NHS FORTH VALLEY. Attendance Management Policy and Procedure

Transcription

1 NHS FORTH VALLEY Attendance Management Policy and Procedure Date of First Issue 01 / 10 / 2006 Approved 17 / 04 / 2009 Current Issue Date 01 / 05 / 2015 Review Date 01 / 10 / 2015 Version V3.11 EQIA Yes 01 / 05 / 2008 Author / Contact Staff Governance Team, Group Committee Area Partnership Forum Final Approval This document can, on request, be made available in alternative formats Version st May 2015 Page 1 of 46

2 Management of Policies Procedure control sheet (Non clinical documents only) Name of document to be loaded Area to be added to Attendance Management Policy and Procedure NHSFV Intranet Type of document Priority Policy Guidance Protocol Other (specify) X Immediate 2 days 7 days 30 days X Questions Understanding Yes No X Options Where to be published External and Internal Internal only X Target audience NHSFV wide X Specific Area / service Consultation and Change Record for ALL documents Contributing Authors: Consultation Process: Distribution: Staff Governance Team NHSFV Partnership Fora NHSFV Intranet Change Record Date Author Change Version Area Policy Steering Group Staff Governance Human Resources Policy revised following review process Appendix 7 Location for appointment changed from Menstrie to Clackmannanshire Community Healthcare Centre. Policy amended to reflect: Clarification on line manager s role Recognition of periods of absence which require to be recorded but would not count towards a period of 4 absences Version st May 2015 Page 2 of 46

3 Clarification on duration of monitoring periods Clarification on HR/Staff-side attendance at first meeting EH NHSFV template applied to previously published document V EH APF agreed policy extended to V Human Resources Policy amended to reflect: Employees responsibilities to co-operate with Attendance Management policy; participate in meetings Line managers make timely referrals Definition of long term absence period of absence lasting 3 weeks or more Information regarding fit notes Short-term procedure change to combine Return to Work Meeting with 4 in 12, informal 1:1 meeting. Only move to formal meeting with HR and staff-side if necessary. Remove short-term absence table and streamline. Occupational Health Referral refer to OHS after 3 weeks or as soon as absence is identified as long term. Clarify final review process to comply with CEL Clarify termination process Update information on Support to Work Guidelines renamed previously Phased Return V Staff Governance Team Appendices updated in line with Absence Management documentation review V Staff Governance Team 10.2 Short-Term/Persistent Absence Procedure updated V Staff Governance Team Document updated to correct page numbers V3.06 Version st May 2015 Page 3 of 46

4 Staff Governance Team Staff Governance Team Staff Governance Team Staff Governance Team Staff Governance Team Appendix 3 Persistent Absence Model Meeting Letter removed to reflect updated process Policy updated to include an additional trigger point of 9 or more cumulative days short-term absence over 3 episodes within a 12 month rolling period. Section 8: Attendance Records updated. Section 7, paragraph 3 updated to include longterm absence. Policy review date extended in line with the release of the Promoting Attendance and Managing Health at Work PIN Policies. V3.07 V3.08 V3.09 V3.10 V3.11 Version st May 2015 Page 4 of 46

5 CONTENTS 1. POLICY STATEMENT 2. SCOPE 3. KEY PRINCIPLES 4. ROLES, RIGHTS & RESPONSIBILITIES 4.1 EMPLOYEE RESPONSIBILITIES 4.2 EMPLOYEES HAVE THE RIGHT: 4.3 LINE MANAGERS 4.4 OCCUPATIONAL HEALTH SERVICE 4.5 HUMAN RESOURCES 4.6 STAFF SIDE REPRESENTATIVES 5. DEFINITIONS OF ABSENCE 6. ATTENDANCE MANAGEMENT PROCEDURES 6.1 NOTIFYING ABSENCE 6.2 MEDICAL EVIDENCE 6.3 KEEPING IN TOUCH 7. RETURN TO WORK DISCUSSION 8. ATTENDANCE RECORDS 9. OCCUPATIONAL HEALTH SERVICE ADVICE 10. PROCEDURE FOR UNSATISFACTORY ATTENDANCE 10.1 TRIGGER POINT 10.2 PERSISTENT ABSENCE 10.3 LONG TERM ABSENCE PROCEDURE 10.4 OCCUPATIONAL HEALTH REFERRAL 11. REVIEW PROCESS, CASE MANAGEMENT, PEER REVIEW 12. TERMINATION OF EMPLOYMENT ON THE GROUNDS OF ILL HEALTH 13. PREMATURE RETIREMENT ON THE GROUNDS OF ILL HEALTH 14. REVIEW OF POLICY AND PROCEDURE LIST OF APPENDICES Appendix 1 Appendix 2 First Call Absence Checklist and Return to Work Booklet Self Certificate Form Version st May 2015 Page 5 of 46

6 Appendix 3 Appendix 4 Appendix 5 Appendix 6 Appendix 7 Appendix 8 Appendix 9 Appendix 10 Long Term Absence Model Meeting Letter Post Absence Model Meeting Letter Breach of Monitoring Period Model Letter Breach of Monitoring Meeting Outcome Model Letter Occupational Health Referral Form Sick Pay Entitlement Chart Support to Work Guidelines A Guide for Staff and Managers (Procedural Flow Chart) Version st May 2015 Page 6 of 46

7 1. POLICY STATEMENT This policy was revised in 2012 and will be continually monitored. The principles of this review conducted in partnership include: NHS Forth Valley is committed to promoting the health, safety and wellbeing of its workforce. Employees are expected to attend work in accordance with their contractual arrangements unless ill health prevents this. This Attendance Management Policy reflects this position and aims to provide a supportive framework which is fair and consistent for all. That commitment to staff includes having in place support mechanisms and procedures to support those who are absent due to ill health, and help them return to work. This Policy aims to establish and reinforce a culture of attendance at work. It details the rights and responsibilities of individual staff; line managers; Human Resources (HR) and the Occupational Health Service (OHS) in dealing with absences from work because of ill-health. The Equality Act (2010) requires NHS Forth Valley to put in place reasonable adjustments to working practices and procedures to allow employees with a disability to remain in employment. This policy has been developed in partnership with staff side organisations and reflects best practice identified in the guidance on Managing Health at Work produced by the Partnership Information Network (PIN) Board in The Policy also reflects relevant employment legislation including The Equality Act and the Employment Rights Act The policy has also been assessed against current NICE guidance on absence This policy and procedure is endorsed by the Board, Senior Management and the Area Partnership Forum and will be communicated to all staff. 2. SCOPE This Policy and Procedures replaces any previous guidance on Managing Attendance and applies to all staff employed by NHS Forth Valley, but does not apply to independent contractors working on a contract of services. 3. KEY PRINCIPLES The Principles, Values and Codes of Behaviour set out in the NHS Forth Valley Partnership Agreement 2008 and the Dignity at Work Policy both underpin this policy. These documents can be found via the intranet or through HR. In addition, NHS Forth Valley commits to act as a reasonable employer at all times in its dealings with employees who suffer illness or incapacity, whether temporary or on a permanent basis. All employees will be treated as individuals and their needs and individual circumstances will be taken into account. Version st May 2015 Page 7 of 46

8 4. ROLES, RIGHTS AND RESPONSIBILITIES 4.1 Employee Responsibilities NHS Forth Valley recognises that the majority of employees attend work regularly. However it also recognises that people will, on occasion; need to take time off work when they are ill. When this happens employees are expected to: notify their line manager on the first day of absence if they are too ill to come to work, and in line with this policy, continue to stay in touch with their line manager, keeping them up to date on their progress and expected return to work date; provide a self certificate or fit note (see 6.2 medical evidence) for all periods of sick absence; take an active part in the Return to Work discussion; attend and participate in all meetings; and appointments relating to the absence framework; manage their work life balance effectively using the range of NHS Forth Valley policies as required; co-operate with any support or reasonable adjustments made by their Line Manager to enable them to return to work; report to the Line Manager any factors which may contribute to ill health such as health and safety, bullying and harassment etc. make use of Occupational Health Service and any appropriate supportive services that are provided, and to attend any meetings to which they are invited. 4.2 Employees have the right: to be given the opportunity to improve their attendance not to have action taken against them unless their absence has reached or exceeded the trigger points to have the full circumstances of their case considered before formal action is taken; to be told if their level of absence is putting their job at risk; to have reasonable adjustments considered and made, where appropriate, when they have an underlying health condition or disability; Version st May 2015 Page 8 of 46

9 to be accompanied and represented by a Staff Side Representative or colleague throughout the attendance procedure; to state their case before any decision is made; to confidentiality; to be supported in their rehabilitation back to work to self-refer to the Occupational Health Service. 4.3 Line Managers Line Managers roles and responsibilities in relation to the policy and procedure are to: manage the attendance of staff acting at all times in accordance with the roles and responsibilities set out in the NHS Forth Valley Partnership Agreement whilst fully implementing this policy and its procedures within their area; ensure that all members of their team are fully aware of the contents of this policy, and that everyone who works within their area knows who they should contact if they are ill and the time by which contact is expected; keep in touch with people who are off work ill; and make appropriate and timely referrals to the Occupational Health Service on their behalf; complete Return to Work Interviews with employees within 3 working days of their return, during which they must discuss with the employee any underlying medical condition or disability and seek occupational health advice if appropriate; liaise with the OHS, HR and other agencies with regard to the management of attendance at the points agreed within the policy; ensure that all records and documentation in relation to the management of attendance are kept in accordance with the Data Protection Act 1998; keep information regarding an individual s health confidential; record and submit the relevant attendance management monitoring information in the format and within the timescales agreed by payroll and HR; Line Managers are advised to consider their approach when dealing with sickness absence within the team, as there may be a requirement to vary the management of individual cases. Whilst this guide attempts to give as comprehensive advice and practical guidance as possible in what can often be a challenging area of management, it should not be treated as the Version st May 2015 Page 9 of 46

10 complete and authoritative guide to every possible circumstance which may arise. The advice of HR staff should be fully utilised; whilst being sensitive to employees who are unwell, it is the Line Manager s responsibility to be an effective and reasonable manager. Any Line Manager uncertain as to the application of any aspect of the policy or advice contained within this guide should in the first instance seek guidance from their HR Manager; lead discussions at any case management review meetings; facilitate as early return as possible following advice from Occupational Health or the advice contained in the Fit Note from the GP which could include a phased return to work, altered hours, amended duties or workplace adaption (see Appendix Rehabilitation to Work Procedure). 4.4 Occupational Health Service The ethos of the Occupational Health Service is to support health and wellbeing in facilitating full recovery and capability and where feasible, an early return to work. In some circumstance advice will also be provided to help prevent absence occurring in the first place. In addition, Occupational Health Service roles and responsibilities in relation to the policy and procedure are to: liaise with General Practitioners and other agencies, as appropriate, to provide expert advice to the line manager on the impact the employee s medical condition may have on their ability to perform their current or any future role; this covers advice on the Equality Act provide advice on returning to work on a phased return basis, redeployment or retirement due to ill health; advise managers on whether there is any common link or underlying health reason for recurring absences; provide expert advice and support to employees who are suffering health problems; proactively work with line managers to encourage early intervention and develop solutions to long-term health issues; make onward referrals to any of the supportive services which NHS FV provides eg Staff Physiotherapy, Staff Psychology, Employee Counselling. Version st May 2015 Page 10 of 46

11 4.5 Human Resources Human Resources roles and responsibilities in relation to the policy and procedure are to: provide support and guidance to managers, individuals and staff representatives in the interpretation of the policy and procedure; support the ongoing implementation of the policy by training managers, employees and staff side representatives in its contents and by assisting in the development of the skills necessary to manage attendance effectively; put processes in place to monitor the effectiveness and efficiency of the policy. 4.6 Staff Side Representatives The Staff Side Representative s role and responsibility in relation to the policy and procedure are to: provide advice, support and guidance to the employee throughout the attendance management process and procedure; to act in the interests of the employee and the wider workforce; to ensure that their member is aware of all the supportive services available to them as an employee of NHS Forth Valley. 5. DEFINITIONS OF ABSENCE Long Term Any continuous period of absence from work because of ill health lasting three weeks or more will be deemed as long term sickness, or alternatively if the cause of absence is known to be one that will undoubtedly last more than three weeks, eg fractured femur. Short Term This is defined as absence from work due to ill health which lasts no longer than three weeks. (In the context of this policy 1 week is equivalent to the amount of hours per week the employee is contracted to work.) Persistent Absence Persistent absence is characterised by a pattern of absences due to illnesses which are usually not connected. Such patterns could vary from single days of absence, to Version st May 2015 Page 11 of 46

12 fewer occasions of absence involving a loss of up to a week or more or a combination of both. High levels of this type of absence may indicate problems which may not be health related and which need to be explored and resolved. Unauthorised Absence This is an absence which is not supported by medical evidence, or has not previously been reported or authorised by the appropriate level of management or where the employee has failed to follow the appropriate procedure for the notification of absence. Each case of unauthorised absence will be assessed based on the individual circumstances of the case. All unauthorised absences should be dealt with as a conduct issue under the NHS Forth Valley Management of Employee Conduct Policy. If unauthorised absence continues for more than one week without reasonable cause or contact by the employee, this may be considered as a resignation. Confirmation of this will be sent in writing to the employee. In all such cases, advice must be taken from Human Resources. 6. ATTENDANCE MANAGEMENT PROCEDURES 6.1 Notifying Absence The line manager must ensure that everyone knows who they should contact if they are sick and the time by which contact is expected. If an employee is sick, they must telephone the agreed person, usually their line manager, to inform them that they are going to be absent, by the agreed time for their team on the first day of absence. If the employee is unable to telephone in person, they must arrange for someone to telephone the line manager on their behalf within the timescales detailed above. However, in this situation, it is expected that the employee will make contact with their line manager as soon as they are able to do so. When notifying absence the employee must advise their manager of the following: the nature of the illness; the day the illness began; the expected return date. The First Call Absence Checklist Booklet (Appendix 1) should be completed by the line manager at the time the absence is first notified. If the duration of the absence is uncertain the employee will be required to make daily contact with their line manager. If by the 3rd day of continuous absence the employee has not returned to work, they must telephone their line manager again notifying them of how long they are likely to Version st May 2015 Page 12 of 46

13 remain absent. Contact should again be made on the 7 th day, if the absence is continuing, and at least one day prior to their return to work. If the employee does not make contact by the end of the 7 th day, then the line manager should make contact on the 8 th day. During these contacts, the line manager should advise of the range of supports available to the employee via the Occupational Health Service e.g. staff physiotherapy. 6.2 Medical Evidence The employee should complete an NHS Forth Valley Self-Certificate Form (Appendix 2) from day 1 of the absence. This self-certificate form should be completed at the Return to Work discussion. If the absence continues beyond 7 days, the employee must provide a doctor s certificate from the 8 th calendar day and these should continue to be provided by the employee until the absence ends. These must: give the nature of the illness; be completed by a qualified and registered health professional; be dated, signed and stamped with the practitioners name and address, and this will now take the form of a Fit Note. It is intended to support the individual to stay at work, which is on the whole better for health, or get back to work sooner with help from their employers. This could include a phased return to work, altered hours, amended duties or workplace adaption. Unlike the old medical certificate the fit note has the option for the examining doctor to state that the employee is: unfit for work may be fit for work. A doctor will give a may be fit for work Statement if they think that their patient s health condition may allow them to work if they get suitable support from their employer. If the employer cannot meet the requirements of the fit note, then the employee will revert to being off sick with out the need for any further medical advice. The four options the Doctor can suggest on the Fit note are: a phased return to work; amended duties; altered hours; workplace adaptations. These options are ones which have been supported by NHS FV for many years through the Rehabilitation to Work procedure. A self-certificate or Fit Note must cover all periods of sickness absence continuously., where appropriate, must be submitted prior to or on the day of the return to work, a self-certificate should also be completed on the day of return to cover the initial 1-7 day period. Version st May 2015 Page 13 of 46

14 Employees and line managers are still expected to follow the procedures for Keeping in Touch during the period covered by the certificate. 6.3 Keeping in Touch Keeping in touch is an integral part of the attendance management process and contact with employees should normally be made at least once per month on a face to face basis, but more regular contact can be agreed on a case by case basis. Equally, where the line manager is well-informed on the employee s circumstances and is satisfied that all appropriate support is in place, it may not be essential to meet on a monthly basis, and in such circumstances, contact by telephone or letter may be sufficient. This approach should be kept under review. The Keeping in Touch Form, provided at Appendix 1, should be used to document dates and discussions. It is important that employees are kept up to date with what is happening within their team and of changes taking place in their absence, particularly where the absence is on a continuing long term basis. This aspect is crucial in helping people back to work and to continue to feel a valued member of the organisation. Where, as line manager, you are aware that the employee is dealing with a longerterm/serious health condition, please ensure that your interactions with them are undertaken with sensitivity and tact. For advice and support please contact HR/OHS colleagues. If it is known that the employee s condition will require a longer period of absence, consideration should be given to the most appropriate method of keeping in touch e.g. telephone contact 7. RETURN TO WORK DISCUSSION When an employee returns from sickness absence, a Return to Work discussion will be conducted by the line manager or the line manager s deputy on the day the individual returns to work; or as soon as possible thereafter (but not exceeding 3 working days, unless in exceptional circumstances). The overall purpose of the discussion is to welcome employees back into the workplace as a valued member of the team. This may be quick informal discussion, or may require more in-depth discussion about an individual s health or workplace issues. The following key points that should be covered: welcome the employee back to work; confirm that they are fit to return to work; let them know what has been happening in the team and with their workload since they have been off; help them to re-prioritise their workload and to offer assistance in this area if necessary; discuss any underlying reason for absence and to inform them of the support available to them; Version st May 2015 Page 14 of 46

15 remind the employee of the contents of the Attendance Management Policy particularly where the level of absence is approaching an unsatisfactory level to make the employee aware of this; where appropriate, identify problems which are contributing to the absence and to discuss possible solutions and interventions which may benefit the individual. Line managers should produce a written record of this discussion by completing the Return to Work Form provided at Appendix 1, each party should sign this and each retain a copy for their own records. If the Return to Work meeting is dealing with 9 or more days short term and long term absence over 3 episodes or a 4 th absence in a 12 month rolling period, the manager should follow Step 1 of the Attendance Management Procedure. Alternatively if a pattern becomes apparent over consecutive 12 monthly periods the procedure should be invoked to address this. Any 12 month period begins on the 1 st day of absence. This should be a 1:1 meeting without HR and Staff-Side as this will give the manager and employee the opportunity to discuss the reasons for their absence and decide if further action is needed e.g. monitoring period, referral to Occupational Health. It is anticipated that in doing so the manager is able to use their knowledge and relationship of any background issues which may be affecting attendance whilst the employee should feel with more at ease if dealing with their line manager and therefore able to discuss any pertinent issues from home or work, 8. ATTENDANCE RECORDS Recording of absence is essential in order to meet the requirements of Statutory Sick Pay Regulations and enable managers and HR to monitor, manage and control absence patterns. SSTS is used throughout the organisation and the manager needs to ensure that all appropriate information has been collated. Managers should ensure that there is a suitable recording procedure for absence within their area and all sickness absence should be reported to payroll and HR, as appropriate. It is important that absence details are recorded, even where absence is for part of a day or is uncertified. In particular, it is crucial that the reason for the absence is recorded clearly. Absence other than sickness Employees and managers should be aware that paid time off due to sickness absence is only available to staff when they are unfit to attend work due to illness. Where employees need time off or flexible working arrangements due to other reasons such as relative/spouse or child s illness or bereavement, reference should be made to other relevant policies of the organisation. Please see NHS Forth Valley s Special Leave Policy or Flexible Working Policy. Version st May 2015 Page 15 of 46

16 There are circumstances in which it will be necessary to discount sickness absence for trigger purposes. These include, but are not limited to: Industrial injury Medical exclusion Illness arising from pregnancy Separately, there may be circumstances in which an episode of sickness absence occurs within a very short space of time after a previous episode, suggesting that the individual may not have been sufficiently recovered prior to returning to work. Whilst such subsequent absence will be included fortrigger purposes, Boards should give consideration as to whether, depending on the individual case, both absences should be considered to be one single occasion for trigger purposes. Medical exclusion following infectious/notifiable disease Where the absence is the result of diarrhoea and vomiting or other relevant notifiable infectious disease and whilst the employee is suffering from the effects of the disease, the absence will be recorded in the usual way. The manager must obtain information regarding the nature of the illness and obtain advice, if necessary, from the Infection Control or Occupational Health Department as to whether a period of medical exclusion is required after the symptoms have subsided. Where the advice requires the employee, for purposes of infection control to remain off work for a period after expiry of symptoms, this period will be regarded as a medical exclusion with pay, and not as sick leave. Diarrhoea and Vomiting Any episode of Diarrhoea and Vomiting where the employee is symptomatic should be recorded as sick leave and will be counted as a sickness episode. Normal sick leave monitoring should apply and should be counted as a trigger point if applicable. The only exception would be in the case of an outbreak under the Staff Screening During Healthcare and Associate Incidents and Outbreaks Policy However, following a Diarrhoea and Vomiting episode the employee must remain off duty until they have been symptom free for 48 hours. This should be recorded as Special Leave. 9. OCCUPATIONAL HEALTH SERVICE ADVICE The NHS Forth Valley Occupational Health Service (OHS) can provide advice regarding employees who have health problems affecting their level of attendance. A referral can be made by a line manager or by the employee themselves. Version st May 2015 Page 16 of 46

17 If the employee has health problems which have been diagnosed, their line manager must consider referral to OHS, though referral should not be made routinely just because the individual has reached the trigger point for short term absences. In seeking medical advice a line manager should only ask specific job or employment related questions, making it clear that they wish to consider applying reasonable adjustments to support and assist the employee in performing their duties. 10. UNSATISFACTORY ATTENDANCE PROCEDURE This section deals with attendance levels which have become problematic for service provision Trigger Point for Short-Term Absence/Persistent Absence It is important to have in place clear trigger points for the review of sickness absence and that these are applied consistently throughout NHS Forth Valley. The earliest a line manager may consider formal unsatisfactory attendance action is when an absence has reached or exceeded these trigger points Short-Term/Persistent Absence Procedure The trigger point at which unsatisfactory attendance action should be taken is 9 or more days short term absence over 3 episodes or 4 periods of absence in a 12 month rolling period. Alternatively if a pattern becomes apparent over consecutive 12 monthly periods the procedure should be invoked to address this. Any 12 month period begins on the 1 st day of absence. The procedure given below should be followed where individuals have reached or exceeded the trigger point. Step 1 Employees should be invited to attend an initial Return to Work meeting. This should be a 1:1 meeting with Line Manager and employee. This meeting should aim to: welcome the employee back to work, ensure employee is fit to return to work and discuss the reason for recent absence; update the employee on the frequency and number of days of absence they have had within the preceding 12 month period; discuss whether the employee has any underlying health concern. If this is the case make immediate referral to Occupational Health Service; consider any personal problems the employee may have that are impacting upon their attendance and explore what options may be available to support them; consider if the individual s shift or work patterns are contributing to the absences and if so what options are there to alter this in the best interests of the organisation and the employee; Version st May 2015 Page 17 of 46

18 Step 2 ensure the employee is fully aware of the contents of the policy and explain what action could be taken should attendance levels not improve; include reference to the Employee Capability Policy or the Employee Conduct Policy; If required the manager will determine an appropriate period of time (e.g. 3 or 6 months) during which attendance will be monitored and a defined level of improvement is expected to be achieved; If the employee is dissatisfied with the outcome, it may require a formal meeting with HR/Staff Side. If the employee s attendance is satisfactory at the end of the monitoring period the employee and HR should be informed of this in writing and no further action taken. Step 3 If there is a further absence during the monitoring period a meeting should take place between the line manager, the employee and HR. The employee should be given a minimum of 5 working days notice, in writing, of the time, date and reason for this meeting. The employee has the right to be accompanied by a Staff Side Representative or colleague. Where no underlying medical explanation or any other mitigating circumstances can be identified, continuing short term absence can be dealt with under the Managing Employee Conduct Policy. It would not be anticipated this should occur every time and in some circumstances monitoring periods may be extended or no further action taken. After this meeting if necessary, the manager can refer the case for investigation under the Managing Employee Conduct Policy. After the investigatory process the appropriate manager will make a decision on whether the matter should be considered at a disciplinary hearing. Step 4 There may be some circumstances where an underlying health problem causes repeated short-term absences. Where frequent absence or inability to perform duties because of ill health are causing problems with work or the provision of a service this may be dealt with under the Managing Employee Capability Policy. If during the investigatory process an underlying health problem is highlighted a referral should be made to the Occupational Health Service (See Section 10.4) and appropriate medical advice should be taken into account before further action considered. The line manager should seek advice from HR and should liaise with Occupational Health to ascertain the effects of the employee s health status on their ability to work. Version st May 2015 Page 18 of 46

19 10.3 Long Term Absence Procedure When an employee has been absent for 3 consecutive weeks and is not due to return to work imminently, and where the line manager is not aware of a forward plan in relation to the long term prognosis, the line manager should arrange a 1:1 meeting with them to find out more about the absence and how the employee can be helped to return to work. It is intended for this meeting to be carried out informally, however the employee is entitled to be accompanied by a Staff Side Representative or colleague if they wish. If the employee does wish to be accompanied to the meeting they must inform their manager as soon as possible prior to the meeting taking place, as the manager should then be accompanied by an HR representative. A referral should be made to the Occupational Health Service as soon as the absence is identified as long term (Section 10.4) Where a meeting is not appropriate at this point, e.g. where the line manager is wellinformed on the employee s condition and future return to work plans, or not fit to attend, the line manager should note this and the reasons for this decision eg elective surgery. A further date should be arranged to review the situation. Where possible this meeting should be on a face to face basis but may be appropriate in some circumstances by phone. Although it is anticipated that all meetings will take place on Forth Valley premises, in some circumstances it may be appropriate to consider an off-site venue. Home visits should only be considered at the request of the employee and in those circumstances; the line manager should be accompanied by an HR representative. The invitation to attend this meeting should be given in writing (see sample letter Appendix 3). The aim of this meeting is to: keep the employee in touch with work issues; explore the current reason for their absence and establish if they need any support or adjustments to the work environment in order to help them return e.g. through use of the rehabilitation/phased return procedures; find out how long they are likely to be absent; inform the employee of the next steps, and agree regular face to face contact arrangements. Regular face to face meetings are crucial to maintaining a relationship with the employee whilst they are off ill. It is expected that these will take place at a minimum of 4 weekly intervals, although this may of course be varied dependent upon the employee s illness. It is important to note that it is more difficult for an employee to return to work after a lengthy absence if regular contact is not maintained. It is the responsibility of both the employee and the line manager to ensure that this is not an issue. A record of each meeting should be recorded on the form on the Keeping in Touch Form held at Appendix 1 and confirmed in writing to the employee (See sample letter Appendix 4). Version st May 2015 Page 19 of 46

20 10.4 Occupational Health Referral In all cases of long term absence or where an underlying health problem is suspected, a referral should be made to the Occupational Health Service. This referral should be made as soon as the absence is identified as being long term, but should be no later than three weeks into the absence (as Manager should have had a meeting at three weeks). If a reason for absence is stress/anxiety/depression an immediate referral should be made to the Occupational Health Service. The referral should be discussed with the employee, and they should be advised that the organisation requires to have as much information as possible with which to assess any ill-health situation and so it is in their interests to attend. The employee can however choose not to attend, however if they refuse to attend their appointment, any necessary decisions will have to be taken in the absence of medical advice and the employee must understand this. The Manager should continue to encourage staff to attend Occupational Health to enable early access to the support services available. Occupational Health are moving to an online referral service. For those managers who have completed the training, this method can be used to refer staff. For those still to attend for the training, an Occupational Health Referral Form (Appendix 7) should be completed by the line manager and submitted to OHS. Irrespective of the way in which the referral is sent, OHS will establish contact with the employee. This may be by telephone consultation or it may be through an appointment to attend. OHS will then send an appointment date to the employee, a copy of which will be sent to the line manager. The purpose of the referral to OHS is: to establish if any additional support and services can be offered to assist the employee with their health problems; to obtain as full a picture as possible of the nature and extent of the illness and its relation or relevance to the employment circumstances of the employee; to ascertain how an earlier return to work can be achieved through the Support to Work procedure; to be able to make an informal prognosis of the likely outcome of the illness to enable the manager to plan the workload of the department accordingly; answer any specific questions the line manager may have e.g. with regard to reasonable adjustments or whether absences are linked. Following the consultation with OHS a report will be submitted to the manager and copied to the relevant HR Representative and employee if requested. The manager and the HR Representative should then discuss what action to take based upon the information provided. Version st May 2015 Page 20 of 46

21 Action Following the Referral Following the receipt of the Occupational Health Report the employee should be invited to attend a meeting with their manager to discuss the report. The individual should be provided with a copy of the report prior to the meeting. Individuals will be entitled to be accompanied by a staff representative or colleague and should be informed that a member of the HR team may also be in attendance at the interview. During discussions with the employee the manager should consider the following implications for employment: future referral to the Occupational Health Service for a further review on whether the employee is likely to return to work; measures for rehabilitation to work or return to existing duties, both of which should be discussed with Occupational Health and HR (see Support to Work Procedure Appendix 9); redeployment on health grounds (see NHS Forth Valley Redeployment Policy intranet - Area Wide Policies) appropriateness of suitable alternative employment which may include a change of location or function at work at an alternative grade. This needs to be considered on an NHS wide basis not simply within the employee s own department; rolling notice depending on the circumstances. Medical Suspension Where the manager believes the individual is medically unfit for work in that they may adversely affect the delivery of patient care or endanger the wellbeing of colleagues or themselves the manager must contact Occupational Health Department for an assessment to be carried out. Under these circumstances it may be necessary to medically suspend a member of staff. 11. REVIEW PROCESS, CASE MANAGEMENT, FINAL REVIEW MEETING Regular departmental reviews should be carried out to assess and monitor staff when they are off sick, and determine what action is needed at each stage. Where a member of staff is unlikely to return to work this would culminate in a final review where a decision on the appropriate way forward is made i.e. return to substantive employment/redeployment/termination of contract. It is assumed that as part of this process that reasonable adjustments have been considered. Medical evidence should be made available to support the review process and occupational health advice should be sought on the likelihood of: the prospects of a likely return to the previous employment with or without adjustments; a phased return with or without a need for adjustments redeployment; Version st May 2015 Page 21 of 46

22 a potential ill health retirement application, the final decision on this lies with the Scottish Public Pensions Agency (SPPA)*. In addition Managers, and HR staff should work with OHS colleagues in a case management approach. * Further information regarding pensions is available from TERMINATION OF EMPLOYMENT ON THE GROUNDS OF ILL HEALTH Decision to Terminate Employment If after consultation with the employee, together with the appropriate medical evidence, there is no indication of a likely date of return and all other options have been pursued, a decision may be taken to terminate their employment on the grounds of ill health. This termination may occur prior to the expiry of Occupational Sick Pay in circumstances where it is clear that the employee will not be fit for work in the foreseeable future. However, it is important to note that the exhaustion of Occupational Sick Pay is not in itself a fair reason for dismissal. Before termination is recommended the line manager must be satisfied that the following can be demonstrated: they have consulted the employee and discussed the position with them; they have made a thorough investigation of the medical and any other relevant facts; they have balanced the employee s likely future health with the needs of the organisation; they have considered offering the employee alternative employment; where alternative employment options were unavailable or impractical they took the decision to dismiss. Procedure The procedure given below should be followed where a termination of employment is being considered and at all times HR advice should be taken employees should be invited to attend an interview with their designated manager. They should be given a minimum of 5 days notice, in writing, of the time, date and reason for this interview. Employees will be entitled to be accompanied by a staff representative or colleague and should be informed that a member of the HR team will also be in attendance at the interview. At this interview the employee will have the opportunity to provide counter evidence as to why the decision to terminate should not be taken. once all possible considerations have been fully explored and a decision to terminate is recommended all relevant information should be passed to Version st May 2015 Page 22 of 46

23 the appropriate Director or General Manager who will authorise the termination; the employee will receive a formal letter of dismissal giving them the appropriate period of notice of termination of employment. The letter should also contain the employee s right to appeal against the decision and to whom the appeal must be written to; normally the employee s employment will be terminated to coincide with the expiry of Occupational Sick Pay. The employee s period of notice, when they will be reinstated to full pay, will therefore, normally, run concurrently with the end of their period of Occupational Sick Pay; where employment is not terminated to coincide with the expiry of the period of Occupational Sick Pay, appropriate pay in lieu of notice should be given. However nothing in this Policy prevents NHS Forth Valley from terminating employment on the grounds of ill health before the end of the period during which Occupational Sick Pay is payable; on termination of employment the employee will be entitled to receive payment in lieu for accumulated untaken annual leave. Only statutory leave entitlement is carried over between leave years. It is important to realise that termination of employment on the grounds of ill health is a decision that will be made by NHS Forth Valley ideally with, but not solely based on the agreement of the employee. 13. PREMATURE RETIREMENT ON THE GROUNDS OF ILL-HEALTH If the employee is a member of the Superannuation Scheme, consideration should be given to making an application for premature retirement due to permanent incapacity providing they have a minimum of 5 years superannuable service. The employee may therefore be eligible to receive a pension and lump sum if the condition they are suffering from permanently affects their ability to undertake the role on which they are employed. This is a requirement for payment of Tier 1 and Tier 2 pensions. Please refer to the Scottish Public Pensions Agency for further guidance ( ). Where such application is made an AW8 superannuation form should be completed by the employee and an AW8 MED form, completed, in strict confidence, by the Occupational Health Physician, attached in a sealed envelope. These forms must be sent to the Scottish Public Pensions Agency (SPPA) via the Forth Valley NHS Payroll Department as the Payroll Department are required to provide SPPA with salary details as supporting information on the AW8 form. Human Resources will provide information regarding job description and sickness records and appropriate support to the member of staff seeking retirement. The decision as to whether or not an individual is eligible to be paid a pension and lump sum early on the grounds of permanent incapacity due to ill health is taken by the Scottish Public Pensions Agency and is not at the discretion of NHS Forth Valley. Version st May 2015 Page 23 of 46

24 14. REVIEW OF POLICY AND PROCEDURE This policy and procedure has been updated in partnership with Divisional/Board Managers and staff representatives through a partnership working group. This policy will be formally reviewed in 3 years by the Area Policy Group or as requested by the Area Partnership Forum/Staff Governance Committee. This policy will be reviewed no later than Version st May 2015 Page 24 of 46

25 APPENDIX 1 FIRST CALL ABSENCE CHECKLIST/RETURN TO WORK FORM In Confidence On the first Day of Sickness Absence this Sheet should be completed by the Line Manager and retained by them in a secure file Name of Employee:... Who reported the Absence: Employee/Representative (Delete as Applicable) Date of first day of illness:... Nature of the illness:... Have they sought medical advice: Yes/No/Not Sure (Delete as Applicable) Date they expect to return to Work:... Date next contact is expected:... Any Work Issues that are urgent? Up to Date Contact Number:... Line Manager Name:... Version st May 2015 Page 25 of 46

26 KEEPING IN TOUCH FORM Date of Contact Form of Contact* What was Discussed? Next Agreed Contact Date Version st May 2015 Page 26 of 46

27 RETURN TO WORK FORM In Confidence The purpose of this form is to provide a basis for the discussion that should take place between an employee returning form sickness absence and the line manager within 3 days of return. The meeting should be conducted by the line manager and each question ticked to indicate it has been discussed. The form should then be signed by both the line manager and the individual and retained in a secure file. Points to be covered in the Discussion: Has the employee been welcomed back to work? Have you confirmed the employee is fit to return to work? Have you updated the employee of what is happening in the workplace and with their job, in particular? Have you asked the employee if they need any help with their workload? Have you discussed whether there is any underlying reason for the absence that you as a Line Manager need to be made aware of? Have you informed the employee of their current absence levels in the last 12 months? Has the employee reached an unsatisfactory level of attendance eg 9 or more days short term absence over 3 episodes or 4 or more absences in 12 months? Has a monitoring period been put in place? If so state duration mths Has the employee been informed of the potential outcome should their attendance not improve and/or they breach the monitoring period put in place? - may be managed under NHS Forth Valley Managing Employee Conduct Policy - may be managed under NHS Forth Valley Management of Capability Policy Have you asked what support you can offer the employee to help improve their attendance levels? Has Occupational Health Referral or Employee Counselling Services been considered? Has the Self Certificate been completed? Yes/No Have all Fit Notes been received Yes/No Summary of discussion:- Version st May 2015 Page 27 of 46

28 We both confirm that all of the above points have been discussed and the relevant paperwork completed. Line Manager Name: Date: Line Manager Signature: Date: Employee s Name: Date: Employee s Signature: Date: Reason for Absence: Date of Return: Nature of Discussion: Previous sickness record in last year: * Please ensure that a copy of this document is given to the employee for their information. ** If a monitoring period has been implemented a copy should also be sent to the appropriate HR Adviser. Version st May 2015 Page 28 of 46

29 NHS FORTH VALLEY SELF-CERTIFICATE In Confidence APPENDIX 2 THIS FORM SHOULD BE COMPLETED AT THE RETURN TO WORK DISCUSSION AND RETAINED BY THE LINE MANAGER IN A SECURE FILE A Self Certificate Form must be completed to cover the first 7 days of absence due to sickness. Name (Capitals): Unit/Department: Base: Job Title: Date of Birth: National Insurance Number: Payroll Number: Please give brief details of your sickness: When was the last day you worked: On what date did your sickness begin: What date did you return to work: On what date did your sickness end: Employee Name (print): Employee Signature: Date: Version st May 2015 Page 29 of 46