Sickness Reporting Audit Final Report
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1 ITEM 7 APPENDIX B(2) Sickness Reporting Audit Report Michael George Auditor Contact Details Date of Review November 2013 Draft Report Issued 19 December 2013 Report Issued 14 January 2014
2 1 Executive Summary Internal Audit evaluated how sickness is reported by studying 15 cases in detail. There was evidence that HR diligently chase staff/ the person s line manager and obtain a full set of outstanding fit notes. However, in some cases this activity is not responded to and repeated efforts are made before information is provided, similarly staff are not always prompt in advising HR and Resource Management Unit (RMU) that they have returned from a period of sickness. The division of this task between the RMU and HR can complicate matters. It is a situation prompted by the operation of the legacy NSPIS system and arises from the need to have information available for deployment on the one hand and then for overall absence management on the other. With the replacement of the NSPIS system there may be opportunities to simplify matters. For the initial period of sickness HR work to a two week period before chasing fit notes, should a fit note not be forthcoming then the matter is escalated to the relevant Senior HR Officer for that area who will contact the person. Ultimately the HR Manager will decide whether the person s pay is to be withheld. In total at least 28 days will pass before this option is considered. In practice, matters were found to be properly escalated and addressed. It could be questioned whether a tougher approach, linked with greater automation of contact could induce compliance and obviate the need for the current levels of continually chasing activity of an HR Support Officer. Overall the Force can obtain reasonable assurance that the arrangements in place will produce reliable data about a person s sickness. The lack of timely provision of fit notes and return to work dates from staff/ line manager mean that it is necessary to employ a full-time member of staff to chase this information and to continually monitor the data on a daily basis. As such, whilst the system broadly works, it cannot be considered to be efficient and any options offered by the replacement HR system should be explored. Effectiveness of Risk Management Approach Efficiency of Risk Management Approach Commentary Whilst there were examples of information not being maintained on a timely basis, given the overall volumes of such data the level of accurate data, at a given time, was reasonable. The current approach is relatively resource intensive and is required because of the lack of adherence by staff and their line managers to Force policy. The situation is somewhat exacerbated by the divided nature of processing on the system and the difficulties that can be encountered when information is updated. Assurance Level 2 Overall Risk Reasonable Assurance 7.27
3 2 Scope and Approach of the Audit The audit has reviewed the reports produced from the NSPIS Duties system and sought to evidence the periods of sickness reported. A review was undertaken of the fit notes that are held in HR and these will be compared against the official record of a person s absence. In addition the pro-activity of HR in pursuing outstanding fit notes has been assessed. Each recommendation is accompanied by an assessment of the likelihood and impact of the risk identified, to North Yorkshire Police/ the Commissioner. 3 Report Distribution Name/Role Draft with Response Mrs Jane Palmer, Chief Constables Chief Finance Officer Ms Rosemary Holmes, Acting Director of HR Delivery Unit Mr Gary MacDonald, Head of Organisation & Development and Commissioner s Chief Finance Officer 7.28
4 4 Observations 4.1 Summary of Findings Risk Exposure Staff may not be paid correctly Root causes Records of periods of sickness may not be kept up to date, as line managers do not inform Duties and HR. Probability Financial Reputation Operational Legal Rating Probable Minor Minor Minor Minor 5:8 The Attendance Management Policy requires absence to be reported to a person s line manager, who should then notify RMU and HR. The person should then submit their fit note to the line manager who should pass it on in the same way. At the end of a period of sickness the individual should advise RMU and HR on their first day back. In practice this does not always happen on a timely basis and HR employ a member of staff to run a report each day showing the information that remains outstanding regarding a person s sickness. The absentee or their line manager is then chased for information as appropriate. In 20% of the cases looked at there were delays in responding to the requests for information from HR. HR were diligent in pursuing information in 77% of cases and where the pursuit of information was delayed, the additional time taken was modest. A further difficulty was encountered as a result of the operation of the NSPIS system. If it becomes necessary to amend a period of sickness, this has the result of overriding the subsequent periods of sickness. This is a known attribute of the system and must be countered in each case by the re-input of the subsequent information. If this is not done, the return to work information for cases that have been dealt with can change, which can cause confusion for staff in HR and Payroll. However, since the system is being replaced, no further recommendation is made. Recommendation 1 The Force should remind line managers and staff of their responsibilities under the Attendance Management Policy, to inform RMU promptly of any absence or return to work and to supply fit notes as required. If a supervisor fails to comply, after being chased by HR, the matter should be referred to that person s line manager. Recommendation 2 HR should look for any opportunities under the new HR system to automate the chasing of outstanding fit notes. This could be accompanied by a strengthening of the approach to end pay, in the event of no information being provided, as an incentive to respond. 7.29
5 5 Recommendations # Recommendation Category of Rec. Management Action Action Manager & Completion Date Satisfactory Response (IA View) 1 The Force should remind line managers and staff of their responsibilities under the Attendance Management Policy, to inform RMU promptly of any absence or return to work and to supply fit notes as required. If a supervisor fails to comply, after being chased by HR, the matter should be referred to that person s line manager. 2 HR should look for any opportunities under the new HR system to automate the chasing of outstanding fit notes. This could be accompanied by a strengthening of the approach to end pay, in the event of no information being provided, as an incentive to respond. Merits Attention Merits Attention HR will liaise with Corporate Comms and arrange for a communication to be distributed Force wide to remind all staff and line managers of the Attendance Management Policy and that if the policy is not complied with in a timely manner then it will be highlighted to their respective line manager. If a line manager fails to comply HR notify the second line manager and Senior HR Officer they will inform the Management Team This is already in place - The new Origin HR/Duties system will have a self service element which will automatically alert line mangers when a Fit Note is required and also alert staff on return to work to update HR/Duties. Corporate HR Manager Leanne Consett 30/04/14 Corporate HR Manager Leanne Consett Completed Yes Yes 7.30
6 Fundamental Significant Merits Attention Classification of Recommendations Action is needed to address risks that could impact on the organisation s ability to achieve its objectives. Action will typically be organisation-wide and be necessary at the highest level. Other fundamental recommendations will be made in regard to potentially serious breaches of statutory obligations. Action is needed to address risks that impact primarily on one major business area or to address lower risks on an organisation-wide basis. Action is advised to enhance control, remedy minor breaches of current controls or to improve efficiency. 7.31
7 Appendix: Assurance Level Internal Audit assesses the effectiveness of internal control, within the scope of what is audited. This measure is therefore a relative one. Category Description Reasonable assurance can be provided that the main risks considered are being effectively managed; action may still enhance the management of risk in a small number of areas. In addition Internal Audit has identified that the approach taken to address risk as representing good practice in this area. Reasonable assurance can be provided that the main risks considered are being effectively managed. Limited management action may be required to address a small number of significant issues. Limited assurance can be provided that the main risks considered are all being effectively managed. Significant management action is required to address some important weaknesses. Inadequate assurance can be provided that the risks identified are being effectively managed. Significant weaknesses have been identified in the risk management action, these are likely to involve major and prolonged intervention by management. These weaknesses are such that the objectives in this area are unlikely to be met. 6 Appendix: Overall Assessment Criteria Risks in this report have been assessed using the following criteria. It is the same criteria as that used by North Yorkshire Police to assess risk for the Risk Register. 7.32
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