FCA Employee Handbook - Financial Conduct Authority

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Who is covered by this policy?This policy covers all employees.Ownership, updates and query managementThis is the Leaving the FCA Policy as at October 2011.The policy is owned by the HR Division and has been developed in conjunction with the FCA’sStaff Consultative Committee.This policy is not contractual except where specified to be contractual.The policy is subject to change at the discretion of the FCA – any changes will be published onthe intranet.Any questions on the application of the policy should be directed to * HR Helpline or extension67070.Contractual status of this policyThis policy does not form part of your contract of employment unless otherwise stated.FCA Employee Handbook 2013 124
Employment ReferencesThe FCA will provide employment references when asked and the purpose of this policy is toexplain the FCA’s approach to providing employment references for employees and formeremployees.IMPORTANT NOTE:Only the HR Division is authorised to provide employment references for existing or exemployeesof the FCA.It is a condition of your employment that you do not give employment or character references,whether in the FCA’s name or otherwise, for existing or ex-employees.See the Employee Guidance pages for information on Confirmation of Employment letters forexisting employees (e.g. for visa applications), financial references, etc.PrinciplesWhat you can expect from the FCAWe will provide employment references for existing or ex-employees in accordance withthe following principles:The information we provide will take account of the duty of care we owe to both you andthe recipient of the reference (usually a prospective employer).We will only provide employment references if you have given us written permission to doso.We will agree the wording of any employment references with you if you are dismissed orleave through a compromise agreement.All employment references will be issued by the HR Division – line managers andcolleagues do not have the authority to provide employment references.We will comply with the specific referencing requirements of regulatory bodies wheredifferent rules, guidelines and timescales apply for certain types of job.We will not provide employment references if you left the organisation more than tenyears ago – this is because we no longer hold any records relating to your employment.What the FCA expects of youWe expect you to give the FCA written permission to provide an employment reference ifyou want us to do so.The policyThe FCA’s employment references procedure is summarised below:If we receive a request for an employment reference while you are still in ouremployment, 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, wewill need your written permission to do so. The resignation form will include a section thatasks if you wish us to provide employment references for you.FCA Employee Handbook 2013 125
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December 2013
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Probation Policy ..................
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This is the FCA’s Employee Handbo
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This is the FCA’s Basics about yo
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2. Absence from WorkCareer Leave Po
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If, during the period of your caree
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Holiday PolicyIt is important for y
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Holidays of up to 15 working days a
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If, in the particular holiday year,
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Sickness Absence PolicyThe FCA is k
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Whether or not you are actually off
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You should ensure that you provide
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Your pay immediately beforeyour ret
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Breakdown of care arrangements - em
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3. Career DevelopmentCareer Develop
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Sponsored Studies PolicyThe FCA pro
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Individuals should check first with
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We will respond within stated statu
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In considering a request for time o
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Talent Management PolicyThe FCA app
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Technical Specialist PolicyBackgrou
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As mentioned above, promotion from
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Technical HoDs should not manage pe
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Equality of Opportunity PolicyState
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Associative discrimination is direc
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A single serious incident may amoun
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Equality Complaints ProcedureStatem
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Options to resolve issues informall
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A member of the HR Division will be
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5. Family LeaveAdoption PolicyState
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We will acknowledge receiving your
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end of your leave period (where pos
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If you take career or parental leav
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Leave can start on any day of the w
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This policy covers all employees.Ow
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“Expected week of childbirth (EWC
Page 73 and 74: depends on your earnings and the am
Page 75 and 76: spouse/partner’s employer may ask
Page 77 and 78: Flexible workingIf you wish to vary
Page 79 and 80: a chosen number of days or weeks af
Page 81 and 82: confirms the purpose of the APL/ASP
Page 83 and 84: Failure to return to work means you
Page 85 and 86: It is not contractual and is subjec
Page 87 and 88: tenants or boarders living in the f
Page 89 and 90: for five years after the child is f
Page 91 and 92: 6. Health, Safety & SecurityDriving
Page 93 and 94: Eye Test PolicyPrinciplesWhat you c
Page 95 and 96: Read and comply with all relevant r
Page 97 and 98: Manual handlingWhen handling loads
Page 99 and 100: If you are attending a visit on you
Page 101 and 102: Security PolicyThis policy explains
Page 103 and 104: Where there is commercial photograp
Page 105 and 106: On leaving the FCA’s employment,
Page 107 and 108: eferral to a Health Centre for trav
Page 109 and 110: 7. Joining the FCARecruitment Polic
Page 111 and 112: Transfers to new jobs will normally
Page 113 and 114: Probation PolicyThe FCA believe it
Page 115 and 116: Extend the probationary periodGener
Page 117 and 118: Relocation PolicyThis policy sets o
Page 119 and 120: The amount payable is reduced propo
Page 121 and 122: Give us written permission to provi
Page 123: You will normally be expected to wo
Page 127 and 128: The policy is owned by the HR Divis
Page 129 and 130: providing retraining or redeploymen
Page 131 and 132: The outcome of the appeal will be g
Page 133 and 134: The policy is not contractual and i
Page 135 and 136: As part of the consultation process
Page 137 and 138: 9. Pay, Reward & BenefitsTravel & E
Page 139 and 140: Over-arching this policy, travel co
Page 141 and 142: cancellation, restricted fares shou
Page 143 and 144: amounts to be reimbursed. However,
Page 145 and 146: Where it is cost effective to make
Page 147 and 148: contractors may attend the event bu
Page 149 and 150: Give as You Earn PolicyWe are regis
Page 151 and 152: Pay As You EarnPO Box 1970Liverpool
Page 153 and 154: You should check that your salary d
Page 155 and 156: access to highly rated learning and
Page 157 and 158: If you are an Associate (with Assoc
Page 159 and 160: 10. Performance, Discipline and Gri
Page 161 and 162: damage to or deliberate misuse of c
Page 163 and 164: As soon as possible after the concl
Page 165 and 166: The procedure is not contractual an
Page 167 and 168: there is no further right of appeal
Page 169 and 170: As most complaints and grievances c
Page 171 and 172: Any questions on the application of
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StagesTaken byFormalactionDuration
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Action Taken by Appeal to Appeal he
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11. Personal ConductYour obligation
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avoid any discussion of the matter
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1. You are charged with or convicte
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Prospective Parliamentary Candidate
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12. Security of FCA Assets, Informa
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Here is what you should do to help
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ProceduresThe combination to the ke
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Employee Information Security Manua
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You are advised that emails may be
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Classification Description Examples
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Removable media - removable media i
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Posting DocumentsControlledDistribu
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Use of FCA information servicesUse
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any IT equipment, software or elect
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Printers, scanners and photocopiers
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14. WellbeingSmoking PolicyPrincipl
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Managers will:seek to ensure that t
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Be familiar with the Stress and Wel
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Substance Abuse PolicyOur employees
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Employees on a rehabilitation Progr
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What are the potential cost implica
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Flexitime PolicyWe operate a flexit
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Any questions on the application of
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Occasional homeworking - employees
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Employees who choose to work from h
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Part-time Working PolicyFollowing a
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16. WhistleblowingWhistleblowing Po
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Performance Management Procedure;He
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Option Three: Chair of the FCA or C
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provide periodic anonymised reports
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Where can I obtain further informat
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not seek outside legal advice excep
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then decide on the action to be tak
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and supporting materials (as requir
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Any appeal against the issue of a w
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FCA Employee Handbook - Financial Conduct Authority

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