to 31 May.
You are encouraged to take all your holiday. Line management will take reasonable
measures to ensure that you are not prevented from doing so on account of workload.
1 Jun 23
1 Jul 21.5
1 Aug 19.5
1 Sep 17.5
1 Oct 15
1 Nov 13.5
1 Dec 11.5
1 Jan 10
1 Feb 8
1 Mar 6
1 Apr 4
If you join after the 1st working day of the month, you will receive holiday for the
month you join as set out in the table below plus the core allowance shown above
from the 1st of the following month:
For example, if you join the FSA on 12th November, your total core allowance
will be 11 days. This is based on receiving 1 day from 12th to 30th November
and 10 days from 1st December to the end of the following May.
Holiday payment
Holiday pay will be based on pensionable salary and holiday pay due to you or
deducted from your final pay will be calculated as follows:
If you work every day of the week (Monday to Friday inclusive) on a full-time or
part-time basis, holiday pay is:
Pensionable salary/260 x number of untaken days' entitlement or number of days
holiday taken in excess of holiday entitlement (as the case may be);
If you work on some but not all of such working days, regardless of how many hours
you are required to work on those days, holiday pay is:
Pensionable salary/A x number of untaken days holiday entitlement or number of
days' holiday taken in excess of holiday entitlement (as the case may be)
Where A is the number of days per week worked x 52.
Payment for untaken leave will only be made if you are leaving the FSA.
Employees are not entitled to holiday pay in respect of accrued untaken holiday
which is above the statutory minimum on termination of employment in the
following circumstances:
• dismissal without notice for gross misconduct or conduct that brings or may bring
the FSA into disrepute;
• leaving the FSA without giving due notice;
• for any period of enforced leave of absence following notice (where the
entitlement is deemed to have been taken during the period of enforced leave).
Longer holidays
Longer planned absences will require more detailed discussion to ensure that
operational needs are met; in such requests line managers should respond within five
working days. We recognise that in some situations staff may wish to take a longer
period of planned time off but may not wish to take a career break.
Our Longer Holiday process allows staff to submit a request on the Unpaid Leave
Absence record via Employee Self-service on Chrysalis, to be approved by their line
manager for periods of time of up to four weeks (the equivalent of the majority of
Eligibility criteria:
• Employees only
• Applications to take longer holidays can be made once every 2 years only (i.e.
longer holidays can only be taken every other holiday year)
Exceptions:
• Employees in probation or under notice
• Employees with under 12 months service
• Anyone who is a rating of '1' in their last performance appraisal
• Have returned from career leave in the last 12 months
Please note that you are not able to add on to parental leave, career leave or
maternity leave.
Principles
Definitions
Sickness absence is defined as a period of time away from the FSA caused by illness,
injury or other form of incapacity, which means that an employee is medically unfit
for work.
• Short-term absence: lasting up to seven calendar days (including weekends and
public holidays);
• Extended absence: lasting between eight days and 65 days of continuous or
aggregated absence; and
• Long-term absence is defined as a continuous or aggregated absence of more
than 65 days.
Short-term absence
This covers all absences caused by sickness, injury or other incapacity lasting up
to seven days. You should call your line manager each day (unless alternative
arrangements have been agreed) before 9.30am should report your (continued)
absence. Your line manager will raise an Open Sickness record on your Chrysalis HR
record. They will close this absence record when you return to work. Please note,
however, that managers can request a fit note for periods of absence of less than
seven days if they have a concern about the frequency of short-term absence episodes
– this would normally be three or more episodes in a rolling 12-month period. The
FSA will pay for any reasonable costs associated with obtaining a fit note in these
instances.
Long-term absence
Long-term absence begins when you have been absent for a period in excess of
65 days. Long-term absence affects pay. This includes instances when aggregated
absence over a rolling 12-month period exceeds 65 days. Fit notes should be
provided throughout the period of absence. You should ensure that you provide
an updated fit note within two days of the expiry of the previous fit note.
Line managers will maintain regular contact throughout the period, taking care to
be reasonably sensitive to your needs during a period of ill health.
Rehabilitation programmes
Following a period of extended or long-term absence, the OHA may prepare a
tailored rehabilitation programme for up to 12 weeks, in consultation with you, your
line manager and where appropriate, your GP.
If after 12 weeks you are still not making progress towards re-establishing your
previous work pattern, discussions will begin with you to renegotiate your contract of
employment in order to achieve a more acceptable outcome for you and for the FSA.
Your pay immediately before your Up to 17.5 hours (i.e. half of More than 17.5
return to work full-time contractual hours of hours
35 hours per week)
Nil pay Hours worked (at full hourly Hours worked (at
rate) full pay per hour)
Principles
Compassionate leave
A number of compassionate leave arrangements exist to allow employees to take
short periods of leave, paid or unpaid, to deal with serious emergencies that arise at
short notice. The following are typical circumstances in which employees might take
paid or unpaid compassionate leave:
• Close family bereavement – at the HoD or Director’s discretion, employees are
eligible for normally two but up to five days’ paid leave.
• Serious illness/injury of a dependant or a dependant gives birth – at the HoD or
Director’s discretion, employees are eligible for up to two days paid leave to
provide assistance and/or make arrangements for the provision of care. Further
unpaid leave can be taken with the line manager's agreement.
• Unexpected incident involving a child/dependant – employees may take
reasonable unpaid time off to deal with an incident involving their child.
• Breakdown of care arrangements – employees may take unpaid time off to deal
with the unforeseen breakdown of care arrangements. Employees need to advise
their line manager at the earliest opportunity and agree a return date, thereafter
keeping their line manager advised of any changes.
• Assisting an injured person in an emergency – employees can take reasonable
unpaid time off to deal with an emergency involving a person who relies on them
and who has been assaulted, injured or has fallen ill.
Line managers have the discretion in all cases to agree additional time off work to be
taken as unpaid leave, annual leave or through a flexible working arrangement. The
HR Helpline will provide advice if required.
Jury service
If you are called for jury service, you should inform your line manager and the
HR Helpline. You must also record your jury service absences under the Unpaid
Leave Absence section via Employee Self-service on Chrysalis.
This section is dedicated to helping you to think about your career development at the
FSA.
Principles
• The FSA will assist you in making your career plans by committing to help
you understand the options available to you. There are a number of Career
Development Tools to help you with this.
• To provide you with tools to support your career development; for example,
our development interventions include training courses, reading,
secondments, on-the job experience, coaching and mentoring
• Your career development is your responsibility. While your manager can help
you to think about your career, support your learning and development, and
facilitate your next move, they cannot guarantee you a specific career path for
you or tell you what to do next – those decisions are up to you.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at our discretion of the FSA –
any changes will be published on the intranet.
Principles
Sponsorship conditions
The FSA will not provide sponsorship for individuals working at the FSA who are
not employees.
Please note it is only possible to undertake either a qualification under this policy or
one request under the Time off to Train Policy within a 12 month period. If you have
already made a request under this policy then you may not make a training
application within a 12 month period of that request under the Time off to Train
Policy, and vice versa.
The FSA will not provide sponsorship for a new study/qualification where the
applicant has failed to complete a course or pass an examination previously funded
by the FSA.
Sponsorship does not cover accommodation, travel or other incidental costs
associated with the course. These should be agreed with the line manager and, if
appropriate, reclaimed through Expenses from the local area budget.
Sponsorship is not available by Organisational Development for membership of
professional bodies (unless this is a necessary condition of being able to take a
qualification offered by that body). It is the applicant's responsibility to inform the
Learning & Development Support Team of existing membership where this permits
a discounted rate for examination entry or study materials.
The FSA will not be responsible for the additional costs incurred as a result of late
entry to a course or examination, or for cancellation fees if FSA employee is unable
Study leave
Sponsorship is available for part-time, evening, distance learning and ‘block- release’
studies. Sponsorship for full-time study is not available. The business case must
include justification for any ‘block-release’ or other time away from normal working
hours, required as part of the study programme and must be agreed/signed off by the
line manager before submitting the application to Organisational Development.
The time off for study/revision/examinations is not an automatic entitlement; it is
subject to line management approval based upon business requirements and
individual circumstances therefore should be agreed in advance of any application
being submitted.
Re-sits
In circumstances where the FSA requires the individual to obtain a professional
qualification examination, re-sits may be paid for when an employee fails to pass at
the first attempt (employees are permitted two re-sits at the FSA’s expense).
Where the study is being undertaken voluntarily, we may consider reimbursement of
the costs of one re-sit. The employee should pay for the re-sit first. When the
examination is successfully passed, only the cost of the examination entry may be
considered for reimbursement, the cost of further materials will not be reimbursed.
Examination costs will not be reimbursed if the employee fails the re-sit. Where costs
are reimbursed, the additional cost will form part of the agreement to repay
sponsorship on leaving the FSA (see above for further details).
Individuals should check first with the Learning & Development Support Team via
the * HR Helpline to ensure that budgets for re-sits are available, prior to making any
financial commitment.
Equality of opportunity
In line with the FSA’s policy on Equality of Opportunity Policy, the FSA will strive
to avoid unlawful discrimination in all aspects of employment – including provision
of training.
Principles
Summary of the Time off to Train Policy, process and related links
Eligibility
In order to make a request you must:
• Be an FSA employee;
• Have worked continuously for at least 26 weeks on the date you make
your request.
• You must not have a current warning under either the Disciplinary or the
Performance Management Procedures.
• Your last two appraisal ratings must have been a two or above.
• Not have made another application for Time off for Training or Sponsored
Studies within the last 12 months. Please note only one application can be made
within a 12 month period for either Time off to Train or Sponsored Studies, but
not both.
Employees not covered by this policy may still request training through the internal
processes noted above.
Types of training
The training can be an external course, such as an accredited programme that leads to
a qualification. Alternatively the training can be shorter unaccredited training to help
you develop specific skills relevant to your role or career at the FSA (before
applying, check whether the FSA’s internal courses will meet your request - Learning
and Development website). Please note, you cannot apply for Time off to Train under
this policy, and also either sponsored studies or external courses, for the same
course/training.
Your manager and director may accept your request, but reserve the right to propose
that the training can be met in a different way (e.g. on-the-job, from within the FSA’s
range of internal courses, or through an external supplier that the FSA already uses).
Considerations
In considering a request for time off for training, FSA will take the following factors
into account:
Process for making a request under the Time off to Train Policy
(See the Time off to Train application form under “Forms” on Connect+)
You should discuss your development requirements with your line manager in the
first instance to check if it can be covered by one of our internal courses, sponsored
studies, etc.
If you then decide to make a request under this policy, you will be required to
make a request by fully completing the Time off to Train Request form on Connect+,
which is sent electronically to HR Helpline. All applications must be signed off by
your Director (or Managing Director for Heads of Department and above). You must
also record the approved time off to train under the Unpaid Leave Absence record via
Employee Self-service on Chrysalis.
Within 28 days of receipt of your application a meeting may be arranged between
you and your line manager. This meeting will provide an opportunity to discuss your
request in depth and to explore how it fits with your role or the work of the FSA, and
if possible, how best it might be accommodated. Your manager will discuss your
request with your divisional director because final approval of your request must be
made by the director.
Within 14 days of the meeting, we will confirm in writing whether or not your
request has been agreed. If it has, a start date for your training will be agreed with
you and you will be issued with any revised Terms and Conditions. If the application
cannot be accepted you will be provided with clear business grounds as to
why not. If we have been unable to reach a decision at this point you will
be notified accordingly.
Completion of training
On completion of your training you will need to send evidence that you attended
the course (copy of an invoice, dated certificates, etc.) within 6 months of completion
of the course to the HR Helpline (* HR Helpline). A copy will be retained on your
e-personnel file. If you do not provide this evidence it may result in
disciplinary proceedings.
Appeals
If you feel that the reason for refusing your request is unjustified, you may appeal in
writing. This must be done within 14 days of the notification of the refusal. The
appeal should state the main reasons why you consider the decision to be unjustified.
The appeal should be submitted to the HR Director.
The appeal will be heard by two people who will be senior employees of the FSA one
of whom will normally be the Director of your division. They will not have been
involved in the meeting previously conducted. A member of the HR Division will
also be present to take notes and, where appropriate, give procedural guidance. The
appeal will normally be held within 10 working days of receiving your written
reasons for appeal.
You will normally be given at least 3 working days’ notice of the hearing.
The outcome of the appeal will be communicated to you in writing as soon as
possible after the appeal has been held.
Principles
Policy detail
Definition
The definition of Technical Specialist is ‘a subject matter expert who is deployed on
the basis of their deep and specific subject matter expertise and skills set and not on
the basis of their ability to manage, lead and develop a team’.
TS status is conferred either because the role requires specialist skills and experience
or as a result of an individual developing relevant specialist skills, over a set period
of time, as part of a formal learning path which has been created to meet the
requirements of the local business area. TS do not have direct reports.
Contractual Status
TS is equivalent to Manager grade within the structure and attracts the same
remuneration package as Manager grade.
Exceptions
There may be some business areas where TS currently carry additional people
responsibilities over and above those specified as part of the remit, perhaps, for
example, by taking on additional people responsibilities over time which were not
originally intended to form part of the role. In such cases, the roles will need to be
agreed by the MD of the business unit and plans put in place to transition the people
responsibilities to a Manager or HoD, no later than 12 months from the effective date
of this policy.
Filling TS positions
TS roles which are part of the organisational structure should be advertised.
However, in some cases (e.g. if TS positions are used as part of career development)
the role may not always be widely advertised or may not be advertised at all.
However if this approach is used, great care will need to be taken to avoid direct or
indirect discrimination, for example, by ensuring that all eligible candidates are given
consideration when deciding to apply the ‘career development’ approach and that the
process of decision making is objective and involves the collective agreement of the
BU SMT. During this part of the process, the BU SMT must satisfy themselves that
there are no other potential candidates by checking with relevant HoDs and
Managers, if necessary from other Business Units to ensure that we are not excluding
other potentially eligible candidates.
In some business areas, although there are some formal TS roles, individuals can
develop skills and capabilities over time which would enable them to progress to TS
as part of their personal development. This application of the TS grade (as a tool to
recognise the progression of an individual’s specialist knowledge) is vital to ensure
that the FSA develops, motivates and retains key skilled individuals. Individuals who
are converted into a TS grade do so as a result of individual development meetings
with their line manager and in these cases there is no ‘open competition’, however
the process (as described under section 2.1 above) will normally be applied to ensure
fairness and transparency.
Salary Ranges
There are separate salary ranges aligned to each relevant job family for TS roles.
Please refer to the Performance, Pay and Benefits pages on the Employee Guidance
intranet site.
Background
HoD roles span Operations, Risk, Supervision and Direct Reports (and also have a
‘read across’ to Senior Adviser roles within Direct Reports). Some HoD roles require
highly refined levels of technical skills and for that reason a new grade - Technical
HoD – has been introduced. Such roles will exist to provide, exclusively, specialist
subject matter input rather than also providing leadership or management input.
Principles
Policy detail
Definition
The definition of Technical HoD is: ‘a subject matter expert who is deemed to be an
industry expert (or leading practitioner) who is recruited and deployed principally on
the basis of his/her very deep and specific skills set’.
Contractual Status
Technical HoD is a new contractual grade introduced in 2009, closely aligned to
other HoD roles (Operations, Risk and Supervision, Direct Reports) and receive a
similar salary range and level of benefits package. Technical HoD roles are senior
roles within the FSA but do not form part of the senior management or leadership
hierarchy. Some existing roles will fall within the remit of the THoD policy to
ensure alignment and consistency.
Career Structure/Progression
Although it is not envisaged that there will be an automatic career path between TS
and Technical HoD roles, due to the very specialist knowledge that these roles
command, progression may be possible and would be based on a selection process
open to external candidates.
Technical HoDs will normally report to a Director or MD (or equivalent e.g. COO)
but may on occasion report to another HoD.
Technical HoDs in Supervision areas will fall within the remit of T&C by the end of
2009, whether they are client facing or not.
Principles
Legal aspects
• It is unlawful to discriminate directly or indirectly in recruitment, employment,
in the terms offered, in the access to promotion and training, benefits and
facilities and by dismissing or subjecting to other detriment. It is unlawful to
harass because of a protected characteristic (race, disability, gender, gender
reassignment, pregnancy and maternity, religion or belief, marriage or civil
partnership, sexual orientation or age).
• It is unlawful to treat someone less favourably because of disability or for a
reason related to a disability or to fail to make reasonable adjustments to
overcome barriers to employment caused by disability. The duty to make
reasonable adjustments includes removing, adapting or altering physical features,
if these features make it impossible or unreasonably difficult for disabled people
to make use of services. It could also include changes to a job role or working
hours to accommodate a disabled employee.
Informal stage
If you want to complain about harassment, bullying or victimisation, consider
raising the matter directly with the person concerned in order to resolve the problem
informally. Sometimes the person may not even be aware that their behaviour is
having a negative impact. An informal chat may be all that is needed to put things
right. You may need to explain why you feel the behaviour, comments or actions
are unacceptable. And you may wish to keep a note of what was said and done at
this time.
If it is not appropriate to resolve the matter informally, speak to your line
manager or the HR Helpline. If you feel unable to discuss the matter with your
line manager then you should contact the HR Helpline in the first instance.
You will have a discussion with a HR colleague and then will be asked to choose
one of the following:
• agree that no further action is necessary;
• agree to discuss the complaint with the employee who is alleged to have
caused offence;
• ask your line manager and/or a member of the HR Division to help to resolve the
matter through informal and/or discreet approaches; or
Formal stage
Sometimes you may not be able to resolve your complaint informally. In this case
you need to formalise your complaint by putting it in writing, and signing and dating
your letter. You should write a new letter to trigger each stage of the process.
Stage 1 – will be heard by your Head of Department or, if you do not have one, your
Director. They will consider and respond to your complaint in writing, normally
within 20 working days of receiving your letter.
If you do not feel it is appropriate for your complaint to be heard within your
Division, or you feel that your complaint has not been appropriately dealt with, you
may go to Stage 2.
Stage 2 – will be heard by the FSA's Equal Opportunities Officer or their nominated
representative. You should submit your letter within ten working days of receiving
the outcome from Stage 1. A meeting will then be held with you to discuss your
grievance. You will be told the result of your complaint in writing within 20 working
days of them receiving your letter. If you do not feel your complaint has been
appropriately dealt with, you may go to Stage 3.
Stage 3 – will be heard by the HR Director. You should submit your appeal within
ten working days of receiving the outcome of Stage 2. A meeting will then be held
with you to discuss your appeal. You will find out the result of your complaint within
20 working days of them receiving your letter. This decision will be final.
Investigation
The FSA will investigate the allegations carefully and as discreetly as possible.
Where possible, those conducting the investigation will not be directly involved in
the allegation, and the extent of any investigation will depend on the particular
circumstances of the case.
You can expect detailed accounts to be taken from all relevant parties, including
witnesses. Other employees may be asked to provide information. Documents, emails
and other evidence may be considered. Notes will be kept of any evidence collected
or interviews conducted.
As the person who made the complaint, you will get a full record of the outcome of
the investigation and any steps taken.
Timelines
The timelines provided in this procedure are intended as a guideline. Although in
many cases we would expect the process to operate more quickly, it may prove
impossible to meet the timelines e.g. key participants in the process may not
available due to holiday. Similarly, the timescales may need to be extended if the
matter is especially complex and requires detailed investigation. In these
circumstances you will be told the date by which you can expect a response and
every effort will be made to complete the process as quickly as possible.
Our policy
We are fully committed to eliminating unlawful and unfair discrimination, and we
value the differences that a diverse workforce brings to the organisation.
The FSA does not discriminate and prohibits discrimination because of race,
disability, gender, gender reassignment, pregnancy and maternity, religion or belief,
marriage or civil partnership, sexual orientation or age or any other unlawful reason.
We strive to create a meritocratic environment where contribution, openness, and
fairness are valued.
Our approach to embedding our Diversity Strategy is to develop an action plan
underpinned by the Equality of Opportunity and Dignity at Work Policies to ensure
we take a serious and consistent stance while identifying and dealing with breaches
to our guidelines.
All employees of the FSA are responsible for adhering to and promoting these
policies. Behaviours, actions or words which fall short of the standards expected and
set out will not be tolerated and will be dealt with under the Disciplinary Procedure.
Objectives relating to fair and inclusive practices will be included in all employees’
performance indicators and will form an integral part of ongoing performance
discussions throughout the year.
Principles
Equality of Opportunity
The FSA is committed to ensuring all staff – whether temporary or permanent, full
time or part time, and regardless of race, disability, gender, gender reassignment,
pregnancy and maternity, religion or belief, marriage or civil partnership, sexual
orientation or age (protected characteristics for the purposes of the Equality Act
2010) or any other unlawful reason – are treated fairly and are offered access to
opportunities on an equitable basis. The FSA is committed to avoiding unlawful
discrimination and will not tolerate harassment, victimisation or discrimination. This
policy is extended to all third-party contact with suppliers and clients.
The remit of this policy extends to – but is not limited to – recruitment, training,
rewards, benefits, promotion and development.
This policy sits alongside and is complemented by the Dignity at Work Policy which
deals specifically with bullying, harassment and victimisation. Also see the FSA’s
Single Equality Scheme.
Principles
Legal aspects
• It is unlawful to discriminate directly or indirectly in recruitment because of race,
disability, gender, gender reassignment, pregnancy and maternity, religion or
belief, marriage or civil partnership, sexual orientation or age (protected
characteristics for the purposes of the Equality Act 2010).
• It is unlawful to treat someone less favourably because of disability or to fail to
make reasonable adjustments to overcome barriers to or in employment caused
by disability. The duty to make reasonable adjustments includes removing,
adapting or altering physical features, if these features make it impossible or
unreasonable difficult for disabled people to make use of services. It could also
include changes to a job role or working hours to accommodate a disabled
employee.
• It is unlawful to victimise someone because they have alleged unlawful
discrimination, instigated an investigation under this policy, issued discrimination
proceedings, or supported someone else who has made a complaint or given
evidence in relation to a complaint or proceedings.
• Discrimination after someone has left the organisation may also be unlawful e.g.
by refusing to provide a reference, or the form that the reference is given.
• It is unlawful to discriminate directly or indirectly in the provision of goods and
services on the grounds mentioned above.
• Employees can be held personally liable as well as, or instead of, the FSA for any
act of unlawful discrimination. Employees who commit serious acts of
harassment could be charged with a criminal offence.
Training
The FSA will provide training in equal opportunities to those involved in recruitment
or other decision making where equal opportunities issues are likely to arise.
We will provide training to all existing and new employees and others engaged
in work at the FSA to help them understand their rights and responsibilities under
this policy.
The FSA will support managers who need to deal with complaints raised under
this procedure.
Informal stage
If you want to raise a complaint about discrimination, you should consider whether
it is appropriate to raise the matter directly with the person concerned in order to
resolve the problem informally. If it is not appropriate, you should speak to your line
manager. If you feel unable to discuss the matter with your line manager then you
should contact the HR Helpline in the first instance.
You will have a discussion with a colleague in HR, following which, you will be
asked to choose one of the following options:
• agree that no further action is necessary;
• agree to discuss the complaint with the employee who is alleged to have
caused offence;
• ask your line manager and/or a member of the HR Division to help to resolve the
matter through informal and/or discreet approaches; or
• make a formal written complaint to your line manager or the Employee Relations
Manager.
If you are not satisfied with an informal approach, you can make a formal complaint
at any stage.
Formal stage
Sometimes you may not be able to resolve your complaint informally. In this case
you need to formalise your complaint by putting it in writing, and signing and dating
your letter. You should write a new letter to trigger each stage of the process.
Investigation
We will investigate the allegations carefully and as discreetly as possible. Where
possible, those conducting the investigation will not be directly involved in the
allegation, and the extent of any investigation will depend on the particular
circumstances of the case.
You can expect detailed accounts to be taken from all relevant parties, including
witnesses. Other employees may be asked to provide information. Documents, emails
and other evidence may be considered. Notes will be kept of any evidence collected
or interviews conducted.
You will get a full record of the outcome of the investigation and any steps taken.
Right to be accompanied
You are entitled to be accompanied at formal grievance meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative. Please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union. You may confer with your
companion during the course of the meeting, and they may address the meeting, but
may not answer questions on your behalf.
The meeting may be postponed, at your request, and for up to five working days, if
your chosen companion is not available to attend on the date set for the meeting.
You must make all reasonable efforts to attend any grievance meeting. If you fail to
do so, the FSA may proceed with the meeting in your absence.
Principles
Eligibility
To qualify for adoption leave, you must:
• be our employee;
• be newly matched with a child for adoption by an approved adoption agency;
• have notified the adoption agency that you agree the child should be placed with
you for adoption and of the date of placement;
• have continuously worked for the FSA for 26 weeks by the end of the week in
which you are notified of being matched with a child for adoption; and
• provide a matching certificate of evidence of your entitlement to adoption leave.
You will not be eligible for adoption leave and pay if your child is not newly
matched for adoption, for example, if you are a step-parent adopting your
partner’s children.
Notification requirements
Within seven days of being notified by your adoption agency that you have been
matched with a child for adoption, or as soon as reasonably practicable after that, you
should write to the HR Helpline giving the dates:
• you were notified of being matched with a child;
• the child is expected to be placed with you; and
• when you want your adoption leave to start (see above – Starting adoption leave).
At the same time you must provide a copy of your matching certificate.
If you wish to claim SAP, you must also give the HR Helpline written notice of your
wish to claim SAP – you can get a form for this from the HR Helpline; and you must
provide notice for SAP at least 28 days before you want your SAP to start.
We will acknowledge receiving your notice within 28 days and confirm the start date
of your adoption leave and your expected return date if you take your full entitlement
of adoption leave.
Flexible working
If you wish to vary your working pattern on return from adoption leave, you have the
right to request a flexible working pattern, as explained in the Flexible Working
policy. You might (subject to the requirements of that policy) wish to mention to
your line manager before you go on adoption leave that you are interested in applying
to work flexibly on your return. Bear in mind that you may need to attend meetings at
the office so that your request can be properly considered. If you want the changes to
take effect on your return from adoption leave, you should make your application in
good time before you return.
Self certification
You must provide the HR Helpline with a completed self-certificate as evidence
of your entitlement to claim paternity leave and/or SPP. This form is available on
the intranet.
Returning to work
Please see the standard Paternity Policy
Principles
Definition of a dependant
A dependant is your husband, wife, partner, civil partner, child or parent. It also
includes someone who lives in the same household as you. It does not include
tenants or boarders living in the family home, or someone who lives in the household
as an employee.
In cases of illness, injury or where care arrangements break down, a dependant may
also be someone who reasonably relies on you for assistance. This may be where you
are the primary carer or are the only person who can help in an emergency.
Notice
As soon as practical, you need to tell your line manager the reason for your absence
and how long you expect to be away from work. It is not necessary to give the notice
in writing. There may be exceptional circumstances where you return to work before
it was possible to contact your line manager, but you should still tell them why you
were absent when you return.
Principles
Notification requirements
At least 15 weeks before your EWC write to the HR Helpline to tell them:
• that you are pregnant;
• the date on which you want your maternity leave to start; and
• the week in which your child is expected to be born.
Flexible working
If you wish to vary your working pattern on return from maternity leave, you have
the right (subject to the requirements of the Flexible Working policy) to request a
flexible working pattern, as explained in that policy. You might wish to mention to
your line manager before you go on maternity leave that you are interested in
applying to work flexibly on your return. Bear in mind that you may need to attend
meetings at the office so that your request can be properly considered. If you want
the changes to take effect on your return from maternity leave, you should make your
application in good time before your return.
Principles
Eligibility
You are eligible to take parental leave if you have a child under the age of five, or
the child is disabled and under 18, or you have adopted a child within the last five
years (until the fifth anniversary of the adoption or until the child's 18th birthday,
whichever occurs sooner) and you have completed one year’s qualifying service
with the FSA by the time you want to take the leave. It can be taken by both mothers
and fathers.
Length of leave
A total of 13 weeks leave may be taken for each child or 18 weeks for each child in
the case of a child with a disability (for the purposes of parental leave, a child with a
disability is one who receives disability living allowance).
Principles
Paternity pay
During your paternity leave, you may be entitled to receive Statutory Paternity Pay
(SPP). To qualify you must have average weekly earnings at or above the lower
earnings limit for National Insurance (£90 for 2008/09). – see the HMRC website for
current SPP rates.
In addition to SPP the FSA will pay you 100% salary for the full two week period, or
100% salary if you opt to take only one week's paternity leave. Please see below for
details of what you need to do to claim paternity pay.
SPP will be paid into your bank account on the same date that your adjusted salary
would have been payable. It will be subject to deductions for tax and national
insurance contributions in the normal way.
SPP cannot be paid for more than two weeks and cannot be paid for any SPP week in
which you work for the FSA, or for any SPP week in which you are sick and entitled
to statutory sick pay.
In the case of a multiple birth, entitlement to SPP is exactly the same as if there were
one baby.
Returning to work
You will be entitled to return to the same job following paternity leave. If you cannot
return to work at the end of your paternity leave because of illness, the sickness
absence procedures will apply.
Principles
Useful links:
Travel and Transport website
Expenses website
Principles
Emergency procedures
Fire – general
As far as is reasonably practicable, we will take steps to minimise the risk of fire.
Selected employees will be appointed as Fire Marshals. They will be given training
in basic fire prevention measures, use of fire equipment and evacuation procedures.
Our fire evacuation practices are in accordance with our legal requirements.
You are required to observe the following. Failure to do so could lead to disciplinary
action, possibly including dismissal.
• Corridors, stairways, steps and other escape routes must be kept free from
obstructions (such as rubbish bags, deliveries, wrappings, equipment, etc) that
block the escape and/or obscure alarm equipment, extinguishers or signs
indicating fire exits.
• Fire doors must never be propped open (with extinguishers or wedges of any
kind). Access doors linked to the fire alarm system will fail to secure (open) in
the event of a fire alarm actuation.
• Any faults with lighting or other equipment should be reported to the Facilities
Helpdesk on: 020 7066 9696. Any concerns you may have about fire hazards
should also be addressed to the Facilities Helpdesk, so that appropriate measures
can be taken to eliminate the problem.
Manual handling
When handling loads manually, you must use the methods that are indicated by the
FSA to reduce the risk of injury. All staff involved in manual handling will receive
appropriate training.
Principles
Alarms
If you wish to have an alarm then we recommend alarms that have been researched
and approved by the Suzy Lamplugh Trust. They can be obtained directly from the
Suzy Lamplugh Trust at the cost of £9.00 (cheques made payable to SLT Training
and Resources Limited or by credit card on 020 8392 1839). If your line manager
agrees that you need an alarm, the cost can be claimed back from expenses (it should
be costed to your own cost code, not centrally). We urge that these be carried on all
visits where safety may be an issue.
Mobile Phones
It is advisable for all employees who are visiting an external organisation to ensure
they have a mobile phone which is fully charged. You should also ensure that
members of staff at your normal location have your number, as it is imperative that
all staff out on visits are contactable at all times for safety reasons. If you do not have
Principles
Building security
Security ID pass
You will be issued with a security ID pass containing your photograph. You must
wear and display your pass at all times when inside the building and present it to
security staff on request.
Your security pass must not be loaned or given to others (whether FSA staff or not).
If you lose your pass you must report the matter immediately to the Security Control
Room on extension 63838 (manned 24hrs a day, 365 days a year). Security passes
are the property of the FSA and must be returned at the end of your employment
or engagement.
Security control
FSA premises are protected by specialist security guards and a range of electronic
measures. The buildings are equipped with an Automatic Access Control System to
control access to the building and specific facilities throughout.
Your security ID pass enables you to enter and leave FSA premises ; a key fob is
used for Edinburgh . If you need to enter a secure area in connection with your work,
or if you are a member of the fitness centre, you gain access by using your pass. We
Visitors
Reception must be notified of all visitors in advance. On arrival, all visitors should
report to ground floor reception.. Procedures for notification and booking conference
facilities are set out in the services A – Z guide on the Intranet.
Visitors will be provided with a visitor's badge for identification purposes and will be
required to wear and display their badges at all times. They will not be permitted on
office floors unless accompanied at all times by a member of staff. The host is
immediately responsible for ensuring that security and safety are maintained. Visitors
must be accompanied by their hosts throughout their visit.
CCTV
FSA premises are protected by CCTV cameras. These are stationed at various
points, including access and egress points, secure areas of the building and certain
storage and/or emergency areas. The cameras are visible. Their positions have been
determined by the need to maintain security of the building, its staff and visitors
and property.
Footage from the cameras is monitored regularly around the clock to ensure that we
are alerted to any suspicious or dangerous activity, including possible breaches of
security or the commission of an offence.
Right to search
We reserve the right to search you and any of your property held on FSA premises at
any time if there are reasonable grounds to believe that:
Document security
At the close of business each day, all papers and laptops should be locked away.
During the working day, papers should not be left unattended in a way that makes it
easy for unauthorised persons to read or take copies.
Only sufficient copies of papers should be made for the needs of filing and
appropriate distribution. Lost confidential papers should be reported to your line
manager immediately. All confidential papers must be disposed of in the confidential
waste system.
Security of computers
You must not attempt to access computer systems or the data held on them unless
you have been given the necessary authority. As a general rule, you must not give
your password to anyone else unless you believe someone has a legitimate reason to
Security vetting
FSA employees undergo a pre-employment check, which incorporates all elements of
the government Baseline Personnel Security Standard checks. This means that FSA
staff can have access to certain grades of government information without further
screening. However, for constant and regular access to the more highly classified
material that we receive, Cabinet Office policy requires individuals to be security
cleared in line with national security vetting standards.
The FSA’s policy is to undertake national security vetting on a role need basis. If you
are recruited into a job that requires you to be security cleared, your appointment will
be conditional upon the appropriate level of clearance being granted and maintained.
This applies whether the recruitment is internal or external.
If the nature of the role in which you are currently working changes, or if the security
requirements placed on the role change, your manager will discuss the implications
with you after consultation with your HR Business Partner.
Principles
Fitness to travel
Prior to undertaking any short-term overseas business travel, you are encouraged to
undergo a health assessment with the Occupational Health Adviser (OHA) to ensure
your fitness to travel:
• The initial assessment will be in the form of a health questionnaire.
• Should any health issues be disclosed, it may be necessary for you to be assessed
further either by your GP or a medical advisor appointed by the FSA.
• Should you be considered unfit to travel, your line manager will be notified in
writing by the OHA. This notification will not disclose the reason you are unfit
to travel.
• Journeys to destinations of high risk (as determined by the TRAVAX database
that is accessible by the OHA) may need to be delayed to ensure you are fully
protected by recommended and/or compulsory vaccines.
Principles
Principles
Internal moves
Please note that if you are on the Supervisory Enhancement Programme, some
elements of this section may vary.
Employees are encouraged to develop their careers within the FSA and
discuss internal moves with their line manager, preferably through Talent
Management discussions.
Before you apply for another job, you must have:
• informed your line manager;
• successfully completed your probationary period;
• have been in your current role for a minimum period of 12 months – this may
differ for supervision areas where the expectation may be two years (for further
details please see the Supervisory Enhancement Programme tenure policy); and
• told the recruiting manager if you have a live performance improvement plan or
disciplinary warning.
Internal secondments
From time to time, short-term opportunities arise, which can be offered up as internal
secondments to employees within the FSA. These short-term opportunities arise for a
number of reasons, e.g. to provide cover for maternity leave, long-term sickness,
external secondments, or to support a department through a peak in workloads.
Internal secondments provide a short-term opportunity for employees to further
develop the skills, knowledge and behaviours valued by the organisation.
Your current line manager must agree that you can go back to your original job when
the secondment finishes. If it is not possible to return to your original job (e.g. due to
a restructure), you will return to a similar job on terms, that will be no less favourable
than the job that you left.
Principles
Underperformance
Underperformance during the probationary period may indicate a mismatch in the
skills of the new employee and the needs of the role. It is important that everyone is
clear on the standards of performance expected of them, but this is particularly
important for new employees. Line managers must regularly monitor the
performance of new employees to identify and address problems quickly.
If, during your probationary period, your level of performance does not meet the
standards required for the job you are doing, your line manager will talk to you in
accordance with the requirements of the Performance Management Procedure.
Misconduct
Confirm employment
The line manager will receive an automated request to confirm whether an
employee’s employment should be confirmed. The line manager should complete
and return the confirmation form as per the instructions, following which the
employee will receive an email confirming the successful completion of their
probationary period.
Principles
This policy sets out the FSA’s provisions for financial assistance for relocation. At
the discretion of the Divisional Director, this assistance may be given to newly
appointed employees at Associate level and above whom, as a direct result of
accepting a position with the FSA incurs expenses in relocating their home nearer to
the FSA location. This assistance may also be given to current employees who are
moving to/from the Edinburgh and London offices.
This policy is for employees who relocate on a permanent basis or a fixed-term of a
period that the FSA considers sufficiently substantial on a case by case basis (usually
2 years or more). Secondees are not covered by this policy as separate expenses
arrangements are in place through the Secondment Team.
Relocation assistance will be judged on a case-by-case basis by considering the
employee's individual situation and the business needs of the FSA. The FSA
therefore retains discretion to allow or not allow relocation assistance, or to tailor the
extent of any relocation assistance to suit the particular circumstances of each case.
However, the FSA will always act fairly and in a non-discriminatory manner.
Principles
Eligibility
At the discretion of the FSA, financial assistance for relocation may be made
available to employees at Associate level and above and will be restricted to roles
that are considered to be critical roles and/or requiring key skills at that time.
If you are eligible for relocation assistance you will be advised of this by the
recruiting manager or the Recruitment Team contact when we offer you the role. This
will then be confirmed in writing.
To be eligible for relocation assistance, your main residence at the time of offer must
not be within what the FSA consider to be reasonable travelling distance of your new
place of work.
Your new permanent residence must be within what the FSA consider to be
reasonable daily travelling distance of the new FSA location. We recommend a
maximum journey time of 90 minutes each way.
Amount available
The exact amount of any relocation assistance will be determined by the Divisional
Director (or Managing Director if there is no Divisional Director), in conjunction
with the relevant Recruitment contact from the HR Division, and based upon the
specific needs of the case. The maximum level of relocation assistance provided by
the FSA will be £8,000 (see below for tax details). It will be paid through the Staff
Expenses Process, supported by receipts and authorised by the appropriate level of
manager (see the Expenses Policy).
This policy provides for a contribution to the cost of relocation only and is not
intended to meet fully all costs associated with relocation, although it may do so in
some circumstances.
Taxation
All offers of relocation assistance are subject to HM Revenue & Customs
regulations. You are responsible for any statutory income tax and national insurance
Authorisation
If you request or are offered financial assistance with relocation, you should obtain
the prior written agreement of your Divisional Director (or Managing Director if
there is no Divisional Director) before committing to any spend. They will confirm
the amount of any relocation assistance that you will receive, following discussions
with their contact from the HR Division.
All relocation expenses must be claimed within a timeframe as stated in your offer
letter or as otherwise set out by the HMRC.
Principles
Resignation
If you want to leave the FSA you are required to complete an online Resignation
Form and forward it to your line manager and the HR Helpline. This eform acts as
your letter of resignation, so do not complete it and send it on unless you are certain
you want to resign.
Associate - up to one year One week One week One month One month
Re-employment
Former employees whose previous employment with the FSA proved satisfactory
may be re-employed, subject to the normal recruitment process.
Principles
Selection criteria
If a potential redundancy situation arises, in deciding who may be at risk of
redundancy, the FSA will consider the balance of skills and experience required to
meet its current and future operational requirements and business needs. The
selection criteria will be objective and will normally (subject to circumstances) take
account of the following factors:
• whether there are volunteers for redundancy;
• the extent to which the skills and experience of the employees who may be
affected match the skill set required meet current and future needs;
• the past performance of relevant post holders;
• their length of service;
• their absence history; and
• their disciplinary record.
To help the consultation process, the FSA will provide information to the SCC. The
information provided will include:
• the proposed number and job level of staff who may be affected by
redundancy; and
• the measures that will be considered in order to minimise redundancies.
This consultation will cover ways of:
• avoiding the redundancies;
• reducing the numbers of redundancies; and
• mitigating the consequences of any redundancies.
Appeals
If redundancy is confirmed you may appeal against selection for redundancy by using
the following procedure. For the avoidance of doubt, as the individual consultation
period is an opportunity for you and the FSA to explore alternatives to redundancy,
appeals should not be lodged during this period.
An appeal against selection for redundancy must be made in writing within five
working days of written confirmation of redundancy. The appeal should state the
main reasons why you should not have been selected for redundancy.
The appeal should be submitted in the first instance to the HR Director who will
normally pass the matter to two senior FSA employees, one from your business area
and one from the HR Division, both of whom will consider the appeal (which will
involve a meeting with you). Both of these representatives should normally have
knowledge of the circumstances giving rise to the redundancy, although if possible
they will not have had direct involvement in your position to date.
The appeal will normally be heard within 10 working days of receiving the written
reasons for appeal. At the appeal, you may be accompanied by a companion. This
can be a fellow employee of your choice, who may be a friend, colleague or Staff
Consultative Committee representative; please note that the fellow employee should
not be a member of the HR Division. Alternatively, you can be accompanied by a full
time officer employed by a Trade Union. You may confer with your companion
during the course of the meeting, and he/she may address the hearing but may not
answer questions on your behalf.
The outcome of the appeal will be given in writing as soon as reasonably practicable
after the appeal has been held.
While an appeal is in progress, the contractual period of notice shall continue to run
from the original date of notification. Where an appeal is unsuccessful and a
redundancy decision is confirmed, employment will terminate on the date specified
in the original written notification of redundancy. The consequence of a successful
appeal will depend on the precise circumstances of the decision but may include:
• the extent to which their skills and experience match those required for
other jobs;
Re-employment
The FSA will not normally re-employ an individual who has been made redundant
from the FSA within a 12 month period from the date of termination of employment.
Annex 1: Compensatory payments and pension and benefit rights in the event
of redundancy
If no alternative employment is available within the FSA, to help you prepare for
future employment FSA will normally provide:
• outplacement services or relevant in-house facilities for an appropriate
period; and
• reasonable time-off to seek alternative employment
Compensatory payments
Where an employee is made redundant and the FSA has been unable to
offer alternative employment, a compensatory payment (inclusive of any statutory
redundancy and FSA enhanced payments) calculated according
to the formula below, will normally be granted (subject to you signing a
compromise agreement):
When there has been service of: A sum equivalent to the following number
of weeks' of an employee’s basic salary at
the time of leaving
More than two years. 13 weeks minimum plus (for all service in
excess of two years):
two weeks for every complete year of service
in excess of two years
0.5 week for every complete year of service
over age 40 and under age 45.
1 week for every complete year of service
over age 45 and under age 50.
1.5 weeks for every complete year of service
over age 50.
Compromise agreement
All enhanced compensatory payments, i.e. those in excess of statutory redundancy
pay, and outplacement facilities, are subject to you accepting the terms of a
compromise agreement. You will need to take independent legal advice before
signing it. This is to ensure you understand that by signing such an agreement you
waive the right to institute, or continue, with proceedings in an employment tribunal.
The FSA will pay for the reasonable cost of taking such advice on the particular issue
of waiving potential claims up to a maximum of £400 plus VAT. It will not cover the
costs of taking legal advice on any other issues.
Other benefits
Core and flexible benefits cease on the date of termination of employment. However,
you may negotiate with the benefits provider continuing membership on an
individual, contributory basis.
Principles
Right to be accompanied
You are entitled to be accompanied at formal meetings by a companion. This can be
a fellow employee of your choice, who may be a friend, colleague or Staff
Consultative Committee representative; please note that the fellow employee should
not be a member of the HR Division. Alternatively, you can be accompanied by a full
time officer employed by a Trade Union. You may confer with your companion
during the course of the meeting, and he/she may address the hearing but may not
answer questions on your behalf.
You can ask to postpone the meeting or appeal meeting if your chosen companion is
unable to attend on the original date and time suggested. The meeting can be
postponed until a date that is within five working days from the day after the original
meeting was scheduled to take place.). The meeting may be postponed, at your
request, for up to five working days if your chosen companion is not available to
attend on the date set for the meeting.
You must make all reasonable efforts to attend any grievance meeting. If you fail to
do so, we may proceed with the meeting in your absence.
Retirement party
The FSA will contribute £500 towards a retirement party if you have had 10 years
service with the FSA and are taking your pension benefit immediately following your
departure from the FSA.
Principles
Approval
In relation to this policy, the following structure will apply to the approval and
authorisation of expenses. For:
• an Administrator: Associate or above;
• Associates: Manager or above;
• a Manager: Head of Department or above;
• a Head of Department: Director or above;
• a Director: Managing Director or the CEO, or the Chairman;
• a Managing Director: the CEO, or the Chairman:
• the CEO: the Chairman; and
• the Chairman: Deputy Chair.
In addition, the Chairman's expenses will be subject to an annual review by the Audit
Committee.
Authorisation limits
In relation to this policy, expenses can only be authorised within individual's
approval limits (also known as the FSA's scheme for the Delegation of
Financial Authority).
Shared expenses
Where expenses are paid for a group of employees, the most senior employee should
pay and claim the expense. The claim should note the full names of other employees
in attendance.
Income tax
In some exceptional circumstances expenses payable under this policy may not
satisfy HM Revenue & Custom (HMRC) rules, and hence may be taxable. We may
make arrangements to meet the resulting tax liabilities. We reserve full discretion to
decide not to make such arrangements in any given case, but will not act
unreasonably in exercising this discretion.
Travel expenses
The FSA will pay the reasonable costs of necessary travel on FSA business. For this
purpose, the following do not count as travel on FSA business:
• travel between home and permanent workplace. For the avoidance of doubt, the
FSA will normally only reimburse the excess business travel costs which relate to
trips beyond your ordinary commute;
• other travel which is primarily for private purposes; and
• travel which is primarily for business purposes but which is substantially the
same as travel between home and the permanent workplace.
You should travel to meetings and between offices by the most cost-effective mode
of transport, taking into account journey time as well as monetary cost.
You must state the start and end point of each journey and who you were visiting.
This information is necessary for all modes of travel.
The FSA Travel Policy is compulsory and special note should be taken regarding the
requirement to obtain authorisation to deviate from it. When booking travel please be
conscious of the total costs to the FSA.
It is recognised that there will be exceptional circumstances where it is not possible
or practical to book a hotel through our travel and accommodation agent, Hillgate
Travel, for example, if arrangements are included within a conference package.
When there is a requirement to stay in a designated conference hotel or other
circumstances mean that it is not practical to book via Hillgate Travel, if the cost of
the hotel is over the pre-authorisation level, Line Manager approval is required. Only
in these exceptional circumstances are you not required to book through Hillgate.
The Travel Handbook has been prepared as a guide for travellers and travel arrangers
to assist in all areas of travel planning. It outlines the procedure to be followed by
Taxis
You are expected to use public transport or your own vehicles. We regard it as
normal practice for you to use the DLR or Jubilee Line to travel to the City or Central
London. You may only use taxis where it is cost effective to do so.
Trains
Staff must book through Hillgate Travel and travel by standard class, unless there is a
clear business reason to travel business class or first class. Before booking, your
manager must specifically approve business or first class travel.
Eurostar and international travel may be booked in business class.
Air Travel
To ensure that the FSA obtains maximum value for money from its travel spend, air
transport should only be used when it is the most economical and practicable method
of travel.
Flights must, whenever possible, be booked well in advance. All flights, including
'No Frills' such as Easyjet and Ryanair, must be booked through the FSA's travel and
accommodation provider, Hillgate Travel.
Preferred Airlines
From time to time the FSA may enter into a preferred airline arrangement with one or
more airlines to certain destinations in order to utilise fully its buying power.
Preferred airline agreements allow either staff members to have discounted fares or
they give a rebate to the FSA at the end of the agreement period dependent on
amounts spent. Additionally, the FSA is enrolled onto corporate benefit schemes with
some European carriers. When such arrangements are in place for the routes you are
travelling, your FSA Travel Consultant will advise you. You are required to consider
using a preferred airline so long as it is convenient and economic to do so.
Currently the FSA have preferred airline agreements with:
• British Airways and Virgin, who offer up-front discounts,
Motor expenses
You may use your own vehicle while on FSA business. But you must declare on the
expense claim form that you have a valid motor insurance policy in place, before you
Other staff
To include ALL staff who receive a Manager's benefits allowance (this includes
Technical Specialists) in their flexible benefits package.
You may claim an additional 5p per mile for each passenger carried if they are a
fellow employee making the same business trip.
These rates are reviewed annually, and updated in line with the HMRC Authorised
Mileage Rates.
Accommodation
If we are paying for accommodation, the following policy applies:
Unless there are valid reasons not to do so, such as you are attending an event
organised by someone else, all hotels must be booked through Hillgate Travel on
69971. Where the FSA has a preferred hotel in the location this should be used where
it is possible, economic and convenient to do so.
Hotels must be booked through the FSA's hotel booking agent who can negotiate
special terms. The following pre authorisation levels apply:
• For the UK a maximum VAT-inclusive cost of £150 a night, excluding breakfast.
• Outside the UK where hotel accommodation is particularly expensive, the pre
authorisation level is increased to:
converted to sterling at the rate used at the time of conversion. Expenses incurred
using the Amex corporate card should be converted at the rate used on your Amex
statement.
Entertaining visitors
You may entertain visitors and guests only where it is within budgetary limits and is
likely to help the FSA to further its business objectives. You must use our in-house
facilities whenever possible.
The names of each person attending must be noted on the claim, identifying which
attendees are from the FSA and which are external guests.
Subject to these constraints, you may claim reasonable and appropriate
entertaining expenses.
Entertaining staff
For the current financial year an amount of £60 (including VAT) per head has been
included in the budget to cover the cost of providing the annual entertainment events
held for FSA staff.
The following questions and answers provide guidance on the background and
process for approval of the costs associated with the annual entertainment events held
for FSA staff. The names of each person entertained must be noted on the claim.
Please note that all other staff entertaining requires advance approval from your Head
of Department/Director. The cost of providing this entertainment is not tax-free and
is treated by HMRC as an employee benefit. To avoid staff being taxed on such
benefits, the FSA pays the related tax which nearly doubles the cost for the FSA,
so such entertaining should be provided only in special circumstances.
Gifts
The cost of gifts given to staff is not normally reimbursable.
In appropriate circumstances and at the discretion of the budget holder, the
reasonable cost of gifts made to employees will be reimbursed.
Gifts would be reimbursed in the following circumstances:
• an employee's wedding;
• the birth of an employee's child; or
• for a bereavement.
Professional subscriptions
You may claim the cost of the annual subscriptions to any professional bodies, which
are approved by HMRC's approved list and are directly relevant to your duties.
Discretionary amounts e.g. benevolent fund contributions are not recoverable.
If you are required by the FSA, as part of your terms and conditions of employment,
to train for a qualification which involves admittance to a professional body, we will
also reimburse the annual subscription to that body.
The request from the professional body should be used to support the claim
for payment.
Reimbursement of expense
Expenses will only be reimbursed if they are:
• supported by detailed (VAT) receipts, and credit card slips if necessary;
• submitted on the FSA staff expense claim form;
• fully completed;
• appropriately authorised; and
• claimed in line with this policy.
Staff should submit claims within 45 days of the expense being incurred. Staff
submitting claims after 45 days will receive payment 30 days later.
In exceptional circumstances, we may consider reimbursing minor claims for travel
without the back-up receipt, for example the use of a prepaid Oyster card to travel on
FSA business where no receipt is currently issued, or tube tickets that are retained as
you pass through the ticket barrier. You need to give a full explanation why no
receipt is available. This must be included on the expense claim form before you get
approval from a manager.
Detailed guidance on how to complete the claim form of domestic and foreign forms
are available on Connect.
Advances
Cash advances must be obtained via your corporate credit card.
In exceptional circumstances, if you require an advance for a business trip which is
significantly in excess of the limit allowed by your corporate credit card, your line
manager may authorise an advance. Such advances will be paid directly into your
normal bank account.
You must keep all receipts and submit an expense form as soon as you return from
the business trip, deducting the advance from the claim.
Air Travel
To ensure that the FSA obtains maximum value for money from its travel spend, air
transport should only be used when it is the most economical and practicable method
of travel.
Flights must, whenever possible, be booked well in advance. All flights, including
'No Frills' such as Easyjet and Ryanair, must be booked through the FSA's travel and
accommodation provider, Hillgate Travel.
Preferred Airlines
From time to time the FSA may enter into a preferred airline arrangement with one or
more airlines to certain destinations in order to utilise fully its buying power.
Preferred airline agreements allow either staff members to have discounted fares or
they give a rebate to the FSA at the end of the agreement period dependent on
amounts spent. Additionally, the FSA is enrolled onto corporate benefit schemes with
some European carriers. When such arrangements are in place for the routes you are
Rail Travel
Staff must book through Hillgate Travel and travel by Standard Class unless there is
a clear business reason to travel Business or First class. Prior to booking, your Line
Manager must specifically approve business or First class travel.
EuroStar and international rail may be booked in Business class.
Car Rental
The FSA has negotiated favourable rates with Arval for business use UK car rental.
For 2 or fewer passengers you may hire a vehicle of 1.6 /1.8 Litres
Manual/Automatic/Estate as required. If there are 3 or more passengers a vehicle up
to 2 Litres may be hired.
UK Hotels
The pre authorisation level is £150 per night excluding all taxes and breakfast.
Overseas Hotels
Outside the UK where hotel accommodation is particularly expensive, the pre
authorisation level is increased to:
• €200 (Euros) per night for hotels in Europe, excluding all taxes and breakfast.
For all other countries the pre authorisation level shall be equivalent to £170 per
night, excluding all taxes and breakfast.
North America
The pre authorisation level is $350 per night, excluding all taxes and breakfast.
Payment
All hotel bills must be settled directly with the hotel on departure. It is recommended
that you use your Corporate American Express Card to settle the bill. However, you
may use your personal credit card if you wish. If you do not have a Corporate Card
contact Accounts Payable.
Overseas Travel
Where an employee travels to a destination where there may be credible exceptional
risks to personal safety, it may be necessary to make special provision in order to
mitigate such risks. Mitigation measures will be recommended by Corporate Security
& Resilience to the business lead, and these could involve specified accommodation
and transport arrangements.
These special provisions may lead to the pre authorisation levels being exceeded.
Such special arrangements will be authorised as follows:
Travel - as with all travel, the employee requesting the travel should complete an
e-form http://connect/info/forms/e-forms/TravelRequisition.asp which should be
authorised by the employee's manager before the travel is booked. In the case that
special travel arrangements are required, they must be highlighted on the e-form
before it is authorised.
Principles
Payment of salary
Your secure pay slip will itemise pay, deductions and net amount paid.
If you resign, your final salary will be paid into your bank or building society
account(s) on the 23rd of the month in which you leave and you will receive your
P45 together with your final pay slip after this date.
We reserve the right at any time and in any event on termination of employment, to
deduct from your pay (including holiday pay, sick pay, maternity payments and any
other type of pay) any amounts that you owe. These may include season ticket loans
and/or other loans; expenses allowance; holiday taken in excess of entitlement;
repayment of training expenses incurred under a sponsored study arrangement; a
deficit of hours under the flexitime scheme; or the estimated value of any FSA
property damaged by you/ retained by you without permission when you leave. Your
final payment will reflect any adjustments, where applicable.
We also reserve the right to deduct from your pay an amount equal to any allowance
you receive in the course of performing public service or while on jury service.
If you have any enquiries regarding your pay statement, contact the HR Helpline
x67070.
Principles
Reward strategy
The FSA’s Reward Strategy focuses on rewarding those who:
Elements of remuneration
All permanent employees are eligible to receive the following core contractual
elements of remuneration:
Base salary
This is the basic salary for your role and determines all other benefits including
pension contribution made by the FSA, flexible benefits allowance, incentive,
overtime (if appropriate), holiday and sick pay.
Pension
The FSA operates a non contributory pension plan for all employees. Employees are
offered pension benefits in the Money Purchase part of the Plan.
Flex account
The flex account is an amount of money you receive each month to enable you to
choose your preferred combination of benefits to suit your needs and lifestyle, in
addition to the Core Benefits. Your flex account is determined by your base salary;
further details on how it is calculated here:
Flexible Benefits account
Further information on flexible benefits can be found at:
http://connectplus/career/Performance%20pay%20%26%20benefits/Flexible%20ben
efits/
Non-financial benefits
In addition we also offer a comprehensive range of non-financial benefits including:
• interesting jobs offering a unique insight into financial services;
• the chance to contribute first-hand to the financial well-being of millions of UK
consumers and to the health of our financial markets;
• access to highly rated learning and development opportunities;
• a range of flexible working options; and
• subsidised fitness centre, staff restaurant and on site health services.
Incentive plan
The FSA operates an annual incentive plan which is available to all employees. This
is a discretionary plan and offers employees the opportunity to receive a payment of
up to 35% of their annual salary, depending on their performance and contribution.
Incentives are non pensionable and not guaranteed. The incentive plan is reviewed
regularly and may be changed without notice. Getting an incentive payment one year
does not mean you will receive payment in subsequent years.
• Overtime will only be paid for periods of more than one hour in any day. Eligible
full time employees will not be paid overtime until they have worked at least
36 hours in the relevant week, i.e. you must work one hour past your standard
Out of hours working policy for Associates (with Associate benefits) in the
Information Systems Division and Accommodation and Property and
Building Services Departments
The policy applies to Associates whose contracts of employment indicate that they
are entitled to overtime payments.
Where possible, out-of-hours working, whether planned or unplanned, will be
dealt with by use of rota/staggered hours. Additional hours worked, which cannot
be accommodated in this way, will normally be compensated by time off in lieu.
In exceptional circumstances, provided that other methods have been ruled out,
Directors may use their discretion to allow overtime payments.
Payment arrangements are currently as follows:
• Monday to Friday - Time off in lieu wherever possible, payment of time and a
half where it is not possible. Payment will not be made for periods of less than
one hour in any day. After completion of one hour, payment will be made for
each completed period of 15 minutes worked.
Adjusted salary
This is the amount that you are paid after applying any increase or reduction to your
basic salary as a result of the flexible benefits plan. If there are no adjustments
resulting from the flexible benefits plan, this will be your basic salary.
For a full explanation of the flexible benefits plan and how it works, please see the
flexible benefits plan booklet. The flexible benefits plan is not incorporated by
reference into your Contract of Employment.
Confidentiality of salary
Details of your basic salary and/or flex account will be treated by the FSA as
confidential information. We will only disclose this on a ‘need to know’ basis.
Salary review
Your basic salary is normally reviewed annually on 1 April. Any increase will be at
the discretion of the FSA and you will be notified about this in writing.
All FSA employees will be included in the annual pay review except for those who,
as at 1 April:
• have been employed by the FSA for three months or less;
• have either given, or received, notice of termination of employment.
If you join the FSA after 31 December in any year, you will not be included in the
pay review for that year. If you are on probation as at 1 April and but joined the FSA
before 31 December you will be included in the pay review, but any increase agreed
will not be awarded until after you have successfully completed your probationary
period and your appointment has been confirmed.
Principles
General misconduct
Examples of general misconduct include (but are not limited to):
• persistent poor time keeping;
• unauthorised absence and/or poor attendance record;
Gross misconduct
Examples of gross misconduct include (but are not limited to):
• fraud, theft, dishonesty or obtaining or attempting to obtain an advantage at
the expense of the FSA or any person, firm or organisation that is regulated by
the FSA;
• falsification of records, reports, accounts, expense claims or
self-certification forms;
• physical assault of another employee or member of the public;
• damage to or deliberate misuse of company property including use of
the Internet;
• being under the influence of alcohol, drugs or other substances that impair
performance or conduct while at work (including attending any event, whether
social or otherwise at FSA premises or elsewhere);
• being convicted of any criminal offence (whether or not relating to employment),
which in the opinion of the FSA, seriously undermines the FSA’s confidence
in you;
• deliberate acts of discrimination, harassment or victimisation in breach of the
Equality of Opportunity Policy or Dignity at Work Policy, or instructing or aiding
someone to commit an act of discrimination, harassment or victimisation in
breach of the Equality of Opportunity Policy;
• making false statements about one’s own or another employee’s work, the
falsification of working papers, or the making of any statements likely to be
detrimental to the reputation of the FSA;
• misuse of the Whistleblowing Policy by deliberately raising false and/or
malicious allegations;
Suspension
If you are suspected of gross misconduct, you may be suspended from work on full
pay and contractual benefits while we carry out an investigation.
If gross misconduct is not initially suspected or believed to have occurred, but during
the course of an investigation the person conducting it reasonably forms the opinion
that a serious breach of discipline may have occurred, you may then be suspended.
Any decision to suspend will be confirmed in writing within three working days and
will confirm that the nature of the suspension is precautionary, not disciplinary,
pending the outcome of the disciplinary investigation. The period of suspension will
be as brief as possible and will be kept under review.
Investigation
The FSA will promptly and thoroughly investigate any matter where we reasonably
suspect or believe that conduct is not in line with our expectations. The investigation
will be as thorough as possible. You will be asked to supply any evidence relevant to
the investigation and will be notified when it has concluded.
Depending on the circumstances of the case, you may be invited to attend an
investigatory interview. If such an interview is held prior to a disciplinary hearing,
you will be informed at the outset that the interview is an investigatory interview.
The FSA reserves the right to dispense with an investigatory interview and to
proceed directly to a formal disciplinary hearing.
The investigator(s) will not make decisions relating to the outcome of the case and
will only attend any disciplinary hearing in order to present facts and supporting
materials (as required).
Right to be accompanied
You are entitled to be accompanied at formal disciplinary meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative; please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union.
The meeting may be postponed, at your request, for up to five working days if your
chosen companion is not available to attend on the date set for the meeting.
The hearing
The disciplinary hearing will normally be conducted by your line manager, unless a
more senior manager is required (see stages above).
You will be given a full explanation of the case against you and be given the
opportunity to state your case and put forward an explanation of your conduct and/or
mitigating factors.
The FSA may adjourn disciplinary proceedings if it appears necessary or desirable
to do so (including for the purpose of gathering further information). You will be
informed of the period of any adjournment. If further information is gathered, you
will be allowed a reasonable period of time, together with your companion (if any),
to consider the new information before reconvening the disciplinary hearing.
As soon as possible after the conclusion of the disciplinary proceedings, the
decision maker (or their nominated alternative) will convey the decision to you
and will inform you of what disciplinary action, if any, is to be taken. The decision
will be confirmed in writing. You will be notified of your right of appeal under
this procedure.
Appeals
You may appeal against any disciplinary sanction imposed against you.
Appeals may be lodged on a number of grounds, including:
• new evidence coming to light;
• the decision being wrong or unreasonable;
• the inappropriateness of any penalty imposed; and
• process or procedural irregularities.
The FSA will normally hold the appeal meeting within ten working days of receipt of
the written request where possible, and will give at least three working days’ notice
of the meeting.
The manager hearing the appeal must decide on the basis of representations from you
and the manager, together with any subsequent facts that may have come to light,
whether to uphold the decision that has been made.
An appeal against dismissal will be heard by two people appointed by the
HR Director, who will be senior employees and who will not have been involved
in any action previously conducted under the disciplinary. A member of the HR
Division will also be present to take notes and give procedural advice when required.
The outcome of the appeal meeting and the reasons for the decision will be
confirmed in writing as soon as possible.
At the appeal, any sanction imposed will be reviewed but cannot be increased.
Where an appeal against dismissal fails, the original decision to dismiss will have
had immediate effect and, if the dismissal is by notice, the period of notice will
already have commenced on the date that the decision was given. If the original
decision was to dismiss immediately without notice, the FSA is under no obligation
to pay for any period between the date of the original dismissal and the appeal
decision – the original date of termination will stand unless the decision to dismiss is
overturned on appeal.
Principles
Right to be accompanied
You are entitled to be accompanied at formal dismissal meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative; please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union.
The meeting may be postponed, at your request, for up to five working days if your
chosen companion is not available to attend on the date set for the meeting.
Timelines
The timelines in this procedure are intended as guidance.
Principles
Informal stage
As most complaints and grievances can be resolved informally by discussion
with your immediate line manager, the first stage in dealing with most problems is to
book a meeting with them and talk about it. Dealing with problems in this way can
often lead to a quick resolution, as your line manager may be able to resolve the
matter directly.
Where appropriate, consideration could be given to the use of an independent third
party to resolve the problem.
Formal stage
Sometimes you may not be able to resolve your grievance informally, or the
matter may directly concern your immediate line manager and you may not feel
that it is appropriate to raise it with them. In this case you need to follow the formal
process below.
Stage 1 – Raise the matter in writing with your line manager. If your grievance is
about a line manager, you should raise it with the person they report in to. You need
to make clear that you are raising a formal complaint under the FSA’s grievance
procedure, provide as much detail as possible about your complaint and sign and date
your letter.
A meeting will be arranged with you in order to discuss your concerns – wherever
possible, the meeting will take place within ten working days of receipt of your
written grievance.
You will be given the opportunity to present your complaints at the meeting and
should provide any documents or names of witnesses you intend to rely on.
The FSA will consider and respond to your grievance in writing, normally within
20 working days of the meeting.
Stage 2 – If you are dissatisfied with the outcome of the grievance process, you can
write to the HR Director stating the reason why you disagree with the previous
decision. You should do this within ten working days of being notified of the
decision in Stage 1.
Right to be accompanied
You are entitled to be accompanied at formal grievance meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative; please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union.
The meeting may be postponed, at your request, for up to five working days if your
chosen companion is not available to attend on the date set for the meeting.
You must make all reasonable efforts to attend any grievance meeting. If you fail to
do so, we may proceed with the meeting in your absence.
Timelines
The timelines provided in this procedure are intended as a guideline. Although in
many cases we would expect the process to operate more quickly, there may be
occasions where it may prove impossible to meet the timelines. This may include,
for example, occasions where key participants in the process are not available due to
holiday. Similarly, the timescales may need to be extended if the matter is especially
complex and requires detailed investigation. In these circumstances you will be told
the date by which you can expect a response and every effort will be made to
complete the process as quickly as is possible.
Principles
Informal stage
Your line manager should talk to you as soon as they have any concerns about your
performance. Any concerns should initially be discussed informally as part of the
regular performance management discussions that take place between you and your
line manager.
Open and honest discussions about improving performance should take place, which
include the identification and provision of ongoing support and help to improve
performance to the standards required. Support will be tailored to the individual case
and may include additional training, mentoring and coaching.
We expect your line manager to agree objectives with you, agree the actions required
to improve your performance, set a review period and monitor and give you feedback
on your progress. We expect you to take responsibility for getting your performance
to the standard required, asking your line manager for help as required.
We would hope that any underperformance can be addressed at this informal stage
of the process. However, if underperformance continues, you do not improve enough
over a reasonable period of time, or your line manager thinks the problems are
serious enough, then the matter will escalate to the formal stage of the Performance
Review Procedure.
Formal stage
The FSA’s formal performance management procedure has three stages. In most
situations the procedure will move from one stage to the next. There may, however,
Formal Duration
Stages Taken by
action of warning
First review meeting – initiated when level of Line First written Six months
performance is deemed to have adverse Manager warning
impact, or there is insufficient improvement
following being informally addressed.
The meeting
The performance review meeting will normally be conducted by your line manager
unless a more senior manager is required. A member of the HR Division may attend
in order to take a note of the meeting and provide procedural advice.
You will be given a full explanation of where your performance meets the standards
the FSA require and where there is a shortfall in your performance against the
standards required. You will be entitled to state your case and put forward any
explanations and / or mitigating factors that are affecting your performance.
The relevant manager will explain their decision (and their reasons for it) to you as
soon as possible after the meeting finishes. Your line manager will let you know the
support (if any) that is to be provided, or what action (if any) is to be taken. The
Sanctions
Sanctions relating to underperformance in the formal stage of the procedure will vary
depending on the case. We may use one or more of the following sanctions
depending on the circumstances:
• Transfer to a more suitable job, if one is available.
• Withholding or deferring the receipt of incentive award payments and/or
pay rises.
Please review the Salary & Benefits Policy for additional information.
The sanctions mentioned above are not exhaustive and the FSA reserve the right to
take any action we consider appropriate in the circumstances.
While any formal warning is in place, you are required to disclose the matter as part
of the internal recruitment process, should you decide to apply for an advertised role.
Monitoring progress
A monitoring system should be put in place during the review period and a written
record will be kept of any assessment made during the period. You will receive a
copy of any written record. Your manager will talk to you about improvements made
and/or continued underperformance during the review period, rather than you simply
waiting for feedback at the end of the review period.
Appeals
If you are given a formal warning or notice of dismissal, you will have the right
of appeal.
Appeals may be lodged on a number of grounds, including:
• new evidence coming to light;
• the decision being wrong or unreasonable;
• the inappropriateness of any penalty imposed; and
• process or procedural irregularities.
Any appeal against the issue of a first or final written warning, or dismissal must be
lodged in writing with the appropriate manager (see table below) within five working
days of being informed of the decision that has been made.
First written Line Manager Manager of person who Manager of person who
warning issued the warning. issued the warning.
Final written Line Manager Manager of person who Manager of person who
warning issued the warning. issued the warning.
The FSA will normally hold the appeal meeting within ten working days of receipt of
the written request where possible, and will give at least three working days’ notice
of the meeting.
The manager hearing the appeal must decide on the basis of representations from
both the employee and the manager, together with any subsequent facts that may
have come to light, whether to uphold the decision that has been made.
An appeal against dismissal will be heard by two people appointed by the
HR Director, who will be senior FSA employees and who will not have been
involved in any action previously conducted under the performance improvement
procedures. A member of the HR Division will also be present to take notes and
give procedural advice when required.
The outcome of the appeal meeting and the reasons for the decision will be
confirmed in writing as soon as possible.
At the appeal any sanction imposed will be reviewed but cannot be increased.
Where an appeal against dismissal fails, the original decision to dismiss will have
had immediate effect and, if the dismissal is by notice, the period of notice will
already have commenced on the date that the decision was given. If the original
decision was to dismiss the employee immediately without notice, the FSA is under
no obligation to pay the employee for any period between the date of the original
dismissal and the appeal decision – the original date of termination will stand unless
the decision to dismiss is overturned on appeal.
Timelines
The timelines provided in this procedure are intended as a guideline. Although in
many cases we would expect the process to operate more quickly, there may be
occasions where it may prove impossible to meet the timelines. This may include,
for example, occasions where key participants in the process are not available due to
Money laundering
You have a personal responsibility to report knowledge or suspicion of money
laundering. This is knowledge or suspicion about a firm or person, formed or
obtained in the course of your work, which links the financial dealings of that firm
or person (or its customers, connected persons, etc) to drug trafficking, terrorist
activities or other criminal conduct.
This is not just an internal requirement. There are anti-money laundering laws that
create this responsibility and make it a crime not to report. Providing you follow our
reporting procedures, you will comply with the law. The key feature is to report any
such knowledge or suspicion to your line manager for onward reporting to our
Deputy Money Laundering Reporting Officer. The Deputy Money Laundering
Reporting Officer is the person officially designated for disclosing knowledge or
suspicion to the Serious Organisational Crime Agency (SOCA).
Confidentiality of information
You must observe absolute confidentiality concerning the affairs of the FSA, other
than as required to perform your normal duties. This includes all aspects of the FSA’s
business, committees, tribunals, panels and working groups, as well as the firms and
individuals that we regulate. Information must be kept confidential, even if it is
favourable and not adverse to the firm or individual concerned. Guidance is available
References
You must not give employment references, whether in the FSA’s name or otherwise,
for existing or ex-employees of the FSA. All requests for employment references
should be referred to HR Transactions. Requests for financial references should be
referred to the HR Helpline.
Exclusive employment
While employed by the FSA you are not permitted to undertake any additional
employment, whether directly or indirectly, except with written approval of the FSA.
Agreement will not be given where a potential conflict of interest exists, i.e. if the
role involves any firm, person or organisation that is or has been regulated,
monitored or investigated by the FSA or has applied for authorisation.
Restrictions on external employment include casual or part-time work in your spare
time (whether paid or not) and employment includes directorships, trusteeships,
school governorships, local authority councillorships, or provision of services as
consultant or agent.
On joining the FSA, you must disclose any external employment, appointment or
business interest. You will need to obtain written approval in advance from your
Director/Head of Department before continuing with this activity.
Intellectual property
Any intellectual property created or produced during your employment, with the FSA
or related to work carried out by the FSA, may not be used by you except in the
Media enquiries
In order to help the FSA to maintain a consistent line when dealing with press or
other media enquiries, all press enquiries must be referred to the Press Office
(extension 63232).
If you receive a media enquiry you should not comment on what is being put to you,
but politely and firmly refer the journalist to the Press Office. You should also
contact the Press Office yourself to inform them of the enquiry.
Only employees in the Press Office and those authorised by the Press Office should
speak to the media.
There are no exceptions to this requirement and even those authorised to talk to the
press (who have all received formal training on dealing with journalists) need to
contact the Press Office before responding to calls from journalists. This is designed
to minimise any risk to individual employees as well as the FSA.
Remember that the press may be present when employees are speaking at external
conferences or events. Don't say anything you would be embarrassed to see in print,
particularly during question and answer sessions.
Financial difficulties
While you are expected to manage your financial affairs responsibly, it is possible for
unexpected circumstances to cause financial difficulty or hardship. Should you find
yourself in such circumstances, you must notify the HR Helpline, who will be able to
advise you on the availability of appropriate counselling. While information will be
treated in the strictest confidence, the HR Helpline reserves the right to inform your
Director/Head of Department when it is necessary and reasonable to do so.
Conduct
We are an important, high profile organisation. Your conduct contributes
significantly to our reputation. For this reason, we require you to be pleasant, polite
and considerate to other employees and to outside contacts.
Appearance
You are required to be neat and tidy in appearance at all times while at work. You
must wear appropriate business dress, which is fit for purpose, while at work and
outside working hours when representing the FSA or attending FSA or other
functions on behalf of the FSA. While you have discretion to decide what appropriate
dress is, line managers retain responsibility for the interpretation and application of
this.
Seeking approval
If you intend seeking selection as a Prospective Parliamentary Candidate (PPC), you
should first approach your line manager to seek written approval. Your line manager
will inform the HR Helpline and the Ethics Officer.
You should also inform your line manager as soon as you are selected as a PPC.
Sensitive issues
Following your selection, you should discuss with your manager whether there are
any FSA-related issues on which, in your capacity as a PPC, it would either be
inappropriate for you to comment or you would be expected to follow an agreed line.
The FSA reserves the right to move you to other work if, in our opinion, there is a
conflict of interest between your FSA and your PPC work.
The Policy
The Clear Desk Policy will complement, not replace, other existing policies. The
FSA Clear Desk Policy relates to all material, whether personal or corporate, that is
held within the premises of the Financial Services Authority. The policy allocates
responsibilities and provides procedural advice to ensure that the aim is achieved.
It also identifies courses of action in relation to non-compliance and suspected
security breaches.
Aim
The aim of the Clear Desk Policy is to ensure that FSA records and property are
afforded the appropriate level of physical protection in direct proportion to the impact
Objectives
The objectives of the Clear Desk Policy are as follows:
• To protect sensitive information from public disclosure - Not only information
which has been annotated with a FSA security classification, or is covered under
the auspices of the Data Protection Act, but also information that could embarrass
or could potentially damage the reputation of the FSA if publicly disclosed.
• To prevent all unauthorised access to sensitive information.
• To help protect all business critical information from damage or loss as a result of
fire, smoke, water and explosion.
• To protect information, although not sensitive is essential to normal functionality
– Information such as reference material that can be replaced easily but with a
time delay.
• To protect information that would be difficult or could not be replaced.
• To ensure that material is stored in a way that enhances Business Continuity
Planning in relation to post incident start up, clearance, salvage and reclamation.
• To prevent loss of personal property and FSA portable property such as laptops
and mobile phones.
• To specify the consequences of loss of information or FSA property resulting
through negligence of a member of staff.
• To specify the consequences of deliberate acts of attempted theft of any material
held within the confines of FSA.
• To protect confidentiality and reduce FSA exposure to risk.
• To reflect the fact that most desks are shared resources.
• To improve the security of an individuals personal belongings.
• To help make more effective use of office space.
Responsibilities
• Executive - The Chief Operating Officer (COO) will take forward (as Sponsor
of operations business unit) to ExCo clear desk issues/proposals that will have
initially been put forward to OpCo.
• Senior Management - The Head of Knowledge Management is accountable for
the Clear Desk Policy.
• Compliance with the policy – Directors, Heads of Departments and Managers are
responsible for communicating standards and ensuring staff compliance within
their areas of responsibility.
• Compliance Audit – IS - KM Department are responsible for co-ordinating the
annual compliance audit, collating the outputs and monitoring.
• Business-as-Usual Audits - will continue to be undertaken and reported
on by Facilities: ‘Daily Audit Checks’ re personal property by nightly FSA
security teams.
• Co-ordination of the Audits -
1) Facilities are responsible for undertaking on a ‘Best Endeavours’ basis the
daily audit checks with respect to FSA assets (Laptops, Mobiles, Palm Tops,
Blackberry's, FSA Memory Sticks, VPN code fobs etc.) together with a quick
visual inspection for confidential papers (e.g. at photocopying machines).
These nightly sweeps are carried out by the security teams at TNC,1CS and Bank
Street after 6pm.
Lockers are checked with respect to the ‘red button’ being visible if found
open/unsecure laptops are removed and secured.
The findings are reported to HR weekly.
2) IS- KM Department are responsible for undertaking quarterly
buildings audits.
3) HR - are responsible for advising line managers on the disciplinary
procedures relating to clear desk breaches.
Principles
Electronic storage
You must only store information marked with a Handling Descriptor in a restricted-
access location (e.g. folder).
You must not process information marked with a Handling Descriptor on non-FSA
computing devices (e.g. a home computer or personal computing device).
If you copy sensitive information to a CD or DVD for removal from the office then
the disk must be encrypted.
If you copy sensitive information to a USB device for removal from the office, then
you must use an FSA approved and issued USB device, and you must not disable or
deactivate the encryption function on the device.
Use of email
• Emails that you create, send, receive and store are owned and may be monitored
by the FSA.
• You must not send emails which contain obscene, defamatory or discriminatory
material, which cause harassment or offence, or which contain malicious gossip
or other inappropriate material. If you do send such material then this will be
treated as misconduct and dealt with under the FSA’s Disciplinary Procedure.
• If you unwittingly receive material which is inappropriate you should report this
to your line manager and delete the material. If you know the sender personally
you should contact them and ask them not to send further inappropriate material.
• If our anti-virus software alerts you that you have received an infected email, you
must contact the IS Service Desk immediately. You must not delete, forward or
otherwise process the email until the Service Desk has advised you that it is safe
to do so.
• If you need to send information marked “Controlled Distribution” by email, then
you must include text within the body of the email (but not in the Subject line) to
indicate to the recipient(s) that the information has this marking.
• External email containing ‘Controlled Distribution’ information, where the FSA
is the sender, must be encrypted where possible.
• Wherever possible, emails containing ‘Controlled Distribution’ information must
not be sent from a BlackBerry to external email addresses (as they cannot be
encrypted). If this is unavoidable, the information must be disguised (e.g. using
code-words).
• Information marked with a Handling Descriptor must not be sent to a personal
email address. (The term ‘personal email address’ refers to accounts such as
Computers
• You must lock your computer screen (press Ctrl+Alt+Del keys and then select
Lock Computer) when you leave your computer unattended, and log off your
computer before you leave for the day.
• If you are not taking it with you, you must ensure that your laptop is locked away
before you leave for the day.
Office Telephones
• If you need to discuss “Controlled Distribution” information over the telephone,
then this must take place in a way that the information is unlikely to be overheard
by someone outside the “need-to-know” group.
• If you are phoned and then asked to discuss information marked with a Handling
Descriptor, you must make sure of the caller's identity and validity of their
request. If you are unsure, then ask the caller for their number, hang up, confirm
the authenticity of the caller and their request with your line manager or a
colleague, and then call them back.
• Telephones are provided for business purposes but you may make occasional
and reasonable personal use of them providing it does not interfere with the
performance of your duties and incurs minimal cost for the FSA. You should
ensure that any personal usage is not excessive, in terms of either number or
length of calls made. A call logging system is in operation and charges may
be made for excessive private calls.
• You must not use your FSA phone to make a personal call overseas.
• In certain departments of the FSA telephone calls are recorded or otherwise
intercepted for business related reasons. If this is a requirement in the department
in which you work, you will be informed by your line manager and you should
ensure that you follow your department’s rules on recording/interception.
• If there is no recorded message to indicate to internal or external callers that calls
made from or to your telephone will be recorded, you must inform them that the
Voice Mail
You must take care to ensure that the messages you record on the voice mail system
do not give away sensitive information.
Fax machines
You must not send sensitive documents by fax unless there is a business requirement
to do so and no secure alternative (such as scanning and emailing the scanned
document) exists.
If you do have to send sensitive information by fax, you must ensure that the correct
fax number is being used and that the recipient is present to take immediate
possession of the fax upon receipt. (Note that this requirement does not apply to the
automated transmission of faxes using the RightFax solution.)
You may use the FSA's fax machines to send urgent personal messages, providing
such use is occasional and reasonable, and that personal messages are not capable
of being confused with FSA business communications. Please note that all fax calls
are logged.
In the Office
• You must at all times comply with the FSA's Clear Desk Policy by ensuring that:
o Your laptop is locked away before you leave for the day;
o You clear your desk of all business documents and lock these away securely;
Security tokens
You must take reasonable precautions to avoid losing any security tokens you
are given, or exposing them to theft. If they are lost or stolen then this must be
reported immediately to the IS Service Desk on 020 7066 3636 or Security Control
on 020 7066 3838.
The two most important assets we have are our people, and the information they use.
Secure use of information is therefore essential if the interests of the organisation, the
firms we regulate, consumers and the Government are to be met.
There are risks associated with the careless or excessive use of information. This
procedure describes how information should be classified, and then a security
‘marking’ applied, in order that it will be handled securely by recipients.
Principles
We have determined that most of the information we hold falls into one of the
categories indicated in the following table:
Classification Description
Unauthorised disclosure of this type of information would have little or no
impact on the organisation, the Government, firms or others. This includes all
Unrestricted
information which is already in the public domain and FSA information which
is not sensitive (e.g. team meeting agendas).
Unauthorised disclosure of this type of information could cause embarrassment
to the FSA, a firm or others, but would not cause long-term damage. ‘FSA
Restricted’ information is open to all staff and to other contracted parties. Some
FSA Restricted “FSA Restricted” information is also marked with a Handling Descriptor which
identifies the ‘need to know’ group authorised to receive the information. This
may be quite a large group (e.g. in the case of the ‘Firms’ information) or quite
limited (e.g. for ‘Personal’ information)
Unauthorised disclosure of this type of information could cause severe and
long-term damage to the organisation or to a firm, would represent a breach of
our obligations under FSMA, or could cause a movement in market prices (and
Controlled
might therefore be used for ‘insider trading’). Access to information in this
Distribution
category will be restricted to those having a demonstrable ‘need to know’, and
it is expected that in most cases this will be a small group of people (for each
instance of this type of information).
The following table shows the Handling Descriptors that may be applied by
classification:
Controlled
Unrestricted FSA Restricted
Distribution
Firms 8 9 8
Personal 8 9 8
We also hold and process a relatively small amount of information that falls into
other categories, including Government Protectively Marked information (for which
a separate policy can be found here) and specific information classified using other
schemes (e.g. the 5x5x5 scheme used to classify intelligence).
1. The appropriate security classification for FSA information can be found using
the table above, and the following table:
Information in connection to
suspected insider dealing (CJA),
FSA Restricted – market abuse (FSMA) or other
Market provision of FSMA. This may To be added
Monitoring include information from other UK
or foreign government agencies,
regulators or exchanges.
FSA Restricted – Information about an investigation
• Routine Enforcement case-work
Enforcement into a firm’s compliance with our
rules, with the provisions of
FSMA, and under the insider
dealing provisions of the Criminal
Controlled Justice Act and the Money • Highly sensitive Enforcement
Distribution – Laundering Regulations. This may case-work
Enforcement include information from other
regulatory bodies and law
enforcement agencies.
Highly sensitive information about
a firm, unapproved disclosure of
which poses such risks to us, a firm
or other person or to market
confidence that additional security
• Letter to firm proposed change of
Controlled controls are necessary to mitigate
CEO
Distribution – those risks. (In the majority of
• Listing transactions
Market Sensitive cases, but not all, this would relate
• Pay review spreadsheet
to information that is likely to lead
to a significant movement in
market prices, but it does not
extend to all 'inside information'
held by us.)
Information received from the • Anything received from the Bank
Controlled
Bank of England which carries a marked “Bank Confidential”
Distribution –
‘Bank Confidential’ marking (with • Documents quoting extracts or
Bank
or without further markings) summarising from Bank
Confidential
Confidential information
Controlled Information which should only be • Internal audit reports
Distribution – circulated to a named list of
Named individuals
Distribution Only
• Papers (including minutes) from a
senior Committee including:
Controlled Highly sensitive information for • The FSA Board;
Distribution – discussion by a senior Committee • ExCo;
Committee Only • OpCo;
• AuditCo.
Legal Privilege
(may be added to Legal advice provided by GCD or
To be added
any information Enforcement
with other
A flowchart illustrating the above is provided here to assist with the classification
decision.
2. Please ensure you add the classification to the document as a security marking as
follows:
a. For all types of ‘FSA Restricted’ information, the classification (including
any Handling Descriptor) must appear at the top of each page, and pages
must be numbered;
b. For all types of ‘Controlled Distribution’ information, the classification
(including any Handling Descriptor) must appear in bold at the top of
each page, pages must be numbered and, where possible, the total number
of pages should also be shown on each page (e.g. ‘Page 3 of 14’);
c. Documents marked ‘Controlled Distribution – Named Distribution Only’
must include a distribution list within the document;
d. Others types of ‘Controlled Distribution’ information may include
additional information within the document ‘header’ about to whom it is
restricted (e.g. ‘Controlled Distribution – Market Sensitive – Project
Tumbleweed’);
e. For all types of paper document received from external sources, it is
sufficient to stamp or write the classification on the first page only, so
long as the pages of the document are stapled or otherwise bound
together.
3. The procedure for classifying information received from an external party other
than the Bank or a regulated firm is as follows:
a. If the document has a security marking and the requirements for handling
it have been communicated by the external party, then apply the
appropriate FSA security marking that provides the required controls and
protection;
b. If the document does not have a security marking, or it does have a
security marking but the requirements for handling it have not been
communicated by the external party, then contact the sender to determine
their handling requirements and then apply the appropriate FSA security
marking.
This procedure must be used by all employees, including permanent staff, contractors
and temporary and agency employees, when classifying and marking information.
This procedure must also be used by any third party employees while they are
working on FSA business.
The procedure is not contractual and is subject to change at the discretion of the FSA
– any changes will be published on Connect+.
Any questions on the application of the procedure should be directed to local line
management in the first instance.
Job titles
The following generic job titles apply to our staff appointed to jobs at the FSA:
• Director/Head of Department – Carries responsibility for the executive
management of a specific area of regulation, regulated market or operational area.
• Manager – Leader of a team responsible for a particular regulatory activity or
operational area that applies/requires specialist technical knowledge or acquired
business experience.
• Technical Specialist - Carries responsibility for providing expert advice to
colleagues and/or applies knowledge to undertake or manage highly complex
tasks and projects. The role requires in-depth specialist knowledge and
experience of the relevant sector or specialism, which is likely to be particularly
valuable or scarce in the market.
• Associate – Carries responsibility for the execution of delegated tasks in a
specific area of regulation or operational area, using specific technical expertise.
The level of exposure and autonomy will vary depending on the experience of
the Associate.
• Administrator/ Secretary – Carries responsibility for a diverse range of
administrative/support duties.
Additionally, with line management approval, more descriptive job titles may be
used as appropriate, e.g. on business cards.
Your job title is stated in your Personal Statement. You may be asked to undertake
other duties as the FSA may from time to time reasonably direct and the precise
description and nature of your job may need to be varied occasionally from
time-to-time.
Place of work
The FSA offices are located at:
Principles
Scope
It is against the law to smoke in public spaces and workplaces that are enclosed or
substantially enclosed, i.e. with a ceiling or roof that (except for doors, windows and
passageways) are wholly enclosed or are enclosed but for an opening that is less than
half the workplace perimeter.
Smoking will not be permitted by any person in any part of the FSA’s premises,
including the entrances, lifts, corridors, stairwells, toilets, or in any FSA vehicles,
e.g. those used by the chauffeurs. The jurisdiction of 25 The North Colonnade
(25TNC) ends at the bottom of the steps at both the main and back entrances of
the building. The law covers all substances that a person can smoke, including
manufactured cigarettes, hand-rolled cigarettes, pipes, cigars, herbal cigarettes
and water pipes.
Further guidance
Implementation
‘No smoking’ signs will be displayed around the premises and in any FSA vehicles
from this date.
Smoking areas
Canary Wharf Management Ltd (CWM) manages the Canary Wharf estate. They
have suggested that people from 25TNC who want to smoke should do so outside our
premises at the smoking zones at the Northwest and Northeast corners of the
building. These areas are outside of our jurisdiction so they will be monitored and
Breaks
Smokers are allowed to have reasonable breaks provided these do not prevent them
from satisfactorily carrying out their responsibilities and work duties, and there is no
significant loss in productivity.
If you are in the Flexitime Scheme you should log off at the terminal before taking
a smoking break and log on again before returning to your desk, in line with the
Flexitime policy.
Non-compliance
Principles
People Managers:
• Ensure each member of staff is trained to perform their duties.
• Monitor workloads to ensure that staffs are not put under excessive pressure.
• Monitor working hours to ensure staff members are not working excessively.
• Ensure good communication between team members.
• Promote a culture of zero tolerance for bullying and harassment.
Human Resources:
• Ensure all people managers have adequate guidance on the Stress and Wellbeing
Policy and provide any necessary training.
• Give support to people managers on any training needs identified within
their team.
Helping employees
We encourage you to seek help if you have an alcohol or drugs-related problem and
to seek advice on the assistance available.
There are often signs that might suggest that someone has a problem. These include a
decline in work performance; a poor attendance record; unreliability; unexplained
injuries; and changes in behaviour, such as irritability and lack of concentration. The
FSA accept that raising the subject may put you in a difficult or embarrassing
position, but believe that you should encourage a colleague to seek assistance.
If a line manager observes that someone has a dependence problem, or information
comes to light through the disciplinary procedure or by other means, the manager
should encourage them to seek help. If managers require assistance, they should
speak to the HR Helpline.
Counselling service
If you are experiencing problems with alcohol or drug dependency, you can seek help
through the confidential Employee Assistance Programme.
Disciplinary action
Although the FSA’s intention is to help employees with substance abuse problems,
we may take disciplinary action, up to and including dismissal (as appropriate), for
the following serious offences:
• Possessing, using or selling illicit drugs on FSA our premises, the premises of a
regulated organisation and also at any other event when representing the FSA;
• Working under the influence of alcohol, such as to impair performance
or conduct.
Rehabilitation
Line managers are responsible for monitoring the performance and health of
employees who have undergone successful treatment for an alcohol or drug problem.
If you need further help on keeping alcohol and drugs out of your life, you should
speak in confidence to your line manager or the HR Helpline, or seek further help
from the Employee Assistance Programme.
Employees on a rehabilitation programme will usually be subject to normal
sickness/absence rules.
Eligibility
In order to make a request you must:
• Be the parent, adoptive parent, guardian, special guardian or foster parent of a
child up to and including the age of sixteen (or under the age of 18 if the child
is disabled).
• Have caring responsibilities for an adult aged 18 or over who is the employee’s
spouse, civil partner or live-in partner, a relative, or someone living at the same
address as the employee.
• Have worked continuously for FSA for 26 weeks at the date the application
is made.
• Make the application no later than 2 weeks before your child’s 17th (or 18th)
birthday.
• Have or expect to have responsibility for your child’s upbringing.
• Be making the application to enable you to care for your child or dependent.
• Not have made another application to work flexibly during the past 12 months.
Making a request
You will be required to make a request by completing the e-form on Connect+, or in
writing on a hard copy if you are applying during your maternity leave and are
therefore unable to access the e-form.
An agreed request will normally be subject to a six month trial period during which
the arrangement will be subject to continuous review. Failure to deliver will result in
a return to a normal working pattern.
At the end of the trial period, if it is agreed by both parties that the new arrangements
are working, the application will be accepted. An accepted application will mean a
permanent change to Terms and Conditions, unless agreed otherwise.
Within 28 days of receipt of your application a meeting may be arranged between
you, your line manager and your HR Business Partner. This meeting will provide an
opportunity to discuss your request in depth and to explore how best it might be
accommodated. It will also provide an opportunity to consider other alternative
arrangements should there be problems accommodating your desired work pattern.
Should you wish, you may bring a colleague with you to this meeting.
Within 14 days of the meeting, we will confirm in writing whether or not your
request has been agreed. If it has, a start date will be agreed with you and you will
Appeals
If you feel that the reason for refusing your request is unjustified, you may appeal in
writing. This must be done within 14 days of the notification of the refusal. The
appeal should state the main reasons why you consider the decision to be unjustified.
The appeal should be submitted to the HR Director.
The appeal will be heard by two people who will be senior employees of the FSA
one of whom will normally be the Director of your division. They will not have been
involved in the meeting previously conducted. A member of the HR Division will
also be present to take notes and, where appropriate, give procedural guidance. The
appeal will normally be held within 10 working days of receiving your written
reasons for appeal.
You will normally be given at least 3 working days’ notice of the hearing.
The outcome of the appeal will be communicated to you in writing as soon as
possible after the appeal has been held.
Right to be accompanied
You may be accompanied at meetings by a fellow employee of your choice, who
may be a friend, colleague or Staff Consultative Committee representative. Please
note that the fellow employee should not be a member of the HR Division.
You should log in You should log out, take a You should log out when you
You should log out if you take any breaks during the day when you will not be
undertaking work, e.g. smoking breaks.
Principles
Line managers will have overall responsibility for considering homeworking requests
and assessing whether the role and other factors make such an arrangement suitable
and appropriate.
Employees will have responsibility for ensuring they have a suitable environment
at home in which they can focus on work. Employees must be able to work free
from disruption, e.g. by having adequate care arrangements in place for dependants.
Homeworking must not put additional burden on office based colleagues,
i.e. not lead to an output from the employee concerned which is reduced in either
quality or quantity.
Employees are required to comply with all FSA policies and procedures (e.g. those
relating to records management, clear desk and the security of information) whether
working at home or at their office base.
Homeworking will be permitted usually only to a maximum of 3 days per week or up
to a maximum of 60 percent working time.
The ability to work at home may be affected by the constraints on the availability of
the IS systems that are necessary to enable someone to carry out their work at home.
Withdrawal of a homeworking arrangement will be done in consultation with the
employee and reasonable notice will be given, where practicable. Homeworking
arrangements can be withdrawn, if in the opinion of the relevant line manager, the
effective and efficient operation of the team, department, and/or division is
compromised, and/or:
• the role changes;
• the ability of the wider FSA to fulfil its objectives is compromised;
Working hours
Employees' normal working hours will apply regardless of any
homeworking arrangement.
It is expected that anyone working at home will work their normal daily pattern
unless agreed with their line manager in advance.
Expenses
Expenses incurred as a result of Occasional and Regular Homeworking outside the
FSA's Expenses Policy will have to be met by employees.
Full-time homeworkers should refer to their Personal Statement of Terms &
Conditions of Employment (and any subsequent variations) for details relating to
Motor Insurance and Mileage expenses.
Sickness Absence
All employees working at home must comply with the FSA’s Sickness Policy and
ensure that they make personal contact with their line manager, or deputy, within
30 minutes of their normal start time if they are sick or unable to work.
It will not be appropriate for people to work at home as an alternative to taking
sick leave if ill. It is important that people only work at home if they are genuinely
fit for work.
The FSA does not accept any responsibility for an employee who suffers any
detriment, loss or legal action as a result of not obtaining the necessary permissions
from their insurer, mortgage lender, landlord or local authority.
Expenses
FTHWs should refer to their Personal Statement of Terms & Conditions of
Employment (and any subsequent variations) for details relating to Motor
Insurance and Mileage expenses.
Reporting Procedures
FTHWs should agree with their line manager a procedure for maintaining regular
contact. This will include agreeing when they can be contacted to ensure that work
and personal lives are kept separate.
Equipment
Equipment necessary to enable FTHWs to work at home will be agreed between the
FTHW and the FSA, and the FSA will subsequently supply this equipment. Such
equipment shall at all times remain the property of the FSA.
Tax Relief
Employees who choose to work from home are not normally entitled to tax relief
on additional outgoings. However, if there is a requirement from the FSA for the
employee to work from home, there may be tax relief on a proportion of the costs for
heating, lighting, travel expenses and on rent of a room used for business purposes.
It is the responsibility of the homeworker to clarify their position with HMRC.
Information is available on the HMRC.
Arrangement process
Requests for RHW arrangements should be made in accordance with the FSA’s
Homeworking Policy. You will be required to make a request in writing by
completing the Homeworking application eform on our intranet (Connect+).
Applications will be systematically considered and will be approved at the line
manager’s discretion, taking into account the employee’s circumstances and the
needs of the organisation. Requests for regular homeworking will not be refused
without the line manager giving, in writing, reasons for doing so. If your request is
rejected, you should discuss the reasons behind the decision with your line manager
in the first instance and you may be able to agree a suitable alternative arrangement.
If this is not possible, then you are strongly urged to try and resolve the issue locally,
perhaps by involving the relevant HoD or Director.
Employees will be required to sign a Homeworking Agreement before they can
commence working from home.
Any RHW agreement will be subject to a six month trial period and will be reviewed
at the end of that period.
Telephone
Employees’ FSA’s phone number should be diverted to a mobile or landline number
on home working days. If this is not possible, voicemails can be collected remotely
by dialling 020 7066 6666 and following the instructions. A contact number must be
provided to your line manager.
Arrangement process
Arrangements for OHW can be agreed informally between employee and their line
manager, and approval will be at the discretion of the line manager.
Line manager agreement to work at home needs to be obtained in advance on each
occasion. The manager’s agreement on any occasion does not vary the employee’s
contract of employment or create any right to home working in future.
Out-of-office and contact arrangements are the same as for RHW.
Salary
Your salary will be pro-rated to reflect the hours that you work as follows:
Hours worked/35 x full time salary = part time salary
Holiday
Your annual leave allowance will be pro-rated to reflect the number of days that you
work in a week. This will apply to both your core holiday allowance and the amount
of additional leave you can purchase through flexible benefits.
Days worked/5 x 23 = core holiday allowance
Days worked/5 x 65 = sickness days paid at full salary in any 15 month rolling period
Pension
If you are a member of the money purchase pension plan, your contributions will be
based on your pro-rated salary.
Background
Whistleblowing can occur when an employee raises a concern about dangerous,
unlawful or illegal activity that they are aware of through their work.
Whistleblowing is relevant to all organisations and all people. This is because every
business and every public body faces the risk of things going wrong internally.
Where such a risk arises, usually the first people to realise or suspect the wrongdoing
will be those who work in or with the organisation.
We have a positive commitment and open approach to whistleblowing. Our policy
and procedure is intended to be in line with the Public Interest Disclosure Act 1998
(PIDA). This provides protection for good faith whistleblowing on wrongdoing. Our
policy encourages you to raise concerns with us in the first instance.
Everyone at some point in their career may be concerned about issues they see or
hear during the course of their work. Usually these concerns are easily resolved and
we have a number of other Employee Handbook procedures to deal with them.
However, those procedures may not appear to be appropriate where:
• there is no other relevant procedure; or
• you have genuine concerns about using a particular procedure at either the outset
or the end of the process; and
• your concern is about conduct likely to harm the reputation of the FSA.
It can be difficult to know what to do. You may be worried about raising such issues
or may want to keep the concerns to yourself, perhaps feeling it is not any of your
business or that it is only a suspicion. You may feel that raising the matter would be
disloyal to colleagues, managers or to the FSA.
However, we have introduced this policy to enable employees to raise genuine
concerns about such matters at an early stage and in the right way. We would rather
you raised the matter when it is a real concern, rather than wait for proof.
This policy and procedure does not form part of your Contract of Employment.
Route Who to raise What happens Actions that Examples Roles &
your concern next? will be taken of when to Responsibilities
with use
options
Responsibilities
Managers must:
• make their employees aware of this policy and procedures;
• encourage a positive open working culture for staff and others working at the
FSA to express easily their concerns;
• take concerns seriously;
Appendix 1
Situations in which employees may blow the whistle:
Example two
You are in the gym and you notice that everyone using a piece of equipment is now
complaining of back trouble. You see that one part of it is loose, but, despite
reporting it to the manager of the gym, nothing has happened. What should you do?
Report the incident immediately to your manager (Option 1). If the concern involves
your immediate manager, Head of Department or Director, or for any reason you
would prefer them not to be told, raise the matter directly with the Director of
Internal Audit Division (Option 2).
Example three
A former colleague, who supervised XYZ firm, starts work in the XYZ compliance
department. You inherit his work and note there are no records of his visits to the
firm. What should you do?
Example four
You work for Harbour & Jones in the employee's restaurant, on the classic counter
and over the past few weeks you notice a member of FSA staff who doesn’t seem to
be paying for their food. You put this down to your error or their genuine mistake.
However, recently you notice the same person doing this on a daily basis. You are
not sure what to do and you are worried because you did not report it the first time.
What should you do?
Report the incident immediately to your manager or the Head of Conference &
Office Services (Option 1). If the concern involves your immediate manager, Head of
Department or Director, or for any reason you would prefer them not to be told, raise
the matter directly with the Director of Internal Audit Division (Option 2).
Example five
You have a concern that could impact on the FSA's reputation, but do not want to
raise it with the Director of Internal Audit as you believe they are compromised in
some way. What should you do?
Report the incident directly to the Chair of the Audit Committee of the Board or with
the Chairman of the FSA (Option 3).
Example six
You raised a concern under the FSA's Whistleblowing Policy, but you do not feel
confident that the matter was dealt with appropriately by the FSA. What do you do?
Refer the matter to the Director of Financial Services at HM Treasury (Option 4).
Example seven
You wish to raise a concern that comes under the responsibility of another public
body. What do you do? Refer the matter to the relevant body (Option 5).