FCA Employee Handbook

Employee Handbook

Last updated March 2023

Contents

Contents

Page

Our values at the FCA .............................................................................................................. 4

About this handbook ................................................................................................................ 5

SECTION 1 - NON CONTRACTUAL POLICIES ................................................................................ 6

1.1 Conflict of Interests..................................................................................................... 6

1.2 Circumstances affecting employment .......................................................................... 23

1.3 Information and systems acceptable use policy ............................................................ 24

1.4 Employee privacy notice ............................................................................................ 32

1.5 Security and vetting.................................................................................................. 32

1.6 Anti-money laundering and prevention of terrorist financing ........................................... 33

1.7 Media, photography, speeches and publications ............................................................ 33

1.8 Social media ............................................................................................................ 34

1.9 Political Impartiality Policy ......................................................................................... 35

1.10 Whistleblowing policy ................................................................................................ 36

1.11 Monitoring ............................................................................................................... 40

1.12 Indemnity policy....................................................................................................... 40

1.13 References policy...................................................................................................... 41

1.14 Travel and expenses policy ........................................................................................ 42

1.15 Environmental policy ................................................................................................. 42

1.16 Dress code............................................................................................................... 43

1.17 Weekly timecards ..................................................................................................... 43

1.18 Ordering goods and services ...................................................................................... 43

1.19 Personal mail ........................................................................................................... 43

2.

DEVELOPING YOU..................................................................................................... 44

2.1 Probation................................................................................................................. 44

2.2 Performance and career development (PCD)................................................................. 44

2.3 Learning and development ......................................................................................... 45

2.4 Time off for public duties ........................................................................................... 46

3.

REWARDING YOU ..................................................................................................... 47

3.1 Salary and benefits policy .......................................................................................... 47

3.2 Overtime policy ........................................................................................................ 49

3.3 Out of hours working policy........................................................................................ 49

4.

SUPPORTING YOU .................................................................................................... 50

4.1 Corporate responsibility and diversity and inclusion ....................................................... 50

4.2 Equal opportunities and respect at work....................................................................... 51

4.3 Trans inclusion policy ................................................................................................ 53

4.4 Equality complaints procedure .................................................................................... 54

4.5 Grievance procedure ................................................................................................. 57

4.6 Disciplinary procedure ............................................................................................... 59

4.7 Performance management procedure .......................................................................... 64

4.8 Redundancy policy .................................................................................................... 68

4.9 Parents and carers .................................................................................................... 69

4.9.1 Maternity policy........................................................................................... 69

4.9.2 Paternity leave policy ................................................................................... 73

4.9.3 Adoption and surrogacy policy ....................................................................... 75

4.9.4 Shared parental leave .................................................................................. 79

4.9.5 Parental leave policy .................................................................................... 87

4.9.6 Time off for dependants policy ...................................................................... 89

4.10 Compassionate leave ................................................................................................ 90

4.11 Domestic abuse policy ............................................................................................... 91

4.12 Further support ........................................................................................................ 92

5.

WORK LIFE BALANCE ................................................................................................ 93

5.1 Annual Leave policy .................................................................................................. 93

5.2 Hybrid working policy ............................................................................................... 95

5.3 Flexible working policy............................................................................................... 96

5.4 Flexitime policy .......................................................................................................100

5.5 Career leave policy ..................................................................................................100

5.6 International Working Policy......................................................................................104

6.

HEALTH AND WELLBEING .........................................................................................106

6.1 Sickness absence policy............................................................................................106

6.2 No smoking and vaping policy ...................................................................................111

6.3 Drug and alcohol policy ............................................................................................111

6.4 Eye tests ................................................................................................................112

6.5 Fertility treatment....................................................................................................112

6.6 Medical and dental appointments ...............................................................................113

6.7 Stress at work policy ................................................................................................113

6.8 Travel health policy..................................................................................................114

6.9 Health and safety policy............................................................................................115

SECTION 2 - CONTRACTUAL TERMS ........................................................................................117

1.

General Statement of Terms and Conditions of Employment ..........................................117

Our values at the FCA Our values support our Mission and reflect what's important to us. We serve the public and our decisions directly affect the wellbeing of people, businesses and the UK economy. So our values matter. They represent the culture we aspire to every day, guiding our judgements, building trust and helping us to be at our best. The FCA expects, that as an employee, you role model and uphold each value in everything you do - in delivering your work, your relationships with colleagues, and how you represent the FCA externally.

There is more detail and guidance about our values on the Intranet. The Payment Systems Regulator has its own statement of values which FCA employees working for the PSR should refer to.

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About this handbook

This handbook is divided into 2 sections.

Section 1 of the handbook sets out the main policies and procedures that you will need to know while working at the FCA. The policies and procedures in this section apply to all FCA employees, including those working for the Payment Systems Regulator (the `PSR' is an independent economic regulator, which is a subsidiary of the FCA), and do not form part of the terms of your contract with us.

Some policies in section 1 apply both to employees and to everyone else who works at the FCA including contractors, consultants, agency workers and interns. These policies are the:

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Information and systems acceptable use policy

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Security and vetting policy

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Whistleblowing policy

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Equal opportunities and respect at work policy

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Trans inclusion policy

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Domestic abuse policy

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No smoking and vaping policy

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Health and safety policy

We reserve the right to make changes to policies and procedures, or to withdraw or replace them, from time to time. When we do this, we will discuss any changes with the Staff Consultative Committee as appropriate, and tell you about any changes via the Intranet.

Please take the time to read and understand this handbook, and ensure you are familiar with and comply with its policies and procedures. If you have any questions about these or what you have to do to comply with them please speak to your line manager and/or the HR Helpline.

All managers have a specific responsibility to operate according to the provisions in this handbook, ensure that employees understand the standards of behaviour we expect of them, and take action when behaviour falls below these standards. Managers have a specific responsibility to lead by example. They should also ensure that those they manage adhere to our policies and procedures and promote our aims and objectives with regard to equal opportunities and our values.

Section 2 contains a General Statement of Terms and Conditions (the "General Statement") which is contractual.

The General Statement applies to all FCA employees, including those working for the PSR (employees working for the PSR have FCA contractual terms).

The General Statement includes some contractual terms from the previous edition of the handbook. No new terms have been added and no changes have been made to these terms. Employees who have joined the FCA at different times have different versions of the Personal Statement. Newer versions of the Personal Statement contain provisions which deal with the matters covered in the General Statement.

If there are any inconsistencies between your Personal Statement and the General Statement, the terms of your Personal Statement take precedence. However, if there is an inconsistency or conflict because a term or condition is missing from your Personal Statement, then the relevant term or condition in the General Statement will apply.

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