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FSA Employee Handbook

VIEWS: 18 PAGES: 301

  • pg 1
									     October 2011


FSA Employee Handbook   1
This is the FSA’s Employee Handbook as at October 2011.

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).




FSA Employee Handbook                                               2
    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                       29

2   Career Development                                           34

    Career Development Policy                                    34

    Community Affairs                                            36

    Sponsored Studies Policy                                     38

    Time off to Train Policy                                     42

    Talent Management Policy                                     49

    Technical Specialist Policy                                  52

    Technical HoD Policy                                         56

3   Ensuring Fair Treatment                                      59

    Dignity at Work Policy                                       59

    Diversity & Inclusion Policy                                 66

    Equality of Opportunity Policy                               69

4   Family Leave                                                78

    Adoption Policy                                             78

    Dependant’s Leave Policy                                     91

    Maternity Policy                                             94

    Parental Leave Policy                                       104

    Paternity Leave Policy                                      107


FSA Employee Handbook                                                 3
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

8   Pay, Reward & Benefits                               171

    Travel & Expenses Policy                             171

    Give as You Earn Policy                              185

    Payment of Salary Policy                             186

    Salary & Benefits Policy                             189

9   Performance, Discipline and Grievance                198

    Disciplinary Procedure                               198

    Dismissal Procedure                                  206

    Grievance Procedure                                  209

    Performance Management Procedure                     214



FSA Employee Handbook                                          4
10   Personal Conduct                                         222

     Your obligations at the FSA                              222

     Prospective Parliamentary Candidates Policy              230

11   Security of FSA Assets, Information and Data             232

     Clear Desk Policy                                        232

     Employee Information Security Manual                     239

     Employee Security Classification and Marking Procedure   251

12   Terms of employment                                      256

     Basics about Your Employment                             256

     Employee Handbook and Contractual Information            258

     Hours of Work Policy                                     260

13   Wellbeing                                                262

     Smoking Policy                                           262

     Stress Wellbeing Policy                                  266

     Substance Abuse Policy                                   270

14   Working Patterns                                         273

     Flexible Working Policy                                  273

     Flexitime Policy                                         276

     Homeworking Policy                                       279

     Part-time Working Policy                                 286

15   Whistleblowing                                           288

     Whistleblowing Policy                                    288




FSA Employee Handbook                                               5
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.



FSA Employee Handbook                                                                     6
     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.



FSA Employee Handbook                                                                         7
     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 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.




FSA Employee Handbook                                                                        8
     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.
     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.


FSA Employee Handbook                                                                          9
     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.




FSA Employee Handbook                                                                   10
     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

     What you can expect from the FSA
     •   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.

     What the FSA expects of you
     •   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


FSA Employee Handbook                                                                      11
         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.

     Contractual Information (start)

     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) from 1 June 2010 (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 core days plus the normal 8 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



FSA Employee Handbook                                                                      12
     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.


FSA Employee Handbook                                                                       13
     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:




FSA Employee Handbook                                                                       14
     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).

     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


FSA Employee Handbook                                                                        15
     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

     Contractual Information (end)

     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.




FSA Employee Handbook                                                                   16
     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


FSA Employee Handbook                                                                      17
     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.
     Who is covered by this policy?
     This procedure covers all employees.

     Ownership, updates and query management
     This is the FSA's Holiday 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 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.




FSA Employee Handbook                                                                     18
     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

     What you can expect from the FSA
     •   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



FSA Employee Handbook                                                                    19
         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.

     What the FSA expects of you
     •   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).




FSA Employee Handbook                                                                     20
     •   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


FSA Employee Handbook                                                                      21
         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
         the FSA.
     •   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.




FSA Employee Handbook                                                                      22
     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.




FSA Employee Handbook                                                                  23
     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.



FSA Employee Handbook                                                                    24
     •   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:    Extended:     Long-term:    Long-term:
                             up to seven    eight – 65    66 – 130      more than 130
                             days           days          days          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.

     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



FSA Employee Handbook                                                                       25
     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     Up to 17.5 hours (i.e. half of   More than 17.5
      return to work                       full-time contractual hours of   hours
                                           35 hours per week)

      Full pay                             Full pay                         Full pay




FSA Employee Handbook                                                                      26
      Half pay                              Half pay                        Hours worked
                                                                            (at full pay per
                                                                            hour)

      Nil pay                               Hours worked (at full hourly    Hours worked
                                            rate)                           (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.

     Who is covered by this policy?
     This policy covers all employees.
     See the Employee Guidance intranet site on sickness absence for FAQs.

     Ownership, updates and query management
     This is the FSA’s Sickness Absence 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 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.




FSA Employee Handbook                                                                      27
     Contractual status of this policy
     This policy does not form part of your contract of employment.




FSA Employee Handbook                                                 28
     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

     What you can expect from the FSA
     •   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.

     What the FSA expects of you
     •   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.




FSA Employee Handbook                                                                         29
     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.


FSA Employee Handbook                                                                       30
     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.



FSA Employee Handbook                                                                       31
     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.




FSA Employee Handbook                                                                       32
     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.

     Who is covered by this policy?
     This policy covers all employees.

     Ownership, updates and query management
     This is the FSA’s Leave for Special Circumstances Policy as at May 2011.
     The policy is owned by the HR Division and has been developed in conjunction with
     the Staff Consultative Committee.
     The procedure is not contractual and is subject to change 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.




FSA Employee Handbook                                                                       33
2 Career Development
     Career Development Policy

     This section is dedicated to helping you to think about your career development at the
     FSA.

     Principles

     What you can expect from the FSA
     •    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 self-
          development 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.

     Who is covered by this policy?

     This policy covers all employees.

     Ownership, updates and query management
     This is the FSA's career development policy as at April 2009.




FSA Employee Handbook                                                                         34
     The policy is owned by the HR Division and has been developed in conjunction with
     the Staff Consultative Committee.
     Contractual status of this policy
     The policy is not contractual and is subject to change at our discretion of the FSA –
     any changes will be published on the intranet.




FSA Employee Handbook                                                                    35
     Community Affairs
     As a socially responsible employer, we are committed to making a positive impact
     on the local community that supports us.
     The Community Affairs (CA) programme has two key objectives:
     •   To enable the FSA to positively engage with the local community.
     •   To enable staff to learn and develop new skills through the
         volunteering activities.
     These objectives are achieved through the CA volunteering activities that fall into
     one of three focus areas: employability, education, or regeneration.

     Principles

     What you can expect from the FSA
     We will manage any CA programmes in line with the following principles.
     •   Support from your line manager in opportunities for your personal development.
     •   Time off as according to this policy.

     What the FSA expects from you
     •   Adhere to the code of behaviour for FSA our volunteers.
     •   Discuss development needs and CA opportunities with your line manager.

     The policy
     We work with partnerships in Tower Hamlets and the surrounding boroughs,
     providing employee volunteers and other non-financial assistance to support
     regeneration of the local area. We also support participation in community activities
     local to our Edinburgh office.
     The schemes are integrated with the Behavioural Framework to provide you with
     alternative personal development opportunities.
     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'.

     Time off for Community Affairs
     A maximum of 20 hours per annum can be taken for your chosen scheme. If you
     participate in a team challenge, this is additional to the 20 days.


FSA Employee Handbook                                                                      36
     Who is covered by this policy?
     This policy covers all employees.

     Ownership, updates and query management
     This is the FSA's Community Affairs Policy as at April 2009.
     The policy is owned by the Community Affairs Team and has been developed in
     conjunction with the Staff Consultative Committee.
     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 HR Helpline
     on extension 67070.

     Contractual status of this policy
     This policy does not form part of your contract of employment.




FSA Employee Handbook                                                                    37
     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


FSA Employee Handbook                                                                         38
     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.




FSA Employee Handbook                                                                      39
     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.

     Who is covered by this policy?
     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.




FSA Employee Handbook                                                                    40
     Ownership, updates and query management
     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.
     The policy is not contractual and is subject to change 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.




FSA Employee Handbook                                                                    41
     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,
     dependant upon the nature of the course of study or qualification.


FSA Employee Handbook                                                                         42
     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

     What you can expect from the FSA
     •   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.

     What the FSA expects from you
     •   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.




FSA Employee Handbook                                                                        43
     •   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.




FSA Employee Handbook                                                                   44
     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:


FSA Employee Handbook                                                                          45
     •   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
     Employee Self-service on Chrysalis.
     Within 28 days of receipt of your application a meeting may be arranged between
     you and your line manager. This meeting will provide an opportunity to discuss your
     request in depth and to explore how it fits with your role or the work of the FSA, and
     if possible, how best it might be accommodated. Your manager will discuss your
     request with your divisional director because final approval of your request must be
     made by the director.
     Within 14 days of the meeting, we will confirm in writing whether or not your
     request has been agreed. If it has, a start date for your training will be agreed with
     you and you will be issued with any revised Terms and Conditions. If the application
     cannot be accepted you will be provided with clear business grounds as to
     why not. If we have been unable to reach a decision at this point you will
     be notified accordingly.



FSA Employee Handbook                                                                     46
     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.




FSA Employee Handbook                                                                      47
     Right to be accompanied
     You may be accompanied at meetings by a fellow employee of your choice, who
     may be a friend, colleague or Staff Consultative Committee representative. Please
     note that the fellow employee should not be a member of the HR Division.

     Who is covered by this policy?
     All FSA employees are covered by the Time off to Train Policy. This includes
     employees on fixed term contracts.


     Ownership, updates and query management
     This is the FSA's Time off to Train Policy as at June 2010.
     The policy is owned by the HR Division and has been developed in conjunction with
     the FSA's Staff Consultative Committee.
     The policy 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.

     Contractual status of this policy
     This policy does not form part of your contract of employment.




FSA Employee Handbook                                                                        48
     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

     What you can expect from the FSA
     •   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

     What the FSA expects from you
     •   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


FSA Employee Handbook                                                                     49
         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.

     Who is covered by this policy?
     This policy covers all employees.




FSA Employee Handbook                                                                         50
     Ownership, updates and query management
     This is the FSA's Talent Management Policy as at April 2009.
     The policy is owned by the HR Division and has been developed in conjunction with
     the FSA's Staff Consultative Committee.
     The policy 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.

     Contractual status of this policy
     This policy does not form part of your contract of employment.




FSA Employee Handbook                                                                        51
     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

     What you can expect from the FSA
     •   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.



FSA Employee Handbook                                                                      52
     •   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


FSA Employee Handbook                                                                       53
     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.


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     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.

     Ownership, updates and query management
     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.
     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 is for information only and does not form part of your contract
     of employment.




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     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

     What you can expect from the FSA
     •   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.

     What the FSA expects from you
     •   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’.




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     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.



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     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.

     Ownership, updates and query management
     This is the FSA's Technical HoD 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.
     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 is for information only and does not form part of your contract
     of employment.




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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

     What you can expect from the FSA
     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;




FSA Employee Handbook                                                                       59
     •   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.

     What the FSA expects of you
     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:




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     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.



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     •   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




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     •   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.



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     Right to be accompanied
     You are entitled to be accompanied at formal grievance meetings by a companion.
     This can be a fellow employee of your choice, who may be a friend, colleague or
     Staff Consultative Committee representative. Please note that the fellow employee
     should not be a member of the HR Division. Alternatively, you can be accompanied
     by a full-time officer employed by a Trade Union. You may confer with your
     companion during the course of the meeting, and they may address the meeting, but
     may not answer questions on your behalf.
     The meeting may be postponed, at your request, and for up to five working days, if
     your chosen companion is not available to attend on the date set for the meeting.
     You must make all reasonable efforts to attend any grievance meeting. If you fail to
     do so, the FSA may proceed with the meeting in your absence.

     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.
     The policy is owned by the HR Division and has been developed in conjunction with
     the FSA's Staff Consultative Committee.



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     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.
     The procedure is not contractual and is subject to change at the discretion of the FSA
     – we will publish any changes 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 procedure
     This procedure does not form part of your contract of employment.




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     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.




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     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

     What you can expect from the FSA
     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.

     What the FSA expects of you
     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.




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     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.

     Ownership, updates and query management
     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.
     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 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.
     The procedure is not contractual and is subject to change at the discretion of the FSA
     – we will publish any changes on the intranet.

     Contractual status of this procedure
     This procedure does not form part of your contract of employment.




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     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

     What you can expect from the FSA
     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;




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     •   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.

     What the FSA expects of you
     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.




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     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


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     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.


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     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.

     Informal stage
     If you want to raise a complaint about discrimination, you should consider whether
     it is appropriate to raise the matter directly with the person concerned in order to
     resolve the problem informally. If it is not appropriate, you should speak to your line
     manager. If you feel unable to discuss the matter with your line manager then you
     should contact the HR Helpline in the first instance.
     You will have a discussion with a colleague in HR, following which, you will be
     asked to choose one of the following options:
     •   agree that no further action is necessary;
     •   agree to discuss the complaint with the employee who is alleged to have
         caused offence;
     •   ask your line manager and/or a member of the HR Division to help to resolve the
         matter through informal and/or discreet approaches; or
     •   make a formal written complaint to your line manager or the Employee Relations
         Manager.
     If you are not satisfied with an informal approach, you can make a formal complaint
     at any stage.

     Formal stage
     Sometimes you may not be able to resolve your complaint informally. In this case
     you need to formalise your complaint by putting it in writing, and signing and dating
     your letter. You should write a new letter to trigger each stage of the process.




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     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.

     Right to be accompanied
     You are entitled to be accompanied at formal grievance meetings by a companion.
     This can be a fellow employee of your choice, who may be a friend, colleague or
     Staff Consultative Committee representative. Please note that the fellow employee
     should not be a member of the HR Division. Alternatively, you can be accompanied
     by a full-time officer employed by a Trade Union. You may confer with your
     companion during the course of the meeting, and they may address the meeting, but
     may not answer questions on your behalf.
     The meeting may be postponed, at your request, and for up to five working days, if
     your chosen companion is not available to attend on the date set for the meeting.
     You must make all reasonable efforts to attend any grievance meeting. If you fail to
     do so, the FSA may proceed with the meeting in your absence.


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     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. 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 Workplace Options. You can contact them on the
     freephone number 0800 243 458 and on the Workplace Options 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.




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     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.

     Ownership, updates and query management
     This is the FSA's Equality of Opportunity Policy as at October 2010.
     The policy is owned by the HR Division and has been developed in conjunction with
     the FSA's Staff Consultative Committee.
     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), 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
     this information.



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     The procedure is not contractual and is subject to change at the discretion of the FSA
     – we will publish any changes 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 procedure
     This procedure does not form part of your contract of employment.

     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.




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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

     What you can expect from the FSA
     •   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).

     What the FSA expects from you
     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;



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     •   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).




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     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.



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     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:
     •   be our employee;
     •   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:


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     •   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.

     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. You should 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.
         Any outstanding holiday for the year which cannot be taken before adoption
         leave starts must be taken within 12 months of your return to work, or you will
         lose it. You will not normally be paid in lieu of untaken holiday;
     •   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.


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     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


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     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-in-
     touch 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-to-
     work 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-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 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.




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     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-to-
     work 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



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     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
         same terms and conditions as if you had not been absent;
     •   returning after AAL – where possible, you will be entitled to return to 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.




FSA Employee Handbook                                                                        86
     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 Self-
     service 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);



FSA Employee Handbook                                                                      87
     •   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
     reasonably practicable.

     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 which:


FSA Employee Handbook                                                                         88
     •   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
     notice of the new date or, if this is not possible, as soon as is reasonably practicable.
     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.



FSA Employee Handbook                                                                        89
     Who is covered by this policy?
     This policy covers all employees.

     Ownership, updates and query management
     This is the FSA's Adoption Leave Policy as at May 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 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.

     Contractual status of this policy
     This policy does not form part of your contract of employment.




FSA Employee Handbook                                                                        90
     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

     What you can expect from the FSA
     •   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.

     What the FSA expects from you
     •   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.




FSA Employee Handbook                                                                     91
     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.



FSA Employee Handbook                                                                       92
     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.

     Who is covered by this policy?
     This policy covers all employees.

     Ownership, updates and query management
     This is the FSA's Dependant’s Leave Policy as at April 2009.
     The policy is owned by the HR Division and has been developed in conjunction with
     the Staff Consultative Committee.
     The policy is not contractual and is subject to change at the discretion of the FSA –
     any changes will be published on the intranet.
     If you have any questions on how the policy applies contact the HR Helpline on
     extension 67070.

     Contractual status of this policy
     This policy does not form part of your contract of employment.




FSA Employee Handbook                                                                        93
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

What you can expect from the FSA
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
    entitled to return to the same job on the same terms and conditions as if you had
    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).

What the FSA expects from you
You must:
•   Comply with all of the eligibility and all 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 maternity 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;



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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 after 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 15th 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


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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:



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•   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


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been 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.
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. 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.
    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. (You will not normally be paid in lieu of untaken holiday);
•   We will continue to pay contributions to the FSA Pension Plan on your behalf
    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:
•   your pensionable service for the purposes of the FSA Pension Plan is treated as
    continuous service (i.e. it includes the full period of AML and not just the 26
    weeks’ OML); and



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•   a special employer contribution is made to the FSA Pension Plan on your behalf.
    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.
For both statutory and contractual purposes, continuity of employment is not broken
by OML or AML. The period of maternity 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 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
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 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.




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For further information on the FSA’s Paternity arrangement please see the Additional
Paternity Leave Policy.

Contact during maternity leave
Shortly before you go on maternity 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, KIT 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’ 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-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
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 maternity leave. This is in addition to
    SMP entitlement (weeks 1-39);
•   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
•   In the fourth month’s salary payment after your return to work.
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
bonus paid to you in full.
Shared maternity/paternity leave between FSA employees and the return-to-work
bonus




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If you and your partner are both employed by the FSA and share maternity/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 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;
•   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 maternity 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 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:


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•   Returning after OML – you will generally be entitled to return to the same job on
    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 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.

Flexible working
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
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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA's Maternity Policy as at May 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 at the discretion of the FSA –
we will publish any changes on the intranet.




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If you have any questions on how the policy applies, please contact the HR Helpline
on extension 67070.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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.

Principles

What you can expect from the FSA
•   While the law states that you can take up to 13 weeks 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.
•   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.

What the FSA expects from you
•   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, or you have adopted a child within the last five
years (until the fifth anniversary of the adoption or until the child's 18th birthday,
whichever occurs sooner) and you have completed one year’s qualifying service
with the FSA by the time you want to take the leave. It can be taken by both mothers
and fathers.

Length of leave
A total of 13 weeks leave may be taken for each child or 18 weeks for each child in
the case of a child with a disability (for the purposes of parental leave, a child with a
disability is one who receives disability living allowance).



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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 four 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); and
•   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 Self-
    service on Chrysalis, to your line manager.
•   The FSA can postpone the leave (see below).


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•   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
reasonably practicable.

Who is covered by this policy?
This policy covers all employees of the FSA.

Ownership, updates and query management
This is the FSA's Parental Leave Policy as at April 2009. The policy is owned by
the HR Division and has been developed in conjunction with the Staff
Consultative Committee.
The policy is not contractual and is subject to change at the discretion of the FSA –
we will publish any changes on the intranet.
If you have any questions on how the policy applies, contact the HR Helpline on
extension 67070.

Contractual status of this policy
This policy does not form part of your contract of employment. .




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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

What you can expect from the FSA
•   When returning from Ordinary Paternity Leave (OPL), 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 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).

What the FSA expects from you
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);
•   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 Additional
    Paternity 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 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:
•   be our employee;
•   have been continuously employed by the FSA for at least 26 weeks by the end of
    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.
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 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
notice of the new date or, if this is not possible, as soon as is reasonably practicable.
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
reasonably practicable.

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:
•   be our employee;
•   have been continuously employed by the FSA for at least 26 weeks by the end of
    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 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.
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.

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
notice of the new date or, if this is not possible, as soon as is reasonably practicable.

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. You should use up your core and
    bank holiday entitlement before you start APL or at the end of your leave period
    (where possible in the same leave year) before returning to work. Any



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    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. You will not
    normally be paid in lieu of untaken holiday;
•   We will continue to pay contributions to the FSA Pension Plan on your behalf
    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:
•   your pensionable service for the purposes of the FSA Pension Plan is treated as
    continuous service (i.e. that it includes the full period of APL; and
•   a special employer contribution is made to the FSA Pension Plan on your behalf.
    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.
For both statutory and contractual purposes, continuity of employment is not broken
by OPL or APL. The period of paternity 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 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”
(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).




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Contact during paternity leave
Shortly before you go on paternity 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, KIT days, 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’ 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
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 APL;
•   A lump sum at any point from week 13 of your APL; or
•   In the fourth month’s salary payment after your return to work.
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
decide to resign at the end of that period, you must pay back the return-to-work
bonus in full that you received.
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
decide to resign at the end of that period, you must pay back the return-to-work
bonus paid to you in full.
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
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.



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‘Keeping in touch’ days (KIT)
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:
•   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 APL 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 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
    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 same
    terms and conditions as if you had not been absent.
•   Returning after APL – where possible, you will be entitled to return to 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.




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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.

Flexible working
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.

Who is covered by this policy?
This policy covers all employees.

Ownership and, updates and query management
This is the FSA's Paternity Policy as at May 2011.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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

  What you can expect from the FSA
  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.

  What the FSA expects from you
  •   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 Arval).



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•   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

Who is covered by this policy?
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).




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Ownership, updates and query management
The policy is owned by the HR Division and has been developed through
consultation with the FSA's Staff Consultative Committee and the Health &
Safety Adviser.
The policy 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.

Contractual status of this policy
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

What you can expect from the FSA
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.

What the FSA expects from you
•   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.

Who is covered by this policy?
This policy covers all employees.


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Ownership, updates and query management
This is the FSA’s Eye Test Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
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.
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.




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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.

What you can expect from the FSA
•   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.

What the FSA expects from you
•   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 first-
aid 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 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.
•   Do not re-enter the building until instructed that it is safe to do so.


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Bomb alerts
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
    the FSA.
•   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;
•   provide free health assessments for night workers and keep records of these.


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•   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.

Who is covered by this policy?
This policy covers all employees. This also applies to consultants, contractors,
temporary workers and those seconded to the FSA.

Ownership, updates and query management
This is the FSA's Health and Safety Policy as at April 2010.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee and the Health & Safety Adviser.
The policy is not contractual and is subject to change 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.
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.




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Safety when Visiting External Organisations Policy

Principles

What you can expect from the FSA
•   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.

What the FSA expects from you
•   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.




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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 Suzy Lamplugh Trust. They can be obtained directly from the
Suzy Lamplugh Trust at the cost of £9.00 (cheques made payable to SLT Training
and Resources Limited or by credit card on 020 8392 1839). If your line manager
agrees that you need an alarm, the cost can be claimed back from expenses (it should
be costed to your own cost code, not centrally). We urge that these be carried on all
visits where safety may be an issue.

Mobile Phones
It is advisable for all employees who are visiting an external organisation to ensure
they have a mobile phone which is fully charged. You should also ensure that
members of staff at your normal location have your number, as it is imperative that
all staff out on visits are contactable at all times for safety reasons. If you do not have



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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.
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



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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.
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

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA's Safety When Visiting External Organisations Policy as at April
2009.
The policy is owned by the Corporate Security & Resilience Department and has
been developed in conjunction with the FSA's Staff Consultative Committee.
The policy 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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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

What you can expect from the FSA
•   A high priority placed on security, both of the people who work here and our
    property (including information that we hold).

What the FSA expects from you
•   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


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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 hour’s 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:



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•   you are guilty of any breach of the FSA's rules and regulations;
•   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 anytime 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
this information.
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 Security 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


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administer and audit the Flexitime scheme. The logs may also be subject to random
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




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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



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be conditional upon the appropriate level of clearance being granted and maintained.
This applies whether the recruitment is internal or external.
If the nature of the role in which you are currently working changes, or if the security
requirements placed on the role change, your manager will discuss the implications
with you after consultation with your HR Business Partner.

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.

Who is covered by this policy?
This policy covers all permanent and fixed-term employees.

Ownership, updates and query management
This is our security policy as at May 2011.
The policy is owned by the Corporate Security & Resilience Department and has
been developed in conjunction with the Staff Consultative Committee.
The policy is not contractual and is subject to change at our discretion of the FSA –
any changes will be published on the intranet.
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.




                                                                                    135
Travel Health Policy

Principles

What you can expect from the FSA
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.

What the FSA expects from you
•   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 BUPA 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.

Who is covered by this policy?
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).

Ownership, updates and query management
This is the FSA's Travel Health Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at our discretion of the FSA –
any changes will be published on the intranet.
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.




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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

  What you can expect from the FSA
  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.

  What the FSA expects from you
  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;




                                                                                        140
•   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.


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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.

Who is covered by this policy?
This policy covers all employees who have successfully completed their
probationary period.

Ownership, updates and query management
This is the FSA's Recruitment Policy as at October 2010.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at 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.

Contractual status of this policy
This policy does not form part of your contract of employment.



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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

What you can expect from the FSA
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.

What the FSA expects of you
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.



                                                                                    143
•   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 covered by the Disability
Discrimination Act 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.




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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:

Contractual information (start)

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 &       Less than 1 year       One month
Associate

                                    One year and over      Three months

Administrator/Secretary:            Less than 1 year       One month

                                    One year and over      One month


Contractual information (end)

Ownership, updates and query management
This is the FSA’s Probationary Policy as at August 2010.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The procedure is not contractual and is subject to change 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.




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Contractual status of this policy
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

What you can expect from the FSA
We will manage the tenure requirements in a way that:
•   Takes account of operational requirements
•   Does not unreasonably restrict opportunities for promotion.

What the FSA expects from you
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

Who is covered by this policy?
This policy covers all employees at Manager level working in a supervisory area.

Ownership, updates and query management
This is the FSA's Tenure Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the FSA's Staff Consultative Committee.
The policy 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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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

What you can expect from the FSA
•   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.




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What the FSA expects from you
•   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


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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 too, 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             Amount to be repaid (as % of total
payment of relocation assistance)               expenses)

Leaving within 0-6 months                       100%

Leaving within 7-12 months                      75%

Leaving within 13-18 months                     50%

Leaving within 18- 24 months                    25%




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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.


Who is covered by this policy?

This policy covers all employees excluding secondees.


Ownership, updates and query management

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.
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.




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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

  What you can expect from the FSA
  •   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



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    what you liked about the FSA, why you are leaving, and what you did not like
    about the FSA.

What the FSA expects of you
•   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

Contractual information (start)
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              Employees who have
                             probationary period             passed their probationary
                                                             period

                             Notice from     Notice to the   Notice from   Notice to the
                             the FSA         FSA             the FSA       FSA

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        Employees in their         Employees who have passed
    Duration                    probationary period        their probationary period

                                Notice from   Notice to the Notice from   Notice to the
                                the FSA       FSA           the FSA       FSA

    Associate and above - up to One week      One week     One month      One month
    one year

    Associate and above - more One month      One month    3 months       3 months
    than
    one year

    Administrator/Secretary -   One week      One week     One week       One week
    up to
    six months

    Administrator/Secretary -   One week      One week     One month      One month
    over six months and up to
    five years


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




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•   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.
•   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.

Contractual information (end)

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



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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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the Leaving the FSA Policy as at October 2011.
The policy is owned by the HR Division and has been developed in conjunction with
the FSA’s Staff Consultative Committee.
This policy is not contractual except where specified to be contractual.
The policy 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.

Contractual status of this policy
This policy does not form part of your contract of employment unless otherwise
stated.




                                                                                      159
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

What you can expect from the FSA
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
    your employment.

What the FSA expects of you
•   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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA’s Employment References Policy as at October 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The procedure is not contractual and is subject to change 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.




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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
alternatives to redundancy.
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

What you can expect from the FSA
•   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.
•   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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What the FSA expects from you
•   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.




                                                                                    164
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    Consultation will commence
or less

100 plus                                    At least 90 days before notice of termination
                                            is given.

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 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
alternatives to redundancy.


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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.

Redeployment within the FSA
As part of the consultation process, the FSA will work with you to identify
redeployment opportunities for employees at risk of redundancy. 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 past performance;
•   your flexibility and/or adaptability; and
•   whether you have the potential to be retrained 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.
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 retraining 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 those 'at risk' during the redeployment process.
Whenever an offer of alternative employment is on different terms from the
redundant 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




                                                                                       166
(unless extended further by mutual agreement) where retraining is required. During,
or at the end of this trial period, you or the FSA may give notice to terminate the
contract of employment.
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 or outplacement assistance.

Appeals
If redundancy is confirmed you may appeal against selection for redundancy by using
the following procedure. For the avoidance of doubt, as the individual consultation
period is an opportunity for you and the FSA to explore alternatives to redundancy,
appeals should not be lodged during this period.
An appeal against selection for redundancy must be made in writing within five
working days of written confirmation of redundancy. The appeal should state the
main reasons why you should not have been selected for redundancy.
The appeal should be submitted in the first instance to the HR Director who will
normally pass the matter to two senior FSA employees, one from your business area
and one from the HR Division, both of whom will consider the appeal (which will
involve a meeting with you). Both of these representatives should normally have
knowledge of the circumstances giving rise to the redundancy, although if possible
they will not have had direct involvement in your position to date.
The appeal will normally be heard within 10 working days of receiving the written
reasons for appeal. At the appeal, you may be accompanied by a companion. This
can be a fellow employee of your choice, who may be a friend, colleague or Staff
Consultative Committee representative; please note that the fellow employee should
not be a member of the HR Division. Alternatively, you can be accompanied by a full
time officer employed by a Trade Union. You may confer with your companion
during the course of the meeting, and he/she may address the hearing but may not
answer questions on your behalf.
The outcome of the appeal will be given in writing as soon as reasonably practicable
after the appeal has been held.
While an appeal is in progress, the contractual period of notice shall continue to run
from the original date of notification. Where an appeal is unsuccessful and a
redundancy decision is confirmed, employment will terminate on the date specified
in the original written notification of redundancy. The consequence of a successful
appeal will depend on the precise circumstances of the decision but may include:
•   the extent to which their skills and experience match those required for
    other jobs;


                                                                                    167
•   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 of:             A sum equivalent to the following number
                                            of weeks' of an employee’s basic salary at
                                            the time of leaving

More than six months and less than          13 weeks.
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.




                                                                                        168
•   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.

Who is covered by this policy?
This policy covers all employees whose appointment has been confirmed following a
successful probationary period.

Ownership, updates and query management
This is the FSA's Redundancy Policy as at April 2010.
The policy is owned by the HR Division and has been developed in conjunction with
the FSA's Staff Consultative Committee.
The policy 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.



                                                                                     169
Contractual status of this policy
This policy does not form part of your contract of employment.




                                                                 170
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
  What you can expect from the FSA
  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.




                                                                                        171
What the FSA expects from you
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.
Contractual information (start)
Any attempt knowingly or falsely to claim expenses in breach of the Travel and
Expenses Policy will result in disciplinary action.
Contractual information (end)

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;


                                                                                     173
•   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.

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
    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.
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.


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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
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 economic 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.




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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.
•   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.



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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.
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 http://connect/info/forms/e-forms/TravelRequisition.asp which should be
    authorised by the employee's manager before the travel is booked. In the case that
    special travel arrangements are required, they must be highlighted on the e-form
    before it is authorised.



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•   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.
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;


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•   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.
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 drivers 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 6th
                                                                   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           45
         year

         Cars & vans - each business mile over 10,000 in            25




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         tax year

         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 Arval for business use UK car rental.
For 2 or fewer passengers you may hire a vehicle of 1.6 /1.8 Litres
Manual/Automatic/Estate as required. If there are 3 or more passengers a vehicle up
to 2 Litres may be hired.
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



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•   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
behalf 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 nature of the entertainment;
•   the total number of people present;
•   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 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).




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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:
•   the nature of the entertainment;
•   the total number of people present;
•   the full names of all FSA staff who were present;
•   the location of the entertainment; and
•   the reason for the entertaining taking place.
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.




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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
    •   a 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).
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.
Ownership, updates and query management
This is the FSA’s Travel and Expenses Policy as at May 2011.
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.
Contractual status of this policy
This policy does not form part of your contract of employment.



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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

What you can expect from the FSA
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.

What the FSA expects from you
We expect employees to:
•   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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA's Payment of Salary Policy as at April 2009.



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The policy is owned by the HR Division and has been developed in conjunction with
the FSA's Staff Consultative Committee.
The policy is not contractual and is subject to change at the discretion of the FSA –
we will publish any changes on the intranet.
Any questions on how the policy applies 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.




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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. 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

What you can expect from the FSA
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).

What the FSA expects of you
•   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 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 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:


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-   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.



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Payment arrangements are currently as follows:
•   Monday to Friday - Time off in lieu wherever possible, payment of time and a
    half where it is not possible. Payment will not be made for periods of less than
    one hour in any day. After completion of one hour, payment will be made for
    each completed period of 15 minutes worked.
•   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.

Contractual Information (start)

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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Contractual Information (end)

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
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
Consultative Committee.
The procedure is not contractual and is subject to change at the discretion of the FSA
– we will publish any changes on the intranet.
Any questions on how the policy applies 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.




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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

  What you can expect from the FSA
  •   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.

  What the FSA expects of you
  •   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 interview. If such an interview is held prior to a disciplinary hearing,
you will be informed at the outset that the interview is an investigatory interview.
The FSA reserves the right to dispense with an investigatory interview and to
proceed directly to a formal disciplinary hearing.
The investigator(s) will not make decisions relating to the outcome of the case and
will only attend any disciplinary hearing in order to present facts and supporting
materials (as required).

Right to be accompanied
You are entitled to be accompanied at formal disciplinary meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative; please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union.


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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.

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


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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


                                                                                     203
•   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    Manager of person
                                            who issued the       who issued the
                                            warning.             warning.

Final written warning Line Manager          Manager of person    Manager of person
                                            who issued the       who issued the
                                            warning.             warning.

Dismissal               Line Manager and    HR Director          Two people who will
                        Senior Manager                           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


                                                                                   204
decision – the original date of termination will stand unless the decision to dismiss is
overturned on appeal.

Timelines
The timelines provided in this procedure are intended as a guideline. Although in
many cases we would expect the process to operate more quickly, there may be
occasions where it 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.

Who is covered by this policy?
This procedure covers all employees.

Ownership, updates and query management
This is the FSA’s Disciplinary Policy as at May 2011.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
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.

Contractual status of this policy
This policy does not form part of your contract of employment.




                                                                                     205
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

What you can expect from the FSA
•   We will manage any dismissals in line with the following principles.
•   We will let you know in writing why we are considering terminating
    your employment.
•   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.

What the FSA expects of you
•   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.



                                                                                    206
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.

Right to be accompanied
You are entitled to be accompanied at formal dismissal meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative; please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union.
The meeting may be postponed, at your request, for up to five working days if your
chosen companion is not available to attend on the date set for the meeting.

Timelines
The timelines in this procedure are intended as guidance.

Who is covered by this policy?
This procedure covers all employees.

Ownership, updates and query management
This is the FSA’s Dismissal Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
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.




                                                                                    207
Contractual status of this policy
This policy does not form part of your contract of employment unless
otherwise stated.




                                                                       208
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

What you can expect from the FSA
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.

What the FSA expects of you
We expect employees to:
•   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;


                                                                                      209
•   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.

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.



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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
.




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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.

Right to be accompanied
You are entitled to be accompanied at formal grievance meetings by a companion.
This can be a fellow employee of your choice, who may be a friend, colleague or
Staff Consultative Committee representative; please note that the fellow employee
should not be a member of the HR Division. Alternatively, you can be accompanied
by a full-time officer employed by a Trade Union.
The meeting may be postponed, at your request, for up to five working days if your
chosen companion is not available to attend on the date set for the meeting.
You must make all reasonable efforts to attend any grievance meeting. If you fail to
do so, we may proceed with the meeting in your absence.

Timelines
The timelines provided in this procedure are intended as a guideline. Although in
many cases we would expect the process to operate more quickly, there may be
occasions where it may prove impossible to meet the timelines. This may include,
for example, occasions where key participants in the process are not available due to
holiday. Similarly, the timescales may need to be extended if the matter is especially
complex and requires detailed investigation. In these circumstances you will be told
the date by which you can expect a response and every effort will be made to
complete the process as quickly as is possible.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA’s Grievance Procedure as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The procedure is not contractual and is subject to change 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.



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Contractual status of this policy
This policy does not form part of your contract of employment




                                                                213
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

What you can expect from the FSA
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.

What the FSA expects of you
We expect you to do the following:



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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.

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,



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be 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):



                                                             Formal        Duration
Stages                                           Taken by
                                                             action        of warning

First review meeting – initiated when level of   Line        First         Six months
performance is deemed to have adverse impact,    Manager     written
or there is insufficient improvement following               warning
being informally addressed.

Second review meeting – initiated when there     Line        Final         12 months
has been insufficient improvement following      Manager     written
first review or sufficiently serious.                        warning

Third review meeting – initiated when level      Line        Dismissal     N/A
of performance has sufficiently serious          Manager     Meeting
consequences to FSA and if insufficient          and/or
improvement after second review.                 Senior
                                                 Manager




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Right to be accompanied
You are entitled to be accompanied at formal performance improvement meetings by
a companion. This can be a fellow employee of your choice, who may be a friend,
colleague or Staff Consultative Committee representative; please note that the fellow
employee should not be a member of the HR Division. Alternatively, you can be
accompanied by a full-time officer employed by a Trade Union.
The meeting may be postponed, at your request, for up to five working days if your
chosen companion is not available to attend on the date set for the meeting.

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



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support (if any) that is to be provided, or what action (if any) is to be taken. The
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.




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Action          Taken by            Appeal to                   Appeal heard by

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
The timelines provided in this procedure are intended as a guideline. Although in
many cases we would expect the process to operate more quickly, there may be
occasions where it may prove impossible to meet the timelines. This may include,
for example, occasions where key participants in the process are not available due to


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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.

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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA’s Performance Management policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The procedure is not contractual and is subject to change 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.




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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.

  What you can expect from the FSA
  •   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.

  What the FSA expects from you
  •   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

  Contractual Information (start)

  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.
  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


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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
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


                                                                                      223
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
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


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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
the FSA.

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,
school governorships, local authority councillorships, or provision of services as
consultant or agent.
On joining the FSA, you must disclose any external employment, appointment or
business interest. You will need to obtain written approval in advance from your
Director/Head of Department before continuing with this activity.

Intellectual property
Any intellectual property created or produced during your employment, with the FSA
or related to work carried out by the FSA, may not be used by you except in the



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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.



                                                                                    226
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




                                                                                      227
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.

Contractual Information (end)

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.

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 Central Procurement Unit. Purchase orders can be created by
authorised individuals using iProcurement.
If any employee is exempted from completing timecards, local management will
advise accordingly.




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Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA’s Personal Conduct Policy as at May 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 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.

Contractual status of this policy
Contractual information in this policy forms part of your contract of employment.




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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 Self-
service 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.




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Contractual Information (start)

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.

Contractual Information (end)

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA's Prospective Parliamentary Candidate Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the FSA’s Staff Consultative Committee.
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.




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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 some guidance on procedures that should
  be followed.
  The procedural guidance contained within these documents should enhance/support
  other FSA policies covering Records Management, staff confidentiality agreements,
  Knowledge Management 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.

  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.

  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
      embarrass or could potentially damage the reputation of the FSA if publicly
      disclosed.
  •   To prevent all unauthorised access to sensitive information.
  •   To protect all business critical information from damage or loss as a result of fire,
      smoke, water and explosion.



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•   To protect information, although not sensitive is essential to normal functionality
    – Information such as reference material that can be replaced easily but with a
    time delay.
•   To protect information that would be difficult or could not be replaced.
•   To ensure that material is stored in a way that enhances Business Continuity
    Planning in relation to post incident start up, clearance, salvage and reclamation.
•   To prevent loss or theft of personal property and FSA portable property such as
    laptops and mobile phones.
•   To specify the consequences of loss of information or FSA property resulting
    through negligence of a member of staff.
•   To specify the consequences of deliberate acts of attempted theft of any material
    held within the confines of FSA.

Responsibilities
•   Executive - The Head of Operations Services 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 & Responsibility are responsible for
    monitoring and reporting non-compliance to HR.

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
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.




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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 non-
    valuable 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 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.

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.


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•   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
    Policy) 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
•   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. The
key is to be secured in a key safe and not taken home. Staff are also responsible for


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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.

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).
For guidance in disposing government material please see the guidance shown at the
bottom of table 3.

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 Services 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.




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Compliance audits

Regular audits are carried out 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.

Loss/Compromise investigations
Suspected loss or compromise of FSA material is to be reported to the following:
•   Line management.
•   Corporate Protection & Responsibility 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 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 non-



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    compliance 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 & Responsibility
    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 & Responsibility Department.

Ownership, updates and query management
This is the FSA’s Clear Desk Policy as at May 2011.
This policy is owned by Corporate Protection & Responsibility.
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.




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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

What you can expect from the FSA
•   We provide information systems and services to our employees and places
    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.
    Information acquired by monitoring may be used to provide senior management
    with statistics about working patterns, to conduct investigations, or for any other
    reasonable purposes.
•   We own all of the 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 have been involved in). We will inform any affected individuals in such
    cases and, wherever possible, seek their agreement. Employees are encouraged to
    speak to the line manager if they have any particular concerns about potential
    disclosures.




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•   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.

What the FSA expects of you
•   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
    the FSA.
•   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, mobile phones 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;




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•   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.

Summary of Information Security Policy and related links
(Please note that for convenience, this policy uses the term “sensitive information” to
mean any information marked as “FSA Restricted” or as “Controlled Distribution”.

Information Classification and Marking
If you create new information, or receive information from another organisation and
are responsible for its onward distribution, then you must classify and then add the
corresponding security marking to the information using the FSA Security
Classification and Marking Procedure.

General Requirements on Handling Classified Information
If you receive information bearing a Government Protective Marking, then you must
handle it in accordance with the Policy on Government Protectively Marked
(Classified) Information, which can be found on Connect+.
If you receive information bearing an FSA Security Marking, then you must handle it
in accordance with the following general requirements:
“FSA Restricted” information can be freely distributed within the organisation, but
must only be distributed to third parties (organisations other than the FSA or the
firm(s) to which the information refers) in accordance with local procedures;
“FSA Restricted - Firms” information must only be distributed to those in
regulatory, supervisory, enforcement, intelligence, financial crime, legal and policy
roles, and withheld from others;
“FSA Restricted - Personal” information must, under normal circumstances, only
be distributed to the individual to whom the information refers, line managers and
HR – other access must only be granted if a need-to-know can be demonstrated;




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“FSA Restricted - Risk” information must only be distributed to those in risk
management roles, including those involved in the ownership and mitigation of
internal risks;
“FSA Restricted – Internal Audit” information must only be distributed to those
involved with internal audit work (Note: this may include those working outside
Internal Audit Division);
“FSA Restricted – Market Monitoring” information must only be distributed to
those having a markets, enforcement or EFCD role (Note: this may include named
individuals working outside of these Divisions);
“FSA Restricted – Enforcement” information must only be distributed to those
involved with enforcement casework (Note: this may include those working outside
EFCD);
“Controlled Distribution – Enforcement” information must only be distributed to
those involved with enforcement casework who have a proven need-to-know;
“Controlled Distribution – Market Sensitive” information must only be distributed
to those in regulatory, supervisory, enforcement, intelligence, financial crime, legal
and policy roles who have a proven need-to-know;
“Controlled Distribution – Named Distribution Only” information must only be
distributed to those identified in the distribution list included within the document or
information;
“Controlled Distribution – Committee Only” denotes information (papers,
minutes, etc.) for circulation only to those involved in the Committee, which may be
the Board, ExCo, EOC or AuditCo;
“Controlled Distribution – Bank Confidential” denotes information received from
the Bank of England and marked ‘Bank Confidential’, and must only be distributed
to those who have a proven need-to-know;
Information marked “Legal Privilege” must, under normal circumstances, only be
distributed to those seeking legal advice on the matter to which the information
refers, and to those providing the advice. Legal advice must be sought before the
information is distributed to others, or summaries or extracts are made and circulated
to others.
In addition to the above restrictions, you must also handle FSA classified information
in accordance with the more specific requirements (for electronic storage, email, etc.)
that follow in the remainder of this policy.

Electronic storage
You must only store information marked with a Handling Descriptor in a restricted-
access location (e.g. folder).


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You must not process information marked with a Handling Descriptor on non-FSA
computing devices (e.g. a home computer or personal computing device).
If you copy sensitive information to a CD or DVD for removal from the office then
the disk must be encrypted.
If you copy sensitive information to a USB device for removal from the office, then
you must use an FSA approved and issued USB device, and you must not disable or
deactivate the encryption function on the device.

Handling Paper Documents
You must keep a record of all Controlled Distribution papers distributed either
internally or externally. This may take the form of a distribution list.
If you send sensitive papers by internal mail then you must place the papers in an
envelope (e.g. a ‘transit’ envelope). Particularly sensitive “Controlled Distribution”
information must be hand-delivered or double-enveloped.
If you send “Controlled Distribution” papers by mail to an external recipient then you
must ask the post room to send them via the secure courier delivery service.
When you no longer need to keep a sensitive paper document, you must dispose of it
using the confidential waste bins provided in our premises. If the document contains
particularly sensitive ‘Controlled Distribution’ information, then it must be shredded.

Use of email
•   Emails that you create, send, receive and store are owned and may be monitored
    by the FSA.
•   You must not send emails which contain obscene, defamatory or discriminatory
    material, which cause harassment or offence, or which contain malicious gossip
    or other inappropriate material. If you do send such material then this will be
    treated as misconduct and dealt with under the FSA’s Disciplinary Procedure.
•   If you unwittingly receive material which is inappropriate you should report this
    to your line manager and delete the material. If you know the sender personally
    you should contact them and ask them not to send further inappropriate material.
•   If our anti-virus software alerts you that you have received an infected email, you
    must contact the IS Service Desk immediately. You must not delete, forward or
    otherwise process the email until the Service Desk has advised you that it is safe
    to do so.
•   If you need to send information marked “Controlled Distribution” by email, then
    you must include text within the body of the email (but not in the Subject line) to
    indicate to the recipient(s) that the information has this marking.



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•   External email containing ‘Controlled Distribution’ information, where the FSA
    is the sender, must be encrypted where possible.
•   Wherever possible, emails containing ‘Controlled Distribution’ information must
    not be sent from a BlackBerry to external email addresses (as they cannot be
    encrypted). If this is unavoidable, the information must be disguised (e.g. using
    code-words).
•   Information marked with a Handling Descriptor must not be sent to a personal
    email address. (The term ‘personal email address’ refers to accounts such as
    '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).
•   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.
•   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



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    employer under English law. This duty of fidelity to the employer is a very strong
    legal obligation.)

Computers
•   You must lock your computer screen (press Ctrl+Alt+Del keys and then select
    Lock Computer) when you leave your computer unattended, and log off your
    computer before you leave for the day.
•   If you are not taking it with you, you must ensure that your laptop is locked away
    before you leave for the day.
•   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.
•   You must not connect any unauthorised devices to the FSA’s network.

BlackBerry handhelds and Mobile Phones
•   You must take all reasonable steps to ensure that you do not lose your BlackBerry
    or allow it to be stolen. Loss or theft of your BlackBerry must be reported
    immediately to the IS Service Desk on 020 7066 3636.


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•   If you use your BlackBerry 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 BlackBerry unattended while outside of the
    office. If this is unavoidable, then you must either lock it manually or turn if off
    before you leave it.
•   You must not tell anyone else your BlackBerry password. If you believe that
    someone knows your password, you must change it immediately.
•   You must not try to load software onto your FSA BlackBerry, 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 BlackBerry for email or
    Internet access respectively.
•   When using other features of your BlackBerry (such as 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
    BlackBerry 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
    BlackBerry). We insist that you do not use either while driving on FSA business.

Office Telephones
•   If you need to discuss “Controlled Distribution” information over the telephone,
    then this must take place in a way that the information is unlikely to be overheard
    by someone outside the “need-to-know” group.
•   If you are phoned and then asked to discuss information marked with a Handling
    Descriptor, you must make sure of the caller's identity and validity of their
    request. If you are unsure, then ask the caller for their number, hang up, confirm
    the authenticity of the caller and their request with your line manager or a
    colleague, and then call them back.
•   Telephones are provided for business purposes but you may make occasional
    and reasonable personal use of them providing it does not interfere with the
    performance of your duties and incurs minimal cost for the FSA. You should
    ensure that any personal usage is not excessive, in terms of either number or



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    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.)
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 “Controlled Distribution” document, then you must, if
practical, use either a local printer or the 'secure print' facility on a shared printer. (In
Word, for example, the option to enable this can be found under



                                                                                         247
File/Print/Properties/Other Options/Print and Hold …/Confidential.) 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 by ensuring that:
    o Your laptop is locked away before you leave for the day;
    o You clear your desk of all business documents and lock these away securely;
    o Particularly sensitive “Controlled Distribution” documents are locked in a
      security container, or in a standard container (e.g. RightSpace locker) in an
      area with additional physical security controls;
    o No valuable items are left out – either personal or owned by the FSA;
    o You lock any pedestals, cabinets, lockers, key safes and roller racking for
      which you are responsible;
    o You do not leave sensitive documents in a recycling tray, archive boxes, or
      boxes being used for office moves.
•   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 should 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 (or, in the case of documents containing HMSI, shredding them).

Security tokens
You must take reasonable precautions to avoid losing any security tokens you
are given, or exposing them to theft. If they are lost or stolen then this must be
reported immediately to the IS Service Desk on 020 7066 3636 or Security Control
on 020 7066 3838.

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.


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•   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.
•   If you take or print paper documents containing sensitive information out of the
    office, then they must be brought back into the office for disposal. You must not
    dispose of them as normal or recyclable waste at home or at a public place or
    another organisation’s office.
•   Sensitive information and equipment used away from our premises must be
    stored out of sight when not in use, and any available locks used to secure them.
    In particular, you must transport sensitive FSA documents in a secure manner
    (for example, in a briefcase), and sensitive FSA documents and equipment must
    not be stored in an unlocked car, or in the passenger compartment of a car where
    they are visible from outside.
•   If you take information on electronic form outside of the office then you must
    store it on your FSA laptop if this is practicable. If it is not, then you must use an
    FSA-approved transport device, such as an encrypted memory stick. The IS
    Service Desk can advise on and supply these.

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.

Who is covered by this policy?
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.

Ownership, updates and query management
This is the FSA’s Information Security Policy as at October 2011.
The policy is owned by the IS Security Manager and has been developed in
consultation with the FSA’s Staff Consultative Committee.




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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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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Employee Security Classification and Marking Procedure
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.

Principles
We have determined that most of the information we hold falls into one of the
categories indicated in the following table:
  Classification                                      Description
                    Unauthorised disclosure of this type of information would have little or no
                    impact on the organisation, the Government, firms or others. This includes all
  Unrestricted
                    information which is already in the public domain and FSA information which
                    is not sensitive (e.g. team meeting agendas).
                    Unauthorised disclosure of this type of information could cause embarrassment
                    to the FSA, a firm or others, but would not cause long-term damage. ‘FSA
                    Restricted’ information is open to all staff and to other contracted parties. Some
 FSA Restricted     “FSA Restricted” information is also marked with a Handling Descriptor which
                    identifies the ‘need to know’ group authorised to receive the information. This
                    may be quite a large group (e.g. in the case of the ‘Firms’ information) or quite
                    limited (e.g. for ‘Personal’ information)
                    Unauthorised disclosure of this type of information could cause severe and
                    long-term damage to the organisation or to a firm, would represent a breach of
                    our obligations under FSMA, or could cause a movement in market prices (and
  Controlled
                    might therefore be used for ‘insider trading’). Access to information in this
  Distribution
                    category will be restricted to those having a demonstrable ‘need to know’, and
                    it is expected that in most cases this will be a small group of people (for each
                    instance of this type of information).

The following table shows the Handling Descriptors that may be applied by
classification:

                                                                            Controlled
                           Unrestricted           FSA Restricted
                                                                            Distribution
       Firms
     Personal
        Risk




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 Market Monitoring
   Internal Audit
    Enforcement
  Market Sensitive
 Bank Confidential
Named Distribution
      Only
   Legal Privilege

We also hold and process a relatively small amount of information that falls into
other categories, including Government Protectively Marked information (for which
a separate policy can be found here) and specific information classified using other
schemes (e.g. the 5x5x5 scheme used to classify intelligence).

Summary of the Procedure

1. The appropriate security classification for FSA information can be found using
   the table above, and the following table:

 Classification                  Description                               Examples
                     This includes all information
                                                             • Team meeting agenda
                     which is already in the public
  Unrestricted                                               • Information already published
                     domain and FSA information
                                                              externally
                     which is not sensitive.
                     Information which is not in the
                                                             • Commercial information about
                     public domain but which is not
                                                              the FSA
FSA Restricted       sensitive enough to warrant one of
                                                             • Most FSA pre-publication policy
                     the more restrictive classifications
                                                              work
                     which follow.
                     Any information about regulated
                     firms which is not already in the
                                                             • ARROW Panel Plan
                     public domain and which is not
                                                             • Letter to firm on relationship
FSA Restricted –     highly sensitive. This includes
                                                               management feedback
    Firms            information we receive from firms
                                                             • Supervisory/Decision Notice
                     which is referred to as ‘confidential
                                                             • SRC paper on firm issues
                     information’ in section 348 of
                     FSMA.
                                                             • Appraisal
FSA Restricted –     Personal information about any
                                                             • Pay/bonus letter
   Personal          individual
                                                             • Pay review spreadsheet
                                                             • FSA Risk Dashboard
                     Information about internal and          • Aggregated external risk analysis
FSA Restricted -
                     external risks being managed by          reports
     Risk
                     us.                                     • Documentation related to the
                                                              horizontal governance process
                                                             • Audit test papers
FSA Restricted –     Information about internal audits.
                                                             • Fieldwork / interview notes


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 Internal Audit
                    Information in connection to
                    suspected insider dealing (CJA),
FSA Restricted –    market abuse (FSMA) or other
    Market          provision of FSMA. This may             To be added
  Monitoring        include information from other UK
                    or foreign government agencies,
                    regulators or exchanges.
FSA Restricted –    Information about an investigation
                                                            • Routine Enforcement case-work
 Enforcement        into a firm’s compliance with our
                    rules, with the provisions of
                    FSMA, and under the insider
                    dealing provisions of the Criminal
  Controlled        Justice Act and the Money               • Highly sensitive Enforcement
 Distribution –     Laundering Regulations. This may         case-work
 Enforcement        include information from other
                    regulatory bodies and law
                    enforcement agencies.
                    Highly sensitive information about
                    a firm, unapproved disclosure of
                    which poses such risks to us, a firm
                    or other person or to market
                    confidence that additional security
                                                            • Letter to firm proposed change of
  Controlled        controls are necessary to mitigate
                                                             CEO
 Distribution –     those risks. (In the majority of
                                                            • Listing transactions
Market Sensitive    cases, but not all, this would relate
                                                            • Pay review spreadsheet
                    to information that is likely to lead
                    to a significant movement in
                    market prices, but it does not
                    extend to all 'inside information'
                    held by us.)
                    Information received from the           • Anything received from the Bank
  Controlled
                    Bank of England which carries a          marked “Bank Confidential”
 Distribution –
                    ‘Bank Confidential’ marking (with       • Documents quoting extracts or
     Bank
                    or without further markings)             summarising from Bank
 Confidential
                                                             Confidential information
   Controlled       Information which should only be        • Internal audit reports
 Distribution –     circulated to a named list of
     Named          individuals
Distribution Only
                                                            • Papers (including minutes) from a
                                                             senior Committee including:
  Controlled        Highly sensitive information for        • The FSA Board;
 Distribution –     discussion by a senior Committee        • ExCo;
Committee Only                                              • EOC;
                                                            • AuditCo.
 Legal Privilege
(may be added to    Legal advice provided by GCD or
 any information                                            To be added
                    Enforcement
   with other
    Handling



                                                                                           253
 Descriptors)

A flowchart illustrating the above is provided here to assist with the classification
decision.

2. Please ensure you add the classification to the document as a security marking as
   follows:
       a. For all types of ‘FSA Restricted’ information, the classification (including
          any Handling Descriptor) must appear at the top of each page, and pages
          must be numbered;
       b. For all types of ‘Controlled Distribution’ information, the classification
          (including any Handling Descriptor) must appear in bold at the top of
          each page, pages must be numbered and, where possible, the total number
          of pages should also be shown on each page (e.g. ‘Page 3 of 14’);
       c. Documents marked ‘Controlled Distribution – Named Distribution Only’
          must include a distribution list within the document;
       d. Others types of ‘Controlled Distribution’ information may include
          additional information within the document ‘header’ about to whom it is
          restricted (e.g. ‘Controlled Distribution – Market Sensitive – Project
          Tumbleweed’);
       e. For all types of paper document received from external sources, it is
          sufficient to stamp or write the classification on the first page only, so
          long as the pages of the document are stapled or otherwise bound
          together.

3. The procedure for classifying information received from an external party other
   than the Bank or a regulated firm is as follows:
       a. If the document has a security marking and the requirements for handling
          it have been communicated by the external party, then apply the
          appropriate FSA security marking that provides the required controls and
          protection;
       b. If the document does not have a security marking, or it does have a
          security marking but the requirements for handling it have not been
          communicated by the external party, then contact the sender to determine
          their handling requirements and then apply the appropriate FSA security
          marking.

Who is covered by this procedure?
This procedure must be used by all employees, including permanent staff, contractors
and temporary and agency employees, when classifying and marking information.
This procedure must also be used by any third party employees while they are
working on FSA business.

Ownership, updates and query management

This is the Information Security Classification Procedure as at August 2010.



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The procedure is owned by the IS Security Manager and has been approved and
authorised by the Operations Committee (EOC). Any proposals for changes – for
example, to add new classifications – must be made to the IS Security Manager in the
first instance.

The procedure is not contractual and is subject to change at the discretion of the FSA
– any changes will be published on Connect+.

Any questions on the application of the procedure should be directed to local line
management in the first instance.




                                                                                  255
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       1 Canada Square       25 Bank Street      Quayside House
  Canary Wharf                 Canary Wharf          Canary Wharf        127 Fountainbridge
  London                       London                London              Edinburgh
  E14 5HS                      E14                   E14                 EH3 8DJ



                                                                                       256
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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA’s Basics about your employment policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at 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.

Contractual status of this policy
Contractual information in this policy forms part of your contract of employment.




                                                                                    257
Employee Handbook and Contractual Information

Contractual Information (start)
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.

Contractual Information (end)

Who is covered by this policy?
This policy covers all employees.




                                                                                    258
Ownership, updates and query management
This is the FSA’s Employee Handbook and Contractual Information Policy as at
April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at 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.

Contractual status of this policy
This policy does form part of your contract of employment.




                                                                                   259
Hours of Work Policy

Contractual Information (start)
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.
Contractual Information (end)

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA’s Hours of Work Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at 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.




                                                                                      260
Contractual status of this policy
This policy does form part of your contract of employment.




                                                             261
13 Wellbeing
  Smoking Policy

  Principles

  What you can expect from the FSA
  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.

  What the FSA expects from you
  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 HR Policy.




                                                                                      262
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 HR Policy 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.



                                                                                          263
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.

Who is covered by this policy?
This policy applies to all employees, secondees, workers, contractors, consultants and
visitors to our premises.

Ownership, updates and query management
This is the FSA’s Smoking Policy as at May 2011.




                                                                                      264
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.
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.




                                                                                 265
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

What you can expect from the FSA
•   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



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    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.

What the FSA expects from you
Ultimately, you have primary responsibility for your own health and well being 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 staffs are not put under excessive pressure.
•   Monitor working hours to ensure staff members are not working excessively.
•   Ensure good communication between team members.
•   Promote a culture of zero tolerance for bullying and harassment.

Human Resources:
•   Ensure all people managers have adequate guidance on the Stress and Wellbeing
    Policy and provide any necessary training.
•   Give support to people managers on any training needs identified within
    their team.




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•   Monitor the effectiveness of measures to address stress and identify trends by
    collating and reporting sickness absence statistics.

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. Current provider is
    Employee Advisory Resource (EAR) Free phone – 0800 243 458
•   Occupational Health Adviser – A referral will only be suggested after discussion
    with a line manager and/or an Employee Relations Consultant (based within the
    HR Division). Discussions with the OHA are confidential, although a report will
    be provided to the line manager and Employee Relations Consultant to ascertain
    the individual’s fitness for work and to identify any changes to their working
    arrangements that might help them to return to or remain in work. If appropriate,
    the OHA may refer the individual on to the Occupational Health Physician.
•   Your own GP.




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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.

Who is covered by this policy?
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.

Ownership, updates and query management
This is the FSA’s Stress and Wellbeing Policy as at October 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Health & Safety Adviser.
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 and is subject to
change at the discretion of the FSA. Any changes will be published on the FSA’s
intranet, Connect+.




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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 well being of our employees and threaten the success of our business.

What you can expect from the FSA
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.

What the FSA expects from you
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;



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•   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.




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•   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.

Who is covered by this policy?
This policy applies to all employees.


Ownership, updates and query management
This is the FSA's Substance Abuse Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
The policy is not contractual and is subject to change at our discretion of the FSA –
any changes will be published on the intranet.
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.



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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.




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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.


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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.
Right to be accompanied

You may be accompanied at meetings by a fellow employee of your choice, who
may be a friend, colleague or Staff Consultative Committee representative. Please
note that the fellow employee should not be a member of the HR Division.

Who is covered by this procedure?
This procedure covers all employees.

Ownership, updates and query management
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
the Staff Consultative Committee.
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.



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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 7.30 am and 10.00 am and
    end at any time between 4.00 pm and 7.00 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. Should you do so, this will be
    treated as gross misconduct by 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


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    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 hold-
    ups 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.




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Flexitime scheme method of operation

Arrival                      Lunch                         Departure

You should log in            You should log out, take a    You should log out when you
when you are ready to        minimum of 30 minutes         have finished work. Failure
commence work.               lunch break and log back      to log out will automatically
                             in again.                     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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA's Flexitime Policy as at April 2009.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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;


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•   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.



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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.




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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
of employment.

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
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.


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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.
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.




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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.
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.

Who is covered by this policy?
This policy covers all employees.




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Ownership, updates and query management
This is the FSA’s Homeworking Policy as at June 2010.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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
Employee Self-service on Chrysalis.




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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.

Who is covered by this policy?
This policy covers all employees.

Ownership, updates and query management
This is the FSA's Part Time Working Policy as at April 2010.
The policy is owned by the HR Division and has been developed in conjunction with
the Staff Consultative Committee.
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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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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.




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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;



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•   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.




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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     What happens      Actions that     Examples      Roles &
            your concern     next?             will be taken    of when to    Responsibilities
            with                                                use
                                                                options

Option 1    Your line        Referred to       If the           See           See section,
            manager          Director of       investigation    Appendix      “Responsibilities”
                             Internal Audit    uncovers any     1, e.g. 3 &
                             to investigate.   wrong-doing,     4
                             See –section,     sanctions will
                             “What takes       be decided at
                             place during an   this stage



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                            investigation?”




Option 2   Director of      As above          As above    If the          As above
           Internal Audit                                 concern
                                                          involved
                                                          your line
                                                          manager,
                                                          HoD or
                                                          Director.
                                                          See
                                                          Appendix
                                                          1, e.g. 1, 2,
                                                          3&4

Option 3   Chair of the     As above          As above    See             As above
           Audit                                          Appendix
           Committee of                                   1, e.g. 5
           the Board or
           Chairman of
           the FSA

Option 4   Director         As above          As above    See             As above
           General of                                     Appendix
           Financial                                      1, e.g. 6
           Services at
           HM Treasury

Option 5   Relevant body    As above          As above    See             As above
                                                          Appendix
                                                          1, e.g. 7

For further detail on these options see below:

Option One: Line Manager
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.



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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 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 Karin Forseke, or with the
Chairman of the FSA, Lord Adair Turner. You can write to Karin care of the
Company Secretariat of the FSA. You can contact Lord Adair Turner by email or
extension 63000.

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.



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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.
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.

Responsibilities

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.



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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;
•   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 the Chief Executive 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:
•   acknowledge the whistleblower’s disclosure;


                                                                                    295
•   indicate to the whistleblower how they propose 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;
•   liaise with the Director of Internal Audit in investigating the matter; and
•   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.

The role of the Director of Financial Services at HM Treasury:
•   acknowledge the whistleblower’s disclosure;
•   indicate to the whistleblower how he 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;
•   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
•   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.

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.




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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;
•   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



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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
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 Conference &
Office Services (Option 1). If the concern involves your immediate manager, Head of
Department or Director, or for any reason you would prefer them not to be told, raise
the matter directly with the Director of Internal Audit Division (Option 2).

Example five
You have a concern that could impact on the FSA's reputation, but do not want to
raise it with the Director of Internal Audit as you believe they are compromised in
some way. What should you do?
Report the incident directly to the Chair of the Audit Committee of the Board or with
the Chairman of the FSA (Option 3).

Example six
You raised a concern under the FSA's Whistleblowing Policy, but you do not feel
confident that the matter was dealt with appropriately by the FSA. What do you do?
Refer the matter to the Director of Financial Services at HM Treasury (Option 4).
Example seven
You wish to raise a concern that comes under the responsibility of another public
body. What do you do? Refer the matter to the relevant body (Option 5).

Contractual information (start)

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


                                                                                    299
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.

Contractual information (end)

Who is covered by this policy?
This policy covers all employees and others referred to in Option 7 above.




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Ownership, updates and query management
This is the FSA's Whistleblowing Policy as at May 2011.
The policy is owned by the HR Division and has been developed in conjunction with
the Internal Audit Division and Staff Consultative Committee.
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.

Contractual status of this policy
This policy does not form part of your contract of employment.




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