FCA Employee Handbook - Financial Conduct Authority

Disciplinary ProcedureThe FCA believe in creating a working environment where our employees know what isexpected from them – this includes following reasonable instructions, complying with the termsof their contract of employment and adhering to the FCA’s conduct policy, security andcompliance standards.We believe in managing our employees fairly and consistently, but where conduct does notmeet our expectations, we will discuss the improvements required and take whatever action isrequired.PrinciplesWhat you can expect from the FCAWe 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 haveto 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 individualcircumstances require it.What the FCA expects of youComply with reasonable instructions, the terms of your contract of employment and theFCA’s conduct, policy, security and compliance standards.Discuss any issues that affect your work with your manager in the first instance.The Disciplinary ProcedureThe FCA’s Disciplinary Procedure has three stages and we reserve the right to initiate theprocedure at any stage taking into account the alleged misconduct of an employee and all thecircumstances 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 anyinterventions), you will be required to attend a disciplinary hearing chaired by your Manager.The exact nature of the suspected misconduct will be explained in full. If your Managerbelieves it to be justified, you may be given a written warning, which will give details of thecomplaint (misconduct) and will warn that further action will result if there is a repetition of themisconduct or no satisfactory improvement within a specified period. The written warning willcontain specific actions and/or objectives that need to be fulfilled in order for agreedimprovement to take place. A copy will be placed on your personal file, but will be disregardedfor disciplinary purposes after six months subject to satisfactory conduct.Stage 2 – Final written warning: If the misconduct is sufficiently serious or if, following aformal 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 required to attend a disciplinaryhearing chaired by your Director/Head of Department. Your Director/Head of Department willFCA Employee Handbook 2013 242