FCA Employee Handbook - Financial Conduct Authority

Any appeal against the issue of a written warning or dismissal must be lodged in writing withthe appropriate manager (see table below) within five working days of being informed of thedecision that has been made detailing the grounds for appeal.Action Taken by Appeal to Appeal heard byFirst written warning Line Manager Manager of personwho issued thewarning.Manager of person who issuedthe warning.Final written warning Director/Head ofDepartmentManager of personwho issued thewarning.Manager of person who issuedthe warning.DismissalDirector and/or Headof DepartmentHR DirectorTwo people who will be senioremployees of the FCA and notinvolved in the case to date.The FCA will normally hold the appeal meeting within ten working days of receipt of the writtenrequest 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 themanager, together with any subsequent facts that may have come to light, whether to upholdthe decision that has been made.An appeal against dismissal will be heard by two people appointed by the HR Director, who willbe senior employees and who will not have been involved in any action previously conductedunder the disciplinary. A member of the HR Division will also be present to take notes and giveprocedural advice when required.The outcome of the appeal meeting and the reasons for the decision will be confirmed inwriting 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 hadimmediate effect and, if the dismissal is by notice, the period of notice will already havecommenced on the date that the decision was given. If the original decision was to dismissimmediately without notice, the FCA is under no obligation to pay for any period between thedate of the original dismissal and the appeal decision – the original date of termination willstand unless the decision to dismiss is overturned on appeal.TimelinesThe timelines provided in this procedure are intended as a guideline. Although in many caseswe would expect the process to operate more quickly, there may be occasions where it provesimpossible to meet the timelines. This may include, for example, occasions where keyparticipants in the process are not available due to holiday. Similarly, the timescales may needto be extended if the matter is especially complex and requires detailed investigation. In thesecircumstances you will be told the date by which you can expect a response and every effortwill be made to complete the process as quickly as possible.Who is covered by this policy?This procedure covers all employees.FCA Employee Handbook 2013 247