FSA Employee Handbook - Financial Services Authority

February 2013 

FSA Employee Handbook 1

This is the FSA’s Employee Handbook as at February 2013. 

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. 

HR Policies are accompanied by guidance documents, templates and 

processes, details of which can be found on the Employee Guidance 

intranet site (available to internal employees only). 


Contents 

Click on a link below to take you to the relevant policy: 

1 Absence from Work 6 

Career Leave Policy 6 

Holiday Policy 11 

Sickness Absence Policy 19 

Leave for Special Circumstances Policy 28 

2 Career Development 33 

Career Development Policy 33 

Time off for Corporate Responsibility 35 

Sponsored Studies Policy 36 

Time off to Train Policy 40 

Talent Management Policy 47 

Technical Specialist Policy 50 

Technical HoD Policy 54 

3 Ensuring Fair Treatment 57 

Dignity at Work Policy 57 

Diversity & Inclusion Policy 64 

Equality of Opportunity Policy 67 

4 Family Leave 76 

Adoption Policy 76 

Maternity Policy 89 

Paternity Leave Policy 100 

Dependant’s Leave Policy 109 

Parental Leave Policy 112 


5 Health, Safety & Security 116 

Driving at Work Policy 116 

Eye Test Policy 119 

Health and Safety Policy 121 

Safety when Visiting External Organisations Policy 126 

Security Policy 130 

Travel Health Policy 136 

6 Joining the FSA 139 

Recruitment Policy 139 

Probation Policy 143 

Tenure Periods for Supervisory Managers 148 

Relocation Policy 150 

7 Leaving the FSA 154 

Leaving the FSA Policy 154 

Employment References 160 

Redundancy Policy 163 

Redeployment within the FSA Policy 170 

8 Pay, Reward & Benefits 173 

Travel & Expenses Policy 173 

Give as You Earn Policy 188 

Payment of Salary Policy 189 

Salary & Benefits Policy 192 

9 Performance, Discipline and Grievance 201 

Disciplinary Procedure 201 

Dismissal Procedure 209 

Grievance Procedure 212 


Performance Management Procedure 217 

10 Personal Conduct 225 

Your obligations at the FSA 225 

Prospective Parliamentary Candidates Policy 233 

11 Security of FSA Assets, Information and Data 235 

Clear Desk Policy 235 

Employee Information Security Manual 243 

12 Terms of employment 261 

Basics about Your Employment 261 

Employee Handbook and Contractual Information 263 

Hours of Work Policy 265 

13 Wellbeing 266 

Smoking Policy 266 

Stress Wellbeing Policy 270 

Substance Abuse Policy 274 

14 Working Patterns 277 

Flexible Working Policy 277 

Flexitime Policy 280 

Homeworking Policy 283 

Part-time Working Policy 290 

15 Whistleblowing 292 

Whistleblowing Policy 292 


1 Absence from Work 

Career Leave Policy 

The FSA operate a career leave scheme, which can be used for any purpose except 

taking up paid employment without the permission of the FSA. 

This policy has been developed as part of our commitment to be a flexible employer 

and as a method of helping us to retain valued employees. 

Principles 

What you can expect from the FSA 

• To accommodate your plans for career leave wherever possible, but subject to the 

operational needs of the business area. 

What the FSA expects of you 

• You will give your line manager suitable notice of your career leave request. 

• You will follow the process as set out in this policy and career leave eform. 

The policy 

Our career leave scheme gives you the opportunity to apply for between 10 and 52 

weeks unpaid leave providing you meet the eligibility criteria. 

If approved, career leave can be used for any purpose, except taking up paid 

employment without the permission of the FSA. 

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. 


• You must not have taken a period of longer holidays (as defined in the Holiday 

Policy) within the last 12 months. 

Please note that entitlement to career leave does not aggregate; for example, if you 

have had eight years of service and have not taken career leave within this time, you 

will still only be entitled to one period of leave. 

Terms and conditions of the scheme 

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. 

Pay and benefits 

• All career leave will be unpaid. You will receive no salary or 'flex' account. 

• If you are a member of the Money Purchase scheme, contributions will not be 

paid for the duration of the career leave in advance. 

• You will have no entitlement to either core or flexible benefits for the period of 

the career leave, with the exception of the following: 

− Core Life Assurance. 

− Death in service benefits associated with being a member of the FSA pension 

scheme, i.e. dependants' pension (if applicable). 

− It may be possible to maintain private medical cover, by agreeing to pay the 

premiums for the duration of career leave. 

• Payment of any of the above benefits will be calculated on the basis of your basic 

salary at the commencement of your career leave. 

• Any outstanding season ticket loan or other payments owing will be deducted 

from your final salary payment before commencement of career leave. 

• You will be eligible for consideration for salary review and a bonus payment 

while on career leave. Any salary increase will be deferred until the end of your 

leave and any bonus payment will be pro-rated by the number of working days 

(out of 260) that you spent on career leave during the bonus period. 

• You will not be entitled to occupational sick pay for the duration of the career 

leave. If you qualify, you will be entitled to Statutory Sick Pay. 


• Please note that any qualifying periods associated with selected benefits may 

need to be restarted following career leave. 

It is your responsibility to ensure that in absence of these benefits you are 

adequately protected. 

Contractual Information (start) 

During the career leave, you will remain an employee of the FSA and will be under 

its terms and conditions, including standards of conduct and behaviour, the FSA 

Code of Conduct, security, compliance and all confidentiality requirements. 

While on career leave you are not permitted to take up any paid employment without 

the express written permission of the FSA. To do so, will be regarded as gross 

misconduct and may lead to your dismissal from the FSA. 

During your career leave, your service will be regarded as continuous (for 

employment purposes). 

Contractual Information (end) 

If, during the period of your career leave, there is a business restructure within 

the FSA, you will be included. If your role is made redundant while on career 

leave you will be subject to the FSA’s Redundancy Policy. Any redundancy payment 

will be calculated on the basis of your basic salary at the commencement of your 

career leave. 

If you become pregnant while on career leave you must notify the HR Helpline, in 

writing, before the start of your maternity leave, but preferably sooner. Your career 

leave will automatically end when you decide to commence your maternity leave. 

Please note that your entitlement to Statutory Maternity Pay is based on your average 

pay in the eight weeks prior to your qualifying week (15 weeks before the expected 

date of your baby's birth). If your average earnings over this eight-week period are 

less than the lower earnings limit for National Insurance Contributions, you will not 

be entitled to Statutory Maternity Pay nor to receive the maternity bonus and 

enhanced FSA maternity pay. 

If you are taking a period of Additional Paternity Leave or Adoption Leave before 

the end of your career leave, you must inform the HR Helpline in writing before the 

leave starts. Your career leave will automatically end when you decide to commence 

your period of Additional Paternity Leave or Adoption Leave. 

Return to work after career leave 

You will where possible, return to the same or a similar job in the same Division as 

the one that you left. 


The terms of the job, where possible, will be no less favourable than the job that you 

left. However, if there is a business restructure while you are on career leave, you 

will be included. Further details on this are provided above. 

Failure to return from career leave 

If you fail to return from career leave on the pre-arranged date, this will be 

considered to be unauthorised absence and could result in disciplinary action up to 

and including your dismissal from the FSA (see the Disciplinary Procedure). 

Process 

Requests for career leave should be discussed with your line manager. If your line 

manager is happy with your request, you should raise an Unpaid Leave Absence 

record via Employee Self-service on Chrysalis. 

All applications must be signed off by your Director (or Managing Director for 

Heads of Department and above) and a commitment must be made at this time by 

your line manager and/or Director that, where possible, a role will be available for 

you in the Division on your return. If no such commitment is given then your 

application for career leave will not be agreed. 

You should usually make a request for career leave at least three months in advance 

of the date that you wish the leave to commence. There will, however, be exceptions 

to this and you should discuss situations where you need the leave more quickly than 

this with your line manager. 

Approval is at the discretion of line management and may be refused, or the timing 

deferred, for reasons of operational need. 

A letter will be issued to you that will outline the terms and conditions of the career 

break. You should read this letter carefully and address any questions to the HR 

Helpline before signing to agree the terms. 

During the career leave your line manager and the HR Helpline will be the initial 

points of contact for all matters regarding career leave or your employment with 

the FSA. Before you go on career leave, you must provide up-to-date contact details 

to your manager and the HR Helpline and agree how you can be contacted during 

this period (e.g. by phone, email or in writing). 

You will be contacted by your line manager at least four weeks before the end of 

your career leave to discuss the arrangements for your return to work. 

Who is covered by this policy? 

This policy covers all employees with more than three years' service. 


Ownership, updates and query management 

This is the FSA's Career Leave Policy as at October 2011. 

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, withdrawal or replacement at 

our discretion of the FSA – any changes will be published on the intranet. 

Any questions on the application of the policy should be directed to the HR Helpline 

on extension 67070. 

Contractual status of this policy 

This policy does not form part of your contract of employment, unless 

otherwise stated. 


Holiday Policy 

It is important for your overall health and wellbeing to have breaks from work. The 

FSA offer a generous and competitive benefits package. Holidays are one benefit 

where we can offer choice and flexibility to employees, by offering a core amount to 

all staff and allowing employees to buy additional days to suit 

their own circumstances. 

The FSA offer a core basic holiday entitlement, which is the same for all permanent 

employees and is currently 23 days per annum (pro-rated for part-time employees) 

excluding bank holidays. In addition to this, all permanent employees can select 

additional holidays through the Flexible Benefits Plan. 

Principles 


• To maintain a competitive and equitable core holiday allowance. 

• To allow all permanent and fixed-term employees to purchase additional days 

(providing the total for that year does not exceed 38 days, excluding bank 

holidays). 

• To endeavour to ensure wherever possible that employees are given their 

preferred requests for holidays. 

• Managers have a duty of care to employees to ensure that each individual has a 

balanced work portfolio that enables them to utilise their holiday entitlement. 

• Managers should encourage employees to take at least their statutory holiday 

entitlement (20 days excluding bank holidays for full-time employees) within the 

holiday year, but make sure their entitlement does not exceed 38 days for that 

holiday year. 


• To agree holidays with your line manager, giving as much notice as possible. 

Any such notice must, however, be at least twice the number of days' leave that 

you wish to use. 

• To discuss and agree dates with your line manager before making any firm 

bookings to ensure that there is adequate staff coverage. 

• You are responsible for keeping an accurate record of your holiday entitlement 

(including holiday carried over from the previous holiday year, core, and holiday 

bought through your flex account, taken and planned holiday). This should be 


approved by your line manager through the Chrysalis system at the time of 

agreement or when an amendment is made. This will form part of your 

employment record and must be kept up to date, accurate and made available 

should your line manager request it. 

• To take at least your statutory holiday entitlement (20 days excluding bank 

holidays for full-time employees; pro-rated for part-time employees). 

• You are responsible for managing your holiday entitlement for the year and 

making sure it does not exceed 38 days. 

• To take a period of at least two consecutive working weeks leave per annum. 


Holiday Year 

The FSA’s holiday year runs from 1 June to 31 May. 

Normal holiday entitlement 

If you are a permanent full-time member of staff, your minimum annual holiday is 23 

days (excluding bank and public holidays) (known as core). 

If you work part-time, your minimum annual holiday is calculated according to the 

number of days/hours you work in proportion to the FSA’s normal working 

days/hours. 

Bank and public holidays are in addition to core annual holiday. When you begin 

work for the FSA you are entitled to normal holiday calculated on a pro rata basis. 

Under the Flexible Benefits Plan, you may request additional holiday as one of the 

flexible options. 

The term ‘holiday’ in this section, unless otherwise stated, refers to the minimum 

annual holiday entitlement plus any additional days purchased under the Flexible 

Benefits Plan. 

If you are participating in the Flexitime Scheme, leave under that scheme does not 

form part of your holiday entitlement. 

Statutory entitlement and carry forward of holiday 

Under the Working Time Regulations 1998, you must take your statutory annual 

leave (i.e. for full-time employees this is 20 of the FSA core days excluding bank 

holidays; pro-rated for part-time employees) between 1 June and 31 May each year, 

as the Regulations do not permit this part of holiday to be carried over into the next 

holiday year. Any additional core holiday or annual leave purchased through the 


Flexible Benefit Scheme can be carried over into the next holiday year, providing 

you don’t exceed a total of more than 38 days for that year. 

Line management will take reasonable measures to ensure that you are not prevented 

from doing so on account of workload. However, in some circumstances, perhaps 

due to very high volumes of work, we recognise that it may not always be possible to 

take all of your holiday entitlement (whether core, flex or carried over from the 

previous holiday year). This is why we allow you the flexibility to carry forward 

some of holiday entitlement into the next holiday year, provided that you meet the 

conditions highlight above 

Both you and your manager have responsibilities in making sure you are able to take 

this leave and do not exceed the maximum allowance in any holiday year. 

In exceptional circumstances you may be able to take up to 3 days of your next year’s 

holiday entitlement during the current holiday year but this must be authorised in 

advance by your manager. 

Approval and special conditions 

The FSA will try to accommodate all reasonable requests for holidays, taking 

particular care to accommodate religious events or events of special significance. 

You must obtain agreement from your line manager before making any holiday 

arrangements, ensuring that the length of time prior to approval is at least twice the 

length of time requested, for example 10 days’ notice for a holiday of 5 days, in order 

for work to be planned effectively around absences. 

We recommend at least one break of 10 working days should be taken within the 

holiday year. This applies to full-time and part-time staff. Part-time staff can include 

non-working days within the ten-day period. 

Holidays of up to 15 working days are considered within the standard holiday 

procedures (see the “Longer Holidays” section for details of leave over 15 days). 

Line managers should respond to requests within 2 working days wherever possible. 

If your manager is unable to approve your request for holiday, they will explain the 

reasons behind their decision (e.g. business reasons, lack of cover for the team) and 

discuss any alternative options with you. 

On joining the FSA 

If you join the FSA part way through the holiday year, your entitlement will be 

pro-rated within the initial holiday year. 

If you join after the 1st working day of the month, you will receive holiday for the 

month you join, 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 12.5 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. 

See the tables in the holiday section of the Flexible Benefits Handbook for further 

information on how to calculate your holiday entitlement. 

On leaving the FSA 

If you resign from the FSA or have been given notice of termination, your holiday 

entitlement will be calculated on the basis of the number of completed calendar 

months of service in your final holiday year. You may be able to take holiday during 

the notice period provided that the holiday was booked/authorised before the start of 

the notice period. Other requests to take accrued holiday during the notice period will 

normally be granted but permission may be refused if business needs or other 

circumstances make the granting of holiday at that time impracticable. 

If on the termination of employment you have not taken your full accrued holiday 

entitlement subject as follows, you will be paid for your accrued entitlement up to the 

date of termination of your employment. If you have taken more holiday than you are 

entitled to, we reserve the right to deduct the value of days taken in excess of your 

accrued entitlement from the final salary payment made to you. 

Holiday entitlement will not continue to accrue during a period of enforced leave of 

absence and any untaken holiday entitlement will be deemed to have been taken 

during such a period of leave. 

Fixed Term Contract - On joining the FSA 

When you begin work for the FSA you are entitled to holiday calculated on a pro rata 

basis by the number of weeks in your contract. Your core annual holiday allowance 

is 23 days with bank/public holidays in addition to this: 

23 days/52 weeks x number of weeks of contract = x days or 0.44 days for every 

completed working week. 

Please note that if you are a part-time employee your core allowance of 23 days will 

be pro-rated by the number of days you work in a week. You will also be provided 

with a pro-rated bank/public holiday entitlement. 

Fixed Term Contract - On leaving the FSA 

If you are employed on a fixed-term contract and resign, from the FSA or you have 

been given notice of termination, your holiday entitlement will be calculated on the 

basis of the number of completed weeks of service: 


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. 

You 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). 

Payments for holidays above the statutory minimum can also be made for holidays 

accrued during maternity, adoption or additional paternity leave (see the Family 

Friendly policies for further details). 

Bank/Public holidays 

Bank/public holidays which fall on normal working days are in addition to holiday 

entitlement for full-time staff. There are usually 8 per calendar year, but this does 

vary. 

Part-time employees 

If you work on a part-time basis you are entitled to bank and public holidays on a pro 

rata basis to reflect the number of days per week which you normally work, 

regardless of whether you work fewer than the normal working hours of any day. 

Please discuss in advance any arrangements for bank and public holidays with your 

line manager and request this absence on Employee Self-service on Chrysalis. 


Payment for bank/public holidays to staff on short-term contracts is calculated in the 

same way as for permanent full-time and part-time staff. 

You will not usually be required to work on any bank/public holiday. Where 

bank/public holidays fall on days on which you normally work, such days will be 

taken from your public holiday entitlement and should be recorded on Employee 

Self-service on Chrysalis. 

If, in the particular holiday year, the number of bank/public holidays which fall on 

days on which you normally work exceeds your bank/public holiday entitlement, you 

will not be paid for those days and we reserve the right to deduct that holiday pay 

from your Adjusted Salary. Alternatively, you may work on another day (provided it 

is not a bank/public holiday) – usually in the same week – or use your annual holiday 

(core, purchased through your flex account, or carried over from the previous holiday 

year). 

Where, in a particular holiday year, no bank/public holidays fall on days on which 

you normally work. You are, therefore, not able to take all of your bank/public 

holiday entitlement, you are entitled to take your bank/public holiday entitlement on 

a day or days on which you normally work. The entitlement must be taken in the 

relevant holiday year. As with all other holiday requests, all bank/public holiday 

entitlement taken on days other than bank/public holidays must be approved by your 

line manager before being taken. 

Bank Holiday Guidance for Part Time Staff 


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 for paid holiday via 

Employee Self-service on Chrysalis, to be approved by their line manager for periods 

of time of up to 4 weeks (the equivalent of the majority of core and statutory 

entitlement). This can be supplemented by a further 6 weeks unpaid leave (or a mix 

of flex holiday/unpaid), allowing up to 10 weeks planned absence. Any part of this 

leave that is to be unpaid should be requested via the Unpaid Leave Absence record 

via Employee Self-service on Chrysalis. 

The Longer Holiday process is offered as an alternative to the Career Leave Policy 

and allows employees to plan for longer absences without going through the Career 

Leave route. Longer Holidays are holidays in excess of 15 working days (3 working 


weeks) and can last up to 10 weeks. Career breaks start at 10 weeks and can last for 

up to 52 weeks. Longer Holidays do not affect your statutory employment rights. 

You must use 20 of your 23 core days entitlement (for full-time employees) for your 

Longer Holiday, supplemented by flex holiday/unpaid leave for up to a further 6 

weeks. In order to apply, you must meet the following criteria: 

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. 

Benefits during a period of longer holidays: 

During a period of unpaid leave that is one month or more you will receive no salary 

or 'flex' account during the period of your leave. If you take more than one month's 

leave you will have no entitlement to either core or flexible benefits for the period of 

leave after the first month, with the following exceptions: 

• core life assurance (2x salary); and 

• death in service benefits associated with being a member of the FSA pension 

scheme i.e. dependants' pension (if applicable). 

You should discuss any plans for applying for holiday under this process with your 

line manager. With your line manager’s agreement, you will be required to give 

notice of at least twice the amount of time that you wish to use as leave (paid and 

unpaid). If your line manager agrees to your request, you should submit your request 

via the Unpaid Leave Absence record via Employee Self-service on Chrysalis. 

Holiday accrual and long-term sickness absence 

Due to a change in legislation, a 'statutory' amount of holiday accrues while you are 

on long-term sickness absence, equivalent to 28 days per annum, including bank 

holidays. You are permitted to take all or some of this holiday during the period of 


long-term sickness absence. If you wish to take holiday during this period, please 

inform your line manager in the usual way, as set out in this policy. 

Sickness during a planned holiday 

You may be eligible for time off in lieu if you are able to provide a fit note to cover 

your illness, no matter what the duration of the illness. See Sickness Absence Policy 

for more details. 

Further guidance 

Please read the holiday FAQs on Connect+. 


This procedure covers all employees. 


This is the FSA's Holiday Policy as at January 2012. 



The policy is not contractual and is subject to change at our discretion of the FSA – 

any changes will be published on the intranet. 




This policy does not form part of your contract of employment unless 



Sickness Absence Policy 

The FSA is keen to encourage employees to maximise their attendance and 

performance at work while recognising that there will be occasions when this is not 

possible due to absence caused by sickness or incapacity. 

This policy covers short-term sickness, extended absence and longer term absence 

(see the Definitions section below). 

The FSA provide a comprehensive range of wellbeing benefits and aim to treat 

employees who are sick with dignity and respect, providing support, counselling, 

tailored rehabilitation programmes and (if appropriate and practicable) workplace 

adjustments that may assist that individual to continue productive employment with 

the FSA. 

If an employee is frequently and persistently absent, this can have a negative impact 

on the delivery of departmental objectives and remaining colleagues who must carry 

the burden of extra work. This policy is designed to ensure a balance is struck 

between ensuring adequate support for employees who are ill and the ability to fulfil 

business obligations. 

Absence figures in this policy are based on full-time employees. Part-time employee 

entitlements and triggers are based on a ‘pro rata’ calculation. 

Principles 


• The FSA will take all reasonable steps to ensure a healthy approach to work and 

working practices by providing access to health and fitness benefits, and a variety 

of working arrangements, to meet the needs of different staff at various times. 

• We will consider making recommended workplace adjustments to 

accommodate any specific needs caused by a medical condition that an 

employee may have. Adjustments the FSA may make will follow the advice 

of an employee's GP, the FSA’s Occupational Health team or other medical 

practitioner and may include a phased return to work, altered hours, amended 

duties and/or workplace adaptations. 

• If you are ill and unable to work, the FSA will pay your normal salary, inclusive 

of Statutory Sick Pay (where appropriate), for absences up to 65 days in a rolling 

12-month period (see the Definitions section for information). If you are still 

unable to return to work you will be eligible to receive one half of your normal 

pay for the next 65 days in a rolling 12-month period, at which point 

Occupational Sick Pay (see section on pay and benefits) will cease. If your illness 


lasts over 12 months then the full-pay and half-pay provision will be made only 

once. If you are still unable to work, once you have exhausted your entitlement to 

Occupational Sick Pay, you may be eligible to receive payment under the terms 

of the Permanent Health Insurance (PHI) contract. 

• We will notify you if your pay will be affected. For example, if your absence is 

verging on ‘long-term’ (as defined later in this policy), we will inform you of the 

impact before the change in pay becoming effective. 

• Your line manager will maintain regular contact with you throughout any period 

of absence. You must cooperate in this process unless we are medically advised 

to the contrary. You may also be contacted by a member of the HR Division. 

• If we have concerns about your health we will initiate a case conference 

involving the HR department, your line manager, and Occupational Health, to 

determine appropriate steps towards full rehabilitation. 

• Absence is regarded as a serious matter. It may affect your remuneration and your 

prospects for advancement. Persistent absence will be dealt with promptly, firmly 

and consistently and may ultimately result in dismissal. 


• You must follow the correct procedure when you are unable to attend work due 

to sickness. 

• On your first day of absence you must speak to your line manager by 9.30am to 

report your absence. 

• You should ring your line manager (or such other person designated by us if they 

are unavailable) on each working day of sickness for the first seven days; 

thereafter you should expect to have a regular conversation with your line 

manager or other person designated by us, in line with the guidance shown below 

in this policy. Your sick pay may be reduced or discontinued if you do not 

cooperate in this process. 

• For short-term absences lasting up to seven days, including weekends/bank 

holidays, 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. 

• If you are ill while on annual leave, you may be eligible to have the days 

reimbursed, providing that you provide a fit note for the duration of the illness 

(or a letter from a medical practitioner if abroad) and you report sickness in the 

normal way (i.e. ring your line manager or other designated individual as referred 

to above). 


• If your absence lasts for more than seven calendar days, including bank holidays 

and weekends, your sickness record must be supplemented by a fit note from 

your GP for absences in excess of seven days. 

• You must supply a fit note to the HR Helpline on or before the eighth calendar 

day of absence, and thereafter within two days of your previous certificate 

expiring, otherwise we reserve the right to withhold sick pay and you could be 

the subject of disciplinary action. 

• You must send the original fit note to the HR Helpline (either via 

internal/external mail or by hand). 

• A copy of your fit note will be sent to your manager by the HR Helpline if it has 

been signed, “may be fit for work” 

• If you believe that your absence is caused by work-related issues or is 

stress-related, you must discuss these at the earliest opportunity with your line 

manager, who will work with you to find and reduce the cause of your concerns. 

If you do not do so, your sick pay may be withheld or reduced. The fact that your 

illness is or is alleged to be work-related does not affect the FSA’s rights in 

relation to the handling of your absence, up to and including dismissal. 

• If the fit note from your GP states that you may be fit to work with adjustments, 

you will take all reasonable steps necessary to cooperate with the FSA in 

determining the appropriate adjustments to be made. This may include 

discussions with your line manager, HR, Occupational Health or a return 

visit to your GP to clarify the recommendations. 

• If the FSA decides that the suggested workplace adjustments are not practicable, 

you will remain on sick leave at least until your current fit note expires. 

• Whether or not you are actually off sick at the time, you must inform your line 

manager if there is a change in your medical condition or if any of the 

adjustments put in place for you by the FSA are proving unsuitable. 

• You must agree to a reasonable request from your line manager to undergo a 

consultation with either the FSA’s Occupational Health Adviser (OHA) or 

Occupational Health Physician (OHP) and/or for a report to be produced by them. 

What are the responsibilities of line managers? 

• Managers will actively monitor absences within their teams and will raise 

concerns with the HR Helpline. 

• If managers have a concern about your absence, they have the discretion to 

recommend an investigation that might result in the withholding of pay. This 

would be applied in conjunction with other sanctions, such as those stated in the 

Disciplinary Procedure, and after consultations with you and HR. If there is no 


improvement in persistent absence, managers may take action up to and including 

dismissal in line with the Disciplinary Policy. 

• Depending on the circumstances, a manager will consider referring you to 

the OHA or OHP if you have been absent for more than ten days in a rolling 

12-month period (see Definitions section) or have had more than three absence 

episodes in a rolling 12-month period, but will also reserve the right to refer you 

to the OHA/OHP if he or she feels it is appropriate. 

• On receipt of a fit note that states you may be fit for work with adjustments, your 

manager will consult with you, HR and (if the FSA considers it appropriate) the 

OHA/OHP. This aim is to identify the most suitable approach for both you and 


• Managers can request a fit note for any period of absence (i.e. less than seven 

days); however, this is only likely to be applied if you have had three or more 

periods of short-term absence within a rolling 12-month period. The FSA 

(relevant business area) will pay for this. 

• Managers will maintain regular contact with employees who are on extended and 

long-term absence. For extended absences, managers will ensure weekly contact 

and for longer term absence, managers will ensure fortnightly contact as a 

minimum standard. Contact may be made by telephone, email, letter or personal 

visit. Separate arrangements will be made for those in receipt of Permanent 

Health Insurance (PHI). 

• Managers are best placed to provide input in relation to the activities an employee 

actually carries out and which adjustments are feasible in relation to their specific 

role. This is particularly important where adjustments are to be made as a result 

of a fit note and/or OHA/OHP advice. 

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. 


We have different procedures and levels of intervention for each category of 

absence. These are set out in this policy document, together with any connected 

policies or documents. 

The new Statement of Fitness for Work or “fit note” which replaced doctors’ 

certificates from 6 April 2010 means that GPs can advise that an employee 

is either: 

• Unfit for work; or 

• May be fit for work - a GP will give this statement if they think that an 

employee’s health condition may allow them to work if the FSA is able to 

provide suitable support and adjustments. This recommendation is made without 

necessary knowledge of the FSA’s working conditions or requirements and so 

does not bind the FSA in any way. 

The fit note does not include the option for GPs to advise an employee that they are 

fully fit for work. You do not need to be fully fit to return to work nor need to be 

‘signed back’ to work by a GP (see section on “Support and adjustments available”). 

A rolling 12-month period - entitlement to sick pay is calculated on a rolling 

12-month basis which commences with the first day of each reported sickness 

absence. The total of any periods of absence due to sickness taken within the 

previous 12-month period is deducted from this total to determine the balance of 

entitlement due. So, how do we do that? We look back 12 months from the first day 

of the current period of sickness absence and total the number of sick days absent. 

This is deducted from your occupational sick pay entitlement, leaving the number of 

occupational sick pay days left at full and half pay going forward. 

Summary of the Sickness Absence Policy and links to related topics 

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. 


Extended absence 

Periods of absence over seven calendar days (and up to 65 days’ continuous or 

aggregated absence) fall into the extended absence category. Until agreed otherwise 

with the line manager, you should continue to contact and speak to your manager on 

a daily basis. Fit notes should be provided throughout the period of absence. You 

should ensure that you provide a continuous updated fit note within two days of the 

expiry of the previous fit note. Depending on the nature of the absence, the manager 

may agree to weekly updates during this period. 

Providing you follow the correct procedures, you would normally expect to continue 

to receive your normal pay (including any SSP entitlement) during this period, 

providing that your absence does not aggregate more than 65 days in a rolling 

12-month period. 

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. 

Pay and benefits in connection with absences 

Sick pay falls into two categories – Occupational Sick Pay (OSP) and 

Statutory Sick Pay (SSP). 

There is no contractual obligation for the FSA to pay OSP. Employees who fail to 

follow the reporting and other evidential procedures may forfeit OSP. SSP is paid 

after three days’ absence and continues for 28 weeks (over a three-year period). 

You will normally receive full pay (comprising a mix of OSP and SSP) for short and 

extended absences of up to 65 days (continuous or aggregated in a 12-month rolling 

period). This applies to permanent and fixed-term employment contracts, but not to 

third-party providers of service who are not paid through our payroll. 

Please note that we reserve the right to withdraw OSP in certain circumstances, 

including but not limited to the following: 

• Where it has been communicated to you that disciplinary proceedings or 

performance management has or will commence or where either is ongoing. 

• Where you have not followed the set procedure for reporting absence. 


• Where the absence is the result of elective surgery (excluding IVF). 

• Where you refuse to comply with a request to be examined by the OHA/OHP or 

medical consultant and/or for a report to be prepared. 

• After the giving of notice of termination by you or the FSA. 

• Absences longer than 65 days (continuous or aggregated in a 12-month rolling 

period) will result in half normal pay for up to a further 65 days (within a rolling 

12-month period). Thereafter eligibility for further pay will be determined 

following application to the Permanent Health Insurance (PHI) provider if you 

satisfy the terms of that scheme. 

The table below outlines payment terms for sickness absence for OSP and 

SSP depending on the number of day’s absence you have had within a 12-month 

rolling period: 

Length of absence Short-term: 

up to seven 

days 

Extended: 

eight – 65 

days 

Long-term: 

66 – 130 

FSA Employee Handbook 25 

days 

Long-term: 

more than 130 

days 

Pay Full Full Half Nil but may 

qualify under 

PHI 

Holiday accrual and long-term sickness absence (also noted in the Holiday Policy) 

Due to a change in legislation, a 'statutory' amount of holiday accrues while you are 

on long-term sickness absence, equivalent to 28 days per annum, including bank 

holidays. You are permitted to take all or some of this holiday during the period of 

long-term sickness absence. If you wish to take holiday during this period, please 

inform your line manager in the usual way, as set out in the Holiday Policy. 

Sickness during a planned holiday (also noted in the Holiday Policy) 

You may be eligible for time off in lieu if you are able to provide a fit note or other 

form of confirmation from a medical practitioner to cover your illness (for example, 

if you take ill while you are abroad), no matter what the duration of the illness. You 

must cover any costs associated with providing a fit note. Without such evidence of 

your illness, we will not be able to “reimburse” the days that you lost (see the holiday 

FAQs on Connect+). 

Salary and annual individual incentive payment review 

Short-term absences will not normally affect pay and annual individual incentive 

payment decisions unless repeated, although any pay increase and payment of annual 

individual incentive payment will be deferred until you return to work. Long-term 

absences will trigger a reduction to reflect the actual amount of time at work, and 

therefore your actual contribution. Absences may affect your promotion prospects.

Support and adjustments available 

Following a period of extended or long-term absence and/or where your GP 

has signed your fit note as “May be fit for work”, adjustments may be needed to 

facilitate your return to work. Those adjustments will be based on the advice and 

recommendations of your GP or other medical practitioner in your Fit Note. If we 

need further guidance in order to carry out any step recommended by your GP, or 

your GP has not specified which adjustments to make, we will refer you to the FSA’s 

OHA/OHP for further guidance. 

Adjustments the FSA may make may include a phased return to work, altered hours, 

amended duties and/or workplace adaptations, and may involve a temporary or 

permanent move to a flexible working arrangement. Unless short term (i.e. less than 

12 weeks), any limit placed on working hours may be reflected in an adjustment to 

salary for so long as that limit remains in place (see below). 

The advice given on fit notes is not binding on employers Therefore after discussing 

the fit note with you (and where the FSA considers it appropriate) the OHA, the FSA 

has the right to make the final decision on the most suitable arrangement for 

both parties. 

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. 

Pay during a period of rehabilitation 

Your pay when returning to work on a rehabilitation programme up until you 

are back to your normal working arrangements (normally within 12 weeks) will 

be as follows: 

Your pay immediately before your 

return to work 

Up to 17.5 hours (i.e. half of 

full-time contractual hours of 

35 hours per week) 

More than 17.5 

hours 

Full pay Full pay Full pay 

Half pay Half pay Hours worked 

(at full pay per 

Nil pay Hours worked (at full hourly 

rate) 

hour) 

Hours worked 

(at full pay per 

hour) 


Situations where you may have to remain on sick leave 

If your GP has completed your fit note incorrectly, you will be required to remain at 

home on sick leave until further clarification is received from your GP or the FSA’s 

Occupational Health. 

If we are unable to make the necessary adjustments in time for your return to work or 

at all, you will be required to remain at home on sick leave until you are fit to return 

to work. 

Disputes 

In the event of any dispute about a GP’s recommendations, you will be 

required to remain at home on sick leave until the advice has been clarified 

to the FSA’s satisfaction. 

If you do not agree that the OHA’s/OHP’s advice is in line with your GP’s advice 

you should discuss your concerns with your line manager and HR and try to resolve 

the situation informally. It may be necessary for an additional medical report to be 

sought on your behalf by the FSA. 


This policy covers all employees. 


This is the FSA’s Sickness Absence Policy as at October 2011. 



The procedure is not contractual and is subject to change at the discretion of the FSA 

– any changes will be published on the intranet. Any questions on the application of 

the policy should be directed to the HR Helpline on extension 67070. 


This policy does not form part of your contract of employment. 


Leave for Special Circumstances Policy 

The FSA recognise that our employees, as part of the wider community, may 

be required to fulfil certain public duties. It also recognises that employees may, 

from time to time, face temporary difficulties in providing certain types of care for 

the family. 

This policy has been developed to help employees to balance work and outside 

commitments. Any such absences should be agreed with and monitored by the 

employee's line manager. 

Principles 


• Treat requests for leave under this policy with sensitivity. 

• Balance requests for leave under this policy with the operational needs of 

the business. 

• Ask you to provide appropriate and relevant information that supports your 

request for leave for special circumstances, e.g. your invitation to jury service. 


• Give your line manager reasonable notice of your special leave requirements 

(wherever possible). 

• Make every effort to make up any time spent on public duties. 

• Think carefully about the amount of time spent on discretionary public duties and 

the impact it may have on your working time, e.g. if you are school governor and 

a local councillor. 

• To disclose any external employment, appointment or business interest to your 

Director/Head of Department (HoD) and obtain their permission before starting 

or (if you are new to the FSA) continuing with this activity. 

• Only take up any paid or unpaid external employment where there is no conflict 

of interest. 


The policy 

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. 

Length of compassionate leave 

The length of time required for compassionate leave may vary depending on the 

circumstances. Line managers and employees must discuss and agree the approach to 

be adopted. 

Where a period of absence is likely to be greater than two days, the employee should 

keep their line manager informed of the situation and when they may be able to 

return to work. 

Where possible, line managers should discuss with the employee what element of 

leave will be paid, unpaid, etc., prior to the leave being taken (or if this is not 

possible, during the period of leave itself, if practical). 

Compassionate leave requests must be made via “Unpaid Leave” or “Paid Leave” 

requests through Employee Self-Service on Chrysalis. 


Time off for public duties 

Employees are legally entitled to unpaid time off for a range of different public duties 

such as the following (among others): 

• Justice of the Peace 

• Local councillor 

• Member of any statutory tribunal 

• School governor 

You are required to obtain the written approval of your line manager in advance of 

entering public service, and if you already hold such a position on joining the FSA, 

you should obtain your line manager’s written approval for it to continue. 

Certain public duties carry a statutory right to reasonable time off, although there is 

no legal obligation for the time to be paid. Circumstances may dictate some use of 

discretion, but our guidelines are as follows: 

• Justice of the Peace duties: up to ten days paid leave. 

• Other public duties (including Special Constables and Reserve Forces activities): 

up to five days unpaid leave. 

Your line manager should be given adequate notice of these duties and you should 

make every effort to make up any time spent on public duties. You must also record 

your public duty absences via Employee Self-service on Chrysalis whether paid or 

unpaid. 

The amount of leave required should be discussed with your line manager at the 

beginning of each year, and adequate notice of each individual attendance should 

be given. 

Time off for public duties will be monitored through Chrysalis, and where the 

amount of absence appears excessive, advice can be sought by the line manager from 

the HR Helpline. 

Although time off for public duties, including membership of local authorities 

may be granted, employees will not be granted time off to engage in activities 

that support a political party. For example, to prepare, produce or distribute party 

political literature. 

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 Paid Leave 

Absence section via Employee Self-service on Chrysalis as “paid leave/authorised 

absence” and add a comment that it is for jury service. 


Unless attendance at court from a business point of view is very difficult, it is 

preferable that you attend for jury service. Those who defer are normally called 

again quite soon. 

You will continue to receive your basic salary during jury service less any allowance 

paid by the Court for loss of earnings. You should claim all allowances available 

from the Court and forward a statement from the Court to the HR Helpline, giving 

the times/days you were required. A deduction will be made from your salary for any 

allowance that you receive from the Court. You should attend work on any days or 

half days when you are not required by the Court. 

The same arrangements apply for witness attendance in the course of civic duty and 

in the event that you are subpoenaed or otherwise compelled by a Court to attend. 

Attendance at private prosecutions and civil proceedings (e.g. divorce) will not 

qualify for paid time off and you will be required to take any day when you are 

needed in Court as part of your holiday entitlement or as unpaid leave. 

Personal business (including additional paid/unpaid employment) 

Employees are expected to arrange and conduct personal business in their own time. 

IMPORTANT NOTE (see the “Exclusive Employment” section in the Personal 

Conduct Policy): 

It is a condition of your employment that while employed by the FSA you are not 

permitted to undertake any additional employment, whether directly or indirectly, 

except with the 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 governorship’s, local authority councillorship’s, or provision of services as 

consultant or agent. 

You are required to obtain the written approval of your line manager before 

accepting an external position, and if you already hold such a position on joining the 

FSA, you should obtain your line manager’s written approval for it to continue. 

Medical and dental appointments 

Medical (doctor, dentist and hospital) appointments should be arranged outside 

normal office hours whenever possible. 


If this is not possible, you should discuss with your line manager and try to arrange 

appointments at times that cause least disruption to your work. You should make up 

the time. Your line manager may ask to see written confirmation of appointments. 

Community affairs 

The FSA is a socially responsible employer, and we are committed to making a 

positive impact on the local communities that support us. 

We work with partnerships in Tower Hamlets and the surrounding boroughs, 

providing employee volunteers and other non-financial support to encourage 

regeneration of the local area. We also participate in community activities local to 

our Edinburgh office. 

The schemes are integrated with the FSA Behavioural Framework to provide 

you with alternative personal development opportunities, and support our 

Diversity Strategy. 

Providing your line manager gives their approval, you can spend up to 20 working 

hours per year on FSA-endorsed community schemes, for which you will be paid. 

Details of schemes available are described on Connect+ under 'Community Affairs' 

and can be accessed through the Corporate Responsibility site, which can be found 

under 'Corporate'. Registration forms are also available from the Community Affairs 

pages. Also see the Community Affairs Policy in this handbook. 




This is the FSA’s Leave for Special Circumstances Policy as at May 2011. 



The procedure is not contractual and is subject to change at our discretion of the FSA 

– any changes will be published on the intranet. 






2 Career Development 

Career Development Policy 

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. 

What the FSA expects from you 

• 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 FSA philosophy on career development 

• Career development means different things to different people at different times. 

It does not always have to be about promotion, but can also be about selfdevelopment 

or finding a role that you think is challenging and interesting. We 

offer a broad range of experiences at the FSA. 

• We cannot guarantee that planning your career will definitely get you any job 

you apply for, but it will help you to be best-positioned for those opportunities 

when they come along. 




This is the FSA's career development policy as at April 2009. 








Time off for Corporate Responsibility 

Principles 

The Corporate Responsibility Team supports the business to deliver the best service 

to the public and the financial sector through the provision of community affairs, 

diversity and inclusion, and environmental services. 

Employees can volunteer with the aim of developing their business skills, shaping 

their understanding of consumers, increasing their business skills, and increasing 

their knowledge of consumers’ experience when using financial services. 

By giving employees the change to be involved in their community and linking what 

they do to their learning and development, we can utilise what we learn to better 

understand those using financial services. 

Volunteering also provides a chance to develop skills and make a positive 

contribution to the community. 

The FSA encourages staff to participate in Corporate Responsibility projects and 

reflects this by allocating a certain number of working hours to such initiatives. 

Time off for Community Affairs 

Employees are allowed 20 hours per annum to participate in individual pursuits plus 

an additional 7 hours for a team challenge. This is to be recorded under the iTime 

code: BS Other – Work in the Community. 




This is the FSA's Time off for Corporate Responsibility Policy as at February 2013. 

The policy is owned by the Corporate Responsibility Departmen.t. 

The policy is not contractual and is subject to change at discretion of the FSA – any 

changes will be published on the intranet. 

Any questions on the application of the policy should be directed to the Community 

Affairs on extension 67070. 




Sponsored Studies Policy 

The FSA provide a comprehensive range of learning and development opportunities 

for employees, which can be found on Connect + (Learning and Development). 

Some roles require professional qualification. If this is the case and an applicant is 

required to undergo further study, the FSA will pay all reasonable associated costs. 

Applicants wishing to pursue further study, in order to gain additional qualifications 

on a voluntary basis should discuss their intentions with their line manager. Line 

managers will assess the suitability of the proposal against the individual’s current 

role requirements. 

The budget for sponsored study is managed by Organisational Development 

(OD). The FSA reserves the right to grant or withhold funding at its discretion. 

In the interest of cost efficiency the FSA also reserves the right to select providers 

for certain qualifications where preferred supplier exist and agreements are in 

place, funding may be withheld where applications can be met more cost 

effectively elsewhere. 

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 


to sit an examination. Please ensure that the study plan takes into account the amount 

of time needed to devote to gaining the qualification and allow at least ten days for 

Organisational Development to process the application. 

Your study contract 

By signing the Sponsored Study application form the employee agrees to adhere to 

the Sponsored Studies policy, and that the FSA may deduct any monies owed, from 

their salary, during their notice period where applicable. 

When an employee resigns from the FSA within the first 3 months of starting their 

sponsored study, or fails to complete that sponsored study, or is dismissed by the 

FSA for reasons of unacceptable conduct or capability during this period, the FSA 

employee will be liable to repay the FSA 100% of the total course costs. 

When an employee resigns from the FSA in the period from 3 months after starting 

their sponsored study and within 12 months after completing their sponsored study, 

or fails to complete that sponsored study, or is dismissed by the FSA for reasons of 

unacceptable conduct or capability during this period, the FSA employee will be 

liable to repay the FSA 50% of the total course costs. 

Repayment of sponsorship will not be required where examinations and courses 

are taken at request of the FSA. This distinction should be made clear in the 

application form. 

Applicants must obtain approval for sponsorship before any definite bookings 

committing FSA expenditure are made. 

When applicants successfully pass a qualification, they need to send evidence 

immediately on their receipt and within 6 months of completion of the course to 

Learning & Development Support via the * HR Helpline. If this is not done the FSA 

may be asked to repay some of the funding. 

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. 


As a guideline, it is suggested 5 days study leave per annum. However for certain 

industry qualifications, time off work to attend courses may be permitted in excess of 

this. This should be agreed with the applicant's line manager prior to application as 

there may be clear business reasons why this is not acceptable. In addition, a 

maximum of 2 days revision leave may be permitted for each exam plus a half-day 

for the exam itself. 

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. 


All FSA employees are covered by the Sponsored Studies Policy. This includes 

employees on fixed term contracts, although sponsored study courses should be 

completed within the duration of the contract. 

The FSA will not normally provide sponsorship for employees within their 

probationary period. Where an individual completes an examination at their own 

expense and subsequently successfully completes their probationary period, the FSA 

may reimburse the costs of the study, provided that this has been agreed in advance 

with the line manager and Organisational Development. 



This is the FSA's Sponsored Studies Policy as at June 2010. 

The budget for all Sponsored Study is owned by the HR Division. The policy is 

owned by the HR Division and has been developed in conjunction with the Staff 

Consultative Committee. 








Time off to Train Policy 

From 6 April 2010, new legislation entitles eligible employees (including fixed-term 

workers) to make a request for time off to train. This is to help develop specific skills 

relevant to your job, workplace or business that will improve your effectiveness and 

the performance of the FSA. While requests may involve time away from your daily 

duties, the main focus of the new right is about employees and managers agreeing 

relevant training. 

The FSA is committed to the development of our employees. We provide a 

comprehensive range of learning and development opportunities and support 

employees undertaking self-study programmes. 

This Time off To Train Policy enables employees to make a request to take time off 

to train under section 63D of the Employment Rights Act 1996 (See FAQs on the 

Employee Guidance site). 

The legislation is aimed at employers who do not offer adequate training 

opportunities for their employees. You do not have to use this right for every training 

request as the FSA already has well established policies, systems and processes in 

place for making training requests, so please review these before making a request 

under this policy. 

You should continue to use Chrysalis for applying for internal training courses 

(see the Learning and Development website for details of internal courses available). 

For external courses, qualifications or training you can make a request in a number 

of ways: 

• Sponsored Studies for professional qualifications funded by the FSA (see the 

Sponsored Studies Policy and application process); 

• External courses booking process for seminars, conferences and other training 

that we cannot provide internally and that will be paid for by the FSA (see the 

Learning and Development website). 

• Other requests for time off to train where the FSA will not cover the cost or the 

training or your salary during the training can be requested under this policy. 

Please note it is only possible to undertake either a qualification under the Sponsored 

Studies Policy or make request for time off to train within a 12 month period. If you 

have already made a request under this Time off to Train Policy then you may not 

make an application within a 12 month period of that request under the Sponsored 

Studies Policy, and vice versa. 

The FSA encourage employees who wish to develop their career by undertaking 

studies related to their role and may provide time off for training under this policy, 

dependent upon the nature of the course of study or qualification. 


Employees not covered by this policy may still request training through the internal 

processes noted above. 

There is no automatic right to time off for training at all or for any specific period, to 

be paid during any period you may have off to train under this policy, or for the FSA 

to pay for the cost of a training course as there will always be circumstances when 

the FSA is unable to accommodate a request. However, this policy aims to facilitate 

discussion and to encourage both employees and managers to find a mutually 

agreeable solution for you to develop the skills and knowledge required for your 

career at the FSA. 

Principles 


• To consider reasonable time off for relevant training. 

• Each request will be considered seriously and assessed on its own merits. 

• We will respond within stated statutory timeframes, unless otherwise agreed 

with you. 

• To support employees who wish to undertake a course of study that is relevant 

to the individual employee’s development and the FSA’s business. 


• You should discuss your development requirements with your line manager in the 

first instance during one of your regular bilaterals – you need not wait until your 

development review. 

• You must gain agreement from your line manager to undertake training. 

• You should consider internal routes for training before making an application. 

• You must complete the Time off to Train request form relevant to this policy. 

• You must record the time off to train under the Unpaid Leave Absence record via 

Employee Self-service on Chrysalis. 

• You should make reasonable efforts to attend any meeting to discuss your request 

(and/or an appeal). Failure to attend more than once without reasonable cause 

could amount to a withdrawal (see below). 

• You should ensure that your training is recorded in your development plan and 

keep this updated. 


• You should take responsibility for ensuring that you devote sufficient time to 

your chosen study and ensure you manage your study around your role and your 

team commitments. 

• You will provide the FSA with confirmation of the course you are attending and 

evidence via the HR Helpline once your leave has been authorised. 

Line managers' responsibilities 

• Line managers are expected to provide coaching and mentoring support for 

employees undergoing training and development. 

• Line managers will discuss and help you plan the most relevant training for you 

and for the FSA, but must consider internal routes first. 

• Line managers will review and discuss with the relevant divisional director the 

Time off to Train application from employees and should consider applications in 

the context of Talent Management. 

• Line managers have a responsibility to ensure that key skills and knowledge are 

shared with less experienced staff. 

• Line managers must ensure that the balance is struck between business needs and 

supporting staff to develop to their full potential. 

The policy 

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. 


Time off to Train can be combined with holiday, but not with sickness, career leave 

or leave under the FSA’s Family Leave policies. 

Time off to Train requests 

Under this policy you can make a request to take time off to undertake training that 

will improve your effectiveness in the FSA and the FSA’s performance. 

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). 

Amount of time off permitted and payment 

For requests made under this policy, the FSA will not cover the cost of the 

training, but will consider giving you reasonable time off to undertake the 

training. The duration of any period for which you take leave to train will be 

at the FSA’s discretion. 

It may be necessary for you to take unpaid leave for some or all of the period you 

will be training, or to vary your hours to work on a flexible working arrangement 

(See the Flexible Working Policy). 

For the time off that you request, the FSA will agree one of the following with you: 

• You will take unpaid leave for all or part of the period of time off to train (this 

may affect your benefits); 

• You will vary your hours of work by making an application under the Flexible 

Working Policy for the period you will be completing the training. This will be 

a permanent change to your Terms and Conditions, unless agreed otherwise 

(i.e. the arrangement is to be temporary for the duration of the training). 

Considerations 

In considering a request for time off for training, FSA will take the following factors 

into account: 


• Will the proposed training improve your effectiveness in the FSA in 

your performance? 

• Will the proposed training improve the performance of the FSA? 

• Will there be any additional costs incurred by the FSA? 

• Will the proposed training have a detrimental effect on your ability to meet 

your objectives? 

• Can worked be reorganised among existing staff? 

• Will the proposed training have a detrimental impact on quality? 

• Will the proposed training have a detrimental impact on performance? 

• Will there be an insufficiency of work during the periods you propose to work? 

• Are there planned structural changes during the proposed study or 

training period? 

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 


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. 


Withdrawing and cancellation of a request 

You will be able to withdraw your request before your manager considers it. You 

should only withdraw a request if you no longer wish to pursue it. Withdrawals 

should be in writing and given to your manager. If you do withdraw your request you 

will not be able to make a further request for 12 months. 

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. 

Return to work after time off to train 

If you are taking a continuous block of time off to train, you should discuss with your 

manager if your role will be kept open until you return to work. In most cases you 

will return to the same job. If this is not possible, you will return to a similar job in 

the same Division as the one that you left. The terms of the job, where possible, will 

be no less favourable than the job that you left. However, if there is a business 

restructure while you are off, you will be included. 

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 formal meetings by a companion, who may be a Staff 

Consultative Committee representative or another FSA employee of your choice who 

may be a friend or colleague. Please note that the fellow employee should not be a 

member of the HR Division. Alternatively, you may be accompanied by a Trade 

Union official. 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. 


All FSA employees are covered by the Time off to Train Policy. This includes 

employees on fixed term contracts. 


This is the FSA's Time off to Train Policy as at June 2010. 


the FSA's Staff Consultative Committee. 

The policy is not contractual and is subject to change at the discretion of the FSA – 







Talent Management Policy 

The FSA approach to Talent Management in the FSA is to ensure we have the right 

people in the right roles, at the right time who have the right depth and breadth of 

technical knowledge and behaviours that enable the FSA to deliver its strategic aims. 

For staff in the FSA, Talent Management provides each of us with an opportunity to 

develop further in our current roles and allows us to work towards our career 

aspirations at the FSA. 

Principles 


• Open and honest feedback conversations with your line manager around 

expectation setting of current and future development and career opportunities 

• Honest feedback collated and given from your line manager and his/her peers 

• Support from your line manager in setting learning and development plans 


• Take responsibility for driving and owning your own development 

• Listen and act on feedback from your line manager 

• Work with your manager to develop and implement a personal development plan 

The policy 

Talent Management will ensure that all staff continues to develop themselves and 

contribute to the FSA to the best of their ability. Open and honest conversations with 

your line manager about your performance, career aspirations and potential will help 

identify your strengths and areas for development in the short and longer term. The 

FSA approach to Talent Management will also help the organisation resource plan, 

where appropriate develop people internally and where appropriate ensures that the 

FSA has successors available to replace business critical roles, if required. 

Talent Management has been part of the FSA for several years. Business Units have 

spent a number of years looking at career development for individuals and this has 

now been used and has informed the design which has resulted in the introduction of 

a more consistent approach across the business: 

• In 2008, the emphasis of Talent Management was to increase feedback 

conversations that managers have with individuals about their development both 

technical and behavioural and where appropriate, career potential and what they 


need to do to develop in their current role or move into a new role in the future. 

All staff across the FSA will have had a meaningful conversation with their 

manager about this, and should have a personal development plan for the next 

12 – 24 months which forms part of the appraisal discussion/process. 

• From 2009 managers will more closely align Talent Management to the regular 

performance management cycle. We will also look at the more strategic outcomes 

of Talent Management such as strategic resourcing and succession planning, and 

ensuring we are working towards our goal of having the right person with the 

right skills, in the right job at right time. 

• Talent Management will also align to other business processes such as tenure for 

specific supervision roles. 

What do we mean by Talent Management in the FSA? 

Talent Management will give us: 

• the opportunity to provide targeted feedback, development and support to all 

staff, ensuring they develop and continue to increase their depth of technical 

experience and behaviour in order to help the FSA achieve its business goals; 

• more opportunity to give all employees honest and open feedback about their 

current role and future career potential; 

• a consistent approach that encourages all individuals to take an active role in their 

development and career whilst with the FSA; 

• a potential pool of people with the appropriate technical depth and breadth of 

experience, who are able to take on key positions in the FSA and 

• assurance that all areas of the business are properly resourced. 





This is the FSA's Talent Management Policy as at April 2009. 










Technical Specialist Policy 

Background and purpose 

Certain roles within the FSA require specialist skills and knowledge. Such roles exist 

to provide specialist subject matter input rather than providing leadership or 

management input. 

Technical Specialist (TS) roles are equivalent to Manager grade (with similar salary 

structures and the same range of flexible benefits) but do not confer any line 

management responsibilities. 

The purpose of this Technical Specialist Policy is to provide a framework for the use 

of specialists in the FSA. 

Some roles in the FSA are defined as TS roles because of the specialist nature of the 

skills required to perform that role. Such positions should normally be filled by an 

open recruitment process (via advertisement of the role) except where there is senior 

management (i.e. Director or above) agreement that the role can be filled as part of a 

‘managed move’. 

Cross business unit discussion (e.g. at EOC) should confirm whether there may be 

several potential candidates for a given role. If it is known that there is more than one 

potentially suitable candidate for a TS role, an assessment/ competitive process 

should always be used. This should supersede a ‘managed move’ approach. 

Some individuals may develop technical capabilities and skills over a period of time 

and may be granted a promotion to a TS grade, even where the role has previously 

been defined and filled as an Associate position. Such promotions will be as a result 

of development discussions between an individual and his/her manager, the latter 

acting as ‘sponsor’ in nominating the individual, in the first instance to the 

promotions panel within the business unit (comprising a mix of HoDs and Directors 

from the area). 

Principles 


• If a TS role is created as a result of an individual nomination, this should conform 

to the annual pay and performance review process, with any promotions 

becoming effective from 1 April or 1st October. 

• Individual nominations are filtered by HoDs’ discussion panel (locally), followed 

by an SMT panel review. 


• A shortlist of candidates is drawn up for interview (with a HoD who is not part of 

the individual’s line). Final candidates are approved by the Managing Director 

and new appointments will be effective from 1 April or 1 October. 

• There is no quota of TS across the FSA – each business unit and MD (or 

equivalent, e.g. COO) will agree individual conversions to TS in accordance with 

their business plan and the development plans of individuals 

• Whilst it is usually preferable to advertise TS positions, in situations where an 

individual is deemed ready for conversion, the line management sponsor will 

need to provide evidence to the MD showing how that individual has developed 

and demonstrate that candidate’s ability against predetermined TS role criteria. 

• There will be annual monitoring of the number of conversions to TS by the 

central Reward & Reporting team, to prevent ‘grade drift’. 

The policy 

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. 

Scope and Remit 

It is intended that Technical Specialists will not manage people. However it is 

recognised that in practice there may be the need to mentor another specialist or to 

manage a PA/Administrator or one other team member (e.g. a graduate) in order to 

allocate work. Under no circumstances should a TS manage a team. 

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 above) will normally be applied to ensure fairness and 

transparency. 

Career Structure/Progression 

As mentioned above, promotion from Associate to TS is used as part of individual 

development and retention to maintain a pipeline of skills so that the specialist needs 

of the FSA continue to be met. 

Although it is not envisaged that there will be an automatic career path between TS 

and Technical HoD, due to the very specialist knowledge that these roles command, 

progression may be possible and would be based on a selection process open to 

internal and external candidates. 

As each role is stand alone and defined on its own merits it is not appropriate to put 

in place a formal career path between TS and Technical HoD. 

Technical Specialists will normally report to a HoD or Director but may on occasion 

report to a Manager. 


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. 


This is the FSA's Technical Specialist Policy as at October 2009. 

The policy is owned by the HR Division. 

The policy is subject to change at the discretion of the FSA – any changes will be 

published on the intranet. 




This policy is for information only and does not form part of your contract 

of employment. 


Technical HoD Policy 

Background 

HoD roles span across all of the FSA (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 


• ExCo will approve all appointments to Technical HoD. 

• Base salaries and annual individual incentives of Technical HoDs will be agreed 

and signed off by ExCo. 

• The FSA will support Technical HoDs in their continuing professional 

development e.g. by supporting and actively encouraging the individual in giving 

talks to industry firms on behalf of the FSA. 

• Technical HoDs will be assessed against the FSA’s behavioural competencies but 

will not be required to attend Executive Development Programmes. 


• Although not a part of the Senior Leadership Team, a Technical HoD will be 

expected to display a collegiate and supportive attitude to the collective 

objectives and direction of the FSA at all times. 

• Technical HoDs will be expected to develop their knowledge and skills, usually 

by maintaining links with academia, government institutions and industry 

contacts without compromising their FSA status. 

The policy 

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’. 


A Technical HoD is likely to have considerable industry experience, for example, as 

a consultant or adviser, or to have held a Director (or similar) position within an 

authorised firm. 

Although Technical HoDs are not people managers or leaders, and will be recruited 

primarily on the basis of their relevant specialist knowledge and expertise, they are 

also expected to conform to the FSA’s behavioural competencies (and will be 

assessed against these). 

Contractual Status 

Technical HoD is a new contractual grade introduced in 2009, closely aligned to 

other HoD roles and receives 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. 

Scope and Remit 

Technical HoDs should not manage people. However it is recognised that in practice 

there may be the need to mentor another specialist or to manage a PA/Administrator 

or one other team member in order to allocate work. Under no circumstances should 

a Technical HoD manage a team. 

In addition, Technical HoDs are not considered as part of the Senior Leadership 

Team which comprises HoDs s, Directors and MDs (or equivalent e.g. COO) all of 

whom are responsible for delivering the FSA’s business plan including the leadership 

and people development activities that this entails. 

The separation of Technical HoDs from the Senior Leadership Group, makes it easier 

to manage communications to, and engagement of, the leadership team. 

Technical HoDs will be excluded from the Talent Management Review, as this 

initiative reflects upon leadership capability which falls outside the scope of the 

Technical HoD role. 

Filling Technical HoD positions 

All business areas identifying the need for a Technical HoD role will be required to 

secure ExCo agreement to the business case. 

New Technical HoD roles will normally be advertised to ensure the best candidate is 

recruited, although it would not normally be anticipated that such experts will be 

readily sourced from within the FSA due to the specific and specialist industry 

expertise sought. 


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. 

Salary Ranges and Individual incentives 

The Salary Range for Technical HoDs is £95,000 – £200,000 for 2011. 

Although the base salary range is aligned with other HoD salary ranges, annual 

individual incentives will not be subject to the 40:40:20 weighting, as this reflects 

leadership attributes. 


This is the FSA's Technical HoD Policy as at October 2009. 

The policy is owned by the HR Division. 






This policy is for information only and does not form part of your contract 



3 Ensuring Fair Treatment 

Dignity at Work Policy 

The FSA is committed to creating a working environment where employees feel 

valued and respected, which is free from harassment or bullying and where everyone 

is treated with dignity. 

Harassment and bullying can have serious and significant consequences for 

everyone. Employees may become unhappy and less motivated, even getting stressed 

and ill – potentially affecting their relationships and their performance at work. A 

few unhappy employees can affect the mood and morale of whole teams, affecting 

performance and leading to higher turnover and in some cases to legal dispute. 

Employees found guilty of bullying or harassment will be subject to the FSA's 

Disciplinary Procedure, one consequence of which may be dismissal. Employees 

may also be personally liable to pay compensation awarded as a result of legal action 

taken against the FSA or individuals. 

This policy covers the treatment and consequences of bullying, harassment, and 

victimisation of, and by, managers, employees, contractors, agency staff and anyone 

else engaged in work at the FSA. If the complainant or the alleged bully/ harasser is 

not an FSA employee, the policy will be modified accordingly to ensure an 

appropriate outcome. 

The policy applies to all FSA premises and also to any FSA-linked events (for 

example, working on client sites, business trips or social events). 

This policy sits alongside and complements the Equality of Opportunity Policy. Also 

see the FSA’s Single Equality Scheme. 

Principles 


We will: 

• make available appropriate training to ensure employees are aware of their 

responsibilities and obligations to others; 

• investigate all reports or allegations of bullying or harassment swiftly and treat all 

cases in strict confidence limiting information to those who need to know in order 

to handle the process; 


• monitor the outcomes of cases where complaints of bullying or harassment have 

been raised to ensure that the appropriate procedures have been followed and that 

the outcomes are valid and to identify lessons learned for the future; 

• seek regular feedback from staff to monitor how successful we are at creating a 

respectful environment; 

• seek ways to also protect anyone making a claim of harassment or bullying, 

providing that claim is made in good faith; and 

• seek ways to protect anyone acting as a witness or supporting a colleague who is 

raising a grievance in good faith. 


You must: 

• make sure that you attend and apply any relevant training appropriate to your role 

– if you are unsure about what is available or what you should attend, please 

contact the HR Helpline in the first instance; 

• set an example to others by your own conduct and behaviour, being aware of the 

impact that you have on others; 

• treat all colleagues, suppliers, clients or contractors in a professional manner and 

with dignity and respect at all times; 

• raise concerns about someone's behaviour or conduct with your line manager in 

the first instance (if your concern relates to your line manager, you should 

escalate your concern to your HoD or Director); 

• challenge behaviour in others that you believe breaches, or may lead to breaches, 

of this policy, intervening if necessary to support those affected; and 

• work with your colleagues to ensure there is a supportive working environment 

for everyone. 

The policy 

There are various categories of behaviours which, alone or together, are unacceptable 

in the workplace and which may prompt an employee to seek recourse via this 

policy. Any behaviour, action or conduct by one person affecting another in an 

intentional or unintentional manner which causes or could cause the recipient to feel 

distress or discomfort is not acceptable. So we will take appropriate steps, as set out 

in this policy, to deal with such circumstances. The principal categories of 

unacceptable behaviour are defined below: 


Bullying is offensive, malicious or intimidating behaviour which is deliberately 

targeted to create distress, humiliation or offence. It can also be the misuse, or abuse, 

of power. 

Harassment includes unwarranted and unsolicited conduct or comment – usually 

related to a trait or characteristic such as 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) – which undermines the dignity of the recipient, who may feel 

degraded, undermined, humiliated or offended. Harassment may be the unintended 

result of persistent targeted comments or conduct. Sometimes a comment intended as 

a joke by one person is offensive to another. This may be considered as a form of 

harassment. A single event or incident may also be considered as harassment if it is 

sufficiently serious. 

All bullying and harassment will be treated as misconduct and will be addressed 

under the FSA's Disciplinary Procedure. Serious and severe bullying or harassment 

may constitute gross misconduct and result in instant dismissal. 

Some bullying and harassment may constitute unlawful discrimination (for example, 

if it relates to a protected characteristic, as set out above) and could separately result 

in criminal proceedings. 

Victimisation is where someone is singled out for unfavourable treatment e.g. is 

given a disproportionately high workload in relation to their peers because they have 

made a complaint under this (or a related) policy, have brought proceedings relating 

to discrimination, or they have supported someone else who has raised a grievance or 

issued proceedings. 

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. 


• It is unlawful to victimise someone for the above reasons. 

• 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. 

• Discrimination after someone has left the organisation may also be unlawful e.g. 

by refusing to provide a reference, or in 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. 

Summary of our procedure 

We aim to resolve any complaints as quickly as possible and all complaints will be 

treated seriously and confidentially. The formal procedure has three stages after the 

informal stage and is the mechanism employees use to complain about any acts of 

harassment, bullying or victimisation. 

This is consistent with the procedure applied to the Equality of Opportunity Policy 

which deals specifically with access to employment opportunities. 

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 


• 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. 

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. 



You are entitled to be accompanied at formal grievance meetings by a companion, 

who may be a Staff Consultative Committee representative or another FSA employee 

of your choice who may be a friend or colleague. Please note that the fellow 

employee should not be a member of the HR Division. Alternatively, you may be 

accompanied by a Trade Union official. 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. 

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. 

Interactions with regulated firms, suppliers and contractors/ remit and 

scope of this policy 

The FSA will extend the remit of this policy to its dealings with regulated firms, 

suppliers and contractors; we will not tolerate any form of bullying, harassment or 

victimisation involving but not restricted to employees and contractors, suppliers or 

clients with whom we have contact. 

Any employee found to be in breach of the policy in their dealings with a third party 

will be subject to the FSA’s Disciplinary Procedure. If an employee believes they 

have been a victim of bullying or harassment by a third party they should inform 

their line manager in the first instance – the FSA will conduct an investigation and 

any necessary actions will be taken against the third party. 

Ownership and updates 

This is the FSA's Dignity at Work Policy as at October 2010. 




We will monitor this policy regularly and review it at least annually, amending it to 

reflect any changes to the law. 

We will monitor the ethnic origin, age, gender and disabilities of applicants for jobs 

(including promotions) and review the Equality of Opportunity Policy according to 

the results of the review. All such information provided by job applicants and 

employees will only be used only for the purposes of monitoring and will be treated 

in line with the provisions of the Data Protection Act 1998. Interviewers will not see 

this information. 


– we will publish any changes on the intranet. 



Contractual status of this procedure 

This procedure does not form part of your contract of employment. 


Diversity & Inclusion Policy 

At the FSA we do not tolerate any form of discrimination and we strive to eliminate 

intolerance. But, in addition, we wish to create an environment that promotes and 

celebrates the differences which make us who we are and collectively contribute to 

the richness and variety of our workforce. 

Diversity at the FSA is about recognising everyone’s contributions, ensuring that our 

policies, practices and procedures are inclusive and extend to all, and that we 

embrace the individual contributions which collectively enable the FSA to deliver its 

business model. 

We believe that creating a more diverse workforce in which everyone feels valued is 

in everyone’s best interests and will make the FSA an even better place to work and 

to contribute to. 

Diversity & Inclusion at the FSA is therefore not ‘just’ a policy (although it is 

underpinned by our Equality of Opportunity and Dignity at Work policies); rather, it 

is an overarching approach to the way the FSA treats its staff, regulated firms and 

suppliers. Diversity is a way of life at the FSA. Please also see our Single Equality 

Scheme. 

The 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. 


This policy covers interactions with, and by, all employees, regulated firms, suppliers 

and contractors, whether permanent or temporary. The policy also applies to all other 

employment and training policies and protocols and extends to all our dealings with 

clients and firms. Decisions relating to and affecting firms or contractors will be 

based on business criteria only and any irrelevant information will not form part of 

the process. 

We will review the policy at least annually to reflect changes in the law, 

demographics and business needs. And we will present a full annual Diversity and 

Inclusion Report via the Executive Diversity Committee to the Board, setting out 

progress against our baseline measures. 

Principles 


We will: 

• ensure that all employees have objectives relating to fair and inclusive practices; 

• extend the remit of the policy to include our dealings with all third parties 

connected to the FSA; 

• address any incidents relating to transgressions of this policy quickly and will 

take any appropriate action using our Disciplinary Procedure; and 

• set baseline measures to demonstrate to our key stakeholders that we are serious 

about achieving a meritocratic working environment. 


You must: 

• understand the importance of valuing and respecting the contributions made by a 

wide range of different people and to disregard irrelevant factors such as age, 

background, nationality, gender, race, sexual orientation, or religion; 

• challenge any behaviours which you identify as being, or potentially 

being, discriminatory; 

• ensure that you and your line manager include some positive steps to promote 

tolerance and inclusiveness at the FSA; 

• seek recourse via the appropriate Policy if you have experienced any form 

of discrimination. 


Links to related topics 

Please refer to the Equality of Opportunity Policy, Dignity at Work Policy and 

Community Affairs Strategy. 

What is the difference between Diversity, Equality of Opportunity and 

Dignity at Work? 

Our Diversity Strategy sets out our overall approach and is brought to life through a 

coordinated action plan of activities to ensure the demographics of our workforce are 

such that we have the most appropriate talent to deliver our business plan, regardless 

of age, gender, disability, race, religion or sexual orientation. This extends to our 

Community Affairs programme which ensures that all employees can incorporate 

diversity-linked objectives into their own development plan and we can monitor and 

measure the success of our interventions to report improvements on baseline data. 

The Equality of Opportunity Policy ensures that processes and procedures are 

inclusive and there are appropriate sanctions in place to address breaches relating to 

fair treatment or discrimination. Finally, Dignity at Work provides a framework to 

ensure that the working environment is free from bullying, harassment or 

victimisation and encourages a culture of openness, trust and respect. Also see the 

FSA’s Single Equality Scheme. 


This is the FSA's Diversity and Inclusion Policy as at October 2010. 

The policy is owned by the Executive Diversity Committee and has been developed 

in conjunction with the FSA's Staff Consultative Committee. 




(including promotions) and review the Diversity and Inclusion Policy according to 

the results of the review. All such information provided by job applicants and 

employees will only be used only for the purposes of monitoring and will be treated 

in line with the provisions of the Data Protection Act 1998. 






Equality of Opportunity Policy 

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 


We will: 

• provide equal opportunity training to all managers and others who are likely to be 

involved in recruitment, promotions or pay discussions or involved in other 

decisions where equal opportunity issues are likely to arise; 

• make available to all employees, and others engaged in work at the FSA, training 

to help them to understand their rights and obligations under the Dignity at Work 

Policy and what they can do to create a respectful working environment, free of 

bullying and harassment; 

• provide additional coaching to enable managers to deal more effectively with 

complaints of bullying and harassment; 

• make available to all employees, training to ensure awareness of how to 

avoid discrimination; 


• treat all complaints made under this policy seriously, and in the strictest 

confidence and will work with the complainant to resolve the matter (we will 

not treat you any differently if you raise a grievance, even if the outcome does 

not uphold your complaint, unless your complaint was untrue or made in bad 

faith); and 

• support you (unless this becomes inappropriate) if you are accused of 

breaching the policy but have followed all correct processes and undergone 

appropriate training. 


You must: 

• make sure that you attend and apply the relevant training for your role, e.g. if you 

are a manager, you should look to attend the manager training modules for 

equality of opportunity, or if you will be involved in recruitment you must attend 

recruitment skills training which covers this policy; 

• try to resolve any issues informally; if this is not possible then you should put 

your complaint in writing and follow the procedure set out in this policy; and 

• keep the detail of any complaint confidential. 

The policy 

Equality of opportunity at work 

The FSA will strive to avoid unlawful discrimination in all aspects of employment – 

including recruitment, training, promotion, pay, benefits and reward – by dismissing 

or subjecting to other detriment. 

All the positions we advertise will seek qualified candidates who possess the 

necessary skills for that role. We will assess candidates for employment or promotion 

objectively against the necessary requirements of the job, taking account of any 

reasonable adjustments that may need to be made for disabled candidates. 

We will make all attempts to avoid any potential for indirect discrimination in 

employment practices, including the number of hours to be worked, the times at 

which these are to be worked, and the place where the work is carried out, when 

considering requests for variations to these standard working practices. We will 

refuse such requests only if there are good reasons related to the needs of the 

business. And we will make reasonable adjustments to its standard working practices 

to overcome barriers created by disability. 


The FSA monitors the ethnic origin, age and gender composition of applicants for 

jobs and the number of people with disabilities in this group and regularly reviews to 

see whether there are underlying issues which need to be addressed. 

Complaints covered by this policy 

The procedure within this policy should be used for complaints relating to 

discrimination, unequal treatment or lack of access to opportunities in relation to 

all aspects of employment because of a protected characteristic: 

• race: including colour, nationality, ethnic or national origins; 

• sex, marital status, civil partner or gender reassignment; 

• pregnancy or maternity; 

• disability of any kind; 

• religion or belief; 

• sexual orientation; 

• age; and 

• trade union or Staff Consultative Committee membership. 

Types of unlawful discrimination 

Direct discrimination occurs when a person is treated less favourably than another 

in comparable circumstances because of a protected characteristic they have or are 

thought to have (see “perceived discrimination” below), or because they associate 

with someone who has a protected characteristic (see “associative discrimination”). 

An example would be a manager refusing to employ a woman because she was 

pregnant. 

Indirect discrimination occurs when a procedure or practice unjustifiably places a 

group of employees at a disadvantage because of a protected characteristic. An 

example of indirect sex discrimination could be requiring everyone to work full time 

unless there is a good reason, unrelated to sex, why the particular job has to be done 

on a full-time basis (because requiring everyone to work full-time would normally 

adversely affect a higher proportion of women than men). 

Associative discrimination 

This is direct discrimination against someone because they associate with someone 

who has a protected characteristic. An example could be an employee who is 

discriminated against because of action she needs to take to care for a disabled 

relative. 

Perceived discrimination 


This is direct discrimination against someone because others think they have a 

protected characteristic. 

Failure to make reasonable adjustments occurs when working arrangements 

disadvantage an individual because of a disability and reasonable adjustments are 

not made to overcome the disadvantage. 

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. 


Consequences of breaching this policy 

Acts of discrimination against employees, suppliers, contractors or clients are 

disciplinary offences and will be dealt with under the FSA’s Disciplinary Procedure. 

Discrimination may constitute gross misconduct and could lead to dismissal without 

notice or pay in lieu of notice. 

Summary of the procedure 

We aim to resolve any complaints as quickly as possible. All complaints will be 

treated seriously and confidentially. The formal procedure has three stages after 

the informal stage and is the mechanism to be used for complaining about any acts 

of discrimination. 

This is consistent with the procedure applied to the Dignity at Work Policy which 

deals specifically with harassment, bullying and victimisation. 


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. 


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 that 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 that 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 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 

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. 






accompanied by a Trade Union official. 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. 


do so, the FSA may proceed with the meeting in your absence. 


Timelines 


many cases we would expect the process to operate more quickly, it may prove 

impossible to meet the timelines e.g. if 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. 

Frequently asked questions 

Am I protected if I make a complaint, act as a witness or accompany a complainant 

to a hearing? 

Yes. Any acts of retaliation or intimidation against an employee will be treated as a 

disciplinary offence. Having said this, an employee who maliciously makes an 

unfounded complaint could be subject to disciplinary action. 

Where can I get further support? 

We provide an Employee Assistance Programme. This is a confidential, external 

counselling service provided by First Assist. You can contact them on the freephone 

number 0800 716 071 and on the First Assist website. 

What will happen if a formal complaint about a person is upheld? 

Where a formal investigation has been conducted and where it has been reasonably 

concluded that some form of discrimination may have taken place, those responsible 

will be subject to our normal Disciplinary Procedure. Action will not normally be 

initiated without the agreement of the employee raising the complaint but there are 

some circumstances where the FSA may need to pursue the matter formally. For 

example, if other people could be at risk if no action is taken. 

The outcome of the Disciplinary Procedure will depend upon the circumstances. 

Serious acts of discrimination will be regarded as gross misconduct and may lead to 

dismissal without notice or pay in lieu of notice. Consideration may be given to 

redeploying either the discriminator/harasser or the complainant. If redeployment is 

considered, the wishes of the complainant will normally come first and the 

complainant will not usually be redeployed if they do not want to be. 

What should I do if I have a complaint about a customer, supplier or other people not 

employed by the FSA? 

Employees should report any bullying or harassment by customers, suppliers, visitors 

or others to their line manager who will take appropriate action. See the Dignity at 

Work Policy. 


What should I do if I have any special requirements relating to equal opportunities? 

We understand that people’s needs at work are different and that some employees 

may have special requirements. For example, employees of a particular religion may 

need somewhere quiet to pray during their lunch break, need to take holiday on a 

particular day for a religious event, or need somewhere to store specially prepared 

foods. Alternatively you may have a disability and may feel that you need to have 

changes made to your workplace to help you do your job. 

We will accommodate your requirements where it is possible and practical, but we 

cannot do so unless you let us know. Where you need particular time off, or are 

requesting a temporary change to your working hours, your line manager is more 

likely to be able accommodate this if you let them know well in advance. 

If you have any special requirements, you should discuss these with your line 

manager. They will seek advice, if they need it, from the HR Helpline. If you feel 

unable to discuss your request with your line manager, you can raise it directly with 

the HR Helpline. 

What should I do if I have a complaint not covered by this procedure? 

Complaints about harassment and bullying should be raised in accordance with the 

procedure in our Dignity at Work Policy. 

You should raise general work concerns such as complaints about your work, 

working conditions, pay and benefits, working hours and working relationships in 

line with our Grievance Procedure. 

You should use our Whistleblowing Policy in order to report any suspected 

malpractice within the FSA. 


This is the FSA's Equality of Opportunity Policy as at October 2010. 






(including promotions), position in salary range, pay awards, take up of training, 

discipline and grievance cases and review the Equality of Opportunity Policy 

according to the results of the review. We will use all such information provided by 

job applicants and employees only for the purposes of monitoring and will be treated 

in line with the provisions of the Data Protection Act 1998. Interviewers will not see 









Interactions with regulated firms, suppliers and contractors 

The FSA will extend the remit of this policy to its dealings with regulated firms, 

suppliers and contractors; we will not discriminate unlawfully against any third 

parties with whom we have contact. 

Any employee found to be in breach of the policy in their dealings with a third party 

will be subject to the FSA’s Disciplinary Procedure. 

Links to related sites / other policies 

The FSA has a separate Dignity at Work Policy dealing with issues of bullying, 

victimisation or harassment and how complaints will be dealt with. 


4 Family Leave 

Adoption Policy 

Statement of purpose and intent 

The FSA’s Adoption Policy incorporates statutory requirements on adoption rights 

and, in a number of areas, offers more generous provisions than required by law, so 

that we can support our employees who take adoption leave. 

The FSA’s policy on adoption leave is split into two parts: 

• Adoption leave and pay for individuals who adopt; or the 'main adoptive parent' 

in a couple where a couple adopt jointly. You may decide with your partner who 

takes main adoption leave. 

• Paternity adoption leave for the 'supporting parent' i.e. the partner of an 

individual who adopts or the other member of a couple who adopt jointly. 

Principles 


• When returning from Ordinary Adoption Leave (OAL) you will generally be 

entitled to return to the same job on the same terms and conditions as if you had 

not been absent. 

• When returning from Additional Adoption Leave (AAL) we will endeavour to 

return you to the same job unless this is not reasonably practicable, in which case 

you will, if practicable, be offered suitable and appropriate alternative work on 

comparable terms and conditions. 

• We will provide you with enhanced adoption pay and a return-to-work bonus 

where applicable and you are eligible (see below). 


You must: 

• Comply with all of the eligibility and notification requirements detailed in this 

policy (N.B these are statutory); 

• Make a flexible working request in good time if you want to vary your working 

pattern on your return to work; 


• Use up your core and bank holiday entitlement before you start adoption leave or 

at the end of your leave period (where possible in the same holiday year) before 

returning to work; 

• Give the relevant notice as stated in your contract if you decide not to return 

to work; 

• Repay in full any enhanced adoption payments, e.g. return-to-work bonus, if you 

do not return to work after your adoption leave; if you leave within three months 

of your return to work following your adoption leave; or if you leave after a 

period of career or parental leave that immediately follows your adoption leave. 

The policy 

Definitions 

• “Expected week of placement” (UK adoptions) – the week that the child is 

anticipated to be placed for adoption with you and your partner; 

• Matching certificate (UK adoptions) – confirms that the named person(s) has 

been matched with a child for adoption; and 

• Official notification (overseas adoptions) – a certificate issued by, or on behalf 

of, the relevant domestic authority (usually the Department for Education), that 

confirms that the adopter has been approved as being a suitable adoptive parent. 

Eligibility 

To qualify for adoption leave, you must: 

• be our employee; 

• be newly matched with a child for adoption by an approved adoption agency (UK 

adoptions) / have received official notification from the relevant UK authority of 

your eligibility to adopt a child (overseas adoptions); 

• have notified the adoption agency that you agree the child should be placed with 

you for adoption and of the date of placement (UK adoptions); 

• have been continuously employed by the FSA for at least 26 weeks by the end of 

the week in which you are notified of being matched with a child for adoption 

(UK adoptions) / by the time you have received official notification or your 

adoption leave is due to start, whichever is later (overseas adoptions); and 

• provide a matching certificate of evidence of your entitlement to adoption leave 

(UK adoptions) / a copy of the official notification (overseas adoptions). 


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 

In order to be entitled to take adoption leave you are required to give us written 

notification within 7 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. The written notification to the HR Helpline should give 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 below, “Starting adoption 

leave”). 

At the same time you must provide a copy of your matching certificate (UK 

adoptions) / a copy of the official notification (overseas adoptions). 

If you wish to claim Statutory Adoption Pay (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 based on if you take your full 

entitlement of adoption leave. 

Length of adoption leave 

Provided you meet the eligibility conditions and comply with the notice requirements 

below, you can take up to 26 weeks’ Ordinary Adoption Leave (OAL) and a further 

26 weeks’ Additional Adoption Leave (AAL). AAL leave begins the day after the 

last day of your OAL. 

Starting adoption leave 

Adoption leave can start on any day of the week. You can choose to begin your 

adoption leave: 

• UK adoptions - from the first day the child is placed with you for adoption, 

whether this is earlier or later than expected; or from a fixed date, which can be 

up to 14 days before the expected date of placement; 

• Overseas adoptions - from the date the child enters the UK or a fixed date that is 

no later than 28 days after the child enters the UK. 


You will be entitled to only one period of leave irrespective of whether more than 

one child is placed for adoption as part of the same arrangement. 

If your child’s placement ends during the adoption leave period, you will be able to 

continue adoption leave for up to 8 weeks after the end of the placement. 

Change in Adoption Leave and Statutory Adoption Pay (SAP) date 

You will be able to change your mind about the date you want your adoption leave 

and SAP to start, provided you give your line manager and the HR Helpline at least 

28 days’ written notice. If it is not possible for you to give notice in time, you must 

give notice as soon as is reasonably practicable or, if this is not possible, as soon as is 

reasonably practicable. 

Statutory Adoption Pay (SAP) 

During your adoption leave, you may be entitled to receive Statutory Adoption Pay 

(SAP). To qualify for SAP you must: 


• have at least 26 weeks service by: the end of the week in which you are notified 

of being matched with a child for adoption (UK adoptions) / by the later of the 

week you receive official notification or when you want SAP to begin (overseas 

adoptions); 

• have average weekly earnings of not less than the lower earnings limit for the 

payment of National Insurance Contributions (NIC); 

• have given the FSA the required notice of adoption leave and provided the FSA 

with a matching certificate (UK adoptions) / a copy of the official notification 

(overseas adoptions); 

• be on adoption leave; and 

• have elected in writing to receive SAP (a form for this purpose is available from 

the HR Helpline). 

You will not be eligible for SAP where: 

• you have elected to receive Statutory Paternity Pay (SPP); or 

• your child is, or expected to be, placed for adoption with you, and your partner 

has elected to receive SAP; or 

• you are receiving Statutory Sick Pay. 

SAP is payable for a maximum of 39 weeks and is only payable if you are absent 

from work on adoption leave. This consists of 26 weeks Ordinary Adoption Leave 

and 13 weeks Additional Adoption Leave. You can elect your SAP to start: 


• on the date on which your child is placed with you for adoption or, if you are at 

work on that date, on the following day; or on a predetermined date chosen by 

you which is no earlier than 14 days before you are due to be matched with a 

child and no later than that date (UK adoptions); 

• on the date the child enters the UK or a fixed date, no later than 28 days after the 

child enters the UK (overseas adoptions). 

However, in any case it will begin no earlier than 28 days after you have given notice 

of your claim for SAP. 

The rate of SAP is the same as the standard rate of Statutory Maternity Pay (SMP) – 

see the HMRC website for current rates. SAP is payable for 39 weeks at the flat rate 

set down by statute or 90% of your average weekly earnings if this is lower. 

SAP will be paid into your bank account on the same date that your adjusted salary 

would have been payable and will be subject to deductions for tax and national 

insurance in the usual way. 

If you do not qualify for SAP you may be entitled to financial support from your 

local authority. The HR Helpline will give you the information you need to make 

a claim. 

Please note that you cannot receive both your SAP and basic pay within the same 

week. Therefore, if you return to work part-way through a week before the end of the 

39 week SAP period, you will lose your SAP entitlement for that week. SAP is 

calculated in weekly instalments; however the start of the week can vary depending 

on the commencement date of your adoption leave. 

If you do decide to return “mid-week” before the end of your 39 week SAP period, 

you could use one of more of your 10 KIT days (see below), to avoid losing SAP as 

noted above. 

Pay, benefits and contract of employment 

For the first 12 weeks of Ordinary Adoption Leave (subject to all the requirements 

set up above), your adoption pay will be enhanced to 100% pay. 

While you are on adoption leave i.e. ordinary and additional, providing you have 

given the required notice as detailed above, the following applies: 

• All contractual benefits which you were receiving immediately before you began 

your adoption leave (as set out in your most recent Remuneration Statement) will 

continue with the exception of remuneration (i.e. wages or salary and any 

contractual allowances) (see sections on SAP and FSA enhanced payments); 

Holiday entitlement will continue to accrue (see the holiday FAQs on Connect+). 

You should use up your core holiday and bank holiday entitlement before you start 

OAL or at the end of your leave period (where possible in the same holiday year) 


efore returning to work, i.e. tack your holiday onto the end of OAL or AAL. If you 

cannot take it at that time you can choose from the following options: 

1. Any outstanding holiday for the year which you cannot take before adoption 

leave starts must be taken within 12 months of your return to work, or you 

will lose it; or 

2. Request via the HR Helpline that any accrued and untaken holiday in excess 

of the statutory holiday entitlement (i.e. for full-time employees this is 20 of 

the core days plus the normal 8 bank holidays; pro-rated for part-time 

employees) be bought back by the FSA. This sum will be paid at the end of 

your adoption leave period or any time up to the end of the holiday year in 

which your adoption leave ends (see the Holiday Policy - “Holiday 

Payments” section for details of how this will be calculated). Please note, you 

must make this request before the end of the holiday year in which you return 

from adoption leave; 

• We will continue to pay contributions to the FSA Pension Plan on your behalf 

for as long as you are being paid SAP; and 

You will be entitled to be considered for Pay Review during adoption leave. Any 

Annual Individual Incentive that you are awarded will be pro-rated by the number 

of working days you are absent due to taking Additional (unpaid) Adoption Leave. 

If you return to work after a period of adoption leave and work continuously for the 

FSA for 12 calendar months (other than on authorised holiday or sickness absence), 

the FSA will ensure that: 

• your pensionable service for the purposes of the FSA Pension Plan is treated as 

continuous service (i.e. it includes the full period of Additional Adoption Leave 

and not just the 26 week Ordinary Adoption Leave); and 

• a special employer contribution is made to the FSA Pension Plan on your behalf. 

This will cover the full period of Additional Adoption Leave (and not just the 

period when you receive SAP) at the contribution rate that applied when you 

went on leave. 

If you are unable to return to work following adoption leave due to sickness the 

above pension provisions will not be made until you have returned to work for a 

continuous period of 12 months. 

For both statutory and contractual purposes, continuity of employment is not broken 

by adoption leave. The period of adoption leave counts as a period of continuous 

employment for statutory and contractual purposes, except for membership of the 

FSA Pension Plan (subject to the provisions in the “Return-to-work bonus” section 

below). 


Your Contract of Employment with the FSA will continue during OAL and AAL 

except for the terms in relation to remuneration and the arrangements described 

above. During your adoption leave you will not, of course, be required to work nor 

will the FSA be required to provide you with work, unless you are taking one of your 

“keeping-in-touch days” (see section below for further details). 

If you do not intend to return to work following adoption leave, you must give 

normal written notice of your resignation to the FSA in line with your contract of 

employment. If you fail to give notice and fail to return to work at the end of your 

relevant period of leave (without informing the FSA of an authorised reason for 

absence such as sickness), you will be treated as having resigned from the FSA. Your 

employment and contract will come to an end as a result of your resignation. Failure 

to return to work means you will not qualify for the return to work arrangements 

described below and will be required to repay any enhanced adoption payments made 

to you during your adoption absence period. 

Transfer of adoption leave 

If you propose to return to work early without using your full 52-week entitlement to 

adoption leave (by giving the appropriate amount of notification of your early return 

as set out above), you may transfer up to 26 weeks of your outstanding AAL and 

SAP to your spouse, civil partner or partner, provided you have returned to work. 

You must have at least 2 weeks’ SMP left. Once you have returned to work, this will 

become their Additional Paternity Leave (APL) and Additional Paternity Pay. Your 

partner does not have to be an FSA employee. 

The earliest that they can start APL is 20 weeks after the placement of your child and 

it must end no later than 12 months after the date of placement. A minimum of 2 

weeks and a maximum of 26 weeks APL can be taken, depending on the amount of 

leave you decide to take. Your spouse/partner’s employer may ask you to provide 

additional information and sign a declaration form to confirm their eligibility to take 

APL/APP. 

For further information on the FSA’s Paternity arrangement please see the Additional 

Paternity Leave Policy below and the Paternity Leave Policy. 

Contact during adoption leave 

Shortly before you go on adoption leave, we will discuss the arrangements for 

keeping in touch during that time. We reserve the right to maintain reasonable 

contact with you. This may be to discuss your plans to return to work, keeping-intouch 

days (see below) or to update you on work developments during your absence, 

etc. 


Return-to-work bonus 

If you return to work with the FSA after a period of at least 12 weeks’ adoption leave 

(whether ordinary or additional leave), you will be entitled to receive a return-towork 

bonus. The bonus will be either 6 weeks’ pensionable salary (at the rate payable 

when your adoption leave started) or £3,300, whichever is the greater. The return-towork 

bonus will be subject to deductions for tax and NIC. 

You may elect to receive your return-to-work bonus at any time up to 3 complete 

calendar months after your return to work. You can choose how and when you would 

like to receive your return-to-work bonus as follows: 

• To be paid between weeks 13 to 24 of your adoption leave. This is in addition to 

SAP entitlement (weeks 1-39); 

• To be paid between weeks 40 to 51 of your adoption leave. SAP is not paid 

during this period; 

• A lump sum at any point during your adoption leave; or 

• In the fourth month’s salary payment after your return to work. 

Prior to commencing your adoption leave, you will receive an adoption bonus form 

from HR Transactions, allowing you to select one of the above options for receiving 

your payment. 

If you stop working for the FSA within 3 months of returning to work from adoption 

leave, having received your return-to-work bonus, you will be required to repay the 

full amount. If you have not received it at this time, such payment will be forfeited. 

If you take career or parental leave immediately following a period of adoption leave, 

and you decide to resign at the end of that period, you must pay back the return-towork 

bonus paid to you in full. 

Shared adoption/paternity leave between FSA employees and the return-to-work 

bonus 

If you and your partner are both employed by the FSA and share adoption/paternity 

leave, the return-to-work bonus will be paid to only one of you. Between you, you 

should nominate who will receive this bonus by noting this on this relevant form. 

‘Keeping in touch’ days (KIT) 

To support occasional training, or help keep in touch without losing SAP, the 

Government introduced 'Keeping in Touch' (KIT) days during adoption leave. These 

KIT days allow the FSA and you to make reasonable contact during an adoption 

period. In addition, if you are on adoption leave you can still work for us for up to 10 

days by mutual agreement without losing SAP. An example of a KIT day could be to 

attend a divisional away-day, training or refresher courses. It should not be used to 


introduce friends and colleagues to new family members. Important points to note 

include the following: 

• You can come into the office for one hour or a whole day. This will be counted as 

a full day for these purposes; 

• The decision to take a KIT day and when that KIT day will be taken, must be 

made by agreement between you and the FSA; 

• The KIT day will not bring your adoption leave to an end; 

• We have no right to demand that you undertake any such KIT work and you 

cannot insist that you undertake such work; and 

• You will be paid at your normal daily rate for each KIT day worked, without 

losing SAP. 

For example, if you are absent from work on adoption leave from Monday 21 May 

for 39 weeks and return to work for two days a month in September, October, 

November, December and finally January you would not lose any SAP. 

Returning from adoption leave 

If you return to work at the end of your full adoption leave period you do not need to 

notify us in advance of the date of your return. Unless you notify us otherwise (see 

below), the date on which you return to work will be the first working day after the 

end of your 26 weeks’ Additional Adoption Leave. 

If you wish to return to work before the end of your full adoption leave period, you 

must give your line manager not less than 8 weeks’ advance written notice. If you fail 

to do so, your return to work may be postponed to a date that will ensure that the 

notice period is served. 

The job that you will be entitled to return to will be as follows: 

• returning after OAL – you will generally be entitled to return to the same job on 

the same terms and conditions as if you had not been absent; 

• returning after AAL – where possible, you will be entitled to return to the 

the same job on same terms and conditions unless this is not reasonably 

practicable, in which case you will be entitled to be offered suitable and 

appropriate alternative work on comparable terms. 

You may find it helpful to keep in touch with your line manager during your 

adoption leave. If you do not wish to return to work at all after adoption leave, you 

must give the FSA your normal written notice of resignation as required in your 

Contract of Employment. 


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 

within the appropriate timescales before your return; using the appropriate 

application form (a hard copy of the eform is available from HR Transactions). 

Paternity leave and pay for adoptive parents 

See the Definitions section at the start of the Adoption Policy. 

You may be entitled to paternity leave and pay where you, your spouse/civil 

partner/partner or both of you adopt a child and the adopted child is matched with 

either of both of you. You cannot take paternity leave on top of adoption leave, but 

you may decide that your partner will take main adoption leave and you will take 

paternity leave. 

Eligibility for Ordinary Paternity Leave - adoption (OPL) 

You need to satisfy the following conditions to qualify for paternity leave. You must: 

• not be taking adoption leave; 

• have or expect to have responsibility for the child’s upbringing; 

• be married to or be the partner/civil partner of the child’s adopter (a person who 

lives with the adopter in an enduring family relationship but is not a blood 

relative); 

• have worked continuously for the FSA for 26 weeks by: the end of the week in 

which your partner is notified of being matched with a child for adoption (UK 

adoptions) / by the time your partner has received official notification (overseas 

adoptions), and 

• provide a matching certificate of evidence of your entitlement to paternity 

adoption leave (UK adoptions) / a copy of the official notification (overseas 

adoptions). 

Length of paternity leave (adoption) 

Ordinary Paternity Leave (OPL – adoption) 


You are entitled to choose to take either one week or two consecutive weeks of paid 

OPL (not odd days). You can choose to start your leave: 

• from the first day the child is placed for adoption (whether this is earlier or later 

than expected), or from a chosen number of days or weeks after the date of the 

child’s placement whether this is earlier or later than expected (UK adoptions); or 

• from the date the child enters the UK, or from a fixed date which is later than the 

date the child enters the UK (overseas adoptions). 

Leave can start on any day of the week or following the child’s placement but must 

be completed within 56 days of the child’s placement. You will be entitled to only 

one period of leave irrespective of whether more than one child is placed together. 

Notification requirements before starting OPL (adoption) 

In order to be entitled to OPL, within at least 7 days of you or your partner being 

notified by the adoption agency that you have been matched with a child (UK 

adoptions) / 28 days after your partner receives official notification (overseas 

adoptions), you should submit a request for Paternity Leave via Employee Selfservice 

on Chrysalis of the following: 

• the date you or your partner were notified of being matched with a child (UK 

adoptions) / received official notification (overseas adoptions); 

• the date the child is expected to be placed with you (UK adoptions) / enters the 

UK (overseas adoptions); 

• whether you wish to take one or two weeks’ leave; and 

• the date you want your leave to start - see Length of paternity leave (adoption). 

You should, as soon as reasonably practicable, inform the HR Helpline in writing, 

when your child is placed for adoption / enters the UK. 

We will respond in writing to your notification of OPL (adoption) within 28 days, to 

confirm start and end dates. 

Change in OPL (adoption) date and early/late placement 

You will be able to change your mind about the date you want your OPL to start 

provided you give your line manager and the HR Helpline at least 28 days’ written 

notice of the new date or, if this is not possible, as soon as is reasonably practicable. 

If your child is not placed by the date you specified, you can change the date or 

choose to take leave from the actual date of placement or a specified number of days 

after the placement, provided you give at least 28 days’ written notice of the new date 

or, if this is not possible, as soon as is reasonably practicable. 


If your child is placed before it is planned, you may not have given notice of your 

intention to claim OPL. In this instance you should confirm in writing as soon as is 


Additional Paternity Leave (APL - adoption) 

You may be entitled to take up to 26 weeks APL within the first year after your 

child’s placement provided that you satisfy all of the qualifying criteria for OPL as 

outlined above and the mother/adopter has returned to work before using his/her full 

entitlement to adoption leave. There are a number of additional conditions to APL: 

• the earliest that APL can start is 20 weeks after the date the child is placed (UK 

adoptions) /enters the UK (overseas adoptions) for adoption and it must end no 

later than 12 months after that date; 

• it must be taken in a single block in multiples of complete weeks; 

• the minimum period of APL is 2 weeks and the maximum is 26 weeks; and 

• a gap is permitted between the completion of the mother/adopter’s adoption leave 

and your APL, providing the above conditions are met. 

Notification requirements before starting APL (adoption) 

At least 8 weeks before you wish to take leave, you must complete the Additional 

Paternity Leave request form (contact the HR Helpline for a copy) which: 

• gives notice of the date you wish to start and end APL and ASPP (adoption); 

• gives notice of the date your child is expected to be placed for adoption; 

• confirms the date the actual date of placement; 

• confirms the purpose of the APL and ASPP (adoption) is to care for the child; 

• confirms you satisfy the eligibility conditions for APL and ASPP (adoption). 

The form also includes a section for the primary adopter to complete to confirm: 

• his/her names, address, and national insurance number; 

• the date he/she intends to return to work; 

• the date he/she has given notice to his/her employer of returning to work; 

• that he/she is entitled to SAP; 

• start date of his/her adoption leave; 

• confirmation that you satisfy the relationship eligibility criteria; 

• that he/she consents to the FSA processing the information in the form; 


• that you are the only applicant for APL and/or ASPP (adoption) for that child; 

and 

• a signature from the HR department of the primary adopter’s employers. 

If you intend to take parental leave immediately after or before your paternity leave, 

we suggest that you give notice of this at the same time that you give notice for 

paternity leave, but at least 21 days before you intend your parental leave to start. 

We will respond in writing to your notification of APL within 28 days, to confirm 

start and end dates of APL and ASPP (adoption). 

Change in APL date 

You will be able to change your mind about the date you want your APL to start 

provided you give your line manager and the HR Helpline at least 6 weeks’ written 


Statutory Paternity Pay (ASPP - adoption) and FSA benefits 

For information on pay, benefits and your contract of employment during paternity 

leave, please refer to the FSA’s Paternity Leave Policy. 

Contact during paternity leave (adoption), “keeping in touch days”, and 

returning to work 

Please see the Paternity Leave Policy. 




This is the FSA's Adoption Leave Policy as at January 2012. The policy is owned by 

the HR Division and has been developed in conjunction with the Staff Consultative 

Committee. 








Maternity Policy 

Statement of intent and purpose 

The FSA’s Maternity Policy incorporates statutory requirements on maternity rights 

and in some areas offers more generous provisions than required by law, so we can 

support our employees who take maternity leave. 

Principles 


We will: 

• Give you paid time off during working hours to receive antenatal care; 

• Ask the Occupational Health Adviser (OHA) to contact you to arrange a risk 

assessment to ensure your working conditions are suitable; 

• When returning from Ordinary Maternity Leave (OML) you will generally be 


not been absent; 

• When returning from Additional Maternity Leave (AML) we will endeavour to 

return you to the same job unless this is not reasonably practicable, in which case 

you will, if practicable, be offered suitable and appropriate alternative work on 

comparable terms and conditions; and 

• We will give you enhanced maternity pay and a return-to-work bonus, where 

applicable and you are eligible (see below). 


You must: 

• Comply with all of the eligibility and all notification requirements detailed in 

this policy (N.B. these are statutory). 



• Use up your core and bank holiday entitlement before you start maternity leave or 

at the end of your leave period (where possible in the same holiday year) before 

returning to work; 


to work; 

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• Repay in full any enhanced maternity payments, e.g. return-to-work bonus, if you 

do not return to work after your maternity leave; if you leave within three months 

of your return to work following your maternity leave; or if you leave after a 

period of career or parental leave that immediately follows your maternity leave. 

This policy should be read alongside the FSA's Maternity webpages. 

The policy 

Definitions 

The following definitions are used in this policy: 

• “Expected week of childbirth (EWC) means the week, starting on a Sunday, 

during which the midwife or doctor expects you to give birth; 

• “Qualifying week” means the 15 th week before the EWC; and 

• “MAT B1” means the certificate from the midwife or doctor with your EWC. 

Notification requirements 

On becoming pregnant, you should notify your line manager and HR Helpline as 

soon as possible. This is important as there are Health & Safety considerations for 

you and the FSA. At least 15 weeks before your EWC complete the “Confirmation of 

pregnancy” eform (see the FSA's maternity webpages for details) 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 (EWC). 

You can change your mind about when you want to start your leave by letting your 

line manager and the HR Helpline know (in writing) at least 28 days before the 

revised date. You may only give shorter notice if it has not been reasonably 

practicable for you to comply with this timeframe. 

If you have not already done so, you should make sure that you also enclose your 

signed form MAT B1. HR Transactions will acknowledge they have received your 

notification within 28 days and will confirm the start date of your maternity leave and 

the end of additional maternity leave. 

If you fail to do the above you may lose your rights to maternity leave, Statutory 

Maternity Pay (SMP) and any additional maternity related payments. 

Time off for antenatal care 

You are entitled to take reasonable paid time off during your normal working hours 

to receive antenatal care, irrespective of length of service. Antenatal care includes 

90

appointments with your GP, hospital clinics and any other appointments (for example 

relaxation or parenting classes) made on the advice of a registered medical 

practitioner, doctor, nurse, midwife or health visitor. You should give your line 

manager as much notice as possible of the times when you will be absent from work 

and try to arrange the appointments as near to the start or the end of the working day 

as possible. Your manager may ask you to produce your appointment card before 

permission is granted for time off. If you work flexi-time, your absence to attend 

appointments will be credited to your flex hours. 

Health and safety 

HR Transactions will advise the Occupational Health Adviser (OHA) that you are 

pregnant. The OHA will then contact you to arrange a suitable time for a risk 

assessment. Once completed, a report will be sent to your line manager and the HR 

Helpline which may recommend that your working conditions are altered or that you 

are offered another more suitable job for the duration of your pregnancy. If neither of 

these options is possible, we reserve the right to send you home on full pay until you 

are no longer at risk. This may be for the remainder of your pregnancy until the start 

of your maternity leave. 

You may need a further risk assessment if you decide to work after the start of 

the fourth week before your child is due. 

Maternity leave 

Ordinary maternity leave (OML) 

You are entitled to a 26-week period of ordinary maternity leave irrespective of your 

length of service or the number of hours you work each week. You cannot work at 

any time during the two-week period immediately after the date of childbirth. This is 

a compulsory maternity leave period where working is prohibited. 

Additional maternity leave (AML) 

You will be entitled to additional maternity leave irrespective of your length of 

service or the number of hours you work each week. This entitles you to a further 

26 weeks’ leave, making the total maternity leave period 52 weeks. AML starts on 

the day after OML ends. 

Starting maternity leave 

You can start your OML at any time from the start of the 11th week before your 

Expected Week of Childbirth (EWC) i.e. the beginning of the week in which your 

baby is due. The only exceptions to this are: 

91

• If you are absent for a pregnancy-related reason at any time after the start of the 

fourth week before your child is due. In this case, your maternity leave will start 

on the day after your first day of absence. 

• If your child is born before you intended to start your maternity leave. In this case 

your maternity leave starts on the day after your child is born. You must – as 

soon as reasonably practical – notify us that you have given birth and the date 

your baby was born. 

You can change the date you want to start your OML and SMP, provided you give us 

at least 28 days’ written notice. If it is not possible for you to give this notice in time, 

you must give notice as soon as reasonably practicable. You must complete a new 

form when you change your mind about your OML/SMP dates. 

Statutory maternity pay (SMP) 

SMP is payable for up to 39 weeks. To qualify for SMP you must: 

• have been continuously employed by the FSA for at least 26 weeks at the end of 

the qualifying week and you are still in employment at the end of that week; 

• have average weekly earnings of not less than the lower earnings limit for the 

payment of National Insurance Contributions (NIC); 

• still be pregnant at the 11th week before your EWC or have given birth before 

that date; 

• have stopped working wholly or partly because of pregnancy; 

• have given the FSA proper notice of maternity absence(see below); 

• have provided evidence of your EWC (your MAT B1 certificate); and 

• be taking maternity leave. 

You will get SMP whether or not you intend to return to work and you do not have to 

pay it back if you do not return to work for any reason. SMP is only payable if you 

are absent from work on maternity leave. The exact amount of the SMP that you are 

entitled to receive depends on your earnings and the amount of maternity leave you 

take. But as a general rule, you can expect to receive: 

• higher rate SMP for the first six weeks (equal to 90 per cent of your average 

weekly earnings in the qualifying period. The qualifying period is the eight-week 

period immediately preceding the 14th week before your EWC); and 

• lower rate SMP for up to 33 weeks after that – see the HMRC website for current 

SMP rates. 

Our Payroll Team will give you details of your individual entitlement. SMP will be 

paid into your bank account on the same date that your adjusted salary would have 

92

een payable and will be subject to deductions for tax and national insurance 

contributions in the usual way. If you do not qualify for SMP you may be entitled to 

claim state Maternity Allowance. The HR Helpline will give you information on how 

to make a claim. 

Please note that you cannot receive both your SMP and basic pay within the same 

week. Therefore, if you return to work part-way through a week before the end of the 

39 week SMP period, you will lose your SMP entitlement for that week. SMP is 

calculated in weekly instalments; however the start of the week can vary depending 

on the commencement date of your maternity leave. 

If you do decide to return “mid-week” before the end of your 39 week SMP period, 

you could use one of more of your 10 KIT days (see below), to avoid losing SMP as 

noted above. 

As well as SMP, you may be entitled to FSA enhanced pay – see the section FSA 

payments in addition to Statutory Maternity Pay (SMP) 

Pay, benefits and your contract of employment 

Subject to all the requirements set out above, the FSA will enhance your SMP to 

100% pay in the first 12 weeks of your maternity leave. See the FSA's maternity 

webpages for further details. 

If you are on maternity leave (ordinary and/or additional), and providing 

you have given the required notice as detailed above, you will be entitled to 

the following: 

• All the contractual benefits which you were receiving immediately before you 

began your maternity leave (as set out in your most recent Remuneration 

Statement) will continue except remuneration (i.e. wages or salary and any 

contractual allowances) (see sections on SMP and FSA enhanced payments 

above); 

• Holiday entitlement will continue to accrue (see the holiday FAQs on 

Connect+). You should use up your core holiday and bank holiday entitlement 

before you start OML or at the end of your leave period (where possible in the 

same holiday year) before returning to work, i.e. tack your holiday onto the end 

of OML or AML. If you cannot take it at that time you can choose from the 

following options: 

1. Any outstanding holiday for the year which you cannot take before maternity 

leave starts must be taken within 12 months of your return to work, or you 

will lose it; or 



93



your maternity leave period or any time up to the end of the holiday year in 

which your maternity leave ends (see the Holiday Policy - “Holiday 

Payments” section for details of how this will be calculated). Please note, you 

must make this request before the end of the holiday year in which you return 

from maternity leave; 


for as long as you are being paid SMP; and 

• You will be entitled to be considered for Pay Review during maternity leave. 

Any Annual Individual Incentive that you are awarded will be pro-rated by the 

number of working days you are absent due to taking Additional (unpaid) 

Maternity Leave. 

In addition, if you return to work after a period of Additional Maternity Leave and 

work continuously for the FSA for 12 calendar months (other than on authorised 

holiday or sickness absence), the FSA will ensure that: 


continuous service (i.e. it includes the full period of AML and not just the 26 

weeks’ OML); and 


This will cover the full period of additional maternity absence at the contribution 

rate when your maternity leave began. 

If you are unable to return to work following maternity leave due to sickness the 

above pension provisions will not be made until you have returned to work for a 

continuous period of 12 months. 


by OML or AML. The period of maternity leave counts as a period of continuous 



below). 

Your employment with the FSA will continue during OML and AML. During this 

period you will not, of course, be required to work nor will the FSA be required to 

provide you with work, unless you are taking one of your “keeping-in-touch days” 

(see section below for further details). 

If you decide not to return to work after maternity leave, you must give the relevant 

notice as stated in your Contract of Employment. If you fail to give notice and fail to 

return to work at the end of your relevant period of leave (without informing the FSA 

of an authorised reason for absence, such as sickness), you will be treated as having 

94

esigned from the FSA. Your employment and contract will come to an end as a 

result of your resignation. Failure to return to work means you will not qualify for the 

return to work arrangements described below and you will be required to repay any 

enhanced maternity payments made to you during your maternity leave period (i.e. 

what you have been paid, minus SMP). 

Transfer of maternity leave to a partner 

If you propose to return to work early without using your full 52-week entitlement to 

maternity leave (by giving the appropriate amount of notification of your early return 

as set out above), you may transfer up to 26 weeks’ of your outstanding AML and 

SMP to your spouse, civil partner or partner, or the father of your child, provided you 

have returned to work. You must have at least 2 weeks’ SMP remaining. Once you 

have returned to work, this will become their Additional Paternity Leave (APL) and 

Additional Paternity Pay. Your partner does not have to be an FSA employee. 

The earliest that they can start APL is 20 weeks after the day your child was born and 

it must end no later than 12 months after the date of birth. A minimum of 2 weeks 

and a maximum of 26 weeks APL can be taken, depending on the amount of leave 

you decide to take. You spouse/partner’s employer may ask you to provide additional 

information and sign a declaration form to confirm their eligibility to take APL/APP. 

For further information on the FSA’s Paternity arrangement please see the Paternity 

Leave Policy. 

Contact during maternity leave 

Shortly before you go on maternity leave, we will discuss the arrangements for 


contact with you. This may be to discuss your plans to return to work, KIT days (see 

below) or to update you on work developments during your absence, etc. 


If you return to work with the FSA after a period of at least 12 weeks’ maternity 

leave (whether OML or AML), you will be entitled to receive a return-to-work 

bonus. The bonus will be either six weeks’ pensionable salary (at the rate payable 

when your maternity leave started) or £3,300, whichever is the greater. The return-towork 

bonus will be subject to deductions for tax and NIC. 

You may elect to receive your return-to-work bonus at any time up to three complete 



• To be paid between weeks 13 to 24 of your maternity leave. This is in addition to 

SMP entitlement (weeks 1-39); 

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• To be paid between weeks 40 to 51 of your maternity leave. SMP is not paid 

during this period; 

• A lump sum at any point during your maternity leave; or 


Prior to commencing your maternity leave, you will receive a maternity bonus form 

from HR Transactions, allowing you to select one of the above options for receiving 

your payment. 

If you stop working for the FSA within three months of returning to work from 

maternity leave, having received your return-to-work bonus, you will be required to 

repay the full amount. If you have not received it at this time, any such payment will 

be forfeited. 

If you take career leave immediately following a period of maternity leave, and you 

decide to resign at the end of that period, you must pay back the return-to-work 


Shared maternity/paternity leave between FSA employees and the return-to-work 

bonus 

If you and your partner are both employed by the FSA and share maternity/paternity 




To support occasional training, or help keep in touch without losing SMP, the 

Government has introduced 'Keeping in Touch' (KIT) days during maternity leave. 

These KIT days allow the FSA and you to make reasonable contact occasionally 

during a maternity period. In addition, if you are on maternity leave you can still 

work for us for ten days by mutual agreement without losing SMP. An example of a 

KIT day could be to attend a divisional away-day, training or refresher courses. It 

should not be used to introduce friends and colleagues to new family members. 

Important points to note include the following: 

• The KIT days cannot be taken during the 2 weeks compulsory maternity leave; 



• The decision to take a KIT day and when that KIT day will be taken, must be 


• The KIT day will not bring your maternity leave to an end; 



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losing SMP. 

For example, if you are absent from work on maternity leave from Monday 21 May 

for 39 weeks and return to work for two days a month in September, October, 

November, December and finally January you would not lose any SMP. 

Returning from maternity leave 

If you return to work at the end of your full maternity leave period you do not 

need to notify us in advance of the date of your return. Unless you notify us 

otherwise (see below), the date on which you return to work will be: 

• the first working day after the end of your 52 weeks OML and AML; or 

• if you wish to return to work before the end of your maternity leave period, you 

must give your line manager at least 8 weeks’ advance written notice. If you fail 

to do so, your return to work may be postponed to a date that will ensure that the 

notice period is served. 

The job that you will be entitled to return to will be as follows: 

• Returning after OML – you will generally be entitled to return to the same job on 

the same terms and conditions as if you had not been absent. 

• Returning after AML – where possible, you will be entitled to return to the 

same job on the same terms and conditions. If this is not reasonably practicable, 

in which case you will be entitled to be offered suitable and appropriate 

alternative work on comparable terms. 

Breastfeeding mothers 

The FSA provides facilities to new mothers who are breastfeeding and need to 

express milk during the working day. You will be given access to the first aid room. 

Please contact one of the first aiders for your floor. Alternatively you can use one of 

the bedrooms in 25TNC. Please speak to Corporate Security to gain access to these 

rooms. 

Postponement of return to work 

If you are too ill to return to work at the end of your maternity leave period, the 

sickness absence policy and procedure will apply. 


If you wish to vary your working pattern on return from maternity leave, you have 

the right to request a flexible working pattern, as explained in the Flexible Working 

Policy. You might wish to mention to your line manager before you go on maternity 

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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, 

using the appropriate application form. 




This is the FSA's Maternity Policy as at January 2012. 




we will publish any changes on the intranet. 

If you have any questions on how the policy applies, please contact the HR Helpline 




98

Paternity Leave Policy 

Statement of intent and purpose 

The FSA’s Paternity Leave Policy incorporates statutory requirements on paternity 

rights and, in a number of areas, offers more generous provisions than required by 

law so we can support our employees who take paternity leave. 

Principles 


• When returning from Ordinary Paternity Leave (OPL), you will generally be 


not been absent. 

• When returning from a period of Additional Paternity Leave (APL), we will 

endeavour to return you to the same job unless this is not reasonably practicable 

to do so, in which case you will, if practicable, be offered suitable and 

appropriate alternative work on comparable terms and conditions. 

• We will provide you with enhanced pay during Ordinary Paternity Leave and a 

return-to-work bonus where applicable and you are eligible (see below). 


You must: 

• Raise a request for Ordinary Paternity Leave request via Employee Self-service 

on Chrysalis; 

• Comply with all the notification and eligibility requirements detailed in this 

policy (N.B. as these are statutory); 



• Use up your core and bank holiday entitlement before you start Additional 

Paternity Leave or at the end of your leave period (where possible in the same 

holiday year) before returning to work; 


to work; 

• Repay in full any enhanced paternity payments, e.g. return-to-work bonus, if you 

decide not to return to work after your paternity leave; if you leave within three 

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months of your return to work; or after a period of career leave that immediately 

follows your paternity leave. 

See the FSA’s Adoption Policy for information on paternity leave for adopted 

children. 

The policy 

Length of paternity leave 

Ordinary Paternity Leave (OPL) 

Subject to the eligibility requirements below, you will be entitled to take one week or 

two consecutive weeks Ordinary Paternity Leave (not odd days or two separate 

weeks). You can choose to start your leave on any day of the week from: 

• the date of the child’s birth; 

• a chosen number of days or weeks after the date of the child’s birth; or 

• a chosen date which falls after the first day of the expected week 

of childbirth. 

Leave must be completed: 

• within 56 days of the actual date of birth of the child; or 

• if the child is born early, within the period from the actual date of birth up to 

56 days after the expected week of birth. 

You will be entitled to only one period of leave irrespective of whether more than 

one child is born as the result of the same pregnancy. 

You will need to complete the Paternity Leave request via Employee Self-service on 

Chrysalis, as evidence that you meet these eligibility criteria. 

Eligibility for OPL 

You need to satisfy the following conditions to qualify for OPL. You must: 



the 15th week before the expected week of childbirth; 

• have or expect to have responsibility for the child’s upbringing; 

• be the biological father of the child, the mother's husband, partner or civil partner; 

and 

• be making the request for leave to help care for the child or to support the child’s 

mother. 

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Notification requirements before starting OPL 

At least 15 weeks before the week your baby is due, you must raise a Paternity Leave 

request via Employee Self-service on Chrysalis, giving notice of the following: 

• the week the baby is due; 

• whether you wish to take one or two weeks leave; and 

• when you wish your leave to start (see above – Length of paternity leave). 

You should inform the HR Helpline in writing when your baby was born as soon as 

is reasonably practicable after the birth. 




We will respond in writing to your notification of OPL within 28 days, to confirm 

start and end dates of OPL. 

Change in OPL date and early/late birth 

You will be able to change your mind about the date you want your OPL to start 

provided you give your line manager and the HR Helpline at least 28 days’ written 


You cannot take paternity leave or be paid SPP before the birth of your baby. If your 

baby is not born by the date you specified, you can change the date or choose to take 

leave from the actual date of birth or a specified number of days after the birth, 

provided you give at least 28 days’ written notice of the new date or, if this is not 

possible, as soon as reasonably practicable. You must confirm in writing when you 

change your mind about your leave dates. 

If your baby is born before it is due you may not have given notice of your intention 

to claim paternity leave. In this instance you should confirm in writing as soon as is 


Additional Paternity Leave (APL) 

You may be entitled to take up to 26 weeks’ APL within the first year of your child’s 

birth provided that you satisfy all of the qualifying criteria for OPL as outlined 

above, and the mother has returned to work before using his/her full entitlement to 

Additional Maternity Leave. Your partner does not have to be an FSA employee. 

There are a number of additional conditions to APL: 

• the earliest that APL can start is 20 weeks after the date the child is born and it 

must end no later than 12 months after that date; 

• it must be taken in a single block in multiples of complete weeks; 

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• the minimum period of APL is 2 weeks and the maximum is 26 weeks; and 

• a gap is permitted between the completion of the mother’s maternity leave and 

your APL, providing the above conditions are met. 

Eligibility for APL 

You need to satisfy the following conditions to qualify for APL: 



the 15th week before the expected week of childbirth; 

• remain in continuous employment with the FSA until the week before the first 

week of APL; 

• be the biological father of the child, the mother's husband, partner/civil partner; 

• be taking leave to care for the child; and 

• the mother of the child must be entitled to one or more of maternity leave, 

Statutory Maternity Pay or maternity allowance. 

Notification requirements before starting APL 

At least 8 weeks’ before the week your baby is due, you must complete the 

Additional Paternity Leave (Word) form (contact the HR Helpline for a copy) which: 

• gives notice of the date you wish to start and end APL and Additional Statutory 

Paternity Pay (ASPP); 

• gives notice of the date your child is expected to be born; 

• confirms the date the actual date of birth; 

• confirms the purpose of the APL/ASPP is to care for the child; 

• confirms you satisfy the eligibility conditions for APL/ASPP. 

The form also includes a section for the mother to complete to confirm: 

• his/her names, address, and national insurance number; 

• the date he/she intends to return to work; 

• that he/she is entitled to SMP/SAP/maternity allowance; 

• start date of his/her maternity/adoption leave; 

• confirmation that you satisfy the relationship eligibility criteria; 

• that he/she consents to the FSA processing the information in the form; 

• that you are the only applicant for APL/ASPP for that child; and 

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• a signature from the HR department of the mother’s employers. 




We will respond in writing to your notification of APL within 28 days, to confirm 

start and end dates of APL and ASPP. 

Change in APL date 

You will be able to change your mind about the date you want your APL to start 

provided you give your line manager and the HR Helpline at least 6 weeks’ written 


Statutory Paternity Pay (SPP) and FSA enhanced payments 

SPP 

During your paternity leave, you may be entitled to receive Statutory Paternity Pay 

(SPP). To qualify you must meet the eligibility requirements and have average 

weekly earnings at or above the lower earnings limit for National Insurance. – see the 

HMRC website for current SPP rates. 

FSA enhanced pay 

We will enhance Statutory Paternity Pay (SPP) to 100% of your salary for the 2 

weeks of Ordinary Paternity Leave, whether you take 1 or 2 weeks. Please see below 

for details of what you need to do to claim paternity pay. 

Additional Statutory Paternity Pay (ASPP) 

If the mother/partner/civil partner has all or at least 2 weeks of her 39 weeks 

entitlement to Statutory Maternity Pay when she returns to work, this can be 

transferred to you as Additional Statutory Paternity Pay. 

Pay, benefits and your contract of employment 

If you are on APL, and providing you have given the required notice as detailed 

above, you will be entitled to the following: 

• All the contractual benefits which you were receiving immediately before you 

began your APL (as set out in your most recent Remuneration Statement) will 

continue except remuneration (i.e. wages or salary and any contractual 

allowances) (see sections on ASPP above); 

• Holiday entitlement will continue to accrue (see the holiday FAQs on 

Connect+). You should use up your core holiday and bank holiday entitlement 

before you start APL or at the end of your leave period (where possible in the 

104

same holiday year) before returning to work, i.e. tack your holiday onto the end 

of APL. If you cannot take it at that time you can choose from the following 

options: 

1. Any outstanding holiday for the year which you cannot take before APL 

starts must be taken within 12 months of your return to work, or you will lose 

it; or 





your APL period or any time up to the end of the holiday year in which your 

APL ends (see the Holiday Policy - “Holiday Payments” section for details of 

how this will be calculated). Please note, you must make this request before 

the end of the holiday year in which you return from APL; 


for as long as you are being paid ASPP; and 

• You will be entitled to be considered for Pay Review during APL. Any Annual 

Individual Incentive that you are awarded will be pro-rated by the number of 

working days you are absent due to taking Additional (unpaid) Paternity Leave. 

In addition, if you return to work after a period of APL and work continuously for the 

FSA for 12 calendar months (other than on authorised holiday or sickness absence), 

the FSA will ensure that: 


continuous service (i.e. that it includes the full period of APL; and 


This will cover the full period of APL at the contribution rate when your APL 

began. 

If you are unable to return to work following APL due to sickness, the above pension 

provisions will not be made until you have returned to work for a continuous period 

of 12 months. 


by OPL or APL. The period of paternity leave counts as a period of continuous 



below). 

Your employment with the FSA will continue during paternity leave. During this 

period you will not, of course, be required to work nor will the FSA be required to 

provide you with work, unless you are taking one of your “keeping-in-touch days” 

105

(see section below for further details). If you decide not to return to work after 

paternity leave, you must give the relevant notice as stated in your Contract of 

Employment. If you fail to give notice and fail to return to work at the end of your 

relevant period of leave (without informing the FSA of an authorised reason for 

absence, such as sickness), you will be treated as having resigned from the FSA. 

Your employment and contract will come to an end as a result of your resignation. 

Failure to return to work means you will not qualify for the return to work 

arrangements described below and you will be required to repay any enhanced 

paternity payments made to you during your paternity leave period (i.e. what you 

have been paid, minus SPP). 

Contact during paternity leave 

Shortly before you go on paternity leave, we will discuss the arrangements for 


contact with you. This may be to discuss your plans to return to work, KIT days, to 

update you on work developments during your absence, etc. 


If you return to work with the FSA after a period of at least 12 weeks’ of Additional 

Paternity Leave, you will be entitled to receive a return-to-work bonus. The bonus 

will be either six weeks’ pensionable salary (at the rate payable when your APL 

started) or £3,300, whichever is the greater. The return-to-work bonus will be subject 

to deductions for tax and NIC. 

You may elect to receive your return-to-work bonus at any time up to three complete 



• To be paid between weeks 13 to 24 of your APL; 

• A lump sum at any point from week 13 of your APL; or 


Prior to commencing your APL, you will receive a return-to-work bonus form from 

HR Transactions, allowing you to select one of the above options for receiving your 

payment. 

If you stop working for the FSA within three months of returning to work from 

paternity leave, having received your return-to-work bonus, you will be required to 

repay the full amount. If you have not received it at this time, such payment will be 

forfeited. If you take career leave immediately following a period of APL, and you 


bonus in full that you received. 

106

If you stop working for the FSA within 3 months of returning to work, having 

received your return-to-work bonus, you will be required to repay the full amount. If 

you take career or parental leave immediately following a period of APL, and you 



Shared maternity/paternity leave between FSA employees and the return-to-work 

bonus 

If you and your partner are both employed by the FSA and share maternity/paternity 




To support occasional training, or help keep in touch without losing ASPP, the 

Government has introduced 'Keeping in Touch' (KIT) days during APL. These KIT 

days allow the FSA and you to make reasonable contact during the period. In 

addition, if you are on APL you can still work for us for 10 days by mutual 

agreement without losing ASPP. An example of a KIT day could be to attend a 

divisional away-day, training or refresher courses. It should not be used to introduce 

friends and colleagues to new family members. Important points to note include the 

following: 



• The decision to take a KIT day and when that KIT day will be taken must be 


• The KIT day will not bring your APL to an end; 




losing ASPP. 

Returning to work 

If you return to work at the end of your full APL period you do not need to notify us 

in advance of the date of your return. Unless you notify us otherwise (see below), the 

date on which you return to work will be: 

• the first working day after the end of your OPL and APL; or 

• if you wish to return to work before the end of your APL, you must give your line 

manager at least 6 weeks’ advance written notice. If you fail to do so, your return 

107

to work may be postponed to a date that will ensure that the notice period is 

served. 

The job that you will generally be entitled to return to will be as follows: 

• Returning after OPL – you will be entitled to return to the same job on the same 

terms and conditions as if you had not been absent. 

• Returning after APL – where possible, you will be entitled to return to the 

the same job on same terms and conditions. If this is not reasonably practicable, 

in which case you will be entitled to be offered suitable and appropriate 

alternative work on comparable terms. 

Postponement of return to work 

If you are too ill to return to work at the end of your paternity leave period, the 

Sickness Absence Policy and procedure will apply. 


If you wish to vary your working pattern on return from paternity leave, you have the 

right to request a flexible working pattern, as explained in the Flexible Working 

Policy. You might wish to mention to your line manager before you go on paternity 

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 

paternity leave, you should make your application in good time before your return, 

using the appropriate application form. 



Ownership and, updates and query management 

This is the FSA's Paternity Policy as at January 2012. 



It is not contractual and is subject to change at the discretion of the FSA – any 

changes will be published on the intranet. Any questions on the application of the 

policy should be directed to the HR Helpline on extension 67070. 



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Dependant’s Leave Policy 

The FSA understands that once in a while you may need to take time off to care for 

dependants. So we will allow you a reasonable amount of time off work to deal with 

certain unexpected or sudden emergencies and to make any necessary longer term 

arrangements. All employees (male and female), including those on short-term 

contracts, are entitled to this. 

Principles 


• You are not entitled to be paid for time off for dependants (please refer to below 

section on payment), but your manager will consider your request for reasonable 

time off. 


• As soon as practical, tell your line manager the reason for your absence and how 

long you expect to be away from work. 

• Keep your manager informed of any changes that may affect your dependant’s 

leave arrangements. 

• Raise a Dependant’s Leave Absence record via Employee Self-service on 

Chrysalis. 

The policy 

You can take time off: 

• if a dependant falls ill, or has been injured or assaulted; 

• when a dependant is having a baby; 

• to make longer term care arrangements for a dependant who is ill or injured; 

• to deal with a death of a dependant; 

• to deal with an unexpected disruption or breakdown of care arrangements for a 

dependant; or 

• to deal with an unexpected incident involving your child during school hours. 

The illness or injury need not be serious or life-threatening, and includes both mental 

and physical illness. 

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Where a dependant needs to be cared for because of an illness or injury, you can take 

time off work to arrange alternative longer term care arrangements. 

On a bereavement of a dependant, you can take time off to make funeral 

arrangements, as well as to attend a funeral. If the funeral is overseas, then your line 

manager must agree a length of absence which is reasonable in these circumstances. 

There may be times when both parents want, or need to take time off work. We 

would want to adopt a common-sense approach depending on the circumstances of 

the situation. If you need time off for emergencies that are not covered by this policy, 

you must agree it with your line manager. 

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. 

Amount of time off 

The amount of time off will vary with the differing circumstances of an emergency. 

For most cases, one or two days should be enough to deal with the problem. If you 

know in advance that you are going to need time off, you should ask for annual leave 

in the usual way. Or, if the reason you need leave relates to your child, you may be 

entitled to take Parental Leave. 

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. 

Payment during time off 

You are not entitled to be paid for time off for dependants. However, the FSA may 

exercise its discretion and grant paid time off. Where applicable, your line manager 

will discuss the matter with the HR Helpline. Payment will depend on individual 

circumstances and/or hardship. 

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Grievance and discipline 

If you think that you have been unreasonably refused time off, or treated 

detrimentally for taking it, please follow the Grievance Procedure. 

If the FSA thinks that an employee is abusing the right to time off it will be dealt 

with in line with the Disciplinary Procedure. 




This is the FSA's Dependant’s Leave Policy as at April 2009. 





If you have any questions on how the policy applies contact the HR Helpline on 

extension 67070. 



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Parental Leave Policy 

The FSA’s Parental Leave Policy incorporates statutory requirements on parental 

leave rights and offers more generous provisions than required by law, so we can 

support our employees who take parental leave. 

From 8 March 2013, the amount of parental leave will increase from 13 weeks to 18 

weeks for all parents, not just those with a disabled child. This is due to a change in 

employment legislation. 

Principles 


• While the law states that you can take up to 13 weeks (18 weeks from 8 March 

2013) unpaid leave per child and a maximum of four weeks parental leave per 

year, we will normally allow you to take 13 weeks in one calendar year (18 

weeks from 8 March 2013). 

• The FSA can postpone the leave for up to six months where the business would 

be particularly disrupted if the leave were taken at the time requested. 


• You must give your line manager 21 days’ notice, by raising an Unpaid Parental 

Leave request on Employee Self-service on Chrysalis, of your intention to take 

parental leave. 

• You must be eligible to take parental leave (see eligibility criteria below). 

The policy 

Parental leave is the right to take time off work to look after a child or make 

arrangements for your child’s welfare. This leave is unpaid. 

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 (for the purposes of parental leave, a child with a 

disability is one who receives disability living allowance), 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. 

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Length of leave 

A total of 13 weeks leave (18 weeks from 8 March 2013) 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). 

If you work part-time, your entitlement will be pro-rated. 

You will be able to take parental leave in short or long blocks depending on what has 

been agreed with your line management. 

Parental leave is for each child, so if twins are born both parents will get 13 weeks 

leave for each child. 

Taking parental leave 

You can choose to take parental leave any time: 

• up until the child’s fifth birthday; 

• for five years after the child is first placed with the family for adoption (or until 

the child’s 18th birthday if that comes sooner); or 

• in the case of a child with a disability, up until the child’s 18th birthday. 

Returning from parental leave 

If you take up to 4 weeks' parental leave, you have the right as far as possible to 

return to your previous job. If you take more than four weeks, or where parental 

leave follows maternity leave, you are entitled to return to the same job, or, if that is 

not reasonably practicable, another suitable and appropriate job with comparable 

salary, conditions and status. 

Pay and benefits 

Parental leave is unpaid so you will receive no salary or 'flex' account during the 

period of your leave. If the period of your leave is one month or less, your benefits 

will continue. If you take more than one month's leave you will have no entitlement 

to either core or flexible benefits for the period of leave after the first month, with the 

following exceptions: 

• core life assurance (2x salary); 

• statutory holiday (28 days plus bank holidays for full-time employees) continues 

to accrue; 

• redundancy compensation; and 

113

• death in service benefits associated with being a member of the FSA pension 

scheme i.e. dependants' pension (if applicable). 

Procedures for taking parental leave 

Leave must be taken in blocks or multiples of one week, except in the case of 

children with disabilities, where leave can be taken in blocks or multiples of one day. 

In all other cases, part weeks taken will normally be counted as full weeks. 

• You must give 21 days’ notice, Unpaid Parental Leave request on Employee Selfservice 

on Chrysalis, to your line manager. 

• The FSA can postpone the leave (see below). 

• Leave cannot be postponed when you give notice to take it immediately after the 

time the child is born or is placed with the family for adoption. 

• The FSA may ask you to confirm that you are the parent or the person who is 

legally responsible for the child. Any such request will be reasonable and we will 

not check on your entitlement on every occasion on which leave is asked for. 

Postponement of parental leave 

If your line manager considers that your absence would unduly disrupt the business, 

or in other appropriate circumstances then the FSA can postpone the leave for up to 

six months. Your line manager will discuss the matter with you and confirm the 

postponement arrangements in writing no later than seven days after your notice to 

take leave. This will state the reason for the postponement and set out the new dates 

of parental leave. The length of the leave will be equivalent to your original request. 

When you apply to take parental leave immediately after the birth or adoption of 

a child then the FSA cannot postpone the leave. You need to give 21 days’ notice 

before the beginning of the expected week of childbirth (expectant mothers will 

be able to provide this information). In the case of adoption, you will need to 

give 21 days’ notice of the expected week of placement. In rare cases where 

this is not possible, an adoptive parent should give the notice as soon as is 



This policy covers all employees of the FSA. 


This is the FSA's Parental Leave Policy as at February 2013. The policy is owned by 

the HR Division and has been developed in conjunction with the Staff 


114



If you have any questions on how the policy applies, contact the HR Helpline on 




115

5 Health, Safety & Security 

Driving at Work Policy 

The FSA is committed to ensuring the health & safety of its employees whilst at 

work. This policy sets out the requirements and guidance for those individuals who: 

• Use hire cars on behalf of the FSA; 

• Claim mileage for use of private vehicles for FSA business purposes; or 

• Drive on behalf of the FSA, i.e. chauffeurs. 

Principles 


The FSA will: 

• Ensure adequate risk assessments are carried out on those groups who drive for a 

significant portion of their role. 

• Ensure all chauffeurs have access to suitable driver training if required. 

• Will provide suitable alternative transport or accommodation if travel or working 

day exceeds 12 hours, in the event of unforeseen circumstances. This will be via 

Hillgate Travels 24 hour service, phone.0207 462 8280. 


• All employees driving on behalf of the FSA must have a current valid full 

driver’s licence that enables them to drive in the UK. 

• All drivers need to observe normal rules of the road as set out in the 

Highway Code. 

• You should not use handheld mobiles or any other handheld communication 

devices whilst driving. 

• No employee should ever drive if they are over the legal drink driving limit. 

• The use of illegal drugs is prohibited. If using over the counter medicines and 

prescription medicines please ensure you check with either your GP or 

pharmacist about whether it is safe for you to be driving. 

• Employees hiring cars on behalf of the FSA must adhere to the terms and 

conditions set out by the hire car company (currently Enterprise Rent-a-Car). 

116

• All private vehicles must be road worthy and have a current MOT if applicable. 

• All private vehicles must have adequate insurance for business use in the name of 

the employee driving the vehicle and sign a self-declaration on the expenses form 

when driving for business purposes. 

• All drivers of private vehicles must provide any of the above named 

documentation to the FSA if requested. 

Guidance for employees driving for work: 

• All employees should allow a suitable amount of time for the journey 

distance proposed. 

• It is recommended employees take adequate rest breaks from driving and ensure 

this is planned into the journey route. 

• All employees should stop driving immediately if they are noticing signs 

of fatigue. 

• The maximum time an employee should drive for is 9 hours in any working 

day and should not drive and work in excess of 12 hours in any given day or 

24-hour period. 

• If a minibus is used, the employee must have additional training in driving a mini 

bus and provide adequate documentation. 

Useful links: 

Travel and Transport website 

Expenses website 


This policy does not apply to commuting, unless the employee is travelling from 

their home to a location which is not their usual place of work. 

This policy covers all individuals for the FSA at all levels and grades, including 

Directors, Heads of Departments, Managers, Technical Specialists, Senior Advisors, 

Associates, Administrators, Secretaries, Graduates, homeworkers, part-time and 

fixed term employees and agency staff (collectively referred to as employees in 

this policy). 


This is the FSA’s Driving at Work Policy as at December 2009. 

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The policy is owned by the Health & Safety Adviser and has been developed in 

conjunction with the Staff Consultative Committee and the HR Division. 






This policy does not form part of your contract of employment, with the exception 

of FSA Chauffeurs who have additional contractual clauses and working practices 

in place. 

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Eye Test Policy 

Principles 


The Display Screen Equipment (DSE) Regulations 1992 (Amended 2002) relate to 

the correct use of DSE. We place the highest priority on observing the measures set 

out in the regulations and will do the following: 

• Train users in the use of their workstation. 

• Check that DSE users’ desks, chairs and working environment provide the best 

working conditions that are reasonably achievable. Special requirements must be 

supported by a letter from a doctor or specialist adviser, which we will pass for 

consideration to our Medical Adviser. 

• Contribute towards the cost of eye tests and eye care. The FSA will contribute up 

to £20 annually towards the cost of this test carried out by a qualified optometrist. 

If the test reveals that glasses/contact lenses are needed for VDU work, the FSA 

will contribute up to a further £60 towards the costs of glasses/contact lenses. 


• Take responsibility for arranging regular/annual eye tests. 

• Obtain the relevant receipt and written evidence. 

The policy 

To claim for an eye test only – you must complete a staff expenses claim form (see 

“Forms” on Connect+) and attach the receipt from the optometrist showing the value 

of the test. We will reimburse up to £20. 

If you also wish to claim up to £60 towards glasses/contact lenses, your optician must 

provide a written statement to confirm the glasses/contact lenses are required for 

VDU use. We will not be able to reimburse where the statement only confirms 

general use. 

You should forward the completed expenses form, with receipts and VDU 

statements, to the Accounts Payable team to make payment. Please note you do not 

need line manager approval for eye care claims. 



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This is the FSA’s Eye Test Policy as at April 2009. 


the Staff Consultative Committee and the Health & Safety Adviser. 

The policy is not contractual and is subject to change at our discretion – any changes 

will be published on the intranet. 





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Health and Safety Policy 

Detailed information on health and safety matters is contained in the FSA Health and 

Safety Manual, which is available for reference from the Health and Safety Adviser. 


• The Chairman, Chief Executive and Managing Directors wish to pursue a policy 

to promote health and safety at work and seek the cooperation of all employees 

for that purpose. 

• We will provide working conditions that comply with the relevant statutory 

requirements and officially approved codes of practice that are designed to ensure 

good standards of health and safety. 

• Line management is responsible for implementing and maintaining this policy 

throughout the organisation, and will ensure that health and safety considerations 

are given priority in planning and day-to-day supervision of work. 

In so far as it is reasonably practicable we will ensure that: 

• the working environment is safe, there is no risk to your health and that adequate 

provision is made with regard to the facilities and arrangements for your welfare 

at work; 

• we will work with the landlord of shared tenancy buildings to ensure they met 

their duty of care to all statutory obligations and requirements; 

• we provide adequate resources to ensure that proper provision can be made for 

health and safety; 

• risk assessments of equipment, premises, procedures and processes are carried 

out and periodically reviewed; 

• we provide and maintain systems of work that are safe and without risk to health; 

• arrangements for use, handling, storage and transport of articles and substances 

for use at work are safe and without risks to health; 

• we provide you with such information, instruction, training and supervision as is 

necessary to secure your health and safety at work and the safety of others who 

may be affected by your actions; 

• the provision and maintenance of all plant, machinery and equipment is safe and 

without risk to health 

• the place of work is safe and there is safe access to and exit from the workplace; 

• monitoring activities are undertaken to maintain agreed standards. 

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• the health and safety policy will be reviewed at least once a year and will 

be amended and updated as necessary – you will be notified in writing of 

such changes. 


• Take reasonable care for the health and safety of yourself and others who 

may be affected by your acts or omissions. Cooperate with us in fulfilling our 

statutory duties. 

• Read and comply with all relevant rules and procedures regarding safe working. 

• Do not interfere with or misuse anything provided in the interest of health 

and safety. 

The policy 

Accidents at work – accident reporting 

All accidents, injuries and cases of ill-health caused by, or affecting, your work must 

be reported without delay. If you are injured, no matter how slight your injury may 

appear, you must always report it to your line manager, ensure that you are seen by a 

first-aider and that the details of your accident or injury are recorded using the firstaid 

incident form on Connect+. All dangerous occurrences and 'near miss' incidents 

should also be reported in the same way. 

You must not work if you have taken medication or any other substance that could 

adversely affect your ability to operate equipment or work safely. 

If you see a situation in which a potential accident could occur, or where an injury 

could be sustained by anyone in the building, you should report it immediately to the 

Facilities Helpdesk (ext. 69696). 

You must report any damage to FSA or contractors’ property to the Facilities 

Helpdesk (ext. 69696). 

You must read and comply with all notices, instructions, hazard and warning signs 

provided for your information. 

First aid provision 

A number of employees are qualified to give first aid and they retain first aid boxes 

at their work stations. A list of first-aiders, together with their locations, is available 

on Connect. 

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Reporting of Injuries, Diseases & Dangerous Occurrences Regulations 

1995 (RIDDOR) 

We have a policy statement on chronic infectious illness which reflects the 

FSA’s policy of providing a safe and healthy workplace for all employees. 

Further information on the policy and RIDDOR are available from the Health 

and Safety Adviser. 

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 and procedures 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. 

In the event of fire 

In the event of fire, you should do the following. 

• Raise the alarm. 

• Follow the specific building instructions in respect of evacuation and listen to 

instructions from your Fire Marshal. 

• Attempts to extinguish the fire should only be made if it is safe to do so. 

• Assemble at the designated fire assembly point. 

• Do not run, use lifts or stop to collect personal belongings. 

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Bomb alerts 

• Do not re-enter the building until instructed that it is safe to do so. 

It is not possible to be prescriptive about what to do in the event of a bomb warning, 

but the following general rules should be observed. 

• Do exactly what you are told by the emergency services, either directly or 

through the FSA Services Management Team or FSA employees. 

• Do whatever is necessary and sensible to reduce the risk of injury, i.e. if there is a 

known bomb threat and you have not been told to evacuate the building, retire to 

the safest area within your building. This will normally be a building core area, 

away from the risk of broken/flying glass. 

• If you are in the building out of normal working hours and an incident takes place 

(either directly affecting the building or in the close vicinity) the most senior 

person present must take responsibility for notifying the FSA management of the 

situation through the security desk. 

• If you are in the vicinity of an incident away from the office and your 

whereabouts or safety may be uncertain, please telephone your line management. 

• The safety of staff and visitors is always paramount. Never jeopardise personal 

safety in the interest of safeguarding property or information. 

• If the building is seriously damaged as a result of a major incident, which occurs 

outside normal office hours or at a time when you are not present in the building, 

you should not return to the building until you have received instructions from 


• If a major incident such as a terrorist incident has affected the building, you 

should contact the Freephone Incident Information Line on: 0500 078780. It will 

give you an update on the incident and provide advice on any action you may 

need to take. This number can be accessed at any time and you will not be 

charged for the call. 

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. 

Working Time (Amendment) Regulations 2001 

The Regulations relate to limits on working hours and entitlements to rests. We want 

to ensure that we comply with them and will: 

• monitor working hours and keep records of these; 

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• provide free health assessments for night workers and keep records of these. 

• We may require you to keep a record of your working time and rests to assist the 

monitoring process. Please see Hours of Work for further information. 

Secondees, visitors and contractors 

We have a responsibility under the Health and Safety at Work Act (1974) to ensure 

that people who are not employees of the FSA are not exposed to risks to their health 

and safety while working for the FSA or visiting our premises. 


This policy covers all employees. This also applies to consultants, contractors, 

temporary workers and those seconded to the FSA. 


This is the FSA's Health and Safety Policy as at April 2010. 

The policy is owned by the Health & Safety Adviser and has been developed in 

conjunction with the Staff Consultative Committee and the HR Division. 







Detailed information on health and safety matters is contained in the Health and 

Safety Manual, which is available for reference from the Health and Safety Adviser. 

125

Safety when Visiting External Organisations Policy 

Principles 


• We will manage any safety in line with the following principles: 

• We see the safety of employees on visits to external organisations as paramount 

and will take all reasonable steps to minimise genuine risks. 

• Work with you to identify risks and mitigate the risk where possible. 

• Provide guidance on how to minimise risk via this policy. 


• For the vast majority of visits, safety is not an issue, but the purpose of this policy 

is to provide a list of sensible precautions that you should take if you are 

undertaking a visit where safety is, or may be, an issue. 

• Work with the FSA to identify where safety may be an issue. 

The policy 

Identifying situations where safety may be an issue 

The following questions may be indicators of potential risk situations: 

• Is the area that you are visiting potentially unsafe? 

• Are you visiting the firm to discuss a difficult matter/investigate an issue? 

• Does the firm have any known history or is there any knowledge of 'unacceptable 

or intimidating behaviour' towards colleagues? 

• Does the organisation that you are visiting have unconventional premises? 

If the answer to any of these questions is 'yes', you should consider some or all of the 

additional precautions listed below. 

Precautions to take in advance of the visit 

The key to safety is good planning. You need to try and consider all eventualities and 

ensure that you have researched your travel plans prior to any site visits. 

126

Dressing down when attending visits 

Where you are visiting a potentially unsafe area, or an area not normally associated 

with business dress, you may choose to dress down if this would make you less 

conspicuous. However, where there is a possibility that the firm themselves may not 

relax their dress code you may want to confirm prior to the meeting that casual dress 

is acceptable. It may be better to carry your laptop in a different style of bag to avoid 

drawing attention to it. 

Use of Taxis and Hire Cars 

The FSA’s policy on taxis and hire cars is that they should only be used where it is 

cost effective to do so. However, it is acceptable for this policy to be over-ruled 

where safety is an issue. Where possible, this should be approved in advance with 

your line manager. 

Number of Team Members on Visits 

If you are attending a visit on your own and you have identified that it may be a risk 

situation, it may be a sensible precaution to take a colleague along with you. You 

must however, discuss the way forward with your line manager. 

Personal Safety Awareness 

If the nature of your role means that you are exposed to situations where you may be 

at risk, a training course given by the Suzy Lamplugh Trust (a national charity for 

personal safety) may help. Please let your line manager know if you are interested. If 

there is sufficient interest then training will be arranged. 

Alarms 

If you wish to have an alarm then we recommend alarms that have been researched 

and approved by the Lone Worker Directory Service on the Suzy Lamplugh Trust 

website. They can be loaned from the Security Control Room at 25 TNC. 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 

a mobile telephone, or you do not wish to use your personal phone for business 

purposes, speak to your line manager about borrowing one from the phone pool for 

specific visits. 

127

We believe that any violence or threat of violence used against any of our staff is 

unacceptable, in whatever form it takes and regardless of the motivation for it (if 

any). This includes any aggressive behaviour, which leads to stress or intimidation 

for an employee, or any form of physical violence. 

Research the area that you are visiting 

You should ensure that you research your visit beforehand. Maps of areas can be 

obtained from either www.multimap.com or www.streetmap.co.uk, www.theaa.co.uk 

also provide some useful road maps and directions. 

Make sure someone knows where you are 

If you are visiting an external organisation you should make sure that a colleague or a 

family member knows where you are, which organisation you are visiting, who is 

your contact within the organisation and what time you are due to return. If 

colleagues live alone you may wish to consider setting up a 'buddy' system to ensure 

that they arrive home safely following a visit. 

If an incident does occur 

Dealing with a hostile situation 

If you think you are in danger you should try to minimise the chance of 

confrontation. Advice on how to do this is available from the Suzy Lamplugh Trust 

but some basic advice is that you should: 

• Stay calm, speak gently, slowly and clearly and be aware of the tone of 

your voice. 

• Appear calm and confident, keep a relaxed posture and avoid an 

aggressive stance. 

• Do not be enticed into an argument and listen to the individual. 

• Keep your distance. 

• If you think you are in danger – leave. 

Reporting the incident 

Any physical assault, no matter how minor should be reported to the Police in the 

area concerned. All situations where behaviour exceeds normally acceptable limits 

must be reported to your line manager and this will be reported using the standard 

accident / incident reporting procedures. You should report the incident even if you 

think it seems fairly trivial to you. Not to do so could put others at risk. 

128

The information that is collected will be analysed to identify any trends. If potential 

risks are identified in particular areas or at particular firms then further action will be 

taken to ensure that these risks are minimised. 

Sources of further advice 

Risk of Harm Framework 

Health and Safety Officer 

www.suzylamplugh.org 




This is the FSA's Safety When Visiting External Organisations Policy as at April 

2009. 

The policy is owned by the Corporate Protection & Resilience Department and has 

been developed in conjunction with the FSA's Staff Consultative Committee. 







129

Security Policy 

This policy explains the various security arrangements we currently have in place at 

the FSA and related monitoring. At the end of the policy there is a brief reminder 

about the monitoring associated with the Flexitime scheme swipe system. 

Principles 


• A high priority placed on security, both of the people who work here and our 

property (including information that we hold). 


• Understand your responsibilities and contribution to the security of the FSA and 

its people. 

• Cooperate with the security team where required to do so. 

The policy 

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 

130

conduct routine audits of the access log, both for security reasons and to determine 

occupancy rates of 25TNC from time to time. We may also run a check of the log in 

other circumstances, including, but not limited to: 

• an emergency situation where there is a need to check who may be in 

the building; 

• where we have reasonable belief that there has been, or there is about to be, a 

breach of security. 

• where we reasonably believe a criminal offence has been or may be committed; 

• where we reasonably believe a member of staff is in breach of their contract or 

another of our rules (for example, in relation to working hours obligations), or is 

otherwise abusing our trust. 

As a result of a routine audit or a spot check, we may decide to investigate further an 

individual's record of card swipes. Such investigation may include cross-references to 

other logs of information, such as the Flexitime swipe log. 

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: 

• you are guilty of any breach of the FSA's rules and regulations; 

131

• the search will result in the finding of evidence of regulatory breaches; or 

• the search will result in the finding of evidence of criminal activity. 

Any search will be conducted by a member of security, with your consent, in the 

presence of an agreed witness. Where a personal search is necessary, this will be 

carried out by a person of the same sex as the person being searched. The personal 

search may involve you being invited to empty your pockets, bags, etc. No physical 

contact will be made. Searches will be carried out courteously, sensitively and 

discreetly. An individual has the right to be searched in a private room. 

You may refuse to permit the search and there is no disciplinary sanction for this. 

However, as the reasons we ask to search you may amount to misconduct, we may 

invoke the Disciplinary Procedure and inferences may be drawn from your refusal to 

be searched. 

We may at any time invite the police to search, with or without a warrant, FSA 

premises and/or people present on FSA premises who are suspected of criminal or 

other illegal activity. If you refuse to permit the search to take place, your refusal 

may be treated as gross misconduct and action taken in accordance with the 

Disciplinary Procedure. 

Photography on FSA our premises 

There are many departments in the FSA who work with sensitive commercial 

information. Photography within FSA premises is a potential risk to the security of 


Where there is commercial photography or filming inside our premises, the 

photographer will need authority from the Press Office. Photographers must always 

be hosted and escorted into the building and must have a specific brief as to what 

they can and cannot photograph. Security must be notified in advance of any 

commercial photography within FSA premises. 

If you or one of your visitors wish to take photographs inside our premises for 

personal reasons, this is generally restricted to public areas such as reception. If you 

wish to take photographs inside office areas, you must seek permission from the 

Corporate Protection and Resilience Department, who will not generally object, but 

will make certain you are aware that you are restricted from photographing 

documents, security devices, computers and data rooms. 

Flexitime – swipe system 

Our Flexitime scheme requires participants to swipe in and out on the floor on which 

they work, using the Flexitime swipe machines. Swiping results in an automatic log 

of your identity and the time of swiping. These logs are routinely reviewed both to 

administer and audit the Flexitime scheme. The logs may also be subject to random 

132

checking, including cross-checking with the security system time-logs, in 

circumstances such as (but not limited to): 

• auditing overtime claims by cross-checking records to ensure there are no claims 

under both the Flexitime and overtime rules for the same time period; 

• where we reasonably believe a member of staff is in breach of their contract or 

another of our rules (for example, in relation to working hours obligations), or is 

otherwise abusing our trust; 

• where we reasonably believe a criminal offence has been or may be committed; 

• where we have a reasonable belief that there has been, or there is about to be, a 

breach of security. 

Failure to comply with the rules in this policy may lead to disciplinary action being 

taken against you, including dismissal. 

Please note that this policy does not form part of your Contract of Employment. It 

will be reviewed, updated and amended from time to time and it is important that you 

familiarise yourself with any changes. 

Contractual information (start) 

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 

133

need it. If you do give your password to anyone, you must change your password as 

soon as practical afterwards, by using the change password option, or by contacting 

the IS Helpdesk. 

Misuse of the computer system(s) and the data held on them, which causes or could 

cause embarrassment, loss or inconvenience to the FSA, its regulated firms or any 

other organisation about which we hold or are able to access information, will be 

regarded as a disciplinary offence, which could result in dismissal. 

Please refer to the Disciplinary Procedure for further information. 

Security over the telephone/fax machine 

You are reminded that there is no guarantee of security over the telephone network. 

All telephone conversations should be conducted with this in mind. 

Caution must be exercised when transmitting confidential and sensitive data by fax to 

ensure that confidentiality is maintained by all parties. 

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 all grades of FSA information and certain grades of 

Government-owned Protectively Marked information without further screening 

(subject, in each case, to having a business need to know the information). 

Some posts, whilst not requiring employees to have access to Protectively Marked 

information, need post-holders to have constant access to sensitive FSA information. 

Post-holders should therefore be screened at regular intervals to validate that they 

continue to meet the Fit and Proper Test for Approved Persons. The FSA has set its 

risk appetite at 5 years for re-screening designated post-holders, which is the elapsed 

period since initial screening or last re-screening if still in a designated post. If the 

individual leaves a designated post, the requirement for re-screening lapses, but a 

person will be re-screened if they subsequently move to another designated post and 

more than 5 years has elapsed since last screening. 

For constant and regular access to the higher Protectively Marked material, the 

Cabinet Office policy requires individuals to be security vetted in line with National 

Security Vetting (NSV) standards. Additionally, for some roles, NSV clearance may 

be specified to recognise the fact that the appointment gives the post-holder 

opportunities to damage the national interest or has a sufficient impact on reputation 

to require a higher degree of assurance than the Fit and Proper Test for Approved 

Persons. 

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 

134

e 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. 

Personal and FSA property 

You are responsible for ensuring that any of the FSA’s property in your possession is 

properly safeguarded and kept secure at all times. Any loss should be immediately 

reported to the Security Control Room. 

We do not accept responsibility for loss of, or damage to, private property (including 

cash). You should ensure that personal property, especially handbags, are not left 

unattended and are locked away. Any missing article should be reported immediately 

to the Security Control Room on ext. 63838. 

On leaving the FSA’s employment, you must ensure that you return all equipment 

and other items belonging to the FSA. 

Contractual information (end) 

Please report any photography inside our premises that you are suspicious of or that 

you believe has not been approved. 


This policy covers all permanent and fixed-term employees. 


This is our security policy as at May 2011. 

The policy is owned by the Corporate Protection & Resilience Department and has 

been developed in conjunction with the Staff Consultative Committee. 






This policy does not form part of your contract of employment, unless 


135

Travel Health Policy 

Principles 


The aim of this policy is to minimise risks, as far as is reasonably practicable, to 

the health of staff who undertake business travel, and to minimise the impact of 

travel-related ill-health. 

The FSA will ensure that all employees who travel on business are: 

• adequately prepared for their journey; 

• fit to undertake that journey; 

• briefed with journey specific travel health advice and receive 

necessary vaccinations. 


• Take the precautions as set out below. 

The policy 

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. 

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Pre-travel preparation – role of the OHA 

Specialist travel health advice is available from the on-site OHA, who can be 

contacted on extension 63900. The OHA will provide pre-travel advice and details of 

the necessary vaccinations. 

If you undertake business travel, you are encouraged to make an appointment with 

the OHA (through the HR Helpline) four to six weeks before departure to allow 

sufficient time to ensure adequate protection. 

In addition to assessing your fitness to travel, the OHA will provide: 

• advice on the management of any pre-existing health conditions that may be 

adversely affected by international business travel; 

• journey specific and any other necessary travel health education and information 

using the TRAVAX database; 

• referral to a Health Centre for travel vaccinations as appropriate to risk by 

destination; 

• emergency response traveller’s first-aid kit according to risk by destination 

• sterile medical equipment pack as required according to risk by destination 

• advice on the risks of malaria and its prevention, and malaria tablets for those 

travelling to malarious areas. 

Anyone who requests Mefloquine will be required to complete a checklist and be 

seen by a medical practitioner. 

At the end of the consultation you will be asked to sign a declaration stating that, to 

the best of your knowledge, you have received the appropriate travel health advice, 

immunisation(s) and/or malaria prevention medication appropriate to the 

country/countries you are visiting. 

If you refuse the recommended immunisation, the OHA will inform your line 

manager and the Health and Safety Officer, who will consider the health and safety 

implications. This is to ensure that, as an employer, FSA we fulfil our duty of care to 

you and that, as an employee, you are not in breach of health and safety legislation. 

This could include a decision that you do not travel on business to the high risk area. 

Post travel assessment 

If you have concerns about your health following a period of overseas business 

travel, you should contact your GP. 

A post-travel health assessment should be carried out in the following circumstances. 

• If you experience any travel-related medical condition while abroad. 

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• If you have a chronic disease or medical condition. 

• If you experience a fever, diarrhoea, vomiting, jaundice, urinary disorders, skin or 

genital infections in the weeks following your return from travel. 

• Following a long stay abroad (i.e. three months or more) 

• If you fall ill following your return to the UK. 

A medical assessment may include an appointment with the OHA, completion of a 

post-travel health assessment questionnaire, or an appointment with a physician. 

Staff travelling to low-risk areas 

If you are travelling to Western or Central Europe, North America, Australia or 

New Zealand, you need only contact the OHA if: 

• you have specific concerns regarding your trip; 

• you intend to hire a car and drive abroad, in which case you should carry a 

first-aid kit with you, which is available from the OHA; 

• you fall ill on your return. 

• You should also ensure, through your GP, that your British Vaccination Schedule 

is up to date. 


The policy applies primarily if you are travelling to 'high risk' areas (i.e. areas other 

than Western and Central Europe, North America, Australia and New Zealand). 


This is the FSA's Travel Health Policy as at April 2009. 









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6 Joining the FSA 

Recruitment Policy 

We believe the FSA’s success depends on having the right people in the right jobs 

within the organisation. 

The purpose of the FSA’s Recruitment Policy is to provide a framework to ensure we 

recruit, retain and develop the best person for each job. 

Principles 


We will manage any recruitment in line with the following key principles. 

• We will treat applicants fairly and, where necessary, we will vary our selection 

processes to accommodate the needs of disabled applicants. 

• We will recruit people who not only have the right skills and behaviours for the 

job, but who also have a strong commitment to the FSA and our aims. 

• We will train our recruiters and use selection processes that are fair, consistent 

and objective. 

• We will provide successful applicants with the training, coaching and 

development they need to do their job. 

• We will encourage employees to develop their careers within the FSA; however, 

promotions will only take place following an open advertising process. 

• We recognise the diverse community in which we operate and encourage 

applications for jobs from applicants irrespective 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 factor that is irrelevant to the 

job). 

• We will not tolerate any form of discrimination in the workplace. 

• There may be managed moves, as described in this policy, whereby we may not 

advertise a specific role. 


We expect employees to: 

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• apply for jobs using the FSA’s recruitment process; 

• declare any performance improvement or disciplinary warnings to the 

recruiting manager; 

• inform your line manager if you are applying for an internal vacancy. 

The policy 

• Where possible, vacancies will be openly advertised using the FSA's online 

recruitment system, unless there is a good business reason for not doing so. 

• Applications will be submitted for jobs using the FSA's online 

recruitment system. 

• Shortlisting will take place against the essential and desirable criteria for the 

job, and interviews will take place using a range of competency based and 

technical questions. 

• The assessment process will be tailored to the requirements of the vacancy and 

will comprise one or more of a range of exercises, e.g. interview(s), role play, 

in-tray exercise, presentation, tests, etc. 

• The job will be offered to the best person for that job, taking into account the 

essential and desirable criteria for the role. 

• All applicants will be informed of the outcome of their application in a 

timely manner 

• Applicants must meet the FSA’s standard for referencing and vetting, including, 

but not limited to, the right to work in the UK, satisfactory credit checks, 

employment references, criminal record checks and, where necessary, HMG 

Security Clearance (see the Security Policy for further information on checks). 

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; 

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• 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 Tenure for Supervisory Managers Policy); and 

• told the recruiting manager if you have a live performance improvement plan or 

disciplinary warning. 

During the recruitment process: 

• If you are invited to the final stage of the recruitment process, before attending, 

you must: 

• provide the recruiting manager with a copy of your last appraisal and; 

• inform the recruiting manager if you have a live performance improvement plan 

or disciplinary warning 

• Following the recruitment process: 

If you are successful: 

• you will be expected to remain in your new role for a minimum period of 

12 months. 

• If you are unsuccessful: 

• you will receive feedback as to why; 

• you are encouraged to discuss the feedback with your current line manager and 

address any development points. 

Transfers to new jobs will normally take place within four weeks of offer (plus any 

leave that has been agreed during this period), unless the line managers of the 

respective areas agree otherwise. When agreeing a transfer date, line managers will 

need to take existing and new priorities into account. 

Connect a friend policy 

You can receive an incentive payment for introducing candidates for permanent or 

fixed term contract positions in excess of 12 months. Please see the Connect a Friend 

Policy for conditions. 

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 develop 

further the skills, knowledge and behaviours valued by the organisation. 

141

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. 

Re-employment 

Former employees whose previous employment with the FSA proved satisfactory 

may be re-employed, subject to the normal recruitment process. 

Circumstances where jobs might not be advertised 

• There will be occasions when jobs are filled without advertising the vacancy. 

This will generally only happen in the following circumstances: 

• Where speed of movement is the primary consideration. 

• Where a managed or ‘directed’ move is a key element in someone’s career 

development or will help the FSA spread new ideas and practices across 

the organisation. 

• Where the skills and behaviours required for the new job are confined to very few 

individuals within the FSA. 

• Where employees at risk of redundancy need to be redeployed directly into a job. 

• Where divisions reorganise and one or more of the above points apply. 


This policy covers all employees who have successfully completed their 

probationary period. 


This is the FSA's Recruitment Policy as at October 2010. 









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Probation Policy 

The FSA believe it is important to have a probationary period because it gives the 

employee the opportunity to understand what is required of them in the job and an 

opportunity to demonstrate that they are able to apply the technical and behavioural 

skills and attendance levels required. 

The probationary period also provides an opportunity for the FSA to provide the 

training and coaching required in the job, and for the line manager and the employee 

to discuss progress in the job. In this way, the employee can ascertain whether this is 

the right job for them, and the FSA can ascertain whether the employee is right for 

the job. 

If there are any problems with performance, behaviour or attendance during the 

probationary period, the line manager will talk to the employee and identify ways 

of providing support to address any problems. 

The purpose of this policy is to provide a framework for managing probationary 

periods in a fair and consistent way. 

Principles 


During your probationary period you can expect your line manager to do as follows: 

• Make you aware of the standards required of you. 

• Let you know how your performance will be measured. 

• Provide training and support to help you meet the standards required. 

• Review your progress against the standards required. 

• Meet with you to discuss your progress and agree any additional support that is 

needed to help you meet the standards required. 

• Make you aware of the consequences of not meeting the standards. 


We expect you to do as follows: 

• Talk to your line manager if you are unclear about the standards expected of you. 

• Let your line manager know at an early stage if you are struggling to perform 

to the standards required of your job – they will then be able to provide the help 

you need. 

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• Apply any training, coaching or other support provided to help you in your job – 

and ask if you need additional help. 

• Take personal responsibility for undertaking your job to a satisfactory standard. 

The policy 

• Line managers will provide the induction required for the role. 

• You will have objectives that explain what is required in the role and how you 

will be measured. 

• Your line manager will meet with you during your probationary period to discuss 

progress in the job, where you are meeting or exceeding the requirements of the 

role and where you need further development. 

• Appropriate training, coaching or development will be put in place. 

• Any issues or problems will be managed in accordance with the appropriate 

FSA policy. 

• You will be told the status of your probationary period e.g. is it completed 

to our satisfaction, is an extension required, or are we considering ending 

your employment. 

Dealing with problems during the probationary period 

Absence due to sickness 

All sickness should be managed in line with the FSA’s Sickness Absence Policy. 

If you are absent for a significant part of your probation due to sickness and there’s 

an underlying medical condition, which is likely to be considered a disability under 

the Equality Act 2010 or because of pregnancy, line managers can get help from 

Occupational Health through the HR Helpline. 

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 

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We expect employees to comply with reasonable instructions, the terms of 

their contract of employment and the FSA’s conduct, policy, security and 

compliance standards. 

Cases of misconduct should be managed in line with the FSA’s Disciplinary 

Procedure. Line managers should speak to the HR Helpline if they need any advice 

or guidance. 

What to do at the end of the probationary period 

At the end of the probationary period (which is stated in your contract), the line 

manager needs to decide whether: 

• you meet the required standards and your employment is to be confirmed; 

• they need more time to assess you and want to extend the probationary period; or 

• you have not met the standards set and they want to end your employment. 

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. 

Extend the probationary period 

Generally, the probationary period provides enough time to assess an employee’s 

performance and behaviour, and should only be extended in exceptional 

circumstances. If an improvement in performance or behaviour is still required, or the 

line manager wants to make sure any improvement can be maintained, it may be 

appropriate to extend the probationary period. 

Line managers may also want to extend the probationary period, if the employee has 

had a large amount of time off sick during this period or their time-keeping or 

attendance has been a problem. 

Timescales for extensions will vary according to the individual case; however, a one 

month extension should be generally provide sufficient time for review. It is unlikely 

that any probation would need to be extended by more than three months – line 

managers should contact the HR Helpline for advice if this is the case. 

If the probationary period is extended, the line manager must clearly outline what the 

employee needs to do to meet the required standard. 

145

End employment 

Ending an employee’s employment either during or at the end of their 

probationary period is regarded as a dismissal and the FSA’s Dismissal 

Procedure must be followed. 

Who is covered by this Policy? 

This policy covers all FSA employees who are in their probationary period. This is 

stated in your contract: 


Job Title Probationary Period 

Head of Department, Manager & Associate: Six months 

Administrator/Secretary: 

Three months 

Job Title Length of contract Probationary Period 

Head of Department, Manager & 

Associate 

: 

Less than 1 year One month 

One year and over Three months 

Administrator/Secretary: Less than 1 year One month 



One year and over One month 

This is the FSA’s Probationary Policy as at August 2010. 







146


This policy does not form part of your contract of employment. Your contractual 

probationary period is stated in your contract of employment. 

147

Tenure Periods for Supervisory Managers 

As part of the FSA’s drive for continuous enhancement of its supervision of firms, 

we operate a presumption of minimum and maximum tenure periods for employees 

at Manager level working in a supervisory area. 

The purpose of the FSA's Tenure Policy is to provide a framework to ensure that key 

personnel responsible for the management of relationships with firms: 

• Have sufficient familiarity with the business and personnel of the firm to ensure 

appropriate supervision at all times 

• Do not provide others with the opportunity to form erroneous perceptions of 

over-familiarity with the firm. 

Principles 


We will manage the tenure requirements in a way that: 

• Takes account of operational requirements 

• Does not unreasonably restrict opportunities for promotion. 


We expect affected employees normally to: 

• remain in post for at least 2 years after being appointed to manage the 

relationship with a particular firm 

• move to another role after a maximum of 5 years managing the relationship with 

a particular firm 

• discuss with line management the appropriateness of applying for promotion 

opportunities that occur within the first 2 years in the post 

• have their Director’s permission to apply for other roles, including promotion 

opportunities, that occur within the first 2 years in post 

• be ineligible to apply for career leave or secondment opportunities during the first 

2 years in post 

Summary of the tenure process 

• tenure requirements will be included in advertisements for appropriate roles 

• tenure will be monitored under the Finance reporting process 

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• the tenure period will start on the day the appointment is taken up 

• probation and induction training will count towards tenure periods for 

new recruits 

• continuous periods of absence of more than 3 months will not count towards 

tenure calculation but will be added to time actually at work to calculate 

minimum and maximum periods 

• Line managers will consider whether it is appropriate to continue an absentee’s 

allocation to the firm or whether to allocate to a new role on return from absence 

• Line managers and affected employees will discuss the arrangements for moving 

to another role at least 3 months before the 5 year period expires 

• Employees who have completed the maximum period of 5 years managing 

the relationship with a particular firm will not be able to return to that role for 

at least 2 years 


This policy covers all employees at Manager level working in a supervisory area. 


This is the FSA's Tenure Policy as at April 2009. 









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Relocation Policy 

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 


• When we offer you a role, we will agree any financial assistance that might apply 

in respect of your relocation. This will be confirmed in writing. 

• The Divisional Director, in conjunction with the relevant Recruitment contact, 

will consider the facts of the case before communicating their decision in respect 

of any relocation assistance. 

• Reasonable relocation assistance will only be provided to newly appointed 

employees, or employees transferring between the FSA’s London and Edinburgh 

offices, following written agreement by the Divisional Director. 

• Payment will be made through the Staff Expenses Process, supported by receipts 

and authorised by the appropriate level of manager as set out in the Expenses 

Policy. 

• Any agreed relocation assistance is 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. 

150


• You will not pay for or commit to any relocation expenses until the FSA’s 

relocation assistance has been confirmed in writing. 

• You will provide the FSA with original receipts and invoices from all relocation 

expenses, in line with HM Revenue & Customs (HMRC) guidance (see below). 

• You will only spend the relocation assistance on items authorised by HRMC 

guidance. 

The policy 

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 

151

liability incurred as a result of receiving relocation assistance. The first £8,000 is 

exempt from tax providing that certain conditions are met, including that the new 

property is your main residence. Relocation costs above £8,000 (as at 2010) are a 

taxable benefit. The FSA is not responsible for tax advice on these matters so you are 

responsible for seeking advice and following legal guidelines as exist from time to 

time. 

Relocation must be completed before the end of the tax year (5 April) after the one in 

which you take up your new position. 

The relocation assistance may be spent on, but is not limited to, the following goods 

or services, as in line with the HMRC guidance: 

• transporting your belongings to the new residence; 

• domestic goods for the new residence; 

• legal fees associated with the selling of your existing home or the buying of a 

new property; and 

• associated travel and subsistence costs. 

See HMRC guidance for full details of the goods and services that are covered under 

the tax exemption threshold and any conditions. 

Repayment of relocation assistance 

You will be offered relocation assistance only if you agree (in advance) to the 

repayment terms in the event that, within 2 years from the date of payment of 

relocation expenses, your employment is terminated for reasons of resignation, 

dismissal for capability or conduct. Those offered relocation assistance will be 

required to sign an agreement to this effect. Repayment will not, however, be 

required if the reason for your termination of is redundancy. 

The amount payable is reduced proportionally and is as follows: 

Period of service (from the date of 

payment of relocation assistance) 

Leaving within 0-6 months 100% 



Leaving within 18- 24 months 25% 

Amount to be repaid (as % of total 

expenses) 

152

In the event that you do not relocate within the required timescales (see Authorisation 

below), you will be asked to repay all of the relocation assistance given. 

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. 


This policy covers all employees excluding secondees. 


This is the FSA's Relocation Policy as at September 2010. 

The policy is owned by HR Division and has been developed in conjunction with the 

FSA's Staff Consultative Committee. 

Relocation assistance is discretionary. It is not a contractual entitlement and the FSA 

reserves the right to withdraw it at any time - any changes will be published on the 

intranet. 





153

7 Leaving the FSA 

Leaving the FSA Policy 

If you leave the FSA for any reason we will manage your exit in a fair and 

consistent manner. 

The purpose of this policy is to outline the FSA’s arrangements for managing 

employees who are leaving the organisation and your obligations during this period. 

Principles 


• We will process your resignation in an accurate and timely manner. 

• We will pay you salary and benefits up to your leaving date. 

• We will pay your final salary and any other monies owing to (subject to any 

deductions if any) you on pay day of the month that you leave – providing we 

have received your leaving details before our payroll cut-off for that month. 

• We will pay your final salary and any other monies owing to you on pay day 

of the month after you leave if we receive your leaving details after our payroll 

cut-off in the month that you leave. 

• We will deduct any monies you owe us from your last salary payment – and 

where there are insufficient funds available, we will expect you to send us a 

cheque for the outstanding sum. 

• We will pursue all lawful means to recover any monies you owe us. 

• Other than where we may terminate your employment summarily with or without 

payment in lieu of notice we will give you notice to terminate your employment 

in line with your contract of employment or statutory requirements – whichever is 

the greater. 

• We will pay you in lieu of the balance of any notice owed if, for any reason, we 

are unable to give you the notice required by your contract or the law or if we 

elect to pay you in lieu of notice. 

• We will provide you with a standard reference providing you have given us 

written permission to do so. 

• We will ask you to complete an online exit questionnaire. This questionnaire is 

anonymous and managed by a third party, and will give you an opportunity to say 

154

what you liked about the FSA, why you are leaving, and what you did not like 

about the FSA. 


• Give us notice of your resignation in line with the timescales provided in your 

contract of employment. 

• Work your agreed notice period and maintain high standards of work and 

behaviour during this time. 

• Provide us with timely and accurate details of holidays and monies owed e.g. 

sponsored studies, return-to-work bonus following maternity/adoption/Additional 

Paternity Leave, season ticket loan. 

• Give us written permission to provide references for you (if you want us to do 

so). 

• Talk to your line manager if you want to leave earlier than the end of your notice 

period and establish whether the business can accommodate this. 

• Repay any monies you owe to the FSA in your final salary payment – and where 

insufficient funds are available, to pay any balance owed by cheque. 

What you can expect of your line manager 

• Listen to your reasons for wanting to leave earlier than the timescales 

required by your contract of employment, and to make a decision based on 

business requirements. 

Pay review 

You will not be entitled to be considered for Pay Review or the Annual Individual 

Incentive Plan if you are under notice (given or received) up to 31 March. 

Summary of the process 

• Notice is given that you will be leaving the FSA. If you resign from the FSA you 

must complete the Resignation Form (under “Forms” on Connect+) 

• You provide information relating to holidays and monies owed e.g. sponsored 

studies, return-to-work bonus following maternity/adoption/Additional Paternity 

Leave, season ticket loan 

• You agree earlier leaving date with line manager (where appropriate) 

• Revised leaving date is provided to the HR Helpline (where appropriate) 

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• Resignation is processed by HR Transactions and any outstanding payments are 

made 

• You return all FSA property on or before the termination date 

• References provided to future employers on request 

The policy 


This section up to “re-employment” contains information that forms part of your 

contract of employment. 

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. 

Notice periods for permanent employees 

The following table shows the notice periods required for employees on 

permanent contracts: 

Job title Employees in their 

probationary period 

Notice from 

the FSA 

Notice to the 

FSA 

Employees who have passed 

their probationary period 

Notice from 


Notice to the 


Director 3 months 3 months 6 months 6 months 

Head of Department One month One month 3 months 3 months 

Manager One month One month 3 months 3 months 

Technical specialist One month One month 3 months 3 months 

Associate One month One month 3 months 3 months 

Administrator/Secretary One week One week 1 month 1 month 

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Notice periods for employees on fixed-term contracts 

The following table shows the notice periods required for employees on 

fixed-term contracts: 

Job title & Contract 

Duration 

Associate and above - up to 

one year 

Associate and above - more 

than 

one year 

Administrator/Secretary - up 

to 

six months 

Administrator/Secretary - over 

six months and up to five 

years 

Employees in their 

probationary period 

Notice from 


Notice to the 


Employees who have passed 

their probationary period 

Notice from 


Notice to the 


One week One week One month One month 

One month One month 3 months 3 months 

One week One week One week One week 

One week One week One month One month 

Summary (i.e. instant) dismissal 

The FSA has the right to terminate your employment immediately without an 

entitlement to notice or compensation if you breach the terms and conditions of your 

employment, are guilty of conduct that brings or may bring the FSA into disrepute 

and/or in the case of gross misconduct (see the Disciplinary Procedure). 

Working your notice period 

You will normally be expected to work your full notice period. However, on 

occasions, following notice either by the FSA or by you, provided we continue to pay 

you your full contractual salary and benefits until your employment terminates in 

accordance with your contract of employment, the FSA is entitled during the notice 

period to: 

• exclude you from the premises of the FSA, and any regulated firm or other third 

party at which you may be working at the relevant time on behalf of the FSA; 

and/or 

• require you to carry out specified duties for the FSA other than your normal 

duties; and/or 

• require you not to communicate in your capacity as an FSA employee with 

firms or organisations regulated by the FSA, other third parties or FSA 

employees or officers. 

• require you to refrain from attending internal and external meetings, or forums 

that may present a conflict or are commercially sensitive in nature. 

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• In addition the FSA is entitled during the notice period to require that you: 

• do not have contact with employees or third parties except as authorised by us 

• do not to carry out all or part of your duties 

• return to us all documents, computer disks and other property belonging to us 

The FSA may in certain circumstances invoke our discretionary right to make 

payment in lieu of notice in relation to all or part of your notice period where you 

have not worked any notice or have worked some of your notice. Such payments 

will be at adjusted salary rate and will be subject to Income Tax and National 

Insurance Contributions. 

On leaving the FSA, you may not claim employment or connection with the FSA 

(other than as a former employee) to any third party. 

We may require you to take any accrued untaken holiday which is above statutory 

minimum holiday during your notice period. 


Retirement 

The FSA does not operate a compulsory retirement age for our employees. If you 

decide to retire from the FSA, you should follow the resignation process as set out in 

this policy. 

Taking pension benefits while continuing to work for the FSA 

If you are a member of the FSA Plan, you are eligible to take your pension benefits 

from age 60 and carry on working for the FSA. We will contact you 6 months before 

your 60th birthday to tell you about your options. 

Money Purchase members 

Members of the Money Purchase section aged over 55 may, subject to FSA approval, 

access their benefits before reaching normal retirement age. Approval is unlikely to 

be given whilst you are in active service but is likely to be granted once you have 

resigned from the FSA. This policy covers all employees who are members of the 

FSA’s Pension Plan. 

Re-employment 

Former employees whose previous employment with the FSA proved satisfactory 

may be re-employed, subject to the normal recruitment process. 

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This is the Leaving the FSA Policy as at October 2011. 


the FSA’s Staff Consultative Committee. 

This policy is not contractual except where specified to be contractual. 






This policy does not form part of your contract of employment unless otherwise 

stated. 

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Employment References 

The FSA will provide employment references when asked and the purpose of this 

policy is to explain the FSA’s approach to providing employment references for 

employees and former employees. 

IMPORTANT NOTE: 

Only the HR Division is authorised to provide employment references for existing or 

ex-employees of the FSA. 

It is a condition of your employment that you do not give employment or character 

references, whether in the FSA’s name or otherwise, for existing or ex-employees. 

See the Employee Guidance pages for information on Confirmation of Employment 

letters for existing employees (e.g. for visa applications), financial references, etc. 

Principles 


We will provide employment references for existing or ex-employees in accordance 

with the following principles: 

• The information we provide will take account of the duty of care we owe to both 

you and the recipient of the reference (usually a prospective employer). 

• We will only provide employment references if you have given us written 

permission to do so. 

• We will agree the wording of any employment references with you if you are 

dismissed or leave through a compromise agreement. 

• All employment references will be issued by the HR Division – line managers 

and colleagues do not have the authority to provide employment references. 

• We will comply with the specific referencing requirements of regulatory bodies 

where different rules, guidelines and timescales apply for certain types of job. 

• We will not provide employment references if you left the organisation more 

than ten years ago – this is because we no longer hold any records relating to 



• We expect you to give the FSA written permission to provide an employment 

reference if you want us to do so. 

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The policy 

The FSA’s employment references procedure is summarised below: 

• If we receive a request for an employment reference while you are still in our 

employment, we will ask you for written permission to provide the reference. 

• If you want us to provide employment references once you have left our 

employment, we will need your written permission to do so. The resignation form 

will include a section that asks if you wish us to provide employment references 

for you. 

• All references provided by the HR Division will follow a ‘standard’ format. This 

means all employment references will: 

o be in writing 

o provide factual information such as: 

o dates of employment with the FSA ; 

o latest position held, e.g. associate; 

o latest division worked in. 

• Provide high-level information about levels of performance, honesty, integrity, 

attendance and timekeeping. 

o We will not: 

o provide verbal references; 

o provide testimonials or open references (e.g. To Whom It May Concern); 

o refer to any legal action or intended action by an employee or former 

employee including Employment Tribunal action against the FSA (unless we 

are required to by law). 

Frequently asked questions 

I am a line manager and have received a request to provide a written 

employment reference for a current/former employee. Can I provide one? 

No. HR Transactions own the employment reference process and no other person in 

the FSA has permission to provide an employment reference for any current or 

former employee. You need to forward the employment reference request to the HR 

Helpline and they will make sure it is dealt with appropriately. 

I am a line manager and a company has phoned me to ask for a verbal 

employment reference for a current/former employee. Can I talk to them 

about the individual? 

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No. The FSA does not provide verbal employment references. Ask the company to 

forward a written employment reference request to HR Transactions in the HR 

Division. HR Transactions own the employment reference process and no other 

person in the FSA has permission to provide an employment reference for any 

current or former employee. 

I have been asked to provide an employment reference for a current/former 

colleague. Can I do so? 

No. HR Transactions own the employment reference process and no other person in 

the FSA has permission to provide written or verbal references for any current or 

former employee. If the request is in writing, you need to forward it to the HR 

Helpline and they will deal with the request. If somebody has called you for a 

reference, ask them to forward a written employment reference request to HR 

Transactions in the HR Division. 




This is the FSA’s Employment References Policy as at October 2009. 









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Redundancy Policy 

The FSA is committed to ensuring that, if redundancies were to become necessary, 

they would be kept to a minimum wherever possible. Our priority would be to find 

alternatives to redundancy. 

This policy sets out measures that the FSA would take to avoid redundancies. It also 

emphasises the importance of consultation with employees as a means of finding 


For occasions when there is no alternative, this policy also sets out compensatory 

payments and other assistance that would normally be available to you (subject to 

conditions). 

Principles 


• In fulfilling the requirements of its business and maintaining 

operational efficiency, the FSA aims to minimise and, wherever possible, 

to avoid redundancies. 

• The FSA is an equal opportunities employer and this policy will be operated in 

accordance with the FSA’s Equality of Opportunity Policy. 

• Those at risk of redundancy will be informed of a potential redundancy situation 

and the reasons for it and will be consulted about ways of avoiding redundancies. 

The FSA will be open about the selection criteria applied, but will respect your 

confidentiality by not making public individual profiles against these criteria. 

• The FSA is committed to redeployment as a means of minimising redundancies 

and will, in line with this policy, work with you to try to find appropriate 

alternative employment within the FSA (see the Redeployment Policy). 

• Where redundancy is confirmed the FSA will normally offer an enhanced 

compensatory payment and other assistance in accordance with this policy 

(subject to you signing a compromise agreement). 

• The FSA is concerned to minimise the degree of disruption and uncertainty both 

for FSA’s business and for employees potentially at risk of redundancy. Subject 

to any time limits imposed by statute or regulation, the FSA reserves the right to 

complete the process described in this policy within a reasonable time. 

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• This policy covers all employees whose appointment has been confirmed 

following a successful probationary period. 

The policy 

Measures to minimise redundancies 

The FSA will consider taking one or more of the following measures to minimise 

potential redundancies: 

• minimising the use of temporary and agency staff; 

• relying upon natural wastage; 

• inviting volunteers for redundancy; 

• restricting external recruitment; 

• providing retraining or redeployment at the same or another job level; 

• any other means agreed by the parties, which may be appropriate in 

the circumstances. 

The FSA’s operational requirements might mean that it is not always possible to take 

particular measures or to take the measures in any particular order. 

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. 

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Consultation: Collective Level 

If a potential redundancy situation arises, which could result in 20 or more 

employees being made redundant within a period of 90 days or less, the FSA is 

required by law to consult with appropriate representatives and provide relevant 

information in a timely manner. For these purposes, the FSA regards the SCC as 

appropriate representatives. 

Consultation will begin as soon as reasonably practicable and no later than the dates 

required by statute which are: 

Proposed redundancies at one 

establishment within a period of 90 days 

or less 

Consultation will commence 

100 plus At least 90 days before notice of termination 

is given (from 6 April 2013, this will change 

to 45 days). 

20 to 99 At least 30 days before notice of termination 

is given. 

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. 

Consultation: Individual Level 

If you are identified as being “at risk” of redundancy you will be notified 

individually. No final decision will be made until the FSA has consulted individually 

with all the employees 'at risk' (which will involve at least one meeting with them). 

At any meeting you may be accompanied by a companion. 

Individual consultation will usually last for a period of 28 days but the period may be 

reduced at the FSA’s discretion. Consultation is an opportunity for you to make 

representations about your selection for potential redundancy and to discuss 


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Where an alternative job is available (see below, Redeployment within FSA), you 

will usually either be offered the alternative job, or given the chance to apply for it. 

The alternative job may involve a trial period. 

Where there is no alternative job, and the redundancy situation still exists after 

consultation, you will receive written confirmation of your redundancy. This will 

include the date of the start of your contractual notice period and the date of 

termination of employment. 

There may be circumstances where the FSA does not require you to work out your 

notice period and will pay an amount in lieu of notice in line with your contract of 

employment. However, if the FSA requires the notice period to be worked, payment 

of any compensatory sums and the provision of outplacement facilities will be 

conditional on you fulfilling your contract of employment unless you and the FSA 

agree to a modification of the contractual requirements. 

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. Right to be accompanied: At the appeal, you may be 

accompanied by a companion, who may be a Staff Consultative Committee 

representative or another FSA employee of your choice who may be a friend or 

colleague. Please note that the fellow employee should not be a member of the HR 

Division. Alternatively, you may be accompanied by a Trade Union official. 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. 

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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; 

• confirmation of continuation in the employee’s original role; or 

• offer of an alternative role 

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 A sum equivalent to the following number of weeks' of 

of: 

an employee’s basic salary at the time of leaving 

More than six months and less 13 weeks. 

than 

two years. 

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. 

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• one week's salary is the equivalent of 1/52nd basic annual salary. A week’s pay is 

that which the employee is entitled to under his or her terms of the contract at the 

date of calculation. The ‘calculation date’ is the date on which the FSA gives the 

employee the minimum notice to which he or she is legally entitled. 

• all calculations are subject to a maximum payment of the greater of one year's 

salary or £100,000 

• payments are inclusive of any statutory redundancy that may be payable; 

• the calculation of number of weeks’ salary for more than 2 years’ service will be 

pro-rated to reflect the actual period of service to the nearest whole month 

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. 


This policy covers all employees whose appointment has been confirmed following a 

successful probationary period. 


This is the FSA's Redundancy Policy as at October 2012. 





168





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Redeployment within the FSA Policy 

The FSA will take steps to find suitable alternative employment for deployees in the 

following situations: 

• At risk of redundancy (see the FSA’s Redundancy Policy); 

• The job is not redundant, but due to medical reasons, an employee is unable to 

perform the full duties of their current role and as a workplace adjustment the 

FSA’s Occupational Health Service has recommended they move to a more 

suitable role. 

Principles 

What you can expect from the FSA: 

• We will attempt to mitigate a redundancy situation, by taking reasonable steps to 

find you suitable alternative employment within an agreed timescale. 

• We will attempt to mitigate a dismissal situation, to find you suitable alternative 

employment, within an agreed timescale, if you are unable to perform the full 

duties of your current role due to medical reasons. 

• Your line manager will act as your sponsor by supporting you in your search for a 

new role. 

• You will be sent all vacancies for your job level and below in advance of any 

internal or external advertising process. 

• Recruiting managers will consider all relevant deployees for any suitable roles 

ahead of any other FSA employees; normally within 3 working days. If deployees 

expressly inform us that they are not interested in applying for the role, then 

recruiting managers will be able to advertise the role internally/externally before 

the end of the 3 day period. 

• Roles at a higher contractual job level than your existing role are considered 

promotions and will therefore follow the normal advertising and selection 

process. You will not receive prior notification of these roles. 

• In supporting you in finding suitable alternative employment, line managers will 

identify any training needs you may have (see ‘Training Requirements’). 

What the FSA expects of you: 

• You are responsible for actively seeking redeployment opportunities and 

applying for internal vacancies. 

• You will undertake any training identified for you to allow you to take up an 

alternative role. 

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• You will keep your manager up to date on roles you are applying for and training 

you have undertaken. 

• You will consider all jobs identified by the FSA as being suitable alternative 

employment; otherwise this could result in the termination of your employment. 

• You will normally have 3 working days from the day you are informed of a 

vacancy to apply for the role. You can ask the recruiting manager for an 

extension to this deadline if you are not able to apply for the role within that 

timeframe. 

Redeployment considerations 

As part of the consultation process (whether formally for at risk deployees, or 

informally for medical deployees), the FSA will work with you to identify 

redeployment opportunities. The factors which are likely to be taken into account 

when considering you for any opportunities which may arise within the FSA include: 

• the extent to which your skills and experience match those required for 

other jobs; 

• your current job level and status; 

• your current salary; 

• location; 

• your adaptability; and 

• whether you have the potential to do the role with training and whether this is 

practicable in the circumstances. 

As far as possible, the FSA will take account of your reasonable wishes when 

considering redeployment opportunities. However, the final decision regarding your 

placement into an alternative job rests with the FSA. 

Training requirements 

If you have the necessary basic skills for a suitable redeployment opportunity and/or 

the potential to acquire those skills through further reasonable training, you will 

normally be considered for redeployment. 

Redeployment may also be considered where a different skill set and/or significant 

training may be involved, but this will normally be by mutual agreement between 

you and the FSA. In all cases the FSA will provide appropriate support to deployees 

during the redeployment process. 

For medical deployees, reasonable workplace adjustments that are identified for the 

new role will be provided by the FSA. Your terms and conditions of employment 

171

may also have to be adjusted (for example, salary or job level), but you will be 

consulted should this be necessary. 

Trial periods 

Whenever an offer of alternative employment is on different terms from your current 

job or the role is substantially different, a trial period will apply. This will be for a 

minimum of four weeks, but may be extended to a maximum of 12 weeks (unless 

extended further by mutual agreement) where retraining is required. 

During this period, you should meet with your manager regularly to discuss your 

progress against any development plan for your new role. 

During, or at the end of this trial period, you or the FSA may give notice to terminate 

the contract of employment if the trial has not been successful. 

Deployees at risk of redundancy 

If you decline to accept a reasonable offer of alternative employment or if you 

unreasonably give notice to terminate your employment during the trial period you 

will not be eligible to receive statutory redundancy pay, or any compensatory 

payments (such as an enhanced redundancy payment) or outplacement assistance. 

Medical deployees 

If you are not successful in securing suitable alternative employment through the 

redeployment process, or you or the FSA decides that the trial period has been 

unsuccessful, your employment may be terminated under the FSA’s Dismissal 

Procedure. 


This policy covers all employees whose appointment has been confirmed following a 

successful probationary period. 


This is the FSA's Redeployment Policy as at October 2012. 









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8 Pay, Reward & Benefits 

Travel & Expenses Policy 

Introduction 

This Travel and Expenses Policy (or “the Policy”) is compulsory and you should 

seek prior authorisation from your line manager should you need to deviate from it. It 

is not possible to set out rules to accommodate every conceivable situation and so 

you are required not only to adhere to the express terms in this policy but also to 

exercise your judgement to ensure that all claims made are within the spirit of the 

policy. Staff should also be sensitive as to what is “reasonable” in the current 

business climate. 

Principles 


We will manage any travel costs and expenses in line with the following key 

principles: 

• all reasonable travel costs and expenses, wholly and necessarily incurred for the 

execution of the FSA’s business will be reimbursed; 

• all such travel costs and expenses incurred are in express compliance with this 

Travel and Expenses Policy and / or expense claims are made within the spirit of 

the Policy; 

• such travel costs and expenses have been incurred in the most cost effective way; 

and 

• the FSA reserves the right to reject or reduce claims that are considered to be 

excessive, are non-compliant with this Policy or are over 90 days old. 

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. 

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When booking travel and incurring expenses please be conscious of the total costs to 

the FSA. You must: 

• ensure costs are necessary and reasonable; 

• travel to meetings and between offices by the most cost-effective mode of 

transport, taking into account journey time as well as monetary cost; 

• state the start and end point of each journey and who you were visiting. This 

information is necessary for all modes of travel; 

• be reasonably flexible in your arrangements and where possible opt for travel 

options that may be restricted in nature but are cost effective and offer value for 

money. If you do opt for a restricted fare the restrictions will be explained at the 

time of booking; 

• book travel through FSA approved agent(s); and 

• ensure that you obtain pre-authorisation to travel from your line manager by 

completing an E-request form. 

It is recognised that there will be exceptional circumstances where it is not possible 

or practical to book travel or 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 Travel. 

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 

FSA staff when making business travel arrangements and complements the FSA's 

Travel and Expenses Policy. You are advised to read the Handbook before 

committing to any travel plans. 


Any attempt knowingly or falsely to claim expenses in breach of the Travel and 

Expenses Policy will result in disciplinary action. 


Process for claiming travel costs and expenses 

Travel costs and expenses that may be claimed and the procedures for claims, 

authorisation and reimbursement are set out below. 

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Approval 

In relation to this policy, the following structure will apply to the approval and 

authorisation of travel costs and 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 COO: the CEO or the Chairman; 

• the CEO: the Chairman; 

• the Chairman: the Deputy Chairman; and 

• Non-executive Directors: the Company Secretary. 

In addition, the Chairman's travel costs and expenses will be subject to an annual 

review by the Audit Committee. 

Authorisation limits 

Over-arching this policy, travel costs and expenses can only be authorised within an 

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. We will advise you of any such issues 

before processing your expense claim so that appropriate adjustments can be made to 

your claim if necessary. 

Reimbursement 

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; 

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• fully completed; 

• appropriately authorised; and 

• claimed in line with this Policy. 

Staff should submit expense claims in a timely manner and as a minimum should 

submit claims within 90 days of the expense being incurred. You can submit single 

items on a claim form and you do not need to wait to claim small value items until 

you have a substantive amount to be reimbursed. Where claims are received and 

the expense is over 90 days old, the FSA reserves the right to refuse payment. 

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 issued, or tube tickets that are retained as you pass 

through the ticket barrier. You should still obtain a receipt where one is available or 

give a full explanation why no receipt is available. This must be included on the 

expense claim form before you get approval from your line manager. 

Detailed guidance on how to complete the expense claim form is available on 

Connect+. 

Corporate American Express charge card 

If you are a permanent member of staff who has passed their probationary period and 

likely to incur significant expenses on FSA business, you should apply for a 

corporate charge card. 

You should claim business expenses incurred using the card on the expense claim 

form, supported by receipts, in the normal way. 

The card company will send you, the cardholder, a statement each month, showing 

all the expenses charged in that month. The cardholder will be responsible for paying 

off the balance on the card each month. We will not reimburse any interest charges 

incurred as a result of late payment for using the card. 

You should only use the card for expenses incurred in carrying out FSA business. 

Misuse of corporate charge cards will be subject to disciplinary action. 

Cash advances 

Cash advances must be obtained via your corporate credit card, by completing an 

Express Cash Application Form available from the Staff Expenses team. 

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. 

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You must keep all receipts and submit an expense claim form as soon as you return 

from the business trip, deducting the advance from the claim. 

Petty Cash processes 

Petty Cash should only be used for emergencies. The normal FSA expenses process 

should be followed where it is not an emergency. We do not anticipate there will be 

many occasions where the normal expenses policy and process cannot be applied. 

The rules and principles set out in the Travel and Expenses Policy apply equally to 

Petty Cash claims. The FSA reserves the right to refuse some or all of a Petty Cash 

claim if it is not wholly and necessarily incurred on FSA business and in compliance 

with the FSA’s Travel & Expenses Policy and may seek to recover the cash for 

invalid claims. 

A more detailed procedures note for Petty Cash can be found in the Petty Cash 

Procedures. 

If there is an emergency and you do need access to the Petty Cash, you will be asked 

to sign the Petty Cash Register and detail who has approved your Petty Cash claim 

together with the purpose of the claim. 

When you have incurred the expenditure, you will then need to complete a Petty 

Cash Expense Claim Form, detailing the expenditure, attaching original receipts, 

getting it authorised, ensuring it is in compliance with the Travel & Expenses Policy 

etc. in exactly the same way that you would complete an expense claim form. 

You will need to return the authorised Petty Cash Expense Claim Form and receipts, 

together with any remaining cash to the Petty Cash owner in your building. 

If you have any questions on this process, please send an e-mail to Financial Control. 

Travel Costs and Expenses by Category 

Air travel 

To ensure that the FSA obtains maximum value for money from its travel spend, the 

following apply: 

• air transport should only be used when it is the most economical and practicable 

method of travel; 

• all air travel on FSA business should be by Economy Class (but see below); 

• flights must, whenever possible, be booked well in advance; 

• fully flexible fares should only be selected when there is a business need to do so. 

Most domestic and European restricted air fares can be changed for a small fee 

even though they may be non-refundable. Therefore, unless there is a high chance 

of complete cancellation, restricted fares should be booked. The Hillgate Travel 

177

team will explain the rules at the time of booking and some fares allow you to 

hold the booking provisionally for 3 days; 

• all flights, including 'No Frills' such as Easyjet and Ryanair, must be booked 

through the FSA's travel and accommodation provider, Hillgate Travel. 

Air travel on FSA business by Business Class will only be permitted where: 

• the flight time is more than five hours (to enable staff to be fit for work on arrival 

where they have a demanding schedule); or 

• there are no seats available in Economy at the time you need to fly; or 

• the Business Class ticket is less or the same price as Economy Class; 

The specific consent of either the Chairman or the Chief Executive Officer must be 

obtained, subject to application of a business need criteria. 

In addition: 

• staff may opt to fly Economy Class instead of Business Class if their schedule 

permits; 

• staff must not change Business Class tickets for Economy tickets thus enabling 

them to obtain a personal advantage such as taking family or friends at the FSA's 

expense. 

• staff must not book travel and accommodation outside of policy limits with a 

view to claiming back the amount that falls within the policy. Staff are not 

permitted to settle the difference themselves. 

Air travel on FSA business in First Class will only be permitted: 

• in exceptional circumstances; 

• with the express and specific consent of, the Chairman, the Chief Executive 

Officer or the Deputy Chairman. 

We will not normally reimburse flights through the expense claim process, but in 

exceptional circumstances, you must support the claim with a valid boarding card or 

a printed ‘non-refundable ticket’ confirmation when using a low-cost airline where 

boarding cards are not available. 

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. If there is a preferred airline arrangement in operation on the 

route you are flying, the lowest available fare from that airline will be offered by 

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your FSA Travel Consultant, along with two other flight options. Additionally, your 

Consultant will offer a no-frills 'Budget' carrier if one flies your route. Using such 

airlines can save considerable amounts of money and must therefore be considered. 

The restrictions of the chosen fare will always be given (restrictions may apply 

regarding changes of flights or routing). You are required to consider using a 

preferred airline so long as it is convenient and economical to do so. 

Currently the FSA have preferred airline agreements with: 

• British Airways and Virgin, who offer up-front discounts, 

• Air France/KLM/Delta who offer an up-front discount on fares for London City 

to Edinburgh, Dublin and Amsterdam. All London airports to Paris. Heathrow to 

Amsterdam and all London airports to New York. 

Your Travel Consultant will also offer to investigate alternative airfares such as 

consolidated (bucket) fares. Such fares are generally restricted in that they carry 

heavy penalties for changing flights and cancellations etc. When choosing a flight or 

ticket option you must choose the most economically advantageous convenient 

option. You are required to make a note of any restrictions in case you need to 

alter/cancel the flight. 

Airline promotions/loyalty schemes 

Airline promotions, such as free Economy tickets with the purchase of a full 

Business Class ticket, must be considered as they may reduce the overall travel costs 

to the FSA. Such promotions should be used for business purposes if possible. Where 

it is not possible to use such promotions for business purposes, and there are no cost 

implications for the FSA, such offers may be used for private benefit. 

Staff may accrue promotional benefits such as BA Miles or Airmiles for their own 

personal use. However, the existence of such benefits must not influence staff when 

choosing an airline. 

Hotels and accommodation 

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. 

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: 

• In Europe: to €200 (Euros) per night, excluding all taxes and breakfast. 

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• For all other countries excluding Europe and North America: to the equivalent of 

£170 per night, excluding all taxes and breakfast; 

• North America: to US $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. 

Subsistence – away overnight 

We will reimburse reasonable out-of-pocket expenses you incur when a journey on 

FSA business makes it necessary to stay away from home overnight. You may claim 

the following for each night whilst you are away: 

• hotel bills as above; 

• breakfast – if not included in the room rate, you may claim the cost of breakfast; 

• lunch, evening meal and beverages, to an overall maximum of £40 a day; and 

• other personal incidental expenses to an overall maximum of £5 a night for travel 

within the UK and £10 a night overseas. Other personal incidentals include 

reasonable personal telephone calls – wherever possible please use your FSA 

mobile phone over a hotel phone; newspapers; reasonable and appropriate 

laundry costs; and beverages. 

It should be noted that the figures quoted above are not flat rate allowances, but 

maximum limits on the amounts of actual expenditure that we will reimburse against 

receipts. 

Where a trip on FSA business necessarily involves more than one night away from 

home, receipted expenditure may be averaged over the number of nights of absence 

to determine the amounts to be reimbursed. However, we retain the right to refuse 

excessive expenditure even when the average is £40 or below per night. 

Subsistence – no overnight absence 

If you are not away from home overnight, but have to incur extra expense on meals 

as a result of having to travel away from your core place of work (e.g. London, 

Edinburgh) on FSA business, you may claim for meals and beverages up to a 

maximum of £10 a day, against receipts. 

Please note that meals purchased in your core place of work (e.g. London, 

Edinburgh) are not a claimable expense. 

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Overseas accommodation and subsistence 

The above rules apply to overseas travel as well as travel within the UK. For travel to 

overseas locations where hotel accommodation and meals are particularly expensive, 

your line manager has discretion to agree higher cost limits than those for UK travel. 

This will allow you, when travelling overseas on FSA business, to obtain 

accommodation and meals of an equivalent standard to that available in the UK. This 

discretion does not apply to the £10 a night limit for the reimbursement of personal 

incidental expenses, which may not be increased. 

Foreign currency must be obtained via the FSA’s approved currency agent or from 

any other cost-effective source. Cash expenses paid in foreign currency are to be 

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. 

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 

Protection & Responsibility 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 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. 

• Travellers are strongly advised to complete a travel profile via 

www.hillgatetravel.com. then in the event of an incident/emergency you can be 

contacted. 

• Expenses - where additional expenses are incurred on the recommendation of 

Corporate Protection & Responsibility a copy of that recommendation should be 

attached to the expense claim form that is eventually submitted. 

Low profile visits 

If you wish your visit to be low profile, with minimum details pre announced, please 

contact Corporate Protection & Responsibility. 

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Rail travel 

Staff must book all rail travel 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. 

'Anytime' fares should only be selected when there is a business need to do so. 

Advance fares are restricted but should be considered when travelling to a meeting 

for a specific time. If inbound flexibility is required you should consider booking an 

'Advance' single outbound and an 'Off Peak' single inbound where timings allow this. 

EuroStar and international rail may be booked in Business Class. 

Business telephone calls 

If you make business telephone calls from home or your personal mobile phone you 

may claim the VAT inclusive cost of the call. Your claim must give details of the 

call, identify the business reason for making it and be accompanied by a copy of the 

appropriate page of an itemised telephone bill, on which the business call is 

highlighted. 

Taxis 

You are expected to use public transport or your own vehicle and we regard it as 

normal practice for you to do so (i.e. when travelling to Central London, use the DLR 

or Jubilee Line). You may only use taxis where it is cost effective to do so. You must 

state the full reason for the use of a taxi on the expense claim form. 

Late night travel – work to home 

We may, in exceptional circumstances, agree to meet the cost of late night travel 

from work to home. Your line manager's specific approval is required and will only 

be given in the following circumstances (in which case the benefit will be tax-free): 

• where you have to work until 9.00pm or later; 

• by the time you can go home, either public transport is unavailable or it would be 

unreasonable to travel alone on public transport at that hour; 

• the late working does not follow a regular pattern (for example, every Friday); 

• you do not work late on more than 60 occasions in the tax year; and 

• the transport is by taxi or similar private road transport. 

You must ensure that you state the specific start and end points of the journey, e.g. 

Bank to Highbury, Edinburgh Airport to Haymarket. It is not sufficient to say “Home 

to Airport”. You must also state the time that you left work / the event. If you do not 

provide these details, the taxi fare will automatically be classed as taxable on the 

individual. 

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Mileage Allowances 

You may use your own vehicle or bicycle whilst on FSA business. By claiming for 

mileage allowances and signing your expense claim form, you will be confirming 

that you hold a valid driver’s licence (if applicable) to drive in the UK, a current 

MOT (if applicable) and that your motor insurance policy covers you for driving on 

FSA business. You will need to produce such documents for the FSA if requested. 

Where it is cost effective to make a business journey using your own vehicle or 

bicycle, you may claim a mileage allowance which provides full compensation for 

such use (e.g. wear and tear, petrol, insurance etc.). The allowance rates are as 

follows: 

Allowance Pence 

per mile 

Post 6 th 

April 

2011 

Managers and above*: 

Cars & vans - all business miles in tax year 30 

Motor cycles - all business miles in tax year 24 

Bicycles 20 

Other staff: 

Cars & vans - first 10,000 business miles in tax year 45 

Cars & vans - each business mile over 10,000 in tax 

year 

25 

Motor cycles - all business miles in tax year 24 

Bicycles 20 

• Managers and above*: includes 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’s 

published mileage and fuel allowances. 

Car rental 

The FSA has negotiated favourable rates with Enterprise Rent-a-Car 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. 

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Entertaining 

Business Entertaining 

“Business entertaining” is defined as including hospitality of any kind, including 

meals, accommodation and gifts – for third parties, i.e. not employees of the FSA. 

You may carry out business entertaining only where it is within budgetary limits and 

where it is likely to help the FSA to further its business objectives, i.e. there is a 

genuine business reason for entertaining customers, suppliers, or other business 

connections in the course of performing your duties of employment. You must use 

our in-house facilities whenever possible. 

Subject to these constraints, you may claim reasonable and appropriate entertaining 

expenses. As a guide, the cost of a meal should not be extravagant or excessive but 

reasonable in relation to the status of the employee and the occasion. 

Details on the expense claim should include: 

• the nature of the entertainment; 

• the total number of people present; 

• the full names of the external guests being entertained and their employer; 

• the full names of all FSA staff who were present; 

• the location of the entertainment; and 

• the reason for the entertaining taking place. 

The most senior FSA employee attending the event should reclaim the expense. 

Where FSA employees are present at the event and their entertaining costs are 

incidental to entertaining the third party, these expenses may generally be classed as 

"Business Entertaining" rather than “Staff Entertaining” and may be reclaimed. 

Staff Entertaining 

“Staff entertaining” is the provision of free or subsidised hospitality or entertainment 

(project completion celebration events, provision of meals, other kinds of hospitality, 

gifts, prizes etc.) to an FSA employee, including an FSA employee’s family 

members, where there is no business purpose for the provision of such entertainment. 

Staff entertaining should be provided only in special circumstances and generally, 

FSA employees cannot claim reimbursement for entertaining other FSA colleagues. 

For clarity, where an event is clearly related to staff entertaining (aside from an 

annual event such as a Christmas or Summer Party, see below), that event will confer 

a taxable benefit on the staff entertained with approximately 70% charged to the FSA 

in addition to the cost of the event itself. The FSA will meet this tax liability on 

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ehalf of its staff only where approval from a Head of Department or Director has 

been obtained and the expense claim form has been counter-signed by them. 

Details on the expense claim should include: 






The most senior employee attending or holding the event should reclaim the expense. 

Staff Entertaining – Annual Event 

The FSA provides one annual event for its employees (normally a Christmas or 

Summer Party) and this event is available to all permanent and fixed term employees. 

Agency staff and contractors may attend the event but for tax reasons must pay their 

share of the cost. Any number of employees can be invited to an event, however 

employees will only be entitled to attend one event in any given tax year. 

The FSA has agreed that for the current financial year an amount of £60 per head has 

been included in the budget to cover the cost of this annual event (note that this is 

lower than the tax free limit of £150 per person set by HMRC). 

The £60 allowance includes VAT, booking costs and the cost of transport and/or 

overnight accommodation if these are provided to enable employees to attend. Please 

note the FSA will not reimburse you for your travel cost home after the annual event 

or for an overnight stay in a hotel (this is simply HMRC’s ‘definition’ of what the 

non-taxable allowance covers.) 

Ordinarily, these annual events will be at Departmental level and there should be 

only one single event for each Department. 

The budget for annual events is held, controlled and administered centrally by the 

Finance Division. All invoices and expense claims should be submitted centrally to 

enable monitoring of the allowance. 

Details on the expense claim or invoice should include: 





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The questions and answers on Connect+ provide guidance on the background and 

process for approval of the costs associated with the annual entertainment events held 

for FSA staff. 

Staff Conferences and Training Days 

Staff conferences, away days and training days are not automatically classed as staff 

entertaining. For such an event to be classed as a business expense (no additional tax 

burden for the FSA) and not staff entertaining (an additional tax burden for the FSA 

averaging at circa 70% on top of the cost of the event), the purpose of the day must 

be mainly business oriented and clearly evidenced as such (a business agenda should 

be available for example). Where there are more "entertaining" elements to the day, 

such as a meal with drinks in the evening, a detailed break-down of costs should be 

obtained so that the FSA can determine whether an additional tax liability is due to 

HMRC. 

The recommended guideline is for 2 such events per annum with a cost of £60 

(including VAT) per head per event. 

Gifts 

The cost of gifts given to staff is not normally reimbursable however, in appropriate 

circumstances and at the discretion of the budget holder; the reasonable cost of gifts 

made to employees will be reimbursed. 

Gifts will be reimbursed where they are provided on personal grounds. This could 

include, but is not limited to, say, a gift of flowers for the following: 

• an employee's wedding; 

• the birth of an employee's child; or 

• bereavement. 

You should state on the expense claim form, the employee's name, the type of gift 

and the reason for the gift being purchased. 

For tax purposes, a gift will generally not be taxable on the employee if it is for less 

than £50 and is made: 

• on personal grounds (examples as above) or 

• as a mark of personal esteem or appreciation (a gift to mark appreciation of work 

done by an employee during a period of secondment). 

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For clarification, gifts of cash or cash equivalents (i.e. cash vouchers and non-cash 

vouchers, infinity awards, Canary Wharf vouchers etc.) are not reimbursable and are 

taxable on the employee regardless of the amounts involved. The FSA grosses up 

these amounts and pays the tax on them. 

Professional subscriptions 

You may claim the cost of the annual subscriptions to any professional bodies, which 

are on 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. 

Tax guidance for mobile devices 

Please read the guidance on Connect+ about tax implications of mobile phones, 

Blackberries, smart phones and iPads. 


This is the FSA’s Travel and Expenses Policy as at September 2012. 

The policy is owned and has been developed by the Finance Division who has liaised 

with the Staff Consultative Committee. 

This policy does not form part of your contract of employment unless otherwise 

stated. This policy applies to all employees and is subject to change at the discretion 

of the FSA – any changes will be published on the intranet. 



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Give as You Earn Policy 

We are registered with the Charities Aid Foundation and run Give as You Earn. 

This scheme enables you to give directly from your salary to the charity/charities of 

your choice. Deductions are made from gross salary before calculation of income tax, 

therefore giving you the benefit of tax relief on these contributions. Donations are no 

longer subject to an upper limit allowing you to contribute as much as you wish. 

For further information on the scheme please contact the HR Helpline on extension 

67070 or complete the online application form. 

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Payment of Salary Policy 

Principles 


We will manage the payment of salaries in line with the following key principles: 

• Your salary will be paid on 23rd of each month into your nominated 

bank/building society account(s). 

• If the 23rd falls on a weekend or public holiday, your salary will be paid on the 

previous working day. Your secure pay slip will itemise pay, deductions and net 

amount paid. 



• Advise us of any changes which may affect payment of your salary, e.g. bank 

account details, before the cut-off date for the effective payroll. 

The policy 

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. 

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Income Tax, National Insurance Contributions and other 

Statutory Deductions 

Tax, National Insurance Contributions and any other statutory payments are deducted 

from your pay on a regular basis. We have a statutory right to make other deductions 

from your pay, for example, if you owe money to the FSA as a result of any 

overpayment of remuneration or expenses or in order to comply with a court order. 

Should you need to communicate with the HM Revenue and Customs, please quote 

reference number 948/TZ03483. This reference number applies to all FSA 

employees. You also need to quote your National Insurance number which appears 

on your pay slip. 

HM Inspector of Taxes, South Wales, 

Government Buildings, 

Ty Glas Road, 

Llanishen, 

Cardiff, 

CF4 5FY 

Telephone Number: 0845 3003949 

HM Revenue & Customs 

National Contributions Office, 

P46 Section, 

Newcastle-upon-Tyne, 

NE98 1YX. 

Telephone Number: 0845 3021479 




Changes in your account details 

You must tell us about any changes required to your bank/building society account 

by updating the “Amend Bank Details” section via Employee Self-service on 

Chrysalis. 

Account changes must be received by Payroll cut-off in that month to allow for 

processing changes. Forms received after these dates will be carried forward for 

action the following month. 



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This is the FSA's Payment of Salary Policy as at April 2009. 





Any questions on how the policy applies should be directed to the HR Helpline on 




191

Salary & Benefits Policy 

The FSA aims to provide a competitive total remuneration package in support of its 

unique position and employee proposition, starting with a fair and sustainable base 

salary aligned to the relevant external market. 

FSA financial rewards comprise base salary, flexible benefits (core and enhanced), 

pension and an annual incentive opportunity. These benefits are offered to all 

employees, both permanent and fixed-term. This policy sets out our reward strategy 

and the approach to determining the total (financial) reward package. 

This section also covers the processes relating to pay transactions e.g. payment of 

monthly salary, reclaiming expenses, payment while on sick leave or maternity leave. 

Also included here is reference to other policy areas which have an effect on salary 

and/or benefits, with a link to the relevant policy where appropriate. 

Principles 


We will: 

• provide you with access to fair and sustainable base salaries; 

• make available to you salary ranges for job families; 

• ensure that salary data / job family information is accurate and up to date; 

• ensure that you receive clear messages about why you receive a particular salary / 

and about your ‘position in range’; 

• provide an annual statement of your total remuneration; 

• provide all other salary and benefits information promptly 

(e.g. salary slips, P60s); 

• ensure that you are treated fairly with regard to rewards – we will conduct an 

annual equal pay audit to ensure the pay review process is deployed equitably; 

• maintain confidentiality surrounding salary and benefits, releasing only on a 'need 

to know' basis; 

• pay overtime only for periods of more than one hour in any day. After that, 

payment will be made for each completed period of 15 minutes worked. Eligible 

full time staff will not be paid overtime until they have worked at least 36 hours 

in the relevant week. Part time staff will be paid overtime at their normal hourly 

rate until they have worked 36 hours in the relevant week. 

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• Payments will be made through the payroll. Please note that the cut-off date for 

inclusion in the payroll is normally the 7th of the month (Staff Expenses 

timetable). 


• It is your responsibility to ensure that you understand your pay position within 

your job family; your line manager will explain this to you. 

• If you do not understand or feel that your salary is incorrectly positioned you 

should raise this with your line manager in the first instance. 

• You should check that your salary details are correct in your monthly payslip. If 

you suspect that your remuneration information (e.g. monthly salary slip) is 

incorrect tell the HR Helpline immediately. 

• Tell the HR Helpline immediately if you change any bank details or if your 

personal circumstances change, as this may affect entitlement and eligibility to 

certain elements of the flex account. 

• You must obtain prior approval from your line manager before working 

paid overtime. 

• Claims must be made monthly, for overtime worked in the previous month, on 

authorised claim forms. 

What are the responsibilities of line managers? 

As a line manager, you must: 

• ensure that your employees are told why their salary is positioned where it is with 

reference to their job family; 

• ensure you treat all employees fairly when allocating salaries and bonuses; 

• keep a written record of all salary and bonus decisions and the rationale behind 

them with reference to peer group comparisons to ensure that we are able to show 

how an employee’s salary has been reviewed and if applicable how a bonus 

amount was decided; this normally takes place annually through the annual pay 

review process; and 

• contact the HR Helpline in the first instance to discuss interim salary reviews or 

retention payments. 

The policy 

Reward strategy 

The FSA’s Reward Strategy focuses on rewarding those who: 

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• demonstrate successful and consistent delivery against objectives; 

• make a significant overall contribution to the FSA’s regulatory goals; and 

• demonstrate the values and behaviours that FSA expects and requires. 

Incentives are available to all employees and are targeted in particular at our 

highest performers. 

Flexible benefits and pensions are provided to all permanent and fixed-term 

employees to complement the FSA’s comprehensive reward package, these form part 

of your total remuneration package. 

This policy section covers the salary elements and benefits available to employees 

and also the process for reviewing salary and bonus. 

The FSA sets its base salaries with reference to the financial and non-financial 

sectors; these benchmarks are used to generate our job families. 

As a general principle, salaries at the FSA are positioned at, or close to, the median 

for the relevant job family and level. Positioning with reference to the median is 

determined by a range of factors including, but not limited to, experience, skills and 

affordability. New staff and those whose experience is limited can expect to be 

positioned initially below the median and, on demonstrating competence against the 

FSA's published Behavioural Framework, can expect to make progress towards the 

median. Some highly experienced staff will be placed above the median to reflect 

their expertise and expected contribution. In any population, it would be expected 

that there will be a range of salaries at, above and below the median of any given 

salary range, consistent with a normal distribution pattern and reflective of a mixed 

population of highly experienced and less experienced employees. 

Elements of remuneration 

All permanent and fixed-term 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. 

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Core Benefits 

These are the benefits provided to all permanent employees by the FSA which sit 

outside the Flexible Benefits Plan and which form part of your Contract of 

Employment. In addition to core holidays (23 days for all full time staff), these 

include life assurance, permanent health assurance and private medical insurance. 

Base salary and Core benefits are contractual elements and form part of your 

Personal Statement of Terms and Conditions of Employment. 

Non-contractual elements of remuneration 

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: 

Flexible Benefits 

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. 

Annual Individual 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. 

Employees will be excluded from the incentive plan if: 

195

- they have given or received notice of termination of employment; or 

- have less than three months’ service at 1 April. 

Other situations: The following employees may be excluded: 

• if they have been subject to sanctions (e.g. warnings) under disciplinary 

procedure within a period to be determined by the FSA in each case; or 

• are on any stage of the Disciplinary and / or Performance 

Management procedures. 

Salary review process 

Salaries are reviewed annually in April. The pay review process is carried out 

in the first quarter of the year following appraisals. All employees (including fixed 

term) are eligible to participate in the annual salary review with the exception 

of employees: 

• with less than three months’ service at 1 April will not be included in the pay 

review for that year; 

• who are on probation will be included (provided they have more than 3 months’ 

service at 1 April) but any increase will not become effective until their probation 

has been confirmed; 

• who have given or received notice of termination of employment; 

• who are under a (‘Stage 2’ or above) Disciplinary investigation (although 

dispensation may be given to Stage 1 investigations); or 

• who have received an interim salary increase between 1 January and 1 April. 

Interim salary review policy 

The annual salary review takes place in April. Most FSA employees will have their 

salary reviewed at this time. However, some circumstances may give rise to the need 

to consider an interim salary review, including: 

• promotions (changes to contractual grades not movement between job families); 

• if an individual has made significant progress within a job family to the extent 

that comparison with the next level in the job family is more appropriate and was 

either not apparent or not taken into account at the previous pay review; or 

• rapid change in external market conditions – although line managers should also 

consider the use of a retention bonus to ease a short-term pressure on salaries 

(see section below) – that mean salaries have risen sharply and the FSA is at risk 

of losing key staff whose departure could affect our ability to deliver against key 

external priorities. 

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Line managers should consult with the HR Helpline for further guidance on making 

interim salary awards, in particular to discuss the risks of losing key staff and 

alternative measures for retaining key skills. 

Interim salary increases are funded by the sponsoring business unit and should be 

agreed by the appropriate HoD, Director and HR Business Partner. 

Retention bonus policy 

The FSA recognises the need to identify and retain key skills in order to deliver 

our business plan. Talent management plays a key role in the identification, 

development and retention of skilled employees. However, in some situations we 

may need to consider paying additional bonus in order to retain certain individuals. 

Examples include: 

• to align with the delivery of a critical project; 

• to keep an individual in position for a particular period of time; and 

• to retain key skills within the FSA. 

Links with other policies 

Pay, rewards and benefits have close links with other policy areas, including 

the following: 

Absences: Pay and Benefits in connection with absences 

See the Sickness Absence Policy for details of sick pay. 

Salary and bonus 

Short and extended absences will not affect pay and bonus, although pay increase and 

payment of bonus will be deferred until the employee returns. 

Long-term absences will trigger (if any bonus payable) a pro rata bonus amount to 

reflect the actual amount of time at work, and therefore your actual contribution. 

If an employee is absent for more than 130 days in the performance year (i.e. for 

more than half the number of eligible working days in the performance year), they 

will not receive a bonus for that year. 

Summary of the overtime process 

In certain circumstances it may become necessary to work additional hours in order 

to meet the demands of a particular project or task. Currently Administrator/Secretary 

grades are eligible to be paid overtime. Eligibility is not a contractual right and any 

paid overtime must be agreed with your Divisional Director before the additional 

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work commences. Overtime will only be paid for pre-agreed project work or 

role-specific tasks that cannot be carried out during normal working hours and such 

exceptional circumstances as agreed by the Director (complete the overtime eform). 

If you are an Associate (with Associate benefits) in the Information Systems, 

Property & Workplace, or Corporate Security areas, you may be entitled to be paid 

overtime (see below). There is no contractual entitlement to overtime working. All 

overtime must be authorised in advance by the Divisional Director. 

Your Personal Statement will state whether you are eligible to receive payment for 

authorised overtime. 

The following overtime rates apply for Administrators/Secretaries: 

Monday to Friday 1.5 x pensionable hourly rate 

Saturday, Sunday and Bank Holidays 2.0 x pensionable hourly rate. 

• 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 

hours to be able to claim pre-approved overtime. After that, payment will be 

made for each completed period of 15 minutes worked. 

• Part time employees will be paid overtime at their normal hourly rate until they 

have worked 36 hours in a week (the equivalent for full time employees). After 

that any approved overtime payments will be paid at 1.5 or 2 times the hourly rate 

• Payments will be made through the payroll. Please note that the cut-off date for 

inclusion in the payroll is normally the 7th of the month. 

The cost of overtime will be charged to your departmental cost centre. 

Out of hours working policy for Associates (with Associate contractual 

clause relating to overtime) in the Information Systems Division, Property 

& Workplace, and Corporate Security 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 

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one hour in any day. After completion of one hour, payment will be made for 

each completed period of 15 minutes worked. 

• Weekends (attendance commencing between midnight Friday and 5am Monday) 

or public holidays - flat rate payment of £80 plus time and a half for all hours 

worked (paid by the quarter hour). 

All out-of-hours working must be approved in advance by the Divisional Director. 


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. 

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This is the FSA's Salary& Benefits Policy as at April 2009. The policy is owned by 

the HR Division and has been developed in conjunction with the FSA's Staff 




Any questions on how the policy applies should be directed to the HR Helpline on 




200

9 Performance, Discipline 

and Grievance 

Disciplinary Procedure 

The FSA believe in creating a working environment where our employees know what 

is expected from them – this includes following reasonable instructions, complying 

with the terms of their contract of employment and adhering to the FSA’s conduct 

policy, security and compliance standards. 

We believe in managing our employees fairly and consistently, but where conduct 

does not meet our expectations, we will discuss the improvements required and take 

whatever action is required. 

Principles 


• We will manage any concerns about conduct in line with the following principles: 

• We will discuss any concerns we have with you and listen to what you have 

to say. 

• We will use informal processes to try to resolve matters wherever possible. 

• We will not take formal action until we have undertaken a thorough investigation. 

• We will keep any action and paperwork confidential – as far as we can. 

• We will follow this disciplinary procedure if formal action is needed. 

• We will treat you fairly and if necessary may vary these procedures where 

individual circumstances require it. 


• Comply with reasonable instructions, the terms of your contract of employment 

and the FSA’s conduct, policy, security and compliance standards. 

• Discuss any issues that affect your work with your manager in the first instance. 

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The Disciplinary Procedure 

The FSA’s Disciplinary Procedure has three stages and we reserve the right to initiate 

the procedure at any stage taking into account the alleged misconduct of an employee 

and all the circumstances of the matter. 

Stage 1 – First written warning: If your conduct has failed to meet expected 

standards, despite interventions from your line manager (for clear desk breaches there 

might not be any interventions), you will be required to attend a meeting with your 

Manager. The exact nature of the suspected misconduct will be explained in full. If 

your Manager believes it to be justified, you may be given a written warning, which 

will give details of the complaint (misconduct) and will warn that further action will 

result if there is a repetition of the misconduct or no satisfactory improvement within 

a specified period. The written warning will contain specific actions and/or objectives 

that need to be fulfilled in order for agreed improvement to take place. A copy will 

be placed on your personal file, but will be disregarded for disciplinary purposes after 

six months subject to satisfactory conduct. 

Stage 2 – Final written warning: If the misconduct is sufficiently serious or if, 

following a formal written warning, there is a further incident of misconduct within 

the period specified (whether or not of the same nature or severity), you will be 

interviewed by your Director/Head of Department. Your Director/Head of 

Department will then decide on the action to be taken. If the interviewer believes the 

complaint to be justified, you may be given a final written warning stating that if 

your conduct does not improve during a specified period, dismissal, or some other 

specific action, will result. The warning will contain specific actions and/or 

objectives that need be fulfilled in order for agreed improvement to take place. A 

copy will be placed on your personal file, but will be disregarded for disciplinary 

purposes after 12 months subject to satisfactory conduct (although in exceptional 

cases the period may be longer, or the final written warning may not be disregarded). 

Stage 3 – Dismissal: If your misconduct is sufficiently serious, or if your conduct is 

still unsatisfactory following a final written warning and you fail to reach the 

required standards, you will normally be dismissed. The decision to dismiss will be 

taken by a panel comprising a Director and/or Head of Department who have not 

been involved in the investigation, plus a member of the HR Division who will be 

there to provide procedural guidance. Any decision to dismiss will be taken 

following a thorough review of all the evidence. 

General misconduct 

Examples of general misconduct include (but are not limited to): 

• persistent poor time keeping; 

• unauthorised absence and/or poor attendance record; 

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• failure to observe FSA procedures; 

• unreasonable refusal to follow reasonable instructions or work request issued by 

a manager; 

• failing to deal promptly, efficiently and politely with third parties with whom you 

have dealings on behalf of the FSA; and 

• rude or abusive behaviour; 

• failure to maintain effective working relationships. 

In the case of general misconduct you will normally be issued with a written warning 

for a first offence and recommendations may also be made about withholding or 

deferring the receipt of bonus payments and/or pay rises. 

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; 

• offering or accepting bribes under the Bribery Act 2010; 

• 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; 

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• misuse of the Whistleblowing Policy by deliberately raising false and/or 

malicious allegations; 

• repeated failure to comply with a reasonable work request; 

• bringing the FSA into disrepute. 

We reserve the right to dismiss you, without notice or pay in lieu of notice, if in our 

opinion you have committed an act of gross misconduct. 

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 meeting. If such a meeting is held prior to a disciplinary meeting, you 

will be informed at the outset that the meeting is an investigatory interview. The FSA 

reserves the right to dispense with an investigatory meeting and to proceed directly to 

a formal disciplinary meeting. 

The investigator(s) will not make decisions relating to the outcome of the case and 

will only attend any disciplinary meeting in order to present facts and supporting 

materials (as required). 


You are entitled to be accompanied at formal disciplinary meetings by a companion, 




accompanied by a Trade Union official. The meeting may be postponed, at your 

204

equest, for up to five working days if your chosen companion is not available to 

attend on the date set for the meeting. 

Disciplinary hearing 

Preparing for the hearing 

Where there are reasonable grounds to believe that you have committed an act of 

misconduct, you will be invited to attend a disciplinary hearing. Prior to any 

disciplinary hearing, the FSA will provide you with: 

at least 3 working days’ advance notice of the hearing; 

− details of the time and venue; 

− details of the purpose of the hearing, potential sanctions (where appropriate) 

and confirmation that it will be held under the FSA’s disciplinary procedure; 

− written details of the nature of your alleged misconduct plus all copies of 

relevant documentation that the FSA intends to rely upon at the hearing; 

− instructions that either party should notify the opposite party of any intention 

to call witnesses or supply witness statements. 

If you are unable to attend the disciplinary hearing and provide a good reason for 

failing to attend, the hearing will be adjourned to another day. The FSA will give at 

least three working days’ advance notice of the revised hearing. Unless there are 

special mitigating circumstances, if you are unable to attend the rearranged hearing, 

it will take place in your absence. You will also be allowed to make written 

submissions in such a situation. Your companion or trade union official may attend 

in such circumstances and will be allowed the opportunity to present your case. 

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 

205

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. 

Disciplinary action 

Where the FSA establishes that you have committed a disciplinary offence, the 

following disciplinary action may be taken: 

If the misconduct is serious a First Written Warning may be given. If the conduct is 

sufficiently serious a Final Written Warning maybe issued. 

If, following a First Written Warning, there is a further incident of misconduct 

(whether or not of the same nature) within the period, a Final Written Warning may 

be issued. 

If the misconduct is sufficiently serious or if conduct is still unsatisfactory following 

a Final Written Warning, you will normally be dismissed. Where the FSA establishes 

that you have committed an act of gross misconduct, you may 

be summarily dismissed without notice or pay in lieu of notice, following an 

investigation and hearing. 

Alternatives short of instant dismissal may be considered at the absolute discretion of 

the FSA. We may use one or more of the following depending on the circumstances: 

• Suspension without pay up to a maximum of 7 days. 

• Demotion to a more suitable job, if available. 

• Transfer to another department/division. 

The alternatives short of dismissal mentioned above are not exhaustive and the FSA 

reserve the right to take any action we consider appropriate in the circumstances. 

In addition to formal action, consideration will be given to withholding or deferring 

the receipt of bonus payments and/or pay rises. 

While any formal warnings are 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. 

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 

206

• process or procedural irregularities. 

Any appeal against the issue of a 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 detailing the grounds for appeal. 

Action Taken by Appeal to Appeal heard by 

First written warning Line Manager Manager of person 

who issued the 

warning. 

Final written warning Line Manager Manager of person 


Dismissal Line Manager and 

Senior Manager 

warning. 

Manager of person 


warning. 

Manager of person 


warning. 

HR Director Two people who will 

be senior employees 

of the FSA and not 

involved in the case 

to date. 

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. 

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Timelines 


many cases we would expect the process to operate more quickly, there may be 

occasions where it proves 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 possible. 




This is the FSA’s Disciplinary Policy as at May 2011. 









208

Dismissal Procedure 

From time to time the FSA needs to terminate the employment of an employee; for 

example, when we do not confirm a probationary period, or for reasons of 

unacceptable conduct or capability. 

The purpose of this policy is to ensure a consistent and fair approach to dismissal is 

applied across the FSA. 

Principles 


• We will manage any dismissals in line with the following principles. 

• We will let you know in writing why we are considering terminating 


• We will meet with you and listen to what you have to say. 

• We will make a decision based on the information available to us. 

• We will let you appeal against any decision to dismiss. 

• We will treat employees fairly and if necessary may vary these procedures if 

individual circumstances require it. 


• We expect you to meet with us and share your views on the proposed dismissal 

so we can make a decision based on full information. 

The Dismissal Procedure 

There are three basic steps within the FSA’s dismissal procedure. These are 

summarised as follows. 

Step 1 – We will write to you explaining that the FSA is intending to terminate your 

employment and the reasons why. You will be invited to attend a meeting, at which 

you will be given an opportunity to discuss the matter in more detail with us. 

Step 2 – A meeting will be held and you will be given the opportunity to discuss the 

possible termination of your employment and the reasons for this. After the meeting, 

we will consider the proposal in light of any representations you make and a decision 

will be made about whether or not to proceed with a termination. You will be 

informed of the decision in writing and (where dismissal is confirmed) of your right 

to appeal. 

209

Step 3 – If you wish to submit an appeal, you should do so in writing to the HR 

Director within five working days of receiving the decision. Your letter should make 

clear the reasons why you believe the decision should be reviewed. 

You will be invited to attend an appeal meeting, which will take place within ten 

working days of receipt of your written notice of appeal. 

The appeal will be heard by a more senior manager, who has not been involved in 

any of the meetings or discussions previously carried out under this procedure. 

The outcome of the appeal will be confirmed to you in writing as soon as possible 

after the appeal has been held. The decision made at the appeal will be final and 

there is no further right of appeal. Where an appeal against dismissal fails, the 

effective date of termination of employment will be the date on which you were 

originally dismissed. 


You are entitled to be accompanied at formal dismissal meetings by a companion, 





request, for up to five working days if your chosen companion is not available to 


Timelines 

The timelines in this procedure are intended as guidance. 




This is the FSA’s Dismissal Policy as at April 2009. 







210


This policy does not form part of your contract of employment unless 


211

Grievance Procedure 

The FSA is working to become an organisation where employees feel stimulated, 

developed and able to give their best to their work. However, we are aware that from 

time to time, employees may be unhappy about certain aspects of their working life. 

We believe that most concerns can be dealt with quickly and informally if the 

employee and line manager have open and honest conversations. However, there are 

times when concerns cannot be resolved in this way. 

The purpose of this policy is to provide employees and line managers with an 

approach for raising and addressing a diverse range of work concerns in a fair and 

timely manner and as closely as possible to the point of origin. 

Principles 


We will manage concerns raised about working life in line with the following 

principles and will: 

• deal promptly with any concerns you raise and listen to what you have to say; 

• try to address concerns as closely as possible to the point of origin; 

• establish the facts of a complaint, conducting an investigation where required; 

• attempt where possible to deal with concerns informally; 

• follow this grievance procedure if informal processes have not worked; 

• keep any actions and paperwork confidential – as far as we can; 

• treat employees fairly and vary these procedures if necessary, e.g. if they place 

disabled employees at a disadvantage; and 

• support all parties to the process in a sensitive and appropriate way. 



• use informal processes to try to resolve their concerns wherever possible; 

• raise any grievance as soon as possible after the event giving rise to the 

complaint (as a general guide we suggest that it should normally be raised 

within two weeks); 

• put your complaint in writing if you are using the formal stages of the 

grievance procedure; 

212

• explain how you would want your concerns to be resolved; and 

• keep the details of the grievance confidential. 

The Grievance Procedure 

The FSA’s formal grievance procedure has three stages preceded by an 

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. 

213

Although the HR Director will review your case and be responsible for making a 

final decision on your case, they may nominate a representative from within the 

FSA to help compile the evidence and make a recommendation. The HR Director 

or nominated person will obtain all the relevant records, gather any additional 

information and reconsider the matter. 

If necessary, a further meeting will be arranged, but in any event, wherever 

reasonably practicable, a decision will be made and confirmed in writing within 

20 working days of the date of referral. This decision will be final. 

Work concerns covered by this procedure 

This procedure should be used for general work concerns, such as (but not 

limited to): 

• breaches of your statutory employment rights; 

• not applying FSA procedures or policies correctly; 

• not allocating overtime, work duties or holiday dates fairly; 

• unfair working practices e.g. not signing off expense claims; 

• complaints about your work, working conditions, pay and benefits, working 

hours and working relationships; and 

• treatment by colleagues. 

Work concerns not covered by this procedure 

This procedure should be not used for breaches of our Equality of Opportunity 

Policy, such as: 

• victimisation; 

• bullying; 

• harassment; 

• discrimination. 

Complaints of this nature should be raised in accordance with the procedure provided 

in the Equality of Opportunity and Dignity at Work policies. 

This procedure should not be used for the purposes of whistleblowing. Concerns of 

this nature should be raised in accordance with the procedure provided in the 

Whistleblowing Policy 

. 

214

Investigation 

The FSA will promptly and thoroughly investigate any grievance that is raised. The 

extent of any investigation will depend on the particular circumstances of the case. 

The employee will be notified of the investigation and when it has concluded. 










do so, we may proceed with the meeting in your absence. 

Timelines 



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. 




This is the FSA’s Grievance Procedure as at April 2009. 







215


This policy does not form part of your contract of employment 

216

Performance Management Procedure 

The FSA expect our employees to work to the standards required of their job. 

However, from time to time we may have concerns that despite satisfactory conduct, 

an employee’s performance does not meet the standards required of their job. 

Concerns about performance might arise for a number of reasons, including: 

• lack of ability, skill or experience; 

• change in job; 

• reorganisation or redefinition of role; or 

• personal/family difficulties. 

Where an employee’s work standards do not meet the standards required for the job, 

we will work with them to help them deliver and sustain work to the standards we 

require within a reasonable period of time. 

The purpose of this procedure is to ensure a consistent and fair approach is adopted 

when an employee is unable to meet the standards required in their job for reasons 

other than misconduct. 

Principles 


You can expect your line manager to do the following: 

• Make you aware of the standards of performance required for your job. 

• Talk to you about any shortfalls in performance as early as possible and listen to 

what you have to say. 

• Agree with you the support you need to meet the standards required. 

• Provide reasonable assistance and support to help you meet the 

standards required. 

• Give you a reasonable amount of time to make the necessary improvements. 

• Monitor your progress and discuss performance improvements or continued 

shortfalls with you. 

• Make you aware of the consequences of not meeting the standards. 


We expect you to do the following: 

217

Undertake your work to the standards required of your job. 

• Talk to your manager if you are unclear about the standards expected of you. 

• Let your line manager know at an early stage if you are struggling to perform 

according to the standards required of your job – they will then be able to assess 

the help you need. 

• Apply any training, coaching or other support provided to help you in your job 

and ask if you need additional help. 

• Take personal responsibility for undertaking your job to a satisfactory standard. 

• Let your manager know if there are any external / personal factors which may 

affect your performance e.g. family issues. 

The Performance Management Procedure 

The FSA’s formal performance management procedure has three stages preceded by 

an 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, 

218

e occasions where this will not be the case and the process may start at any stage, 

including the third (and final) performance review meeting. 

First performance review meeting – You will be invited to a first performance 

review meeting if your line manager considers your level of performance to have 

shown insufficient improvement while being informally addressed, or the level of 

your performance has had serious consequences. 

You will be told why the meeting is necessary and will be entitled to state your case. 

Your line manager will chair the meeting and will make the decision regarding 

further action. 

If appropriate, you will be given a first written warning. This will explain the nature 

of the shortfall in performance, the improvement required (including the timescales) 

plus details of any training, development or other support that will be made available 

to help you achieve the required standard of performance. The first written warning 

will also explain that failure to make satisfactory progress within the specified review 

period may lead to further action being taken in line with this Performance 

Management Procedure, including your possible dismissal from the FSA. 

You will receive a copy of the first written warning, which will also be placed on 

your personal file. The warning will be disregarded for Performance Management 

Procedure purposes and removed from your file after six months, providing you 

achieve and sustain a satisfactory level of performance. In exceptional cases, the 

warning period may be longer than six months. While this 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. 

You will have the right of appeal against any decision that is made. 

Second performance review meeting – You will be invited to a second performance 

review meeting if your line manager considers your level of performance to have 

shown insufficient improvement by the end of the first formal review period, or the 

level of your performance is considered to have significantly serious consequences. 

You will be told why the meeting is necessary and will be entitled to state your case. 

Your line manager will chair the meeting and will make the decision regarding 

further action. 

If appropriate, you will be given a final written warning that explains the nature of 

the shortfall in performance, the improvement required (including the timescales) and 

details of any training, development or other support that will be made available to 

help you achieve the required standard of performance. The final written warning 

will also explain that failure to make satisfactory progress within the specified review 

period may lead to further action being taken in line with this Performance 

Management Procedure, including your possible dismissal from the FSA. 

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You will receive a copy of the final written warning, which will also be placed on 

your personal file. The warning will be disregarded for Performance Management 

Procedure purposes and removed from your file after 12 months, providing you 

achieve and sustain a satisfactory level of performance. In exceptional cases, the 

warning period may be longer than 12 months. While this 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. 

You will have the right of appeal against any decision that is made. 

Third performance review / dismissal meeting - You will be invited to a third 

performance review / dismissal meeting if your line manager considers that your 

level of performance has failed to reach the required standards, or your level of 

performance is considered irredeemable within a reasonable period, or your level 

of underperformance has a serious impact on the FSA. 

The meeting will follow the process for a dismissal meeting as outlined in the 

Dismissal Procedure. You will be told why the meeting is necessary and will be 

entitled to state your case, having been presented with the evidence to support 

the issue of poor performance. The decision to dismiss will be taken by your 

Director/ Head of Department as appropriate and following a review of the 

evidence. A member of the HR division will be present at the hearing. 

You will have the right of appeal against any decision that is made (See appeals 

section below): 

Stages Taken by Formal 

action 

First review meeting – initiated when 

level of performance is deemed to have 

adverse impact, or there is insufficient 

improvement following being informally 

addressed. 

Second review meeting – initiated when 

there has been insufficient improvement 

following first review or sufficiently 

serious. 

Third review meeting – initiated when 

level of performance has sufficiently 

serious consequences to FSA and if 

insufficient improvement after second 

review. 

Line 

Manager 

Line 

Manager 

Line 

Manager 

and/or 

Senior 

Manager 

First 

written 

warning 

Final 

written 

warning 

Dismissal 

Meeting 

Duration 

of 

warning 

Six 

months 

12 months 

N/A 

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You are entitled to be accompanied at formal performance improvement meetings by 

a companion, who may be a Staff Consultative Committee representative or another 

FSA employee of your choice who may be a friend or colleague. Please note that the 

fellow employee should not be a member of the HR Division. Alternatively, you may 

be accompanied by a Trade Union official. The meeting may be postponed, at your 



Performance improvement meetings 

Preparing for the meeting 

If you are not performing to the required standards, your line manager will invite you 

to attend a performance improvement meeting. Prior to the meeting, the FSA will 

provide you with: 

• at least three working days' advance notice of the meeting; 

• details of the purpose of the meeting and confirmation that it will be held under 

the FSA’s performance management procedure; 

• written details of the nature of the underperformance and any other documents 

that will be discussed at the meeting. 

If you are unable to attend the meeting and provide a good reason for failing to 

attend, the meeting will be adjourned to another day. The FSA will give at least 

three working days’ advance notice of the meeting. Unless there are special 

mitigating circumstances, if you are unable to attend the rearranged meeting, it will 

take place in your absence. Your companion or trade union official may attend in 

such circumstances and will be allowed the opportunity to present your case. You 

will also be allowed to make written submissions in such a situation. 

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 

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decision will be confirmed in writing and you will be notified of your right of appeal 

under this procedure. 

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. 

Action Taken by Appeal to Appeal heard by 

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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. 

Dismissal Line Manager and HR Director Two people who will be 

Senior Manager 

senior employees of the 

FSA and not involved in 

the case to date. 

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 



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. 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. 

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What happens if I am underperforming in my probationary period? 

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 this performance improvement procedure. 

If during your probationary period your line manager is unhappy with your conduct, 

this will be managed in accordance with the Disciplinary Procedure. 




This is the FSA’s Performance Management policy as at April 2009. 









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10 Personal Conduct 

Your obligations at the FSA 

The FSA has a Code of Conduct because we need to ensure that our work is carried 

out in an environment free from any suggestion of improper influence, in order to 

protect our reputation of the FSA and employees. 

Further information on the Code of Conduct can be found on the intranet pages. 


• The Code of Conduct team will treat information supplied by staff in an 

appropriate manner. It will be kept confidential (unless there is a legal obligation 

to disclose it) and will not be misused in any way. 

• The Code of Conduct team will also be happy to support and guide staff 

in relation to Code of Conduct matters in order to make compliance as easy 

as possible. 


• Compliance with the code is compulsory for all staff and breaches may result in 

disciplinary action, including, where appropriate, dismissal. We expect all staff to 

consider the code as an essential element in our culture. 

Everyone should be aware of the obligations set out in the code and follow relevant 

procedures in respect of conflicts of interests, share dealing, and gifts and hospitality. 

The policy 


FSA Code of Conduct 

We are responsible for promoting and setting high standards of conduct, so our 

conduct both as an organisation and as individual employees is likely to come under 

close scrutiny. It is therefore essential that, in common with many other 

organisations, we have a Code of Conduct. This provides a framework for managing 

conflicts of interest and related matters. It also protects employees against any 

suggestion that regulatory decisions have been influenced by personal interests or 

that their investment decisions have been influenced by information made available 

in confidence to the FSA. 

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Within this framework, the code has been kept as light and practical as possible. For 

conflicts of interest and personal dealings in shares, etc., we intend to rely as much as 

possible on a regime based on disclosure and pre-notification. Inevitably some 

restriction on dealings in shares and related investments will be required where you 

are directly involved in the affairs of the organisation concerned. There are no 

restrictions relating to the products and services provided by organisations regulated 

by the FSA, except a requirement for disclosure in certain limited circumstances, 

such as, for example, in the case of disputes where a conflict of interest could arise. 

It is the Ethics Officer’s responsibility to deal with matters arising from the code and 

to monitor the information disclosed under its provisions. Any enquiries that you 

may have on the personal implications of the Code of Conduct should be raised with 

the Ethics Officer. 

Failure to comply with the Code of Conduct, our standards of conduct and/or our 

security provisions may be a disciplinary matter, which may lead to dismissal. 

The Code of Conduct is set out in the FSA's Code of Conduct for employees. 

Failure to comply with the Code of Conduct and/or the FSA’s standards of conduct 

or security provisions from time to time will be a disciplinary matter which may lead 

to dismissal. 

Compliance with the Code is compulsory for all staff and breaches of the Code may 

result in disciplinary action including, where appropriate, dismissal. We expect all 

staff to consider the Code as an essential element in the FSA’s culture. 

Everyone should be aware of the obligations set out in the Code and follow relevant 

procedures in respect of conflicts of interests, share dealing, and gifts and hospitality. 

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). 

Indemnity and notification requirements 

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The FSA will indemnify you (its employees and anyone who is seconded to the FSA 

or is otherwise acting as a member of its employees) against any liability you incur in 

connection with claims or proceedings brought against you in relation to anything 

done or not done when working for the FSA. This applies whether proceedings are 

brought in the UK or overseas. The indemnity will cover any liabilities incurred in 

connection with such claims or proceedings, including any costs reasonably incurred 

in defending them, whether or not judgment is given in favour of the employee 

concerned. If you are seconded or assigned while employed by the FSA, we will, 

wherever appropriate, as a pre-condition of any secondment, either: 

• expressly confirm in writing that we will continue to indemnify you in line with 

the terms of this contract throughout the course of the secondment; or 

• ensure that the organisation you are seconded or assigned to gives you an 

equivalent indemnity. 

• The indemnity will not extend to any liability incurred where your acts or 

omissions are: 

• clearly done or omitted to be done in bad faith; or 

• are clearly outside or inconsistent with the scope of your responsibilities under 

your Contract of Employment with the FSA. 

• The indemnity is conditional with all of the following requirements. If you fail to 

comply with them, this could invalidate or otherwise affect the indemnity. The 

conditions are that you should: 

• inform your manager within the FSA and the FSA Company Secretary as soon as 

you become aware of the possibility of a claim against you or the FSA; 

• avoid any discussion of the matter with the potential claimant, but if this is 

impossible, keep a written note of the conversation; 

• under no circumstances admit liability for yourself or the FSA; 

• not try to settle or compromise or reduce the potential claim; 

• not seek outside legal advice except with the authority of the FSA General 

Counsel or Company Secretary; and 

• inform your management within the FSA and the FSA Company Secretary of any 

discovery of suspicion, fraud or dishonesty by a past or present employee of the 

FSA or anyone claiming to act on our behalf. 

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 

227

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 

from the General Counsel Division (GCD) on the circumstances in which FSA we 

and our employees may, in the course of their duties and for regulatory and other 

purposes, disclose confidential information. You should seek further guidance if you 

are at all uncertain as to whether confidential information can be disclosed. 

You should be particularly discreet in casual, social or other contact with journalists, 

regulated firms and individuals and other people operating in the financial markets. 

Disclosing confidential information without permission may be a criminal offence. 

The duty to observe confidentiality is ongoing and does not cease after you leave 


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. 

Gifts and hospitality 

Under no circumstances will you directly or indirectly offer, pay, request or accept 

any form of bribery or improper inducement. For more details, please refer to the 

Policy on the Acceptance of Gifts and Hospitality set out in the FSA’s our Code of 

Conduct for employees. 

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 , 

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 

228

performance of your duties. Such work will remain the property of the FSA and you 

may be required to assign the property rights to the FSA. 

Speeches and publications 

Any fees received from speeches, articles, attendances at seminars or similar events, 

in your capacity as an employee, must be surrendered to the FSA. If you are writing 

or publishing any material connected with your work but not commissioned by the 

FSA, you should seek approval from the Head of Press Office and Events in advance. 

You are reminded that the publication of confidential information may be considered 

as gross misconduct and may lead to dismissal. 

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. 

Changes in personal circumstances 

We need to keep accurate records of key information on all employees. It is 

essential that changes such as your home address, telephone number, marital status 

and who to contact in the event of an emergency are recorded by you on Chrysalis 

Employee Self-service. 

In order to comply with our statutory duties, we need to know of any changes in your 

personal circumstances, which affect or could potentially affect your employment 

with the FSA. 

You must inform your line manager of changes in your health so that, if necessary, 

we can comply with our statutory obligations to make reasonable adjustments to 

enable you to continue working. 

229

You must also inform your line manager and the HR Helpline, within a reasonable 

period of time, if you are personally affected by, or involved in any of the following 

circumstances: 

1. You are charged with or convicted of any criminal offence, which includes 

being disqualified from driving or receiving a formal police caution. This 

requirement does not extend to minor traffic offences; 

2. You are involved in civil litigation in any capacity other than as a witness. 

3. You are experiencing financial difficulties and/or have: filed for bankruptcy, 

individual voluntary arrangements, debt management plans, debt relief orders, 

or have County Court Judgements made against you. 

Any of the above information will be treated in strictest confidence, however we 

reserve the right to inform your Director/Head of Department when it is necessary 

and reasonable to do so. 

The FSA has legal obligations to fulfil as both an employer and the financial services 

regulator. If we become aware, either through one of our checks or you inform us, 

that you are affected by any of points 1 to 3 noted above, it may be necessary for us 

to reassess your suitability for continued employment with the FSA. If we have to 

undertake such an assessment, we will consider the following: 

• the principles of the Fit and Proper Test for Approved Persons; 

• the level of risk to the FSA’s reputation if you were to remain in your current 

role and/or function; 

• the level of risk to the FSA’s reputation if you were to undertake a different 

role at the FSA; and 

• whether you disclosed your situation voluntarily. 

The outcome of this assessment may result in: 

• moving you to another role within the FSA where the level of risk is removed 

or reduced; 

• disciplinary action against you, the sanctions of which may be to dismiss you 

(see the Disciplinary Procedure). 

We fully appreciate that being involved in any of the above situations can be a very 

worrying time. If you feel you would like to discuss your situation confidentially, the 

FSA’s free counselling advice service is available 24/7. Alternatively contact the HR 

Helpline. 

Conduct 

230

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. 


Employment of relatives or other individuals with whom there is a 

close relationship 

We do not prevent your relatives or other individuals with whom you have a close 

relationship from being employed by the FSA. It is your responsibility as an 

employee to ensure that the FSA is informed of any relationship at the time of 

making the application. The FSA will make every effort to ensure that no conflict of 

interest arises. We do not normally permit employees who have a close relationship 

to work together in the same team or report to the same line manager. 

Completion of weekly timecards 

In order to measure corporate, divisional and departmental performance, all 

employees who meet the 'Headcount' definition (i.e. all employees, secondees, 

contractors and long-term agency temps) are required to complete weekly timecards 

on a timely and accurate basis. Data recorded should reflect actual hours worked by 

activity performed and be submitted as per the agreed deadline. 

If any employee is exempted from completing timecards, local management will 

advise accordingly. 

Personal mail 

Personal mail should not be sent to the FSA’s addresses. We will not be responsible 

for its safe delivery and it may be opened for security purposes. You may not use the 

FSA’s stationary or postage for personal correspondence, but may send personal mail 

from the office provided that you pay for postage by affixing the appropriate 

stamp(s). 

231

Ordering goods and services 

All orders for goods and services must be made with a purchase order. Suppliers 

should be asked to quote the purchase order number on invoices and submit them 

directly to accounts payable. They should be created for the total value, including 

VAT, of the goods and services. Where the total value is over £25,000 they should be 

created with the Procurement Division. Purchase orders can be created by authorised 

individuals using iProcurement. 




This is the FSA’s Personal Conduct Policy as at January 2012. 








Contractual information in this policy forms part of your contract of employment. 

232

Prospective Parliamentary Candidates Policy 

Summary of the Policy 

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. 

Time off for PPC commitments 

You will not be granted additional time off for constituency work between 

elections. Time off for constituency commitments should be taken from your 

normal holiday allowance. 

You will be granted up to 20 days additional unpaid leave to fight an election 

campaign in which you are a candidate for election (general, European Parliament 

or by-election). You must record this absence as Unpaid Leave via Employee Selfservice 

on Chrysalis. 

If you are elected 

If you are elected, you will be expected to resign with effect from the day following 

the announcement of the result. 

If you are not elected 

If you are not elected, you will be expected to return to work at the end of your 

agreed leave of absence. 

Partners and family members of PPCs 

If you are the partner or a family member of a PPC, any time off required to help 

fight an election campaign should be taken from your annual leave allowance. 

233


Political activities and public debate 

If you intend to seek selection as a PPC or Local Authority Councillor you should 

try to give at least three months’ notice to your manager. Where we consider there 

to be a conflict of interest between your current role and your proposed political 

involvement, which may be prejudicial to our integrity, we reserve the right to move 

you to other work. 

Special rules will apply if you are seeking selection as a PPC. You should discuss 

your intentions with your Director/Head of Department, the HR Helpline and the 

Communications Division. 





This is the FSA's Prospective Parliamentary Candidate Policy as at April 2009. 


the FSA’s Staff Consultative Committee. 





234

11 Security of FSA Assets, 

Information and Data 

Clear Desk Policy 

The Clear Desk Policy serves as a basic reminder to staff to secure sensitive 

or valuable material, whilst providing guidance on procedures that should 

be followed. 

The procedural guidance contained within this document enhances/supports other 

FSA policies covering records management, staff confidentiality agreements, 

employee information security, Data Protection and Emergency Planning procedures. 

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. The policy covers all premises in which the FSA operates. 

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 

on the business activities, reputation and morale of the FSA and its staff that would 

be experienced subsequent to any loss or misuse. 

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 1998, but also information that could 

potentially embarrass or damage the reputation of the FSA if publicly disclosed. 

• To prevent inappropriate access to sensitive information. 

• To protect business critical information from damage or loss as a result of fire, 

smoke, water and explosion. 

235

• To protect information which, 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 or theft of personal property and FSA portable property such as 

laptops and mobile phones. 

• To quantify the consequences of loss of information or FSA property resulting 

through negligence of a member of staff or, as a result of deliberate acts of 

attempted theft of any material held within the confines of FSA. 

Responsibilities 

• Executive - The Director of Finance & Operations has executive responsibility 

for the Clear Desk Policy. 

• Compliance – Directors, Heads of Departments and Managers are responsible for 

communicating standards and ensuring staff compliance within their areas of 

responsibility. 

• Compliance Audit – Corporate Protection & Resilience are responsible for 

monitoring and reporting non-compliance to HR. 

• Disciplinary process – line managers are responsible for ensuring that any 

breaches of this policy are investigated and appropriate action is taken. The HR 

Division maintains the disciplinary policy and process, providing support to line 

managers where necessary. 

• Monitoring and escalation – the Operational Security Group (OSG) is responsible 

for monitoring management information relating to clear desk breaches, and 

taking action to address trends and individual cases which fall outside of their 

risk appetite. 

Desk Top Storage 

Material that is permanently stored on desk tops should be documents that are easily 

replaceable, contain non sensitive information that is already within the public 

domain, will have little or no impact if damaged or lost and could be disposed of as 

rubbish post any incident involving smoke, fire, flood or explosion. 

The volume of this material should be kept to a minimum by ensuring that there is no 

excessive duplication of reference materials by colleagues working in adjacent desk 

spaces and fulfilling similar roles. This will ensure that post incident action will 

236

involve a small clearance operation rather than salvage and reclamation which would 

extend the time for return to business as usual. 

Minimising desk top storage will also reduce the likelihood of classified/sensitive 

material becoming mixed up with the reference material and inadvertently being left 

insecure. 

During working hours and after close of business, all classified/sensitive documents 

and materials should not be left unattended in a way that makes it easy for 

unauthorised persons to read or take copies. 

Clear Desk Guidelines for a RightSpace Environment 

We want to ensure that all FSA premises are maintained in a clean and tidy state. The 

responsibility for making this happen rests with all of us. The purpose of having tidy 

desks is not simply to give the cleaners a chance to do their job, but also: 

• To protect confidentiality and reduce our exposure to risk 

• To reflect the fact that most desks are shared resources 

• To improve the security and safety of your personal belongings 

• To help make the office a more pleasant working environment 

Here is what you should do to help keep the office effective - 

• Remove all belongings, files etc. from your desk once your desk booking ends. 

• Tidy your desk and the area around your desk (floor, cupboard tops etc.) every 

day. 

• Leave desks as you find them. Please don’t remove cables, keyboards, mice. 

• If you have booked a desk for consecutive days, you may leave your nonvaluable 

belongings on the desk overnight, though you should store files and 

paperwork in the relevant storage cupboards. You are responsible for ensuring 

that documents, equipment and other material are properly protected in 

accordance with the FSA Security, Records Management, Employee Information 

Security and Clear Desk policies. 

• Staff who have been allocated releasable desks still need to keep the desk tidy so 

that others can use it comfortably. 

• When these desks are not being used they must be cleared and made available for 

use on the Desk Booking system. 

• The basic principle that we ask you to keep in mind is to leave desks and meeting 

rooms and other areas of the floor as you would wish to find them. 

237

Procedures 

During working hours: 

• Every effort should be made to ensure that staff with similar roles, who share the 

same referencing documents and work in close proximity to one another share 

their referencing documents and materials, rather than duplicating them for 

individual use. 

• Access to sensitive documents should be restricted to those who require the 

information to carry out their normal work. 

• All classified or sensitive working papers and files are to be put away when the 

member of staff leaves his/her work area, unless a colleague with appropriate 

access rights who is located within the same team area is going to remain in situ 

for the duration of the absence. 

• Sensitive material or post is not to be left on the desk of a colleague who is away 

from his/her desk. 

• Sensitive material should not be left unattended on photocopiers or faxes. 

At the close of business each day: 

• Individuals are to ensure that they remove all working papers from desk tops. 

• All sensitive documents and materials (as defined in the Records Management 

and Employee Information Security policies) are to be locked away in the 

cabinets provided. 

• Crates provided during office moves are not to be used for continued document 

storage. At the earliest opportunity they should be unpacked and returned to Ops 

Services - Property & Workplace. 

• if you are away on the first day of the office move and your crate will remain 

unopened until you return to the office, then your laptop should either: be taken 

home with you and kept securely until your return to the office, handed over to a 

colleague for manager for safekeeping, handed in temporarily at the Security 

Control Room. 

• Post should not be left at floor mail distribution points after the final collection of 

the day (4.30pm). 

• Staff are to ensure that their lockers and cabinets are locked and that all of the 

relevant keys have been placed in the key safe before leaving work. 

• Individuals should confirm that all material for which they are responsible have 

been removed from the printer and fax and properly secured 

238

• The last person leaving the area should visually check the area to ensure that 

valuable property, sensitive documents and portable electronic equipment have 

not been left unsecured. They should also check that cabinets are locked and keys 

placed in the key press, and that the press itself is locked. 

Security of FSA and Personal Property 

FSA property, such as laptops, palm tops and mobile phones in the possession of 

staff are to be secured after close of business or taken home when appropriate. For 

key lockable cabinets, the key is to be secured in a key safe and not taken home. Staff 

are also responsible for ensuring the security of personal items of monetary or 

sentimental value - care should be taken to ensure these items are adequately 

protected. 

Procedures 

• At the close of business, laptops must be locked inside a laptop safe, personal 

locker or taken home. Palm pilots, Blackberries and mobile phones if not taken 

home are to be stored as above. 

• Personal items of small monetary or sentimental value should be stored in 

individual lockers. It is also advisable to lock away expensive clothing and 

trainers after close of business. 

Personal lockers 

Personal lockers are allocated to staff. You must not use the default code 2244 

as your personal code. You must immediately reset to a personal code known 

only by you. 

You are responsible for reporting all locker related problems once they occur to: 

Facilities Helpdesk on ext. 69696 for 25TNC; Security Reception for 1 Canada 

Square on ext. 66066. 

You are responsible for securing all FSA assets and papers in your possession. Under 

no circumstances should you leave information or your laptop unattended in a locker. 

Therefore, please seek alternative accommodation until your locker is repaired. 

Document disposal 

All FSA classified documents including those labelled "FSA Restricted" must also be 

disposed of in a confidential waste bin. This also applies to any document containing 

business information which we wish to remain private such as budgets and invoices 

information and anything containing personal information about individuals (e.g. 

names and addresses, NI numbers, dates of birth). 

239

Please see guidance on destruction of paper records for disposing of government 

material. 

Key security 

Keys to cabinets containing working, sensitive or classified information should be 

locked in a key safe when not in use. Under no circumstances should keys be 'hidden' 

on a desk where a rudimentary search would identify them. 

Procedures 

• The combination to the key safe should be changed regularly (assistance should 

be sought from Facilities Helpdesk on extension 69696). 

• A record of the combination should be held in a sealed envelope in a locker of a 

member of the team. The date of the combination change and the location of the 

key safe should be annotated on the envelope, together with the name of the 

person responsible for the key box. If the key safe combination is forgotten and 

the 'owner' of the locker is away, the line manager may ask Security to open the 

locker containing the sealed combination. 

• Other written records of the combination should not be made. 

Compliance audits 

Regular audits are carried out by the Corporate Protection & Resilience Team to 

ascertain the standard of compliance with this policy. 

Procedures 

• The audit will be conducted without prior notification after close of business. 

• The reason for the audit and the results will be detailed in a report to the 

appropriate Divisional Director. 

• The audit may be supported by a briefing, to all staff involved, on the outcome of 

the audit and remedial/future measures that are required. 

• Subsequent audits will be conducted to establish whether compliance has 

improved. 

• Breaches of the Clear Desk Policy may result in disciplinary proceedings. 

• Additionally, Security personnel undertake nightly clear desk sweeps and 

potential breaches are reported to the appropriate line manager for investigation 

(as described within the ‘Responsibilities’ section of the policy). 

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Loss/Compromise investigations 

Suspected loss or compromise of FSA material is to be reported to the following: 

• Line management. 

• Corporate Protection & Resilience Department. 

• The IS Security Manager, in the case of loss or compromise of information 

contained on computer systems including laptops and palm tops. 

• The Deputy Security Officer in the case of loss or compromise of government 

classified material. 

• The Data Protection Officer in the case of information protected under the 

auspices of the Data Protection Act. 

Suspected loss of personal property should be reported to Security on extension 

63838. 

Procedures 

FSA materials 

• The initial information surrounding the suspected loss/compromise is to be 

reported to Line Management, IS Helpdesk and Corporate Security who should 

notify the appropriate persons detailed above in order that further investigation 

can be carried out. 

• An investigation will be initiated to establish the likely cause of the 

loss/compromise. If the incident is found to be as a result of deliberate noncompliance 

with this policy, or if an individual has been implicated in the theft, 

the individual concerned may be subject to transfer from post, disciplinary action 

or criminal proceedings. The action to be taken will be decided in consultation 

with Line Management, HR and Corporate Protection & Resilience Department. 

Personal property 

• A Security Officer will take the initial information surrounding the loss. Security 

will also speak to the individual and take further information as deemed 

necessary and provide remedial advice. 

• Further investigation into a loss of FSA property/personal items will take place at 

the discretion of Corporate Protection & Resilience Department. 


This is the FSA’s Clear Desk Policy as at January 2013. 

This policy is owned by Corporate Protection & Resilience. 

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242

Employee Information Security Manual 

The two most important assets we have are our people, and the information they use. 

Secure use of information and of information systems is essential if the interests of 

the FSA, the firms it regulates, consumers and the Government are to be met. 

There are risks associated with careless or excessive use of information and 

systems. This policy sets out the principles, policies and procedures that the FSA 

has determined are required to protect its information and information systems from 

such risks. 

Where something is not specifically covered in this policy, employees are 

encouraged to seek clarification from their line manager. 

Principles 


• We provide information systems and services to our employees and place 

a high priority on the security of these systems and services. We therefore operate 

a number of security controls which protect these systems and services, and the 

information they contain, from attack. Wherever possible, these controls will 

operate in an automated way that is resilient against user errors. 

• Information systems are primarily provided for business use. We do allow 

reasonable personal use of the facilities provided, so long as it is not excessive, 

does not interfere with individuals meeting their agreed business objectives and 

incurs minimal cost for the FSA. 

• We may monitor use of our information systems, and individuals should bear this 

in mind when using FSA systems to process sensitive personal information (see 

the section on Monitoring). 

• We own all information stored and processed within our systems. As part of the 

Freedom of Information Act or for other reasons, we may be obliged to disclose 

information about the work of our employees or aspects of their employment 

conditions (e.g. the divisions that managers work in and regulatory work that they 

have been involved in). Employees are encouraged to speak to their line manager 

if they have any particular concerns about potential disclosures. We will approach 

individuals who have registered their concerns in such cases and, wherever 

possible, seek their agreement. 

243

• We will take reasonable steps to ensure that employees understand their 

responsibilities and obligations under this policy and, where necessary, have the 

training necessary to be able to comply. 

• We will investigate all suspected breaches of this policy quickly and consistently, 

and will treat everyone fairly. 


• You must follow this policy, and other policies and guidance provided to you, 

at all times. We expect you to understand your responsibilities and obligations 

under this and other policies, and to contribute to the security of 


• If you need (or are asked) to do something which requires you to breach this 

policy, then you must seek guidance from your line manager (or a more senior 

manager) before taking any further action. 

• We expects you to take all reasonable steps to protect, at all times, sensitive 

information, and valuable IT equipment (such as laptops, and other mobile 

devices and BlackBerry handhelds) from loss or theft. 

• You must report any actual or suspected breaches of security to either your line 

manager, or FSA Security Control, as soon as you can. Loss or theft of IT 

equipment must be reported to the IS Service Desk as soon as you can. 

• We expect you to use the information and information systems and services to 

which you have been given access in a reasonable and acceptable way at all 

times. 

• We may monitor use of our information systems – by making use of them, you 

agree to this taking place and accept that any private information you process on 

or transmit via our systems may also be monitored. 

Line Managers’ responsibilities 

Directors, HoDs and Managers are responsible for ensuring that: 

• Staff are aware of and comply with the security policies and standards that apply 

to their duties; 

• Any additional local security arrangements necessary for the employees, offices, 

information or systems under their management are developed, maintained, 

communicated and enforced; 

• Staff have the training necessary to be able to comply with the security policies 

and standards that apply to their duties; 

244

• Performance targets include, where appropriate, specific objectives that enhance 

the security of the FSA; 

• All staff are aware of the consequences of breaching the policy; 

• Concerns about possible excessive or inappropriate use of information, or 

information systems and services, are raised informally with the employee in the 

first instance; 

• Potential policy breaches are investigated promptly, and dealt with under the 

FSA’s Disciplinary Procedure where policies or standards have been violated 

without prior authorisation. 

Monitoring of FSA Information Systems 

General 

We may monitor use of any of our information systems as required by law, or for 

other regulatory or business purposes. Information gathered through monitoring may 

be used, but is not limited to, measurement and enforcement of the requirements 

detailed within this Manual and other FSA policies. Breaches of the requirements 

defined in this Manual, will be dealt with in line with the FSA’s Disciplinary 

Procedure. 

Email 

Monitoring of emails is conducted in adherence to the guidelines set out by the 

Information Commissioner’s Office. 

All email sent from FSA accounts to external (including Internet) accounts are 

automatically monitored for sensitive business information. Where there is 

reasonable justification to do so, your internal email may be monitored. 

You are advised that emails may be reviewed by a member of HR of the Technology 

Security Team. You should bear this in mind if sending or receiving sensitive 

personal information. 

To maintain the integrity of the SCC relationship, we will endeavour to avoid 

accessing the content of emails containing SCC in the title. 

Web 

Technical controls are in place to prevent access to appropriate websites. However, 

you are reminded that all web access is logged and may be reviewed where there is 

reasonable justification to do so. 

Telephones 

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Most telephone calls are not recorded. However, some extensions are logged for 

regulatory and quality assurance purposes or where there is reasonable justification to 

do so, so you should bear this in mind when making or receiving personal calls. 

Information Classification, Marking and Handling 

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. 

Where something is not specifically covered by this procedure, employees are 

encouraged to seek clarification from their line manager. 

FSA Classifications 

We have determined that most of the information we hold falls into one of the 

categories indicated in the following table: 

Classification Description 

Unrestricted 


Restricted 

Controlled 

Distribution 

Unauthorised disclosure of this type of information would have little or no impact 

on the organisation, the Government, firms or others. This includes all 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. 

However, depending on the type of information, it may be appropriate to restrict 

access or apply other controls. For example this may be appropriate for personal or 

staff sensitive information 1 . 

Unauthorised disclosure of this type of information could cause severe and longterm 

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 might 

therefore be used for ‘insider trading’). Access to information in this 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). 

1 

Please contact your local Records Management champion to help decide if any additional controls need be 

applied. 

246

Marking procedure 

• If you create new information, you must classify and add the corresponding 

security marking. This includes adapting existing documents and templates, 

whether they have been previously marked or not. The marking must be clear 

in the header, footer or email content. For Controlled Distribution 

information, it may be appropriate to include a distribution list. 

• If you receive information from another organisation and are responsible for 

its onward distribution, you must classify and add the corresponding FSA 

security marking. If it is not possible or practical to mark the information, the 

information must be handled as if it was classified. 

• If you receive information that does have a 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 marking. 

• If you receive information bearing a UK Government Protective Marking, 

then you must handle it in accordance with the Policy on Government 

Protectively Marked (Classified) Information. 

• If you receive information bearing a Bank of England Marking, you must 

handle it in accordance with the ‘Other classification and marking schemes’ 

document. 

• Individual Divisions may require you to apply additional markings or more 

stringent controls 2 . Some Divisions may require you to use ‘handling 

descriptors’ that more specifically classify information, for example 

“Controlled Distribution – Enforcement”. 

Data protection 

If any of the information you handle contains personal data (e.g. name, salary, 

performance/sickness data etc.) you must also consider the additional requirements 

detailed in the FSA’s Data Protection policy. Please refer to the ‘Data Protection 

Guide to Sending Personal Data to External Organisations’. 

2 

Please contact your local Records Management champion to help decide if any additional controls 

need be applied. 

247

Classification, marking and control summary 

The table below summarises the markings and provides examples of information that 

may fall into each classification. The table also sets out the core controls are required 

when handling information. Further detail on controls related to handling, 

distribution and disposal can be found in following sections. 

Classification Description Examples Core Controls 

FSA Controlled 

Distribution 

Unauthorised 

disclosure could 

result in severe or 

long term damage 

for the FSA or a 

firm, or represents a 

breach of legislative 

obligations. 

FSA Restricted Unauthorised 

disclosure could 

cause 

embarrassment to 

the FSA, a firm or 

others, but would 

not cause long-term 

damage. 

Unrestricted Unauthorised 

disclosure would 

result in little or no 

damage or 

embarrassment for 

the FSA or a firm. 

• Firm information that 

could impact share prices 

or markets 

• Information intended for a 

named list of individuals 

• Operational details of 

enforcement actions 

• FSA information intended 

for an internal audience 

only 

• Personal information, 

including salary, 

performance data 4 

• Pre-publication policy 

work 

• Market monitoring 

transaction reports 

• Commercial FSA 

information 

• Published papers 

• External email - Encryption 

required (exceptions may be 

necessary) 3 

• External post - Secure courier 

• Internal post - Double 

envelope 

• Network storage - Restricted 

access folder 

• USB / removable media - 

Encryption required 

• Personal IT equipment / email 

- Not permitted 

• Paper storage - Locked cabinet 

• Paper disposal - secure 

shredder 

3 For information and advice on encryption, contact IS Security Enquiries. 

4 Please contact the Data Protection team for further information on personal information. 

• Personal IT equipment / email 

- Professional judgement / 

local guidance 

• Network storage - 

Professional judgement / local 

guidance 

• USB / removable media - 

Encryption required 

• Paper storage - Clear Desk 

Policy 

• Paper disposal - Confidential 

bin 

• Paper storage - Clear Desk 

Policy 

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Detailed handling controls 

This section provides more detail on the controls that are expected to be applied 

when handling information. This is split into controls on: storage, distribution, and 

disposal. 

Storage 

Each storage method must be appropriate to the information being stored. We must 

ensure that information we store internally is only accessible by those entitled to 

access it. We must also ensure that information stored on portable devices and media 

is protected. This helps ensure that if a device or media item is lost we can be 

confident that an unauthorised person cannot read it. 

Controlled 

Distribution 


Restricted 

• Paper - you must at all times comply with the FSA’s Clear Desk Policy. 

Information marked Controlled Distribution must be securely locked away when 

not in use. Documents must be locked in a security container or in a locker (i.e. a 

Right Space locker). 

If it is necessary to take paper documents home, Controlled Distribution 

information must be stored out of sight (e.g. away from plain view of windows) 

when not in use, and secured (e.g. a locked cabinet or briefcase). 

If it is necessary to take paper documents home, FSA Restricted information 

must be stored out of sight (e.g. away from plain view of windows) when not in 

use. 

Depending on the type of information, it may be appropriate to restrict access to 

a pre-specified distribution list, for example personal or staff sensitive 

information 5 . 

Unrestricted There are no requirements for secure storage. However, the clear desk policy 

applies. 

5 


applied. 

249

Controlled 

Distribution 

• Network storage 

Information marked Controlled Distribution must be placed in folders 

which restrict access to those on an approved distribution list who have a 

proven need-to-know. 

For example, if the classification is ”Controlled Distribution – 

Enforcement”, the document must be placed in a folder to which all those 

involved with enforcement casework can access. 

FSA Restricted Information marked FSA Restricted may be placed in unrestricted 

folders. 

However, depending on the type of information, it may be appropriate to 

restrict access to a distribution list, for example personal or staff sensitive 

information 6 . 

Unrestricted Information marked Unrestricted can be placed in unrestricted folders on 

the network. 

Controlled 

Distribution 

• Removable media - removable media includes USB memory sticks, external 

hard disks, SD cards, CDs and DVDs. 

Information marked Controlled Distribution must only be copied to removable 

media if the files are encrypted. This is designed to ensure that if the media are 

lost or stolen, the information on them cannot be read. 

Staff who have a business need to write to removable media must use approved 

encrypted devices or encryption software 7 . 

FSA As for Controlled Distribution, above. 

Restricted 

Unrestricted Information marked Unrestricted can be copied unencrypted to removable 

media. 

6 


applied. 

7 

For information and advice on encryption, contact IS Security Enquiries. 

250

Controlled 

Distribution 


Restricted 

• Personal equipment- the table provides guidance when working on non-FSA 

equipment such as personal PCs or mobile phones outside the office. 

Information marked Controlled Distribution must not be worked on or stored on 

non-FSA equipment such as home PCs. 

Information marked FSA Restricted can be worked on or stored on non-FSA 

equipment such as home PCs, only when essential. FSA laptops are provided as 

the primary means of working at home and in the office. 

However, depending on the type of information, it may not be appropriate to use 

personal equipment, for example personal or staff sensitive information 8 . 

Unrestricted Information marked Unrestricted can be worked on or stored on non-FSA 

equipment such as home PCs. 

Distribution 

The primary ways we distribute information are by email, post, courier and fax. Each 

of these is potentially open to misdirection or interception and appropriate controls 

must be in place. 

Controlled 

Distribution 


Restricted 

• Email - the text within the body of the email (but not the subject line) must 

indicate the marking to the recipient(s). 

Email sent by the FSA to external email addresses must be encrypted 9 . Where 

encryption is not possible, it may be possible to obscure sensitive information, 

for example using code names or abbreviations. 

Wherever possible, emails containing ‘Controlled Distribution’ information must 

not be sent from a BlackBerry (or personal mobile devices, where staff have 

been authorised to access FSA email and calendar functionality) to external 

email addresses (as they cannot be encrypted). 

Controlled Distribution information must not be sent to personal email addresses 

– whether encrypted or not. (The term ‘personal email address’ refers to 

accounts such as 'home' email accounts used by FSA employees on a non-FSA 

PC. It does not refer to business email accounts - e.g. a web-mail account used 

by an IFA). 

When the information is classified FSA Restricted, it is important to check that 

the intended recipients are within the group of people authorised to view the 

material. 

Unrestricted There are no requirements for emailing unrestricted information either internally 

or externally. 

8 


applied. 

9 

For information and advice on encryption, contact IS Security Enquiries. 

251

Controlled 

Distribution 

• Fax 

Documents should not be sent by fax unless there is a business requirement to do 

so and no secure alternative (such as scanning and emailing the scanned 

document) exists 10 . 

If there is no alternative, the sender 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. 


Restricted 

Unrestricted There are no requirements for faxing unrestricted information either internally or 

externally. 

Controlled 

Distribution 


Restricted 

• Posting Documents 

External post 

When sending Controlled Distribution information externally, the sender must 

instruct the post room to send the information by secure courier. 

Internal post 

When sending Controlled Distribution information internally, this must be hand 

delivered or double-enveloped. 

External post 

Depending on the type of information, it may be appropriate to use courier 

services when sending information externally, for example personal or staff 

sensitive information 11 . 

Internal post 

Depending on the type of information, it may be appropriate to use double 

envelopes or hand delivery. 

Unrestricted There are no requirements for posting Unrestricted information either internally 

or externally. Standard mail services may be used. 

10 

This requirement does not apply to the automated transmission of faxes using the RightFax service. 

11 


applied. 

252

• Posting Removable Media 

Removable media includes USB memory sticks, external hard disks, SD cards, CDs 

and DVDs. 

Controlled 

Distribution 

When sending Controlled Distribution information externally, the media must be 

encrypted as described in the Storage section. The password should be 

transmitted by other means such as email or telephone. 

If media cannot be encrypted, then the secure courier service must be used. 


Restricted 

Unrestricted There are no requirements for posting Unrestricted information stored on 

removable media either internally or externally. Standard mail services may be 

used. 

Disposal 

Controlled 

Distribution 


Restricted 

We must ensure that sensitive information is disposed of securely. 

• Paper 

If the document contains Controlled Distribution information, then it must be 

disposed of using the shredders provided on each floor. 

FSA Restricted information must be disposed of in the confidential waste bins 

provided on each floor. 

Unrestricted There are no disposal requirements for Unrestricted information. 

Controlled 

Distribution 

• Removable media - includes USB memory sticks, external hard disks, SD 

cards, CDs and DVDs. 

CDs and DVDs 

CDs and DVDs containing Controlled Distribution information must be disposed 

of in the confidential media disposal bin located in Security Control room on the 

ground floor of 25TNC. 

Other media 

Encrypted data can be deleted normally. Unencrypted data requires secure 

deletion 12 . 


Restricted 

As for Controlled Distribution, above. 


12 For information and advice on secure deletion, contact IS Security Enquiries. 

253

• Personal equipment -the table provides guidance when working on non-FSA 

equipment such as personal PCs or mobile phones outside the office. 

Controlled Information marked Controlled Distribution must not be worked on or 

Distribution stored on non-FSA equipment such as home PCs. 

FSA Restricted Staff must delete the information from the non-FSA PCs when no longer 

required. 


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Use of FSA information services 

Use of email 

• Emails that you create, send, receive and store are owned by and may be 

monitored by the FSA. 

• You must not send emails which contain inappropriate content; this includes but 

is not limited to, obscene, racist, sexist, defamatory or discriminatory material, 

which cause harassment or offence, or which contain malicious gossip or 

advocates any illegal activity. 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. 

• You must not “auto-forward” your FSA emails to an external email address. 

• Access to personal Internet email accounts (such as Hotmail) is not permitted 

(as the FSA is not able to monitor such access). 

• We accept that from time to time it may be necessary to send a personal email 

from your FSA account. You must ensure that the email does not contain 

sensitive information, and that its content cannot be confused with an official 

FSA business communication. 

• From time to time we may monitor the use of email and this may be required by 

law in some circumstances. To maintain the integrity of the SCC relationship, if 

any emails are monitored which contain ‘SCC’ in the title, every effort will be 

made to avoid accessing the content. 

Use of the Internet 

• Internet facilities are provided for business purposes – however, you are allowed 

to make reasonable personal use of these facilities. 

• You must not deliberately access web sites containing material of an offensive, 

pornographic or violent nature, or gambling, gaming or betting sites. If you 

deliberately access such sites then this will be treated as misconduct and dealt 

with under the FSA’s Disciplinary Procedure. 

255

• You must not download software (including screensavers) as these may contain 

embedded viruses or other malicious code which could damage FSA systems. 

• If you publish material that mentions the FSA, its business or regulated clients 

on, for example, social networking sites, 'blogs' or a personal web site, then you 

must make it clear that you are expressing a personal view by including the 

following text: “The views and opinions expressed on this site are mine alone and 

do not necessarily reflect the views of my employer” (You should be aware of 

your duty as an employee to act in good faith and in the best interests of your 

employer under English law). 

Computers 

• You must lock your computer screen (press Ctrl+Alt+Del keys or the Windows 

key+L 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. 

• You must not attempt to access a computer unless you have been authorised to do 

so. Gaining unauthorised access to a computer by any means, or removing or 

tampering with any IT equipment, software or electronically-held information, 

will be treated as misconduct and dealt with under the FSA’s Disciplinary 

Procedure. 

• You must not tell someone else (including IS Service Desk personnel) your 

computer login password without a clear business reason and authorisation 

to do so. 

• You must not write down your computer login password 

• You must not enter your computer login password if someone else can see the 

keys you are typing. 

• If you think your password has been compromised, then you must change it 

immediately. 

• You must not try to load software onto a FSA desktop, laptop of other systems, 

or modify existing software (other than to change user-configurable options and 

preferences). You must contact the IS Service Desk if you have a legitimate 

business need for a copy of software listed in the IS Service Catalogue (which 

can be found on Connect+). If you need access to software not listed in the IS 

Service Catalogue, then you will need to contact IS Relationship Management to 

discuss raising a Work Request for this. 

• You must not make illegal copies of software, as you will be personally liable for 

this and may also put the FSA at risk of enforcement action. 

256

• You must not connect any unauthorised devices to the FSA’s network. 

Mobile Devices 

This includes Blackberrys, mobile phones and where authorised, personal devices 

used to access FSA email and calendars. 

• You must take all reasonable steps to ensure that you do not lose your mobile 

device or allow it to be stolen. Loss or theft of your mobile device, including any 

personal device that contains FSA data, must be reported immediately to the IS 

Service Desk on 020 7066 3636. 

• If you use your mobile device in a public area (e.g. on the tube or train) then you 

must take reasonable steps to ensure that others cannot read the emails you are 

reading or writing. 

• You must try to avoid leaving your mobile device unattended while outside of the 

office. If this is unavoidable, then you must either lock it manually or turn it off 

before you leave it. 

• You must not tell anyone else your mobile device password. If you believe that 

someone knows your password, you must change it immediately. 

• You must not try to load software onto your FSA mobile device, or modify 

existing software (other than to change user-configurable options and 

preferences). 

• You must follow the requirements in the ‘Use of email’ and ‘Use of the 

Internet’ sections of this policy when using your mobile device for email or 

Internet access respectively. 

• When using other features of your mobile device (including the camera) you must 

not create, import, send or store material which is obscene, defamatory or 

discriminatory, which could cause harassment or offence, or which contains 

malicious gossip or other inappropriate material. 

• You must take reasonable precautions to avoid being overheard if you use your 

mobile device or mobile phone to discuss FSA business while outside the office. 

Discussions on mobile phones relating to “Controlled Distribution” information 

must not take place in public. 

• It a criminal offence to drive while using a hand-held mobile telephone (or 

mobile device). We insist that you do not use either while driving on FSA 

business. 

257

Office Telephones 

• If you need to discuss sensitive 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 sensitive information, 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 

call will be recorded at the outset of the call. The only exception will be where in 

accordance with the proper exercise of FSA’s investigatory powers you may 

conduct covert interception. Guidance on this is issued locally. 

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.) 

258

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. 

Printers, scanners and photocopiers 

If you print, scan or photocopy a sensitive document, you must ensure that you 

remove the original from the machine once the operation is completed. If the original 

or copy becomes jammed in the machine, then you must ensure that any sensitive 

material is removed. 

If you need to print a sensitive document, then you should use either a local printer or 

the 'secure print' facility on a shared printer. If this is not possible or practical, then 

you must ensure that you pick up the print out immediately. 

You must not scan or photocopy material where this would be a breach of copyright 

or other legislation. 

In the Office 

• You must at all times comply with the FSA's Clear Desk Policy. 

• If you participate in a meeting, you must ensure that any sensitive documents 

(including flipcharts) are removed from the meeting room, and that any sensitive 

information is wiped from the whiteboard. 

• Sensitive information must not be displayed on walls overnight – if it is required 

to be displayed during the working day then it must be removed and secured at 

the end of each day. 

• If you are working late in the office, then please check your local print area for 

any documents that have not been collected and place these in the Confidential 

Waste. 

Security tokens (VPN) 

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. 

Secure remote working 

• If you are working outside the office with sensitive information then you must 

ensure that you are not overlooked, and that you do not lose the information you 

have in your custody or allow it to be stolen. 

259

• You must be especially cautious when discussing any sensitive information in 

public places, and ensure you are not overheard. 

• FSA laptops are encrypted, but they are expensive to replace, so you must take all 

reasonable precautions to avoid losing your laptop or having it stolen. If a laptop 

is 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. 

Monitoring and Review 

Technology and the law change regularly and this policy will be updated periodically 

to reflect any changes. Employees will be informed when any fundamental changes 

are made but should be aware that it is everyone’s responsibility to read the latest 

version of FSA policies. 


This policy covers all FSA employees, including permanent staff, temporary staff 

including contractors and agency temps. This policy also covers any third party 

employees while they are working on FSA business. If a breach involves a third 

party, appropriate sanctions will be taken against that third party. 


This is the FSA’s Information Security Policy as at February 2013. 

The policy is owned by the IS Technology Security Manager and has been developed 

in consultation with the FSA’s Staff Consultative Committee. 







260

12 Terms of employment 

Basics about Your Employment 

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: 

25 The North Colonnade 

Canary Wharf 

London 

E14 5HS 

1 Canada Square 

Canary Wharf 

London 

E14 

25 Bank Street 

Canary Wharf 

London 

E14 

Quayside House 

127 Fountainbridge 

Edinburgh 

EH3 8DJ 

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Your normal place of work will be as notified in your Personal Statement. We may 

reasonably require you to work in any other FSA offices, any regulated firm or other 

third party inside the United Kingdom. 

You are not currently required to work outside the United Kingdom except for 

business trips or other trips in the course of your work. You may be required to make 

visits to third parties anywhere in the United Kingdom and there may be times when 

it is necessary to stay away overnight. It is a condition of your employment that you 

undertake these requirements to travel. 




This is the FSA’s Basics about your employment policy as at April 2009. 








Contractual information in this policy forms part of your contract of employment. 

262

Employee Handbook and Contractual Information 


Your Personal Statement sets out some of the terms and conditions of your 

employment. Taken together, your Personal Statement, sections of this Handbook 

enclosed in the headings, ‘Contractual Information (start)’ / ‘Contractual Information 

(end)’, and your first Flexible Benefits Confirmation Statement and thereafter, your 

most recent Flexible Benefits Confirmation Statement comprise your Contract of 

Employment with us, subject to any amendments that from time to time, the FSA 

may make. Accordingly, the FSA reserve the right to amend the Contract of 

Employment of all employees and also to vary it in respect of individual employees. 

The Employee Handbook contains policies and procedures that do not form part of 

your Contract of Employment and may be replaced, withdrawn or varied by the FSA 

at any time. 

This Employee Handbook, together with your Personal Statement constitutes written 

particulars for the purposes of the Employment Rights Act 1996 (as amended from 

time to time). Where there is a conflict between your Personal Statement and the 

Employee Handbook, your Personal Statement will prevail. 

We reserve the right to make non-fundamental changes to the terms and conditions of 

employment enclosed in the headings, ‘Contractual Information (start)’ / ‘Contractual 

Information (end)’, in this Handbook from time to time. 

You will be notified of minor changes of detail by way of a general notice to all 

employees affected by the change and any such changes take effect from the date of 

the notice. The changes will be automatically made to the Intranet Handbook. 

You will be given not less than one month’s notice in writing of any significant 

changes which may be given by way of an individual notice or a general notice to all 

employees. Such changes will be deemed to be accepted unless you notify us of any 

objection in writing before the expiry of the notice period. 

The FSA is constantly reviewing its terms and conditions of employment and 

policies to compare them with best practice in similar organisations. Appropriate 

changes may be made to reflect such best practice. 




263


This is the FSA’s Employee Handbook and Contractual Information Policy as at 

April 2009. 








This policy does form part of your contract of employment. 

264

Hours of Work Policy 


Unless otherwise stated in your Personal Statement, normal working hours are 

35 hours each week, Monday to Friday, with one hour each day for lunch. We 

reserve the right to vary your normal working hours, if necessary, to fulfil our 

operational requirements. 

You may be required to work in excess of your normal working hours. If required, 

you agree to work in excess of any limit placed on working hours, whether by statute 

or otherwise (provided in the case of a statutory limit that the requirement is lawful). 

Any excess hours worked will be unpaid unless you have a specific entitlement to 

overtime payments, which will be set out in your Personal Statement. 

You are required to record your hours of work and notify us of them so that we can 

comply with our health and safety obligations. 

If you have to work during your lunchtime, you must take an equivalent break during 

the day, making arrangements for appropriate cover where necessary. You must take 

a minimum rest period of 30 minutes if you have worked continuously for six hours. 

The law entitles you to a daily rest of 11 consecutive hours and a weekly rest of 

24 hours. Except where we may lawfully require you to work during all or part 

of these rests, you must take them. If as a result of our work requirements you do 

not get your full rest entitlements, you will be entitled to an equivalent period of rest. 





This is the FSA’s Hours of Work Policy as at April 2009. 








This policy does form part of your contract of employment. 

265

13 Wellbeing 

Smoking Policy 

Principles 


This policy has been developed in line with the requirements of the Health Act 2006 

to protect the health of all employees, contractors, consultants and visitors to the 

FSA’s premises from exposure to second-hand smoke. 

We recognise that people have the right to work in a smoke-free environment under 

the new Smoke-free Regulations and we will take all reasonable steps to achieve this. 

We recognise that second-hand smoke adversely affects the health of people. We are 

not concerned with whether anyone smokes, but where they smoke and the effect this 

has on our staff and visitors. 

The aim of the policy is to: 

• protect the health of anyone who comes to work on our behalf on our premises 

(including employees, secondees, workers, contractors, and consultants); 

• protect the health of visitors to the FSA; 

• inform people of their responsibilities in relation to this policy; and 

• promote an improved working environment in conjunction with the 

Rightspace programme. 


Employees should: 

• ensure they comply with this policy and do not smoke on the premises (including 

the steps at the front and back of the building) or in any other areas on the Canary 

Wharf estate where a ‘no smoking’ sign is displayed; 

• ensure their visitors to the FSA are made aware of the smoking policy on 

arrival; and 

• report any employee, contractor, etc., who commits serious or persistent breaches 

of this policy to their manager or the HR Division. 

266

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. 

Internal procedure for non-compliance 

Smoking on our premises is considered to be an act of misconduct. Any employee 

who does not comply with this policy may be subject to disciplinary action in 

accordance with our Disciplinary Procedure. 

A record will be made and referred to the HR Helpline if any employee: 

• fails to comply with reasonable requests from security to extinguish smoking 

material or move to a dedicated smoking zone on the Canary Wharf estate; or 

• commits serious or persistent breaches of this policy. 

If a visitor does not comply with the smoking policy they should be asked to 

extinguish the smoking material. If they continue to smoke they should be referred 

to the appropriate host or to a member of the security if the host is not present. 

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. 

Roles and responsibilities 

Senior management of the FSA will be ultimately responsible for making sure that 

the law is complied with on our premises, while the HR Division will be responsible 

for maintaining this policy and ensuring its consistent approach across the FSA. 

However, we all have an obligation to meet the new regulations. 

267

Corporate Security will: 

• seek to ensure that all employees, secondees, workers, contractors, consultants 

and visitors to the FSA's premises comply with this policy; 

• ensure anyone they find smoking on the premises (which includes the steps at the 

front and back of the building) is asked to extinguish their cigarette and reminded 

of our policy; and 

• report any employee who commits serious or persistent breaches of this policy, or 

who fails to comply with reasonable requests from security, to the HR Helpline. 

Property and Workplace will: 

• ensure ‘no smoking’ signs are displayed around the building and in 

chauffeurs’ vehicles; 

• seek to ensure that all employees, contractors, consultants and visitors to the 

FSA’s premises comply with this policy; and 

• report any employee who commits serious or persistent breaches of this policy, 

or who fails to comply with reasonable requests, to the HR Helpline. 

Managers will: 

• seek to ensure that their employees, contractors, consultants and visitors to our 

premises (which includes the steps at the front and back of the building) comply 

with this policy; and 

• ensure that any serious or persistent breaches of the policy by a member of their 

team will be dealt with under the Disciplinary Procedure. 

CWM and LBTH will: 

• ensure that the smoke-free regulations are implemented and enforced throughout 

the Canary Wharf estate; 

• work with employers on the Canary Wharf estate to ensure the regulations are 

implemented and enforced. 


This policy applies to all employees, secondees, workers, contractors, consultants and 

visitors to our premises. 


This is the FSA’s Smoking Policy as at May 2011. 

268

The policy is owned by the HR Division, Occupational Health, Health and Safety, 

Property and Workplace, Corporate Security, and has been developed in conjunction 

with the Staff Consultative Committee. 





269

Stress Wellbeing Policy 

The FSA is committed to identifying and tackling the causes of work-related stress 

and mental health issues and to provide appropriate support and consideration to staff 

suffering from such problems on a confidential basis where appropriate. 

This commitment extends to maintaining a working environment that protects the 

psychological as well as physical health of all FSA employees, wherever possible. 

Psychological health problems can include stressors from an employee's personal life 

and the pressures and demands these entail which are often unavoidable. It can also 

include the often unavoidable pressure of working life, with each job bringing its 

own pressures and demands. A controllable level of pressure can be healthy and 

benefit performance, but excessive and sustained levels of stress may be damaging to 

your health. 

The FSA recognises that stress is a health and safety issue. The Health and Safety 

Executive define stress as “the adverse reaction people have to excessive pressure or 

other types of demands placed on them”. This makes an important distinction 

between pressure, which can be a positive state if managed correctly, and stress 

which can be detrimental to health. 

Principles 


• Identify workplace stressors (as far as reasonably practicable) and conduct 

risk assessments to eliminate stress or control the risks. These should be 

reviewed regularly. 

• Provide training for all people managers in good management practices. 

• Provide confidential free counselling for staff affected by either work or external 

stress through an EAP (Employee Assistance Programme). 

• Provide adequate resources to enable managers to implement the FSA’s agreed 

stress management strategy. 

• Promote a culture of open communication, participation and encouragement. 

• Provide a workplace free from harassment, bullying and victimisation. 

• Address violence, aggression and other forms of inappropriate behaviour through 

disciplinary action. 

• Maintain a performance management framework, which includes 

objective setting and an appraisal process, to ensure the suitability of 

270

workloads and the development of appropriate skills, supported by a 

Performance Management Procedure. 

• Provide employees with clear roles and responsibilities; and 

• Provide adequate training to ensure employees are able to carry out their roles. 


Ultimately, you have primary responsibility for your own health and wellbeing and to 

ensure you take reasonable care of yourself. 

• Comply with any safety instructions and directions issued by the FSA. 

• Let your manager know about any aspect of work or your working environment 

which may be affecting your health. 

• Be familiar with the Stress and Wellbeing policy and act in accordance with its 

aim and objectives. 

• Plan and organise your work to meet personal and organisational objectives. 

• Speak to your manager if you experience or are aware of a situation that may lead 

to a stress problem. 

• Co-operate with support, advice and guidance you may be offered by 

the FSA, including training and attending meetings with Occupational 

Health when required. 

Responsibilities: (as far as reasonable practicable) 

People Managers: 

• Ensure each member of staff is trained to perform their duties. 

• Monitor workloads to ensure that staff 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. 

• Monitor the effectiveness of measures to address stress and identify trends by 

collating and reporting sickness absence statistics. 

271

Occupational Health Adviser: 

• See any staff member who the line manager has identified as possibly suffering 

from stress, or stress related problems, and provide advice and support to both 

them and management. 

• Provide specialist advice on stress management. 

• Refer any employee to the EAP provider where appropriate. 

• Identify trends and make recommendations from referrals and analysis of stress 

audits; report findings to the HR Division. 

HR Helpline, HR Business Partners, Employee Relation Consultants 

and H&S Reps: 

Will provide support and advice to managers and employees. 

• Will seek additional guidance from appropriately qualified and experienced 

colleagues and professionals where necessary e.g. Occupational Health Adviser 

and Physician. 

• Will escalate issues appropriately where any individual or department-wide 

wellbeing risks are identified e.g. HR Helpline to HR Business Partner. 

Support & Assistance: 

• EAP (Employee Assistance Programme) – Free and confidential advice line and 

counselling service which is available 24 hours per day. 

• Occupational Health Adviser – A referral will only be suggested after a 

discussion between you and your line manager. Discussions with the OHA are 

confidential, although a report will be provided to your line manager and 

Employee Relations Consultant to ascertain your fitness for work and to identify 

any changes to your working arrangements that might help you to return to or 

remain in work. If appropriate, the OHA may refer you on to the Occupational 

Health Physician. 

• Your own GP. 

272

Any employee who considers that they may be suffering from stress or a mental 

health issue for reasons connected with their working conditions, workload or 

working relationships with colleagues, should approach their line manager in the 

first instance. 

Any people manager noting symptoms of stress and/or a mental health problem in an 

employee who reports to them or who is approached by an employee complaining of 

a work related stress or mental health issue should promptly refer the employee to 

Occupational Health and advise their Employee Relation Consultant. 


This policy covers all employees/workers at all levels and grades, including 

Managing Directors, Directors, Heads of Departments, Managers, Technical 

Specialists, Associates, Administrators and Secretaries who may be home workers, 

part time and fixed term employees, and agency temps, secondees and contractors 

(collectively referred to as staff in this policy). 

Third parties who have access to the FSA premises (such as consultants, contractors, 

customers and visitors) are also required to comply with this policy. 


This is the FSA’s Stress and Wellbeing Policy as at January 2012. 


the Health & Safety Adviser. 




This policy does not form part of your contract of employment and is subject to 

change at the discretion of the FSA. Any changes will be published on the FSA’s 

intranet, Connect+. 

273

Substance Abuse Policy 

Our employees are our most valuable resource and their health and safety is of the 

utmost importance. Drug and alcohol misuse has the potential to damage the health 

and wellbeing of our employees and threaten the success of our business. 


We will manage any substance abuse or related concern in line with the following 

key principles. 

• We wish to ensure your welfare and to safeguard the organisation’s efficiency 

and reputation. 

• We consider alcoholism and drug dependency as illnesses, which except where 

absolutely necessary, should be treated medically rather than within the 

Disciplinary Procedure. 

• Encourage those employees with an alcohol or drugs problem to seek appropriate 

help as early as possible. 

• Ensure that you are aware of the risks associated with the abuse of alcohol 

and drugs. 

• Help managers to identify a drinking or drugs problem at an early stage. 

• Ensure that other employees are not put at risk or adversely affected by an 

employee’s alcohol consumption or drug use. 

• Ensure that the FSA’s efficiency and reputation is not undermined by an 

employee’s alcohol or drug-influenced behaviour. 


We expect employees to do as follows: 

• Seek assistance in line with this policy. 

• Advise the Occupational Health Advisor if they are taking prescribed drugs. 

• Adhere to any rehabilitation program. 

• Accept and co-operate with any referral to a medical advisor. 

Acceptable and unacceptable use 

The definition of ‘substance’ includes: 

• alcohol; 

274

• illicit, prescription or over-the-counter drugs; and 

• any other substance that may impair an employee’s performance or 

conduct at work. 

Alcohol is available to you at particular times in specified dining areas on FSA 

premises, but is not normally permitted elsewhere. However, there are occasions 

when alcoholic drinks may be permitted, at the discretion of line managers. 

If you drink off-duty, it should be to an extent that it does not impair work 

performance or conduct. Any employee whose work performance or conduct is 

adversely affected by alcohol consumption or drugs may be subject to action under 

our Disciplinary Procedure. 

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. 

275

• Drinking alcohol on FSA our premises, other than when authorised 

by management. 

• Being under the influence of alcohol, drugs or other prescribed substances that 

impair performance or conduct while at work (including attending any event, 

whether social or otherwise at FSA our premises or elsewhere). 

If an employee refuses to accept referral to specialist help, e.g. an Occupational 

Health Advisor, we may initiate disciplinary action. 

If an employee fails to complete a rehabilitation programme, we may initiate 

disciplinary action. 

If you relapse into dependency after the course of treatment has been completed, you 

will be given the opportunity to take further treatment. If this help is refused, or your 

performance or action is unacceptable, disciplinary action may be taken. 

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. 


This policy applies to all employees. 


This is the FSA's Substance Abuse Policy as at April 2009. 









276

14 Working Patterns 

Flexible Working Policy 

Parents of children up to and including the age of 16, or of disabled children under 

the age of 18, have the right to apply to work flexibly. From 6th April 2007, the 

flexible working regulations 2006 came into force and extended the right to carers 

of certain adults. 

Employees not covered by this policy may still request to work flexibly and the 

process for considering that request will be broadly similar. However, in this 

instance, the line manager’s decision will be final and there will be no right to appeal, 

other than through FSA’s Grievance Procedure. The application process is the same 

for all employees (see below). 

There is no automatic right to work flexibly, as there will always be circumstances 

when the FSA is unable to accommodate a desired work pattern. However, this 

policy aims to facilitate discussion and to encourage both parties to find a mutually 

agreeable solution. Each request will be considered seriously and assessed on its 

own merits. 

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. 

277

Considerations 

In considering a request for flexible working, FSA will take the following factors 

into account: 

• Will FSA’s business be affected by not having someone in post during standard 

working hours? 

• Can all the necessary work be done in the hours/days requested? 

• Is there another job of similar level that the worker could do flexibly? 

• What benefits would the company get from this arrangement? 

• What would the effect be on the morale and commitment of other staff? 

• What are the potential cost implications to the Company? 

• Have other requests to work flexibly been made in the area and how were 

they treated? 

Due to the continuing work pressures and operational stretch at this time, no requests 

for compressed hours will be approved. This decision will be reviewed annually 

against business needs at that time and any changes communicated to all staff. You 

should work with your line manager to identify other suitable flexible working 

arrangements. See the Employee Guidance pages for further information. 

Flexible working arrangements will not necessarily transfer from one job to another. 

Different roles may not be suitable to being carried out on the same flexible working 

arrangement as your current role, so this will be reassessed at the time. 

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. 

278

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 

be issued with 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. 

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. 


You may be accompanied at formal flexible working 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. 

Who is covered by this procedure? 



This is the FSA’s Flexible Working Policy as at May 2011. 

This policy is owned by the HR Division and has been developed in conjunction with 






279

Flexitime Policy 

We operate a flexitime scheme for certain Administrator/Secretarial employees. 

Employees eligible to participate in the flexitime scheme (as indicated in your 

Personal Statement) must comply with the rules of the scheme. 

Flexitime scheme rules 

The Rules of the Scheme are detailed below. These rules are subject to work 

requirements. Limitations may be made at the discretion of your line manager. 

• Each team/section should be adequately manned at all times between 9.00 am 

and 5.00 pm. 

• The accounting period will be a calendar month. Calculations are made on the 

basis of a seven-hour day. 

• Working hours may commence at any time between 7.00 am and 10.00 am and 

end at any time between 4.00 pm and 8.00 pm. These hours are known as the 

‘flexitime band’. 

• On a normal working day, you should arrive at the office no later than 10.00 am 

and should not leave before 4.00 pm. The hours between 10.00 am and 4.00 pm 

are known as ‘core time’. 

• The lunch interval should be of at least 30 minutes duration and may be taken at 

any time between 12.00 noon and 2.30 pm. 

• Each time you enter or leave the building, you must personally log in or out by 

swiping your passcard through the flexi terminal. In no circumstances may you 

log in or out on behalf of another member of staff. Both actions will be treated as 

gross misconduct for both you and the other person concerned. You should log 

out and back in when you are away from your desk for absences such as smoking 

breaks. 

• Excess hours registered at the end of the accounting period up to a maximum 

of ten hours may be carried forward to the next accounting period. Excess 

hours will not rank for overtime payment nor affect holiday, pension or any 

other entitlement. 

• A maximum of ten debit hours may be carried forward at the end of an 

accounting period. The maximum debit hours permitted at any time during a 

period is fourteen hours. If you are in a debit situation any authorised overtime 

worked will offset this balance and payment will not be made. 

• Credit hours may be taken off either during the ‘flexitime band’; or in each 

accounting period of a calendar month as two half days or one whole day absence 

280

from the office. However, no more than twelve half or six whole ‘flexiday’ 

absences are permitted between 1 June and 31 May. 

• If you are part time, the total days that you are entitled to take will be pro-rated in 

proportion to your part time hours. 

• Proposed absence for whole or half ‘flexidays’ is subject to cancellation by 

management in order to ensure adequate staffing. 

• Should you leave the FSA’s employment you must ensure that your hours are not 

in debit. Any remaining deficit of hours will be deducted from your final salary. 

• Additional 'flexidays' may be granted for those working towards examinations. 

• Loss of working time due to travelling difficulties such as late trains, traffic holdups 

and other such hazards will not be credited. 

• Treatment and general examination by opticians, doctors, dentists, etc. will not 

normally be credited. 

• Time lost through urgent unplanned medical treatment will be credited subject to 

the authorisation of your line manager. 

• Authorised holiday will be credited at seven hours per day. 

• Authorised half day holiday will be credited at 3 hours 30 minutes. AM half day 

holiday - you should arrive for work no later than 2 pm. PM half day holiday - 

you should not leave the office earlier than 12pm. 

• Authorised sickness absence will be credited at seven hours per day. 

• If you are required by the FSA to be away from your normal place of work, you 

will be credited for the hours spent as follows: 

- external meetings to which you travel directly from home will be credited 

with a start time of 9.00 am; 

- on leaving the office for business appointments and not returning, credit will 

be given to 5.00 pm; 

- the maximum credit for a business lunch will be two hours; 

- a full day’s absence on business will be credited as seven hours; and 

- adjustment in respect of such absences will need to be authorised by your 

line manager. 

Flexitime scheme method of operation 

Arrival Lunch Departure 

281

You should log in 

when you are ready to 

commence work. 

You should log out, take a 

minimum of 30 minutes lunch 

break and log back 

in again. 

You should log out when you 

have finished work. Failure to 

log out will automatically cut 

back to the last time that you 

logged in. 

You should log out if you take any breaks during the day when you will not be 

undertaking work, e.g. smoking breaks. 




This is the FSA's Flexitime Policy as at January 2012. 









282

Homeworking Policy 

The FSA recognises that homeworking can be beneficial to both employees and 

the organisation. 

To work effectively, homeworking arrangements have to meet the business needs 

of the FSA, ensuring that the needs of both internal and external stakeholders will 

not suffer. 

Whilst not all jobs are suitable for homeworking, requests made by those who are 

legally entitled to request flexible working, or others where considered appropriate 

by the FSA, will be considered on their own merits. This scheme is not intended to 

create any contractual rights for employees over and above the statutory flexible 

working regime. 

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; 

283

• the performance of a home worker is unsatisfactory; and/or 

• the benefit is being abused. 

Homeworking arrangements will not transfer from one job to another, since different 

roles may not be equally suitable to being carried out in part remotely. 

Types of Homeworking Arrangements 

The FSA's Homeworking Policy makes distinctions between employees working on 

the following basis: 

• Occasional homeworking – employees work from home on an occasional basis 

e.g. one or two days a month. 

• Regular homeworking - employees work from home on a regular basis e.g. one 

day per week. 

• Full-time homeworking - employees have a contractual agreement with the FSA 

to work from home (Full-time homeworking contracts only apply to a small 

number of FSA employees and are determined by the nature of the role). 

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. 

Health & Safety 

The FSA has a responsibility to ensure as far as it is reasonably practicable the 

health, safety and welfare of employees, wherever they work. Employees working at 

home have the same duties under the Health and Safety at Work Act 1974 as all other 

employees. They must take care of their own health and safety and that of anyone 

else who might be affected by their actions and must co-operate with the FSA on all 

health and safety matters. 

284

The FSA is required to undertake a risk assessment of employees’ activities and 

working environment when working on a full-time or regular basis at home. This will 

normally be undertaken via self-assessment through completion of the Homeworking 

application eform. Employees must inform the FSA immediately of any changes or 

hazards to their working environment or equipment used. Full-time and regular 

homeworkers will need to be complete the self-assessment process on a yearly basis. 

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. 

Security and confidentiality of data and equipment 

Employees are responsible for ensuring the security of FSA property and 

information, documents and files within their possession and are required to comply 

with FSA policies and procedures, including those relating to records management, 

clear desk and the security of information when working at home. 

Insurance & related matters 

Equipment: The FSA will pay the insurance cover for all FSA equipment under its 

current policy which covers “all risks anywhere in the UK”. Employees should 

ensure that their building/contents insurance is not invalidated by the use of the home 

as a place of work, or by the storage/use of FSA equipment. 

Buildings and contents insurance: It is the responsibility of homeworkers to 

provide adequate home buildings and contents insurance. The FSA does not accept 

liability for damage caused to the home or its contents. 

Full-time homeworkers and those working at home on a regular basis should seek 

advice from the relevant agencies with regard to the effect of home working on their 

mortgage or tenancy agreement, and council tax/business rates. 

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. 

285




Full-time homeworking (FTHW) 

Full-time homeworking contracts will be determined by the nature of the role, e.g. 

when the role requires people to work in specific locations throughout the country, 

and will not be agreed to on request. 

Full-time homeworkers (FTHWs) will have a contractual agreement with the 

FSA to work from home, though that agreement is subject to the same right of the 

FSA to make reasonable changes to terms and conditions as all its other contracts 


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. 

Attendance at FSA locations 

Periodic visits to FSA offices will be necessary, e.g. for meetings and training events. 

A maximum of two visits per month will be reimbursed, in accordance with the 

Travel Expenses Policy. Employees should agree all travel to FSA offices in advance 

and obtain prior authorisation of expenses with their manager. Any travel to FSA 

offices in addition to the two visits will not be reimbursed by the FSA. 

Provision and use of equipment 

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 

286

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. 

Regular Homeworking (RHW) 

Regular Homeworking (RHW) applies when employees have an agreement with their 

line manager to work from home on a regular basis e.g. one day per week. 

RHW may be appropriate when: 

• functions of the role can be carried out remotely and without disruption; 

• clear outputs can be achieved and agreed in advance; 

• there is adequate equipment in order for the employee to carry out their work; 

• an employee’s absence will not create problems for others; 

Consequently, homeworking requests are likely to be rejected if: 

• the arrangement will create an additional cost burden for the FSA; 

• the arrangement would have a detrimental effect on the FSA’s ability to meet 

the demands of its internal and external “customers”; 

• it is impracticable to recruit any additional employees required by 

the arrangement; 

• the arrangement would have a detrimental impact on quality or performance 

of work; 

• the arrangement cuts across any planned structural changes. 

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. 

287

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. 

Reporting and out-of-office procedures 

Employees working at home should be contactable during the agreed working day, 

unless specifically agreed in advance with their line manager. 

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. 

Attendance at the office 

Employees who have a RHW arrangement may be required on occasions to attend 

the office e.g. a team Away day, urgent meeting or training course, on an agreed 

“home working” day. The employee will be expected to make arrangements to attend 

wherever possible. This does not entitle the employee to a replacement home 

working day. 

Occasional Homeworking (OHW) 

OHW applies when employees work from home on an ad hoc and occasional basis 

e.g. one or two days per month. 

OHW is permissible when: 

• clear outputs can be achieved and agreed in advance 

• there is adequate equipment in order for the employee to carry out their work 

• an employee’s absence will not create problems for others 

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. 

288

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. 




This is the FSA’s Homeworking Policy as at June 2010. 









289

Part-time Working Policy 

Following an application made under the FSA’s Flexible Working Policy, if you opt 

to work on a part-time basis, there will be a knock-on effect on a number of benefits: 

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 15 = amount of additional leave that can be purchased 

Bank and Public Holidays 

You will be entitled to bank and public holidays on a pro-rated basis in addition to 

your annual leave allowance as follows: 

Days worked/5 x 8 (bank and public holidays in a year) = bank holiday days 

Most staff find it more convenient to add the bank holiday allowance to the 

overall leave allowance and then deduct bank holiday days from the overall total 

on the basis that: 

If a bank holiday falls on a day that you normally work, you can either work an 

alternative day or deduct a day from your total allowance. 

If in any year, more bank and public holidays fall on your normal working days than 

your bank holiday allowance, you must either work alternative days or take the 

additional days from your remaining leave allowance. You must record all leave via 


290

Sick Pay 

You will be entitled to occupational sick pay based on your pro-rated salary. If you 

are absent for a prolonged period, the normal 65 days’ paid sickness will be pro-rated 

to take account of your working pattern to determine when your salary will be 

reduced to half or nil pay, as follows: 

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. 




This is the FSA's Part Time Working Policy as at April 2010. 









291

15 Whistleblowing 

Whistleblowing Policy 

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. 

292

What does this policy cover? 

• Who and what is covered by our Whistleblowing Policy; 

• Which procedure to use; 

• Anonymous disclosures; 

• Other wrongdoing; 

• Independent advice; 

• How to raise a concern; 

• What happens during an investigation; 

• Roles and responsibilities; 

• Protection; 

• What happens if you may be implicated; 

• Confidentiality; 

• What happens after an investigation; and 

• Where you can get further information. 

Who does this Whistleblowing Policy apply to? 

Our policy applies to all permanent and short-term employees of the FSA. It also 

applies to secondees, external consultants, contractors and agency employees while 

they are at the FSA. You are not required to have worked at the FSA for a minimum 

amount of time before you can use this policy: you can use the procedure even if you 

are new. 

What is covered by our Whistleblowing Policy? 

Disclosing a concern which, in your honest, reasonable belief, suggests 

that wrongdoing has been committed, is being committed or is likely to be 

committed, could qualify for protection under PIDA. Wrongdoing includes 

(but is not limited to): 

• failure to comply with a legal duty; 

• miscarriages of justice; 

• criminal offences; 

• endangering the health and safety of any person; 

• offering or accepting bribes under the Bribery Act 2010; 

293

• damage to the environment; and 

• deliberate concealment of any of the above. 

Our policy additionally covers any conduct not included above which appears likely 

to harm the reputation of the FSA. In these circumstances, we undertake to provide 

the same protection as set out in the section, “What sort of response can I expect 

from the FSA?”. However, you would not necessarily be protected by PIDA and you 

may want to take separate advice on that, for example by contacting Public Concern 

at Work (see the section, “Where can I get independent advice?”) . 

Which procedure should I use? 

There are existing Employee Handbook policies and procedures designed to resolve 

many kinds of concerns. The procedures to be followed in raising and dealing with 

such issues under these policies are set out in the relevant entry in the Employee 

Handbook: 

• Grievance Procedure; 

• Equality of Opportunity and Dignity at Work policies; 

• Disciplinary Procedure; 

• Performance Management Procedure; 

• Health and Safety Policy; 

• Security Policy; and 

• complaints against the FSA 

These policies and procedures aim to encourage anyone with a genuine concern to 

raise it by giving the opportunity, where required, to make the complaint to someone 

who has no direct involvement with the issue. You can raise such concerns with the 

relevant FSA contact (e.g. Health & Safety Adviser). In addition, although these 

procedures are not generally covered by the same legal protection provided by PIDA, 

the FSA will not take action against anyone who raises a complaint under these 

policies in good faith because they did so. 

If one of the above procedures is relevant, you should use that process unless you 

have genuine concerns, at either the outset or the end of the procedure, about 

following the relevant Employee Handbook process. In that event, you may use the 

Whistleblowing Policy and Procedure. 

294

This is not an appeal mechanism for other procedures, unless – exceptionally – you 

think the process of another procedure you have been through was compromised. 

Not sure if it's whistleblowing? 

Appendix 1 shows some examples of situations in which employees might blow the 

whistle and the procedure to use. 

What if I don't want to reveal my identity? 

If you disclose your identity, it will be easier for us to: 

• look into the matter; 

• protect your position; and 

• give you feedback. 

We very much hope that the assurances we give in this policy will encourage you to 

disclose your identity to those here who need to know. However, if you wish to raise 

an issue anonymously, we will, of course, consider it. 

Where can I get independent advice? 

If you feel you need independent advice at any stage of the process, you may contact 

the independent charity – Public Concern at Work 

(http://www.pcaw.co.uk/index.htm) on 0207 404 6609, or email 

helpline@pcaw.co.uk. Public Concern gives free and confidential advice on 

whistleblowing matters, but remember not to disclose any confidential information 

the FSA has received. 

How do I go about raising a concern? 

The table below highlights the options you have to raise concerns: 

Route Who to raise 

your concern 

with 

Option 1 Your line 

manager 

Option 2 Director of 

Internal Audit 

What happens 

next? 

Referred to 

Director of 

Internal Audit to 

investigate. 

See –section, 

“What takes 

place during an 

investigation?” 

Actions that 

will be taken 

If the 

investigation 

uncovers any 

wrong-doing, 

sanctions will 

be decided at 

this stage 

Examples 

of when to 

use options 

See 

Appendix 1, 

e.g. 3 & 4 

As above As above If the 

concern 

involved 

your line 

Roles & 


See section, 

“Responsibilities” 

As above 

295

Option 3 Chair of the 

Audit 

Committee of 

the Board or 

Chairman of the 


Option 4 Director 

General of 

Financial 

Services at HM 

Treasury 

manager, 

HoD or 

Director. 

See 

Appendix 1, 

e.g. 1, 2, 3 

& 4 

As above As above See 

Appendix 1, 

e.g. 5 

As above As above See 

Appendix 1, 

e.g. 6 

Option 5 Relevant body As above As above See 

Appendix 1, 

e.g. 7 

For further detail on these options see below: 

Option One: Line Manager 

As above 

As above 

As above 

Telling your immediate manager. This can be done either face-to-face or in writing. 

We encourage you to raise your concerns in writing where possible, setting out the 

background and history of your concerns (giving names, dates and places where 

possible) and indicating the reasons for your concerns. Please make it clear that 

you are raising your concern as part of our Whistleblowing Policy. The matter will 

then be referred to the Director of Internal Audit Division 

(see section, “What take place during an investigation?”). 

Option Two: Director of Internal Audit 

If the concern involves your immediate manager, Head of Department or Director, 

or for any reason you would prefer not to tell them, you may raise the matter 

directly with the Director of Internal Audit Division in writing or face-to-face or to 

internal.whistle@fsa.gov.uk. In their absence, you can contact one of the Head of 

Department or managers in Internal Audit Division. 

Option Three: Chair of the FSA or Chair of the Audit Committee 

If you believe that your concern should be raised at a non-executive level, perhaps 

because it affects the FSA as a whole or you consider that the matter could seriously 

compromise the FSA’s reputation, you can raise the matter confidentially with the 

Chair of the Audit Committee of the Board, currently Brian Pomeroy, or with the 

Chairman of the FSA, Lord Adair Turner. You can write to Brian care of the 

296

Company Secretariat of the FSA. You can contact Lord Adair Turner by email or 


Option Four: Director of Financial Services at HM Treasury 

• If you have disclosed your issue internally and you are concerned either by the 

response or lack of response, or 

• you feel unable to talk to anyone internally for whatever reason, and 

• the concern falls within the description given in the section, “Who is covered by 

our Whistleblowing Policy?”; 

• you can contact the nominated Treasury official, who is: 

Director General of Financial Services, 

HM Treasury, 

1 Horse Guards Road, 

London SW1A 2HQ 

Tel: 0207 270 4448 

PIDA protects you if you contact the Treasury in circumstances where you satisfy 

the test for speaking to the FSA. The Treasury will investigate in whatever way it 

considers appropriate, but is likely to contact the FSA, normally the Director of 

Internal Audit Division, to discuss the disclosure. For the avoidance of doubt, the 

Treasury cannot investigate whistleblowing made against FSA regulated firms: in 

these circumstances, please email whistle@fsa.gov.uk 

or telephone 020 7066 9200. 

Option Five: Other Relevant Bodies 

If your disclosure is within the list of wrongdoings above and comes under the 

responsibility of another public body prescribed for the purpose under PIDA, you can 

contact the relevant body. A list of these bodies, the matters for which they have been 

prescribed under PIDA and the relevant test can all be found under Whistleblowing. 

What takes place during an investigation? 

To consider your disclosure fully it is likely that one or more fact-finding meeting 

will take place. If we need you to attend these meetings you may be permitted to be 

accompanied by: 

• a fellow employee of your choice who may be a friend or colleague; 

• a Staff Consultative Committee representative; or 

• a full-time officer employed by a trade union. 

297

You will be able to confer with your companion during the course of the meeting and 

they may address the meeting but may not answer questions on your behalf. 

Those under investigation may also be accompanied by a fellow employee of their 

choice who may be a friend or colleague, a Staff Consultative Committee 

representative or a full-time officer employed by a trade union. We will not ask you 

to attend a meeting where those under investigation are also present. 

Please note that members of HR and Internal Audit cannot accompany you or those 

under investigation to any meetings. 

The Director of Internal Audit Division may be accompanied by any member of FSA 

employees to help with the investigation. 

The Director of Internal Audit Division will conduct a full investigation to establish 

whether wrongdoing has occurred. The format of the investigation may vary 

depending upon the circumstances. With the agreement of the whistleblower, he/she 

may delegate the investigation to one of the Managers in Internal Audit Division or 

to another appropriate person. 

Please note that a similar process to investigate will be used for all other options. 


Employees and others working at the FSA 

• to be aware of this policy and procedures; 

• when making any disclosure, tell us if you have a direct personal interest in 

the matter. 

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; 

• guide staff to the most appropriate route; and 

• refer concerns raised under this Whistleblowing Policy to the Director of Internal 

Audit within five working days. 

Director of Internal Audit Division must: 

• acknowledge the whistleblower’s disclosure; 

298

• indicate to the whistleblower how she proposes to investigate the disclosure, 

where appropriate, and the likely timescales; 

• where appropriate keep the whistleblower regularly informed of progress; 

• take concerns seriously, considering them fully and fairly; 

• resolve issues as promptly as possible; 

• support the Director General of Financial Services, Chairman of the FSA, or 

Chair of the Audit Committee in matters that have been raised with those 

individuals directly; 

• to the appropriate extent communicate the findings to you, the individual(s) under 

investigation and, if appropriate, members of FSA management or other external 

authorities; 

• keep a confidential log to assess effectiveness of policy and any emerging trends; 

• provide periodic anonymised reports on disclosures to Executive Management for 

inclusion in his report to the Board; and 

• provide periodic anonymised reports on disclosures raising ethical issues to the 

Audit Committee. 

The Role of Staff Consultative Committee (SCC) employees is to: 

• advise employees how and with whom to raise concerns when they arise; and 

• provide support to employees at any stage of the process. 

The role of the FSA’s Chairman and the Chair of AuditCo: 


• indicate to the whistleblower how they propose to investigate the disclosure, 

where appropriate and the likely timescales; 




• liaise with the Director of Internal Audit in investigating the matter; and 


investigation and if appropriate, members of FSA management or other external 

authorities. 

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The role of the Director of Financial Services at HM Treasury: 


• indicate to the whistleblower how he proposes to investigate the disclosure, 

where appropriate and the likely timescales; 




• liaise with the Director of Internal Audit, Chairman of the FSA, or Chair of the 

Audit Committee in matters that have been raised with him directly; and 


investigation and, if appropriate, members of FSA management or other external 

authorities. 

What sort of a response can I expect from the FSA? 

Regardless of which Employee Handbook procedure you use: 

• First and foremost, if you tell us in good faith about a concern about; 

wrongdoing, you will be treated fairly and justly by the FSA and we will take 

any matter seriously. 

• We will take all reasonable steps to ensure that no person under our control 

victimises or retaliates against you. 

• If you disclose to us in good faith, we undertake that you will not lose your job 

because you did so. 

What happens if I am implicated? 

If you blow the whistle and actively cooperate with an investigation in which you 

may be implicated in any wrongdoing, you are likely to receive a lighter sanction 

than might otherwise have been the case (unless the misconduct is so serious that no 

amount of cooperation or other mitigating conduct can justify a decision not to bring 

any action). 

Confidentiality 

In raising a concern about wrongdoing (unless you have specifically requested 

anonymity), you may assume that only those FSA employees investigating it will 

know your identity. We will not reveal your identity outside this group except: 

• where we are legally obliged to do so; 

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• where that information is already in the public domain; 

• on a strictly confidential basis to a professionally qualified lawyer or accountant 

when getting advice; or 

• to the police or as otherwise required under anti-money-laundering requirements; 

• If there are any other circumstances in which we are required to reveal your 

identity outside those identified above, we will discuss this with you first. 

Under no circumstances will we reveal your identity outside this list without 

your knowledge. 

What happens after the investigation? 

The Director of Internal Audit Division will ensure, to the appropriate extent, that the 

findings of the investigation are communicated to: 

• you, as the person raising the wrongdoing concern; 

• the individual(s) under investigation; and if appropriate; 

• members of FSA management or other external authorities who may need to 

consider whether action should be taken on the basis of the findings; 

• The records will be destroyed after seven years, unless a longer period is 

considered by the FSA to be appropriate. 

Where can I obtain further information? 

If you would like further information the following websites may be of interest 

to you: 

Whistleblowing 

www.pcaw.co.uk 

Alternatively, contact Stephanie Morton, Employee Relations Manager, Human 

Resources Division. 

Appendix 1 

Situations in which employees may blow the whistle: 

Example one 

You are working in an area which regularly engages outside contractors. You have 

noticed how the one which has been named FSA’s preferred supplier does not deliver 

on time or to budget. Your Head of Department, who is very friendly with one of 

the employees in the contracting firm, doesn't appear to share your concerns, but is 

quick to make excuses for them. Senior management seem to have accepted these 

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explanations and don't seem to be concerned. You suspect your Head of Department 

may be receiving inducements. What should you do? 

Report the suspicion to the Director of Internal Audit Division. (Option 2) 

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? 

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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 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 Operations 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). 


Indemnity and Notification Requirements 

The FSA will indemnify you (its employees and anyone who is seconded to the FSA 

or is otherwise acting as a member of its employees) against liability you incur in 

connection with claims or proceedings brought against you in relation to anything 

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done or not done when working for the FSA. This applies whether proceedings are 

brought in the UK or overseas. The indemnity will cover any liabilities incurred in 

connection with such claims or proceedings, including any costs reasonably incurred 

in defending them, whether or not judgement is given in favour of the employee 

concerned. If you are seconded or assigned while employed by the FSA, it will, 

wherever appropriate, as a pre-condition of any secondment, either: 

• expressly confirm in writing that it will continue to indemnify you in line with the 

terms of this contract throughout the course of the secondment; or 

• ensure that the organisation you are seconded or assigned to gives you an 

equivalent indemnity 

• The indemnity will not extend to any liability incurred where your acts or 

omissions are: 

• clearly done or omitted to be done in bad faith; or 

• are clearly outside or inconsistent with the scope of your responsibilities under 

your Contract of Employment with the FSA. 

• The indemnity is conditional with all of the following requirements. If you fail to 

comply with them, this could invalidate or otherwise affect the indemnity. The 

conditions are that you should: 

• inform your manager within FSA and the FSA Company Secretary as soon as 

you become aware of the possibility of a claim against you or the FSA; 

• avoid any discussion of the matter with the potential claimant, but if this is 

impossible, keep a written note of the conversation; 

• under no circumstances admit liability for yourself or the FSA; 

• not try to settle or compromise or reduce the potential claim; 

• not seek outside legal advice except with the authority of the FSA General 

Counsel or Company Secretary; and 

• inform your management within FSA and FSA Company Secretary of any 

discovery of suspicion of fraud or dishonesty by a past or present employee 

of the FSA or anyone claiming to act on its behalf. 



This policy covers all employees and others referred to in Option 7 above. 

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This is the FSA's Whistleblowing Policy as at September 2012. 


the Internal Audit Division and Staff Consultative Committee. 







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FSA Employee Handbook - Financial Services Authority

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