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Complaints against the FSA

 

The Guidance Note to Staff and the Complaints Commisioner Terms of Reference are available from the Complaints Team, Corporate Services.

 

1. This policy sets out how employees will be supported if, as a result of a complaint, they are involved in an inquiry or investigation.
   
   
2. Details of the process that the FSA follows when dealing with complaints are available from Corporate Services.
   
   
3. The FSA expects employees to work to standards that will keep complaints to a minimum. Any complaints which are received and are properly for the scheme will initially be investigated by the FSA (Stage 1). If a complaint is not resolved at this stage, it may be referred to the Complaints Commissioner (Stage 2) www.fscc.gov.uk . The FSA will give the Commissionerall reasonable co-operation including giving access to staff and information. At the conclusion of an investigation the Commissioner may publish a report of the findings and may require that the FSA publishes the response. If the report is critical of FSA, such criticism may not extend to naming members of staff unless:

• the Commissioner has previously given the persons concerned the opportunity to respond to any criticism levelled at that person; and
  
• the Commissioner is satisfied that it is necessary in the public interest or the interest of the complainant and other relevant persons to identify members of employees; or
  
• not to do so would impair the effectiveness of the report
• In any event, any criticism of any employee (named or not) will be made known to the person concerned.

4. FSA employees will be expected to co-operate with, and provide all reasonable assistance to, those conducting investigations (whether FSA employees, external appointees or the Complaints Commissioner). The FSA will ensure that employees have the reassurance of the FSA’s support in responding to those conducting investigations. The type of support will vary according to the nature of the complaint;

• In some cases the investigation will not extend beyond an examination of the circumstances surrounding the complaint including information gathering and analysis and discussions with relevant employees. In such cases employee support may not need to be more than an explanation about the form the investigation will take and guidance on what to expect so that employees are prepared to respond to questions and requests for information. Wherever possible, such support will be provided by the employee’s line manager, the department's Complaints Relationship Manager and the Complaints Team.
• Sometimes, dealing with a complaint may involve investigations being conducted in a more formal way. This is more likely for complaints which are referred to the Commissioner, but could arise from an internal FSA inquiry. In such circumstances the FSA may offer further assistance such as the opportunity to consult an independent lawyer (see paragraph 5 below).
• Employees are also reminded of the availability of the Employee Assistance Programme. Employees may find this helpful as an additional means of support. The help line number is 0800 269616.

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5. Additional assistance, such as the opportunity to consult an independent lawyer, is not expected to be necessary very often and in practice only if:

• it becomes clear that the Commissioner (or other person conducting a formal investigation) is minded to level serious criticism at an employee; and
• such criticism is likely to prejudice the reputation or professional standing of that employee.

6. Any employee who is aware or becomes concerned that an investigation into a complaint might involve them facing serious criticism and think that they may require additional assistance, should raise the matter with their line manager and the Complaints Team at the earliest opportunity. Line managers should also ensure that they are up to date on the progress of the investigation and if an employee may face serious criticism, discuss this with the Complaints Team. The provision of additional support, which is independent of the FSA, is entirely a matter of discretion for the FSA. The FSA will exercise this discretion on a case by case basis. A decision to provide additional assistance should not be taken as implying any kind of judgment by the FSA as to the strength of the allegations or the outcome of the complaint. However, it is unlikely that the FSA will offer such assistance where what is in issue is conduct by a member of staff involving acts or omissions which in the opinion of the FSA:

• have been done or omitted to be done in bad faith or in contravention of the law; or
• which are outside or inconsistent with the scope of the employee’s responsibilities.

7. If independent legal assistance is offered the Complaints Team will, in consultation with the employee concerned, decide on the choice of the lawyer or firm to be instructed. Assistance up to a fixed amount is likely to be given for an initial consultation and further assistance may, if appropriate, be offered.
   
   
8. If independent legal advice is offered the FSA will bear the cost up to pre agreed limits, provided the circumstances set out at the end of paragraph 6 do not apply.
   
   
9. FSA standards of conduct continue to apply during the course of any form of inquiry or investigation. Staff are therefore reminded of the need to maintain confidentiality and to avoid unnecessary discussion of the matters subject to investigation with others whether within or outside the FSA (including any discussion with the news media).

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General points on formal investigations / interviews

10. An investigation into a complaint (either stage 1 or stage 2) is a separate procedure from FSA’s own disciplinary / performance improvement procedures. Such investigations will not automatically trigger the FSA’s own disciplinary or performance review procedures. However, there may be circumstances where it will be appropriate for the FSA to initiate its own disciplinary or performance improvement procedure.

11. If you are being interviewed as a result of a complaint you may be accompanied by a fellow employee of your choice or, where appropriate (as described in points 4-8 above), a legal representative.
    
    
12. In advance of any interview you will, on request, receive details of the broad issues that are being addressed by the investigation and the topics likely to be covered in the interview.
    
    
13. If your interview forms part of Stage 2 of the investigation (i.e. by the Complaints Commissioner), there are further 'notes for interviewees' available which have been produced by the Commissioner. These are available on request from Corporate Services.
    
    
14. You will have the opportunity to respond to any allegations or criticisms made about you by either the complainant or the person investigating the complaint. All complaints will be fully and thoroughly investigated.

 

Other Inquiries

15. Under section 14 of the Act, HM Treasury may appoint persons to conduct an independent inquiry with a view to establishing whether there has been a serious failure in the regulatory system. Similar inquiries could be established under other powers available to the government. The FSA will expect employees to co-operate fully with those who may be appointed to conduct such an inquiry.

16. The FSA will ensure that employees have the reassurance of its support in responding to those conducting such inquiries. Such support will, as a minimum, involve an explanation about the form of the inquiry and guidance on what is expected of employees. The Employee Assistance Programme is also available as an additional means of support.
    
    
17. In the course of such inquiries, circumstances may arise where the FSA will consider whether affected employees should have the opportunity to obtain independent legal advice and assistance at the expense of the FSA in accordance with the provisions of paragraphs 4-8 inclusive above.
    
    
18. Employees who may be concerned about their involvement in an inquiry should raise the matter with their line manager at the earliest opportunity.
    
    
19. The above guidelines do not form part of your contract of employment with the FSA and may be replaced, withdrawn or varied by the FSA at any time.

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