SICKNESS AND ABSENCE POLICY. Sickness and Absence Policy Date Ratified: February 2012 Date to be Reviewed: September 2014 Page 1 of 31

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1 SICKNESS AND ABSENCE POLICY Page 1 of 31

2 DOCUMENT DETAILS Document Title Sickness & Absence Policy Document Number POL/HR/WCN/1010 Version Number 001 Replaces N/A If new document, reason for development N/A Description of Amendments As per table below Document Type Policy and Procedure Content Human Resource Application Trust wide Author/Originator and Title Amanda Oates, HR Director Date of Circulation February 2012 Document to be read in conjunction with Disciplinary Policy Stress Policy TIA Policy Risk Management Strategy Incident Reporting Policy Local Induction for permanent and temporary staff Corporate induction and mandatory training policy Reference/s N/A Ratifying Committee/s Performance Committee Ratified Date February 2012 Review Date September 2014 Person/s Responsible for Reviewing Head of HR Document Training Required Yes Completed Distribution Information Page Yes Completed Training Information Page Yes Completed Equality & Diversity Screening Yes Completed Document Control Checklist Yes (chair of committee to sign only when ALL Document Control Pages have been completed) Name:. Signature:. Date: Page 2 of 31

3 Document Change History - changes from previous issues of document (if applicable): Page 15 and and and Appendix 3 Description of Changes Step down OH charges OH on line referral Requirement for monthly meetings Phased return reduced to 4 weeks Medical appointments clarified Discretion with HR approval brought in to each stage Referencing incident reporting flowchart Added Page 3 of 31

4 TABLE OF CONTENTS 1. INTRODUCTION 5 2. PURPOSE 5 3. OBJECTIVES OF THE POLICY 5 4. THE POLICY AND DUTIES 6 5. PROCESS FOR SHORT TERM AND LONG TERM ABSENCE APPEALS PROCESS PLANNING RETURN TO WORK PLANS FOLLOWING LONG TERM 19 SICKNESS ABSENCE 8. PLANNING AND UNDERTAKING WORKPLACE CONTROLS OR 20 ADJUSTMENTS 9. OTHER CONSIDERATIONS MONITORING IMPLEMENTATION 25 APPENDIX 1 - SELF CERTIFICATION / RTW APPENDIX 2 SICKNESS RECORD LOG APPENDIX 3 INCIDENT REPORTING FLOW CHART Page 4 of 31

5 1. INTRODUCTION The Trust is committed to providing the highest level of health services. Poor attendance has a negative impact upon service quality and has serious employment cost implications. It is the shared responsibility of the Trust and its employees to ensure that attendance is kept at the highest possible level. The aims to provide a framework for managers and employees on how sickness absence should be managed and ensure a consistency of approach across the Trust. In order to ensure we are meeting the needs of our diverse workforce, should any employee require a copy of this policy in an alternative format (such as large print or audio) or require any assistance in complying with the processes of this policy (e.g. completion of written complaint) contact for assistance should be made with a member of the HR Team. 2. PURPOSE The Trust recognises that employees will require time away from work due to illness or injury. The Trust is committed to measuring attendance levels for all employees as it is recognised that low levels of absence are beneficial to the health and wellbeing of employees and the performance of the Trust overall. The policy applies to any employee who is off sick and provides guidance to managers on how to manage sickness absence issues. The Trust will deal with each individual case sensitively and provide full support to assist employees to return to work. In applying this policy the aim is to avoid distress to employees who are unfit for work whilst maintaining an appropriate balance between the needs of the individual and the operational requirements of the Trust. It should be noted that unsatisfactory attendance due to sickness absence is a contractual issue, not a matter for the Disciplinary Policy. It centers on whether the individual is fulfilling their contract of employment in regard to their regular attendance for duty. Disciplinary action is only relevant in situations where an employee consistently fails to notify absence properly; fails to provide evidence of sickness as required by the Trust, or where there are sufficient grounds to suggest that sickness is not genuine. A decision to instigate Disciplinary procedures in this vain is covered by the Disciplinary Procedure. 3. OBJECTIVES OF THE POLICY 3.1 To provide guidance to managers on how to manage sickness absence positively and clarify the responsibilities of all parties 3.2 Detail the procedure for managing sickness absence Page 5 of 31

6 3.3 Ensure that absence is managed in a fair, reasonable and consistent manner throughout the Trust 3.4 Ensure that employees are aware of the support available to them 4. THE POLICY & DUTIES The Trust is responsible for ensuring that appropriate policies and procedures exist and that managers are supported in implementing them. It is also responsible for ensuring that conditions at work serve to promote the good health and well being of the workforce, and to enable employees to attend work regularly. The Director of Human Resources is responsible for implementation of this policy. The Performance Committee: has a duty to ratify this policy. The control of absence is a management responsibility and one on which managers will be measured. Each manager is responsible for the management of absence and for the sensitive, fair, and consistent treatment of employees who are ill. 4.1 MANAGERSRESPONSIBILITIES Ensure confidentiality of information at all times. Ensure each employee knows where the policy is available from, is aware of its contents and their responsibilities, and that they do not abuse the sick scheme. Managers should not doubt the validity of absences unless there are good reasons for doing so. What is of concern to the manager is the employee s ability to attend work regularly, and any patterns of absence that might be emerging. Where a manager obtains evidence of an employee fraudulently claiming sick pay this is potentially a reason for dismissal on the grounds of gross misconduct and must be investigated in accordance with the Trusts Disciplinary Policy. Ensure as part of local induction of new employees that the importance and content of this policy is emphasized and their obligations identified. Ensure that all employees are aware of the attendance standards expected. Monitor the attendance of all employees for whom they have responsibility and ensure that absence is never ignored. Maintain contact with staff throughout the period of sickness on a formal and informal basis. This should of course be reasonable and agreed with the staff member, for example a weekly telephone call. In cases of long-term sickness absence, the manager must maintain regular contact, with a minimum of a monthly meeting with the member of staff, to ensure appropriate support continues to be provided ( all conversations /meetings must be logged on Staff Sickness Record Log (see appendix 2). See also section 5 for the process for managing staff on long term sickness. Staff side representatives and Human Resources staff may have a role in facilitating contact. Treat employees who suffer ill health sympathetically, fairly and consistently. Ensure this policy is implemented fully and consistently. Meet on a regular basis your HR lead to review policy implementation within your area. Page 6 of 31

7 Ensure that progress during review periods is monitored and recorded accurately Involve Human Resources and Occupational Health when appropriate for both short and long term absence. Any referrals to Occupational Health must be completed using the on line referral system. Ensure that absence reports and statistics are monitored and recorded correctly and that employees are made aware of absence levels within the team/department and the Trust. This includes the correct completion of SVL s. Recording sickness direct into ESR on a weekly basis, to ensure efficient and timely reporting of Trust sickness data. Endeavor to find out the underlying causes of absence and record reasons for absence; other or unknown can not be recorded on the system. Ensure that on the first day of return (or as soon as there after) from absence a Return to Work meeting is held or if this is not possible, arranged, with the manager or appointed deputy and appropriate documentation completed (see appendix 1) Inform Risk Management Department in a timely manner when an accident at work (including work related stress) results in an employee being off sick for more than three days (seven days from 1 April 2012), so that the Health & Safety Executive can be notified as required by the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) Ensure employees are kept up to date of their pay status whilst on sick leave. Post payslips out to home addresses during long term absence of more than 4 weeks. If you are made aware by Human Resources or payroll that an employee is due to go into half pay or no pay you need to communicate this to your member of staff either verbally or in writing. 4.2 EMPLOYEE RESPONSIBILITIES Employees have a responsibility to attend work regularly and perform to the standards set. Employees should only be absent from work when permission has been given or it is not possible to attend due to illness. Employees have a duty to:- Attend work unless unfit to do so Raise concerns with their manager if they believe that their job is making them ill or contributing to illness Report absence promptly and notify the line manager giving reasons for absence Maintain regular contact with their manager during periods of sickness absence and agree process for maintaining contact with manager i.e. by telephone etc. Failure to maintain regular contact may result in further action being taken. In cases of long-term sickness absence staff must maintain regular contact, at least attending a monthly meeting with their manager to seek appropriate support continues to be provided. All meetings and conversations to be recorded on Staff Sickness Record Log (see appendix 2.) See also section 5 for the process for managing staff on long term sickness. Page 7 of 31

8 However, how often and in which manner this contact will take place should be agreed between the member of staff and manager. If the member of staff is absent due to work related stress, under exceptional circumstances, it may be agreed that they contact the Human Resources Department for support rather than their manager. Staff side representatives and Human Resources staff may have a role in facilitating contact. Communicate effectively with the manager about their estimated duration of absence, reasons for absence and when they expect to be fit to return to work. Not act in a manner incompatible with their declared absence and refrain from any activity, (domestic, social or sporting), which may be prejudicial to recovery or likely to bring into question the reason for continued absence. Willful disregard of this requirement may be treated as Gross Misconduct and the Trusts Disciplinary procedure will be invoked. Not work in any other employment (including bank or agency) when they are on sickness absence from the Trust. This may be treated as Gross Misconduct and the Discplinary procedure will be invoked. Co-operate fully with the Occupational Health Service and other organisations that provide support to the Trust and its employees. Failure to comply with this request may render it necessary for management to take decisions based on the available evidence. Failure to attend or cancel at short notice (less than 48 hours notice) staff will be invoiced for 50 Ensure that medical advice and treatment, where appropriate, is received as quickly as possible in order to facilitate a return to work Not abuse the sickness absence procedures or NHS sick pay scheme Attend and actively participate in meetings organised by your manager Advise their line manager if they intend to take annual leave as part of the recuperative process when this is part of medical advice. Ensure that they have read and fully understood this policy Ensure timely and full compliance with fit note requirements Self-Certification Employees are required to complete a self certification form to be retained by the line manager, (see Appendix 1) where the period of absences is up to 7 days. Where the period of absence is going to extend beyond one normal working week i.e. seven calendar days, then at their own expense (if applicable) the employee must provide a Fit Note as soon as this is known and this continues for the full subsequent period of continuous absence. All Fit Notes should be forwarded to the line manager within 7 working days otherwise pay may be suspended Fit Notes Back dated Fit Notes will not be accepted as valid, except where there are extreme mitigating circumstances which meant that the employee was unable to obtain a note. All notes will be treated as confidential and stored in a secure location. All fit notes should be retained by the manager. If an employee is absent longer than 6 months the DSS will require the original fit note with a copy going to the manager. Page 8 of 31

9 Failure to Attend Meetings The employee must attend meetings unless their illness prevents them from doing so. If appropriate, meetings can take place away from work or at the employee s home with their permission. In the event of failure to attend a rearranged (2 nd attempt) sickness absence meeting, the employee will be advised that the meeting will be held in their absence and a representative (trade union representative or work colleague) can attend on their behalf, and decisions will be made based on the evidence available, if appropriate. Failure to attend a rearranged meeting (2nd attempt) can lead to the disciplinary procedure being invoked Employee Reporting Absence Procedure Employees should be aware that it is their responsibility to personally verbally notify their line manager (or nominated deputy) by telephone before the start of the working day/ shift (normally within one hour of the day/ shift starting) or in line with local reporting procedures of their sickness absence. Employees must advise their manager of the nature of the illness, the likely duration and their expected date of return to work. Note: texting/ ing is not deemed to be a suitable method of notification. It is expected that within reason staff should maintain in contact with their managers throughout their period of sickness whether they are under formal or informal procedures. If the manager is unavailable, this information should be given to the individual responsible for taking the call. If the issue is particularly sensitive, the manager should be contacted later that day at a convenient time. Only in exceptional circumstances i.e. if the employee is not able to notify their manager personally, can an employee nominate someone to make contact with their line manager on their behalf. Clear reasons for this nomination should be given by the individual who is reporting the sickness absence. Employees who fail to comply with the requirements of the reporting procedure may jeopardise their entitlement to occupational and statutory sick pay and such failure may lead to disciplinary action Notification of sickness from staff with a probable, confirmed or contact history with a Communicable disease. A communicable disease can be defined as an infectious disease that can be transmitted from person to person. (Refer to Walton Centre Infection prevention and Control Policy) Staff who are suspected of having, confirmed, or been in contact with a communicable disease may potentially pose a risk of transmitting the infection to patients and colleagues. In this situation the member of staff or staff member s line manager is required to contact the infection prevention and control team immediately who would then contact Occupational Health for advice. Occupational Health advice may be required with regard to remaining at or returning to work. For some conditions there will be particular health clearance requirements, such as microbiology investigations and receiving specific treatment for a Page 9 of 31

10 defined period of time. If the affected member of staff chooses to attend their General Practitioner practice for any investigations they will be asked to provide Occupational Health with documented evidence of results of those investigations before return to work can be permitted. 4.3 Human Resources Department The Human Resources Department has a responsibility to: Support line management. Advise on the interpretation of the policy and procedure to ensure consistency for managers and staff. Support the implementation of the policy and procedure. Provide appropriate training to increase knowledge and understanding amongst managers. Review the policy and procedures and update these as and when necessary. Review absence across the Trust on a regular basis with line/senior managers. Provide managers with monthly sickness data analysis reports. Page 10 of 31

11 Attend 2 nd formal sickness review meetings (and 1 st formal on request) and long term sickness meetings were returns to work and phased returns are to be discussed and explored. 4.4 S t a f f Representation Whilst employees have the right to be represented throughout the formal application of this process by a Staff Representative or spouse, or colleague acting in a s u p p o r t i n g capacity, this should not detract from the manager and employee having regular contact regarding their attendance. Requesting staff representation can not delay the process. 4.5 O c c u p a t i o n a l Health Service General The role of Occupational Health is to provide impartial guidance to both the employee and manager on health problems that impact attendance at work and/or ability to undertake the duties of the post. The manager needs to be informed in order to ensure they meet their obligations under the procedure and to do so require information and advice that Occupational Health is best placed to provide. A GP/ medical specialist is best placed to advise on issues such as diagnosis, treatment and fitness, whilst Occupational Health is best placed to advise on whether the workplace meets the employee s capability. Both the GP and occupational health may advise on work capability, work place adjustments, counseling, and rehabilitation. Occupational Health will provide written reports to managers and where appropriate (with the individual s prior written consent i.e. reports to the NHS Pensions Agency regarding ill- health retirement) will seek additional information from GPs or specialists. Occupational Health will take into account the nature of the illness and its impact on the employee s ability to work. Managers referring to Occupational Health must complete the referral using the on line form. The purpose of the form is to provide Occupational Health with appropriate background information on the employee, the purpose of the referral and what information is required. If Managers make a referral to Occupational Health, staff should be informed and informed of charges if appointments are missed Occupational Health Advice For Long term absence It may be necessary to make several referrals to Occupational Health in order to obtain continuing advice for the appropriate management of long term absence. It may also be necessary to seek medical advice from the employee's GP and/or an appropriate Consultant as advised by Occupational Health. Occupational Health will ask the employee for consent to access this information in line with the requirements of the Access to Medical Reports Acts Where an employee is intending to return to work following a period of long-term absence, Occupational Health will offer advice on the employee s fitness to return to work and the support necessary to achieve a satisfactory and sustained level of attendance. The option of a phased return to work should be considered. Employees must contact their line manager and the Occupational Health Service if they cannot attend a planned or re-arranged appointment. Referral to Occupational Health is open at any stage in this procedure. Referral can, if appropriate, be made in between meetings. Page 11 of 31

12 Staff should make every effort to attend Occupational appointments allocated, if circumstances mean an appointment cannot be kept, the member of staff must notify the Occupational Health Department directly at the earliest opportunity so that an alternative appointment can be made. Staff who fail to attend or cancel at short notice, less than 48 hours will be invoiced for 50 by the Trust. The member of staff must also inform their manager of their reasons for non attendance. If a member of staff fails to attend Occupational Health appointments or comply with this paragraph, consideration will be given to invoking the disciplinary procedure Immediate Referrals to Occupational Health: Stress-Related Absence Adequate and proper support for employees absent due to stress, anxiety or depression cannot be adequately or appropriately managed without medical advice. Managers are required to establish if the stress related condition is work or personally related. The line manager must notify the Human Resources Department if the employee is absent or unwell due to work related stress and they must also refer the employee to Occupational Health immediately. Work related stress must be reported to Risk Management and interventions will be discussed at a local level, including completion of a risk assessment. Musculo Skeletal Absence, e.g. back pain, RSI If an employee is absent due to a musculo skeletal injury immediate referral to Occupational Health should be made to identify support for their condition. 4.6 Medical Suspension Medical suspension is rare and would only normally be considered in the following circumstances: - If your health and safety is put at risk e.g. if you become seriously allergic to a chemical at work or a newly expectant mum working in a lab that uses radiation - In line with Suspension from Work (on Maternity Grounds) Order All reasonable adjustments, including temporary redeployment and adjustment to working hours and tasks, should be explored before a manager makes the decision to medically suspend an employee. Page 12 of 31

13 4.7 Sickness whilst at work If an employee becomes ill or suffers an accident at work, they must inform their line manager, who will discuss with them the most appropriate course of action. Employees must not leave their place of work without consulting the line manager (or deputy in their absence). Failure to comply with this will be classed as unauthorised absence, and may be subject to disciplinary action. Employees who have to leave work because of illness will be recorded as having an episode of absence only for the amount of time remaining on their shift or normal working day. As a general rule, if staff work more than half a shift absence is not normally recorded. However, where there is evidence that over a rolling 12 month period a member of staff has gone off sick on a number of occasions, having worked more than half their rostered shift/working day, then consideration would be given to reviewing this in line with this policy If an employee suffers an accident at work, or believes that their illness/condition is attributable to their employment, they should complete the appropriate Accident/Incident form as soon as possible. 4.8 Time off for Medical Appointments Please note that were possible these appointments should be made in staff s own time, or within flexible working arrangements or annual leave entitlement. Employees who take less than half a day off work or half a shift for a hospital or doctor appointments will be recorded in work. These appointments will need to be agreed with management and appointment cards shown at the time of booking. Staff who take more than half a day or shift off from work in these circumstances will be recorded as sick. 4.9 Cosmetic Surgery For staff having cosmetic surgery or cosmetic medical appointments for non medical reasons annual leave must be taken Return to Work Interviews All employees returning to work from absence must be seen by their manager as soon as possible, normally on their first day back. If, because of shift patterns or leave etc, it is not possible for the line manager to conduct the interview, arrangements must be made for a deputy to carry out this process as quickly as possible. A return to work meeting should be informal and in private to discuss the reasons for absence, collect completed certification, agree follow-up action, and update the employee of any operational changes which occurred during their absence. They must not be used for any other purpose. The manager must record details of the meeting. The Trust has developed a standard return to work/self-certification document contained in Appendix 1 which can be accessed via the Trust intranet. It is essential the manager completes the form accordingly and retains it locally. This will also confirm that the return to work interview has taken place. Page 13 of 31

14 4.11 PROCESS FOR THE MANAGEMENT OF SICKNESSABSENCE: The Trust had set its sickness absence target at 4.0% per annum. However revised targets have been agreed with our commissioners for the next 5 years, in line with national recommendations: 2011/ % 2012/ % 2013/ % The key principles for managing unsatisfactory attendance, both short term and long term sickness absence, within the Trust, in line with these targets will be; Informal review First formal review Second formal review Final Review (dismissal could be an outcome) Appeal Each case of absence that meets or exceeds the trigger levels set out below will be reviewed and addressed by the manager on an individual basis: 1 period of 8 days continuous absence in a rolling 12 month period or 2 separate episodes (can be two separate one day absences) during any rolling 12 month period or 4 weeks continual absence Employees should be aware that the management of short term sickness and long term sickness absence are not mutually exclusive; therefore, if an employee has reached a stage under the short term process, then has a period of long term sickness this will be classed as another episode and escalated to the next review level. Page 14 of 31

15 At all stages in the procedure including the informal review for short term or long term absence the manager should: - Arrange a meeting as quickly as possible and in any event within 10 days of return to work. - Arrangements for this meeting must be confirmed in writing, giving at least 7 days notice. A l l formal review meetings only should include the employee s right to be represented by a colleague, or staff/trade union representative. A Human Resources Business Manager/ Adviser may also attend to provide management support and advice. - Review the employee s attendance record with them. - Identify whether there are any patterns in the employee s absence history, which should be discussed at the return to work. - Answer any questions from the employee or representative. - Explore the reasons for absence (including possible work related problems) and any possible support/solutions e.g. Confidential counseling service, flexible working options, reasonable adjustments etc. - Consideration of a referral to Occupational Health either for the benefit of the employee or to inform the manager (if the employee is suffering from Stress/anxiety/depression or a musculo skeletal problem they should be referred immediately to Occupational Health (see section 4.5.2). - Consider if there any potential considerations under the Equality Act 2010 to bear in mind taking advice from HR and occupational health - Set out the required levels of attendance and agree to review the situation during the appropriate review period. - If at any stage during the review period it becomes apparent that the employee s attendance has failed to reach the required standard the employee will be invited to a further formal review meeting at the next stage. There is no requirement to wait until the 12 months has elapsed. The trigger for a further meeting is the failure to meet the required standard. The manager should record the content and outcome of the meeting and send this in a letter to the employee. The letter should include the reason for not referring to Occupational Health and be placed on the file and a copy sent to the HR department. All letters remain on an employee s file for a minimum of 12 months INFORMAL ATTENDANCE REVIEW MEETING: This meeting will be held when the trigger levels indicated above have been met/exceeded (regardless of the reasons for the absence); the manager must arrange an informal review meeting to support the employee. N.B. the 12 months is calculated retrospectively from the first day of the most recent absence. The outcome of the informal review meeting will be confirmed by the manager in writing or recorded on the RTW notes and signed by both manager and employee and will include confirmation that the employee has entered the sickness absence procedure and will include details of the timescales and arrangements for a review (normally 12 months), required levels of attendance and any assistance or adjustments which have been put in place to support the employee. Page 15 of 31

16 Provided the employee meets the required levels of attendance during the review period (12 months)the employee will be taken off the informal attendance review stage and this will be confirmed in writing. Staff must be informed that a lack of improvement in attendance may lead to their attendance being managed under the First Formal Review stage of this procedure. In very exceptional circumstances the manager with the advice of a HR Representative may make the decision not to proceed to this stage of the procedure which is informal review thereby giving the employee the ability to remain with no formal action being taken FIRST FORMAL ABSENCE REVIEW MEETING If a further 2 occasions or 8 cumulative days of sickness absence occurs within the 12 month monitoring period of the informal review the manager will arrange to meet with the member of staff and advise them that their attendance levels are unacceptable, a member of the HR department may also be present at the meeting. Managers should inform staff that their attendance will be monitored for a period of 12 months from the return date following the last occasion of absence. Provided the employee meets the required level of attendance during the First Formal review period the employee will be stepped down to informal review for a further 12 month period. This will be confirmed in writing by the line manager. Staff must also be informed that should they trigger again within the first formal review period, they will progress to the Second Formal Review of this procedure. In very exceptional circumstances the manager with the advice of a HR Representative may make the decision not to proceed this stage of the procedure thereby giving the employee the ability to remain at the informal review stage for an extended 12 month period. This will only be considered, for example where the employee is already at informal review and they are known to be attending elective surgery for a condition which is directly related to their previous review stage being issued or there may be another limiting condition which in rare occasions may be considered SECOND FORMAL ABSENCE REVIEW MEETING If a further 2 occasions or 8 cumulative days of sickness absence occur within the 12 month monitoring period of the First Formal review the manager will escalate to the next level of manager, were appropriate, for them to arrange to meet with the member of staff and advise them that their attendance levels are unacceptable, A representative from the HR Department will also be in attendance at this meeting. Managers should inform staff that their attendance will be monitored for a period of 12 months from the return date following the last occasion of absence. Provided the employee meets the required level of attendance during the Second Formal review period the employee will be removed from the Second Formal Review and step down to First Formal Review for a further 12 months and this will be confirmed in writing by the line manager. Staff must be informed that if their attendance continues to fall below the standards outlined in this policy, the next stage of the procedure is final review and potential dismissal. In very exceptional circumstances the manager, with the advice of a HR Representative, may make the decision not to proceed to this stage of the procedure, thereby giving the employee the ability to remain at the first formal review stage for an extended 12 month period. Page 16 of 31

17 This will only be considered, for example where the employee is already at first formal review and they are known to be attending elective surgery for a condition which is directly related to their previous formal review stage being issued or there may be another limiting condition which in rare occasions may be considered FINAL ABSENCE REVIEW MEETING If a further 2 occasions or 8 cumulative days of sickness absence occur within the 12 month monitoring period of the second formal review the manager will escalate to the Divisional General Manager or equivalent to arrange to a formal hearing with the member of staff and advise them that their attendance levels are unacceptable. The Manager must consider all the information available, including up to date Occupational health advice. The Manager may then dismiss on grounds of unsatisfactory attendance. A member of the HR Department must be present to support the manager in this decision. The member of staff must be advised in writing of the outcome. If this is dismissal, it must be with the appropriate paid notice, together with payment for any outstanding annual leave, and their right of appeal against this. Any appeal must be made in writing to the Director of HR within 14 working days from the date of the dismissal letter. If for exceptional reasons a decision is taken not to dismiss, the employee will remain on the second formal review for an extended 12 month period. Provided the employee meets the required level of attendance during the Second Formal review period the employee will be removed from the Second Formal Review and step down to First Formal Review for a further 12 months and this will be confirmed in writing by the line manager. 5. LONG TERM SICKNESS ABSENCE: The management of long term sickness absence provides a consistent basis for responding to cases of longer term sickness absence (i.e. where employees are off work for 4 calendar weeks or more. However, there may be circumstances when it is necessary for this meeting (stage 1) to take place earlier than 4 weeks for example when a member of staff is absent from work with work related injury or stress related condition/work related stress. There are four stages to the management of long term sickness absence, and at every stage the manager should outline what the steps are and the overall time scale in which the sickness absence should be managed. At each stage the action, timescale and when the next meeting should take place will be decided and confirmed in writing. In the majority of cases a decision should be made 12 weeks prior to expiry of Sick Pay as to an employee s ability to return to their current role, redeployment into an alternative role or consideration given to termination of their contract of employment on the ground of incapacity (ill health). As with any absence the Manager must agree with the staff member a process for maintaining contact with them during their sickness absence, where this is long term sickness absence a minimum of a monthly meeting depending on the nature of the absence. The manager must contact the member of staff in writing to arrange any meetings and these can be done either within the ward or department or depending upon the nature of the illness a home visit can be arranged. All meetings and conversations need to be recorded on the sickness record log appendix 2.The role of the Manager is as per section Page 17 of 31

18 HR will be in attendance at these meetings and staff can bring representation or colleague for support., however this cannot delay the meeting taking place. 5.1 Stage 1 4 weeks When a member of staff has been absent for 4 weeks the manager should arrange to meet with them. If there is a known return to work date the manager must discuss and plan for their return to work. If there is no immediate return to work date known, the manager should consider referring the member of staff to the OH Department. 5.2 Stage 2 within 2 months The manager should arrange a further meeting with the member of staff, usually within 2 m o n t h s of the start of the absence, but this may be extended or reduced depending on the reason for the absence and information contained with an Occupational Health report. The manager should seek advice from Human Resources. If an OH referral has been made, the report should be discussed at this meeting and any measure that could support a return to work. Staff must be informed that that if their attendance continues to be unsatisfactory, the next stage of the procedure is stage 3. Again, there should be a discussion about whether an OH referral would be beneficial. 5.3 Stage 3 within 5 months Where the sickness absence continues the manager should meet w i t h the member of staff to discuss any new information to try to ascertain a return to work date and offer supportive measures which may be applicable, including re-deployment. This meeting will usually take place within 5 months from the start of the absence, but this may be extended or reduced depending on the reason for the absence and information c o n t a i n e d within an Occupational Health Report. An OH referral should be made at this stage if this hasn t been done at a previous stage. Employees have the right to be accompanied at this meeting by a Trade Union representative or a work colleague employed by the Trust. A Human Resource representative must be present and the member of staff must be clear that the next stage of the procedure will be a final review which may result in dismissal. 5.4 Stage 4 Final Review - within 7/8 months Where the sickness absence continues, and the employee is unable to return to work following a Second formal review and: Medical opinion has confirmed that a return to work is unlikely in the foreseeable future. there is likely to be continued absences from work on a regular basis and the service is unable to sustain this level of s i c k n e s s absence. no suitable alternative employment has been found the employee is unable to return to work. Page 18 of 31

19 The manager should consult with the Human Resources Department and discuss the appropriateness of termination of employment on the grounds of ill health. An appropriate manager with the power to dismiss under the Trust s Scheme of Delegation must be present. Managers must consider all the information available, including OH advice before taking the decision to dismiss. The manager will arrange a hearing with the member of staff to communicate the decision to them. The actions w i l l usually take place within 7-8 months from the start of the absence, but this may be extended or reduced depending on the reason for absence and the information contained within the Occupational Health report. A member of the HR Department must be present to support the manager at this meeting. The appropriate notice of termination must be given and confirmed in writing, including the following details:- Date notice is effective from any outstanding paid annual leave entitlement Final day of service (extended by annual leave) Amount of paid notice (depending on length of service) Consideration of an a p p l i c a t i o n f o r p e r m a n e n t i n j u r y b e n e f i t, if applicable Consideration of and application for ill health retirement Staff have the right of Appeal against the decision. Any appeal must be made in w r i t i n g to the Director of HR within 14 calendar days from the date of the dismissal letter. NB If for exceptional reasons a decision is taken not to dismiss the employee will remain on the second formal review for an extended 12 month period. If no further absence they will step down to first formal for a further 12 month period and so on. Ill Health Retirement Applications Employees who are members of the NHS Pension Scheme may decide to apply for ill health retirement benefits. Whilst the Trust can support the employee in completing the appropriate documentation, the decision as to whether or not the application is accepted rests solely with the NHS Pensions Agency, and the Trust is not able to influence that decision in any way. A decision to dismiss on the grounds of capability should therefore be made irrespective of any application for ill health retirement. 6. APPEALS PROCESS Following any dismissal due to short or long term absence (including ill health retirement) the employee has the right of appeal. Appeals should be made in writing to the Director of HR, within 14 working days from the date of the meeting outlining the grounds for the appeal. The appeal should be heard by a senior manager not previously involved in the case supported by a Human Resources representative Page 19 of 31

20 The manager who made the initial decision will attend to present their case. The employee and his/her representative will have the opportunity to ask questions of the manager and present their own case after which the manager may ask questions. The Hearing manager or panel will have the opportunity to ask questions of the manager, and the employee. At the end of the Hearing both parties will sum up. The appeal panel may make the following decisions: - To confirm the action already taken, i.e. to dismiss the appeal. - To continue with the formal attendance process if further support is required. - To reinstate an employee following dismissal. (This could be to an alternative role at lower band). There is no further right of appeal within this procedure. 7. PLANNING RETURN TO WORK PLANS FOLLOWING LONG TERM SICKNESS ABSENCE 7.1 Rehabilitation Plan To enable individuals who are absent long term due to sickness or d i s a b i l i t y, to return to work, the Trust will endeavor to make and/or review reasonable adjustments to their present position or consider redeployment. The manager is responsible for agreeing a rehabilitation programme with the staff member. 7.2 Phased return to work After any period of long term absence Occupational Health and the GP will advise managers on an appropriate phased return to work which means the employee working less than their normal working hours building back up to their usual hours of work. Phased return to work should normally last no longer than 4 weeks. Pay will reflect the employee s full contractual pay up to 4 weeks if the phased return needs to be extended beyond this annual leave should be used to facilitate this. Should t h e e m p l o y e e require a longer than operationally feasible return to work the employee may need to consider a more permanent reduction in hours. Following receipt of an occupational health report or GP Fit Note the manager and HR were appropriate should arrange to meet the individual by letter prior to them returning to agree a phased return. This will be confirmed in writing by the manager to the individual. The manager should then review the phased return at the end of the agreed period and this should be documented if successfully completed or if any further arrangements /adjustments are required. A HR representative may be required to support these meetings. Page 20 of 31

21 8. PLANNING AND UNDERTAKING WORKPLACE CONTROLS OR ADJUSTMENTS 8.1 Process for permanent redeployment Employees unable, for health reasons, to continue with their present duties who are recommended as fit for alternative duties/redeployment by Occupational Health, shall receive preferential consideration for any vacancies, appropriate to their skills and capabilities (i.e. where the minimum criteria is met or the JD/ PS is similar to the current post), that arise for a reasonable period, not normally exceeding 4 months. Such consideration may include the provision of reasonable re-training and other managerial support. The employee will be assessed, as a lone candidate, usually through an informal interview (unless there are other staff in the same circumstances, in which case they may have to undertake a limited competition interview ). Where, in such circumstances, an appointment is not made, a full explanation will be provided. If the employee is dissatisfied, she/he may request a formal review by the Head of Department / Divisional General Manager responsible for the area. In cases where permanent redeployment is decided upon pay protection will not apply and the employee will be paid at the Agenda for Change Band for that post. 8.2 Process for reasonable adjustment to work station or physical environment or purchase of equipment to facilitate return to work Employees unable, for health reasons to continue with their present duties who are recommended as fit for work by Occupational Health, but in order to facilitate the return to work need their work station adjusted or a piece of equipment purchased need to discuss this within the formal review meeting for long term sickness to assess if the adjustment proposed/ recommended is reasonable. Managers should ensure a moving and handling assessment is undertaken when appropriate and support sought from the Trusts risk management department. 9. OTHER CONSIDERATIONS 9.1 Record Keeping Effective management of attendance depends on accurate and comprehensive record keeping. Managers will record individual levels, frequency and reason for absence (including absence as a result of a disability), and review records after each absence in order to identify problems or patterns at an early stage. This will enable managers to act pro-actively and provide the necessary support and assistance to improve attendance. In order to ensure that records are comprehensive, managers should also keep brief notes on all communications with absent employees (logged on sickness log appendix 2), including telephone calls. All sickness information must be stored confidentially and securely. Page 21 of 31

22 9.2 Notification of Expiry of Full/Half Sick Pay Managers will receive notification from HR and/or Payroll Department when an employee s full sick pay, and half sick pay are due to expire. They should communicate this information in writing to the employee. 9.3 Injury Benefits Scheme NHS Injury Benefits are designed to provide a guaranteed income for any employee who has suffered a loss of earnings or whose earning ability is reduced because of an injury, disease or condition attributable to their NHS employment. The Trust s Risk Management Department will investigate any accident/incident and decide if it should be classified as an industrial accident/injury. Further details are available from the Human Resources Dept. A flow chart pertaining to the reporting of industrial injuries can be seen at Appendix Sickness Whilst on Annual Leave When an employee is off sick for a period of 7 days or more and this has been Medically Certified (rather than self-certified) whilst away on annual leave, they must follow the reporting procedures detailed in this policy in order that they may, if they wish, re-claim part of their annual leave. This includes employees that are out of the country. When an employee is sick immediately prior to annual leave, they must contact their manager to confirm whether they are fit and able to take their leave. 9.5 Carry Over of Annual Leave Where an employee has been unable to take their contractual annual leave entitlement within a leave year due to their long term sickness absence the following ruling will apply in accordance with the European Court of Justice Ruling in January 2009:- The statutory entitlement of 5.6 weeks / twenty eight days (pro-rata for part time employees) can be carried forward. Arrangements will be made in agreement with line managers in how this is taken i.e. through a phased return 9.6 Domestic/ Personal Issues In exceptional circumstances it may become apparent that an employee has claimed sick pay to cover absence due to domestic / personal circumstances rather than personal ill health. It must be made clear to the employee that claiming occupational sick pay in such circumstances may constitute fraud and as such must be taken seriously. However, the Trust recognises the importance of dealing with personal/confidential issues sensitively and managers should work with the individual employee to accommodate appropriate time off (if needed) as outlined in the Special Leave Policy. Page 22 of 31

23 9.7 E q u a l i t y A c t In the operation of this policy, managers must ensure that anyone who has a disability, as defined by the Equality Act 2010, is not discriminated against because of their disability. The staff member is given proper consideration for reasonable adjustments being made to their work and/or the environment they work in or alternative employment before any decision is taken to dismiss. Where the advice of Occupational Health or other suitably qualified person employed by the Trust or the individual themselves says that they are permanently incapable of carrying out their duties and redeployment or is deemed inappropriate or not found within a reasonable amount of time (i.e. 4 months) then termination of contract will need to be considered. 9.8 Terminal Illness In exceptional circumstances such as terminal illness it may be decided that any further action, other than continued contact wherever possible, is not appropriate. In such cases, consideration should always be given to extending service indefinitely with or without sick pay. An informed judgment will need to be made in each case in liaison with the Head of HR. 9.9 Sick Pay Employees and managers should refer to the NHS Agenda for Change terms and conditions about payment for sickness absence. The Department of Work and Pensions may also be able to give advice about individual cases for National Incapacity Benefit. In some exceptional cases the Trust will exercise discretion to extend or backdate the period of payment of contractual sick pay, and guidance should be sought from HR on the circumstances in which such discretion will be exercised Relationship between Unsatisfactory Attendance (short term) and long term sickness absence If an employee is being monitored for short term absence and then has a period of long term absence, upon their return this will be classed as a further episode. This will result in progression to the next stage of the procedure unless there are exceptional circumstances. 10. MONITORING 10.1 Organisational Overview of Sickness absence The absence data due to sickness is supplied monthly by HR Shared Services (Capita) workforce planning information department, and is collated by the Walton Centre HR team into the monthly workforce reports which is presented to the divisional general managers and divisional monthly teams meetings (in the main on a monthly basis but as a minimum at least ten times a year). Page 23 of 31

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