Appendix 2e. DIRECTORATE OF AUDIT, FF RISK AND ASSURANCE Internal Audit Service to the GLA. Follow up Review of Sickness Monitoring and Control

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1 Appendix 2e DIRECTORATE OF AUDIT, FF RISK AND ASSURANCE Internal Audit Service to the GLA Follow up Review of Sickness Monitoring and Control

2 EXECUTIVE SUMMARY 1. Background 1.1 This audit follows up the progress made towards implementing the four agreed recommendations from the audit of Sickness Monitoring and Control that was completed in March Audit Assurance Substantial There is particularly effective management of key risks contributing to the achievement of business objectives. 3. Key Findings 3.1 The overall control framework for Sickness Monitoring and Control has improved. Since the original review all recommendations have been fully implemented. 3.2 The Sickness Absence Policy was reviewed in November 2013 and will be due for another review in Human Resources and Organisational Development (HR&OD) are in the process of implementing a new HR system which will contain a facility for the recording, monitoring and reporting of sickness. HR&OD have reviewed the reports that will be required and the sickness element will be implemented in March Tests will be undertaken on the system and pilot schemes prior to the sickness absence function going live. 3.3 Weekly reminders are sent to Directorates by HR&OD for sickness returns. Self-certification forms are completed by staff and reviewed and signed by Line Managers. Quarterly reports are produced by HR&OD showing all sickness absence. Any periods of sickness hitting the trigger points had been identified by HR&OD and brought to the attention of the relevant Line Manager. Absence review meetings had been carried out and recorded where appropriate. October 2014 Follow Up Review of Sickness Monitoring and Control 1

3 7.1 The GLA Sickness Absence Policy was issued in April 2010, with a review date of January If the policy is not reviewed, it may not provide an effective framework to manage sickness absences. 3 The GLA Policy on Sickness Absence is reviewed to ensure that it reflects the current GLA requirements and to take account of any legislative changes in respect of SSP reporting and process changes arising from the new system. A review of the policy will be undertaken and any legislative or process changes implemented. Target Date 30 June 2014 The GLA Policy on Sickness Absence was reviewed in November 2013 and will be due for another review in November The HR team has to manually cleanse the data extracted from the database, as the reporting facility is not accurately extracting data. A new database is being procured. If detailed testing is not undertaken similar reporting failing could occur. 3 The GLA will need to ensure effective implementation of the new HR system to ensure current system issue have been addressed. The decision on the preferred supplier has now been taken. The need to ensure accurate reporting of data from the system will be a key element of the implementation. Target Date 30 September 2014 The new HR system is in the process being implemented via a phased basis. The recording and reporting of absence / sickness will be implemented in March 2015 as per the project plan. A number of reports have been identified on the new system by HR and information held on the previous HR system will be transferred to the new system. The October 2014 Follow Up Review of Sickness Monitoring and Control 2

4 8.5 For the 20 employees, self-certification forms for sickness absence should have been completed for 108 occasions. We found 93 selfcertification forms on files, meaning that 15 were missing. If self-certification forms are not received, this does not enable effective review of the absence. 3 All self-certification forms are submitted for all periods of sickness absence to ensure that sickness can be fully monitored. Further reminders to absence coordinators directly and staff generally through London@work advising staff of the importance of self-certification forms and the need for their completion. implementation of sickness absence function on the new system will in the first instance be launched to pilot groups prior to going live. Self-certification details are completed by staff and reviewed and signed by Line Managers on the staff member s return to work. Weekly reminders are also sent out by HR&OD to Directorates for their sickness returns /20 employees had at least one period of sickness absence of 5 working days and had been absent for more than three occasions in a rolling six month period. If informal review meetings are not held, effective management of short term absences will not take place and employees will not be supported to return to work. Target Date 30 April Informal review meetings for those employees who have had sickness absence of five working days and/or on 3 occasions in a rolling six month period are completed to effectively manage short term absences. Engaging with line managers on the need to follow GLA policy and conduct informal review meetings for staff reaching trigger points. In addition the staff identified Reports are produced by HR showing the number of sickness absence days. Reports are checked by HR officers and absence hitting the trigger days had been identified and highlighted to relevant Line Managers for further action. Information review meetings had been undertaken where October 2014 Follow Up Review of Sickness Monitoring and Control 3

5 through sampling hitting the triggers will be followed up to ensure the informal meetings take place. Target Date 30 May 2014 applicable. October 2014 Follow Up Review of Sickness Monitoring and Control 4