These Guidance Notes Must Be Read In Conjunction with the Policy and Procedure (Schools) CONTENTS Page No.

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1 ATTENDANCE AT WORK POLICY AND PROCEDURE (SCHOOLS) K2c GUIDANCE NOTES FOR GOVERNORS AND HEADTEACHERS Amended October 2013 These Guidance Notes Must Be Read In Conjunction with the Policy and Procedure (Schools) CONTENTS Page No. Introduction 3 Disability Discrimination 3 Supporting Framework 4-6 Flexible Working Options 4 Phased Return To Work 4 Well Being 5 Exclusions 6-7 Medical Appointments 6 Pregnancy Related Sickness Absence 6 Pre/Post operative Treatment 6 Accidents at Work 7 Preventative Measures 7 Roles and Responsibilities 8 Managing Absence 8-17 Reporting and Maintaining Contact 8 Return to Work Contact and/or Discussion 9 Case Reviews 10 Case Conferences 11 Prompts for Action 12 Sickness Absence Action Record and Plan 12 Formal Warning Stage 13 Dismissal 16 Appeals 16 Miscellaneous Provisions Referrals to Occupational Health Unit and Recommendations 17 Unauthorised absence 19 Doctor s Certificates 20 Medical Examination 20 Fitness to Return to Work 20 Medical Suspension 21 Suspension of Sick Pay 21 Annual Leave and Sickness 22 Recording of Sickness Absence (General and for Part Time Workers) 23 Cosmetic Surgery 23 IVF Treatment 23

2 Appendices: 1. Case review meeting letter 2. Case review meeting outcome letter.. 3. Final case review meeting outcome letter Cumulative 4. Final case review meeting outcome letter Continuous Invite to formal warning hearing Outcome of formal warning hearing warning issued.. 7. Outcome of formal warning hearing warning not issued Invite to dismissal hearing Cumulative Invite to dismissal hearing Continuous. 10. Unauthorised absence pay. 11. Unauthorised absence no pay 12. Unauthorised absence employee to contact (1 st letter) Unauthorised absence employee to contact (2 nd letter)

3 INTRODUCTION Deleted: INTRODUCTION The focus of the Attendance at Work Policy and Procedure (Schools) is to provide a framework within which employee and Headteachers or other appropriate line manager can work together in a supportive and co-operative manner to proactively manage periods of sickness absence. For the purposes of this policy and procedure, the appropriate line manager will always be someone who is senior to the person absent due to illness. In a very small school this may be the Headteacher whereas in a larger school it may be the individual s immediate line manager. Absence due to sickness cannot be approached in isolation and broader human resource management issues often affect any attempt to manage sickness absence. Headteachers, other nominated senior members of staff or appropriate line manager must therefore take a holistic approach to the management of attendance whether it is before, during or after a period of sickness absence. There are a variety of supportive and flexible options or strategies available to Headteachers, other nominated senior members of staff or appropriate line managers to assist in this holistic approach. These guidance notes are to support those involved in managing attendance at work and must be read in conjunction with the Attendance at Work Policy and Procedure (Schools). They reflect the sections and layout of the policy and procedure for ease of reference. In the case of absence of the Headteacher, reference throughout these guidance notes to Headteacher or Headteacher, other senior nominated member of staff or appropriate line manager should be read as Chair of Governors. Equality Act 2010 Legislation in the form of the Equality Act 2010 (EA), and amendments, governs disability and employment making it unlawful to discriminate against a disabled person in any aspect of employment for a reason connected with their disability. A disabled person is one who has a physical or mental impairment which has a substantial and long-term adverse effect on their ability to carry out normal day-to-day activities. The Act requires the Council as the employer to make reasonable adjustments to the employment arrangements or the workplace if these cause substantial disadvantage to the employee compared with someone who is not disabled. As schools are legally responsible under the scheme of delegation for exercising some of the employer s responsibilities, this requirement is deemed to apply to Governing Bodies and Headteachers in the case of school based employees. If a Headteacher, other nominated senior member of staff or appropriate line manager suspects that an employee is disabled under the provisions of the Equality Act 2010, they should contact a Human Resources Officer and/or the Occupational Health Unit for further advice or information regarding disability and any reasonable adjustments to be considered. They should also update the employee s records on the Council s Integrated Pay and Personnel (IPP) system so that the information can be used for monitoring and reporting purposes as required by legislation. The approach taken in managing employees under the Attendance at Work Policy and Procedure (Schools) is to treat each case as if it were covered by the EA. In other words, through focussing on how the needs of all employees can reasonably be accommodated rather than on whether they are covered by the provisions of the EA.

4 SUPPORTING FRAMEWORK - Paragraph 1.9 of Procedure An employee may be experiencing temporary or permanent difficulties in doing all the tasks required in their current job, or in coping with their work situation. This may also apply when they are returning from a period of absence due to sickness. Headteachers, other nominated senior members of staff or appropriate line managers should consider whether there are any measures they could put in place to help the employee. These may include the following: a) Flexible working options Flexible working can help employees to manage their work/life balance more effectively, improving their health and well being, therefore creating a positive working environment. Such schemes can also reduce the sickness absence rate. For example, an employee who is struggling to arrange their work commitments around their personal responsibilities may feel less pressured to take an odd days sickness absence if it is possible to temporarily exercise some flexibility over start and finish times. Headteachers, other nominated senior members of staff or appropriate line manager should refer to the suite of policies available on the HR page of the Intranet as possible options to consider in supporting an employee. These include: Parental Leave Special Leave Job Share (and part-time working) Home Working Term-time Working Compressed Working Right to Request Flexible Working Flexible Working Hours Policy Any mix of these policies could be considered in consultation with the employee and within the context of service delivery requirements and the duties of the post. b) Phased return to work The option of a phased return to work may arise through discussion between a Headteacher, other nominated senior member of staff or appropriate line manager and employee, or as part of the advice received from the Occupational Health Unit following a management referral. A phased return to work can help the employee acclimatise back to the work routine and work tasks, whilst allowing the opportunity to assess whether or not they are fit enough to return to the full duties of their post. Pursuing this option may also mean that the employee is able to return to work earlier. Depending on the reason for the absence, it may also be appropriate to undertake a risk assessment prior to the employee s return. In some cases the Headteacher, other nominated senior member of staff or appropriate line manager may also need to seek further advice from the Occupational Health Unit regarding the employee s health before agreeing to them resuming their full duties and responsibilities. There must be a clear timetable for the phased return period and the Headteacher, other nominated senior member of staff or appropriate line manager must ensure that other

5 team members are clear about the arrangements, in terms of contact and operational practicalities. Phased returns usually take place over a period of a few weeks and enable the employee to build up to their normal working hours. The Headteacher, other nominated senior member of staff or appropriate line manager must also agree a programme of regular contact with the employee throughout their phased return to work to ensure that the support strategies put in place are having the desired effect or whether they need to be amended, extended or removed. If a phased return to work covering a period in excess of 6 weeks is agreed, the Headteacher, other nominated senior member of staff or appropriate line manager must hold a case review meeting at the end of the first 6 weeks to assess whether the phased return is being successful and whether or not any further adjustments are needed. Depending on the specific terms and conditions applicable to the employee s contract of employment, it may also be appropriate for the employee to agree to use part of their annual leave entitlement as an additional element of a phased return to work. Employees will receive their normal pay during their phased return to work. In most cases under the statutory sick pay (SSP) rules once an employee returns to work their entitlement to SSP for that period of sickness absence ends. In exceptional cases, where a phased return to work is required to cover a longer period (e.g. several months) it will be more appropriate for the Headteacher, other nominated senior member of staff or appropriate line manager to agree to a temporary reduction in contracted working hours and pay for that period, with an agreed date to review the arrangement and consider a return to full contracted working hours. Alternatively, the employee may seek agreement to a reduction in working hours on a permanent basis. c) Well Being It is in the Council and school s interest to assist and encourage employees to look after their health and maintain a healthy lifestyle. Healthy employees are able to make a greater contribution to the effectiveness and efficiency of the Council and should be less susceptible to illness. Headteachers, other nominated senior members of staff or appropriate line managers must be aware that sickness absence may result from problems either at home or work rather than being just strictly health related. Access to counselling services, fast track physiotherapy and the inclusion of a discussion on well being as part of the support staff appraisal process are just a few of the strategies aimed at supporting employees. The Council s Well Being at Work Code of Practice contains advice on a risk assessment process and guidance on managing work related pressure, and can also be helpful in supporting employees who are under pressure due to non-work related issues. Headteachers, other nominated senior members of staff or appropriate line managers should be aware of, and be proactive in, the application and use of this code. If a Headteacher, other nominated senior member of staff or appropriate line manager is concerned about the absence levels within their staff group, or section of their staff group, they must try to identify what factors are causing high absence levels, both through group and individual discussions. The reasons may be related to attitude. The Headteacher, other nominated senior member of staff or appropriate line manager must deal with such attitudes firmly and make it clear they are incorrect and unacceptable. Alternatively, the group of employees may be experiencing high levels of pressure or be

6 exposed to unhealthy conditions in the workplace, in which case the Headteacher, other nominated senior member of staff or appropriate line manager must undertake a full investigation including carrying out appropriate risk assessments and then take all reasonable steps to address the problem. There may also be relationship issues within the team which must be addressed by the Headteacher, other nominated senior member of staff or appropriate line manager. EXCLUSIONS - Paragraph 1.10 & 1.11 of Procedure a) Medical appointments Reasonable time off is allowed to attend medical appointments. However, there is a clear expectation that employees must make every effort to arrange appointments at times which are either outside of their normal working time, or as close as possible to the start or end of their normal working day or shift so as to minimise disruption to their work. It is understood that in an emergency situation it is not always possible to arrange an appointment in line with working arrangements but every effort should nevertheless still be made to do so. These absences must be recorded on the IPP system but not as sickness, to enable the Headteacher, other nominated senior member of staff or appropriate line manager to monitor the amount of time being taken and ensure that it is reasonable. b) Pregnancy related sickness absences Absences which are as a direct consequence of pregnancy will be recorded and managed as sickness absence in line with this policy and procedure, but will not be included in calculating absence for the purpose of the formal warning stage. All absences whilst pregnant should be reviewed separately by the Headteacher, other nominated senior member of staff or appropriate line manager as part of the ongoing risk assessment for pregnant women, and appropriate support provided for the employee as outlined throughout the policy and procedure. c) Pre/Post-operative treatment There may be occasions when an employee is required to follow a course of treatment before or after undergoing surgery, for example, and the actual treatment makes the employee ill and unable to attend work for one or more days immediately after they have received the treatment. Treatment in this context may include but is not restricted to taking prescribed medication, chemotherapy or a course of injections. Where the above situations arise, the absence will still be recorded and managed as sickness, but the absence on the day immediately following the day on which the treatment was received will be disregarded when calculating absence for the purpose of the formal warning stage. The treatment must be prescribed by a doctor or specialist and be directly related to the possible need for surgery. Examples : An employee is due to have a course of chemotherapy. They are required to attend the hospital for treatment on a regular basis over a cycle of three months and for two days

7 following the treatment they are ill and they cannot attend work. On each occasion the employee returns to work on the third day following treatment. All absence is recorded as sickness but the first day of absence following treatment is not included in calculating the absence for the purpose of formal warning stage. Where the employee is not required to undergo a course of treatment pre or post surgery as outlined above, all absence except hospital appointments will be included when calculating absence for the purpose of the formal warning stage. If the employee would not normally work on the day immediately after receiving the treatment this provision will not apply to them i.e. it cannot be carried forward. Examples may include a part-time employee who would not be at work on the day following the treatment i.e., where treatment is received on a Thursday and the employee does not work on a Friday. If there is any doubt over the linkage between the treatment and the need for surgery the Headteacher, other nominated senior member of staff or appropriate line manager can request confirmation in writing from the employee or seek advice from the Occupational Health Unit. d) Accidents at Work Where an employee s sickness absence is attributed to an accident, assault, injury or disease whilst undertaking the duties of their post it is important that the absence is managed in accordance with the Attendance at Work Policy and Procedure (Schools), i.e. maintaining contact, case reviews and conferences etc. However, the period of absence will be excluded when calculating absence for the purpose of the formal warning stage. The reason for absence must be recorded as Accident/Injury at Work on the IPP system and the type of absence must be shown as one of the options from the drop down menu (e.g. Broken Bone). Recording the absence in this way will ensure that the basis of any payments will be in accordance with the Council s Injury Allowance Scheme (D9) and not the Statutory Sick Pay Scheme, or in the case of teachers the provisions contained in the Burgundy Book. Where appropriate, for the non teachers scheme, an assessment will be required by an Independent Registered Medical Practitioner for the purpose of certifying that the injury or disease was sustained during the course of employee s work. As a separate process the Headteacher must arrange for an investigation to be undertaken into the incident that resulted in the absence in accordance with the Corporate Accident and Incident Reporting Procedure (L7) or the Codes of Practice on Violence and Challenging Behaviour towards Employees, and Guidelines on Working Alone in Safety (L2), seeking advice as appropriate from the Safety Services Unit. c) Third Party Claims Where an employee is absent from work due to injury or illness which is a result of a third party, the employee may ask their solicitor to make a claim for costs against the third party. The solicitor acting on behalf of the employee will write to the Council about the earning element of the claim. The payroll section will provide the pay and absence information requested by the solicitor and raise an invoice to the solicitor for the associated costs. The employee s solicitor will pay the invoice to the Council if the claim is successful. Each case is different and employees should seek advice from their solicitor. Guidance on the process is available from payroll.

8 PREVENTATIVE MEASURES - Section 2 of Procedure One of the primary objectives of effective attendance management is to prevent sickness absence occurring wherever possible. Preventative action as part of a Headteacher, other nominated senior member of staff or appropriate line manager s day to day management activity will normally address the wider issues associated with sickness absence, by identifying and resolving organisational and work-related causes. Good communication between the Headteacher, other nominated senior member of staff or appropriate line manager and employees is seen as key in fostering an open and trusting relationship within which even the most sensitive issues are able to be discussed. The Headteacher, other nominated senior member of staff or appropriate line manager should use the range of initiatives referred to in Section Two of the Procedure taking into account the context of the working environment and service requirements. ROLES AND RESPONSIBILITIES - Section 3 of Procedure Under the Schools Staffing (England) Regulations 2003 each Governing Body retains overall responsibility for the appointment and dismissal of staff. However, paragraph 4 of the Regulations allows the Governing Body to delegate many of these functions to the Headteacher. Authority to make initial dismissal decisions may therefore be delegated by the Governing Body to the Headteacher. In this Policy and Procedure, the Headteacher is likely to be involved in any decision to exercise discretion about entry to the formal warning stage and, therefore, could not be involved at any later stages. In many schools it is likely that the immediate line manager will be involved in managing the early stages of the process, with the Headteacher or other nominated senior member of staff being responsible for issuing warnings. The Governing Body, on the advice of the Headteacher, will determine whether other senior members of staff in addition to the Headteacher are authorised to take action under this Policy and Procedure, particularly in relation to issuing formal warnings. MANAGING ABSENCE - Section 4 of Procedure Reporting and Maintaining Contact - Paragraph of Procedure As soon as the nominated member of staff has been contacted by the employee to report their absence they must immediately inform the appropriate member of administrative support staff in the school office of the name of the employee, absence start date and notified reason for absence, preferably by . It cannot be stressed often enough that timely, sensitive and effective communication with the employee is essential. This will not only provide a supportive environment but will assist the Headteacher, other nominated senior member of staff or appropriate line manager in taking informed decisions. When agreeing the method and frequency of any contact the Headteacher, other nominated senior member of staff or appropriate line manager must be sensitive to the

9 reason for the absence, ensuring that any contact is essential, particularly if the reason for the absence is stress related. Forms of contact may include telephone calls, the exchange of s and texts, where agreed with the Headteacher, other nominated senior member of staff or appropriate line manager, meetings at the employee s home, meetings in the workplace or other agreed neutral venue, by letter, or through another work colleague, but must not be intrusive or insensitive in nature. Whichever method is agreed the Headteacher, other nominated senior member of staff or appropriate line manager must ensure that they are kept informed of the employee s progress. Home visits or a workplace meeting may be considered where appropriate but only with the agreement of the employee. The Headteacher, other nominated senior member of staff or appropriate line manager should record the dates of any agreed contact in advance to ensure contact is maintained, and keep a record of any contact on the Sickness Absence Action Record and Plan. The Headteacher, other nominated senior member of staff or appropriate line manager is responsible for keeping the employee informed of work related issues and should agree with the employee what information is to be provided during their absence, e.g. copies of relevant minutes of staff meetings, grapevine, staff news etc. There may be circumstances where the employee requests that they are not sent information, or where the Occupational Health Unit advises that such contact would be detrimental to the employee s recovery. In these cases the employee s request should be agreed. However, the reason for not maintaining contact should be recorded on the Sickness Absence Action Record and Plan and written confirmation of the action sent to the employee. The decision must be reviewed with the employee at each case review meetings if the absence continues. Whilst it is the responsibility of the employee to keep their Headteacher, other nominated senior member of staff or appropriate line manager informed of the current state of their health, it is also the responsibility of the Headteacher, other nominated senior member of staff or appropriate line manager to ensure that any agreed actions to support the employee have been carried out, and to keep the employee up to date with any progress on these actions. Again, this must be done taking into account the context of the reason for the absence. Where an employee holds two or more posts with the Council in different areas, all Headteacher s, other nominated senior member s of staff or appropriate line manager s will agree how the absence will be managed and which Headteacher, other nominated senior member of staff or appropriate line manager will take the lead on carrying out relevant case reviews meetings and case conferences. In most instances the Headteacher, other nominated senior member of staff or appropriate line manager of the role the absence is having the most adverse impact on will take the lead. This will most likely be the role with most hours. The process to be used will be agreed in consultation with other affected Headteacher, other nominated senior member of staff or appropriate line manager Employees are required to maintain contact with their line manager throughout their absence and cooperate fully with the Headteacher s, other nominated senior member s of staff or appropriate line manager s attempts to contact them. Failure to do this or deliberate obstruction of a Headteacher s, other nominated senior member s of staff or appropriate line manager s attempts to maintain contact may result in disciplinary action being taken against the individual under the Schools Disciplinary procedure. Return to Work Contact and/or Discussion Paragraph of Procedure

10 It is vital that the school has in place a system whereby a member of the support staff knows when a member of staff returns to work. Regardless of the length or reason for the absence, the Headteacher, other nominated senior member of staff or appropriate line manager must: make initial contact with the employee either in person or by telephone on the day of their return to show support and concern and to ascertain if any assistance is required ensure that the Absence Declaration Form when received from the appropriate member of administrative support staff in the school office is ed, handed or posted to the employee for them to check and sign Part A and return to their Headteacher, other nominated senior member of staff or appropriate line manager if applicable, in line with 4.7 of the policy and procedure, arrange to meet with the employee for a more structured return to work discussion. In normal circumstances, this will be held no later than 5 working days after the date of return to discuss the reasons for the absence, agree what assistance may be required together with any agreed actions. Headteachers, other nominated senior members of staff or appropriate line manager must be mindful that there may be other reasons why the employee is absent and should endeavour to identify these and, where possible, to help the employee overcome any problems consider whether there is a need to hold a Case Review or a Case Conference in accordance with paragraph 4.15 of the policy and procedure complete Part B of the Absence Declaration Form and return it to the appropriate member of administrative support staff in the school office, giving a copy to the employee if a structured return to work discussion has been held. If the Headteacher, other nominated senior member of staff or appropriate line manager have specific concerns regarding an individual s return to work they should seek advice tailored to the individual s case from the Human Resources team. Case Reviews - Paragraph of Procedure Case reviews enable the Headteacher, other nominated senior member of staff or appropriate line manager to meet with the employee to discuss their absence record, the reasons for the absence(s), raise any concerns about the level or type of absence, and seek to agree a positive way forward to support the employee and reduce absence levels. Records of the length and reason for the absence(s) and any other supporting documentation should be issued to the employee with the letter inviting them to the meeting so that a constructive discussion can take place. The discussion should also explore whether there is an underlying reason for the absence(s), seek to identify what support the Headteacher, other nominated senior member of staff or appropriate line manager is able to provide to the employee, and if there is anything further that the employee can do to reduce their level of absence. An action plan should be discussed and agreed at the meeting, which may include support for the employee in the working environment. The content of the action plan will naturally vary according to the length and reason for the absence. Where there is a pattern of absence emerging, this must be discussed with the employee in an attempt to determine the cause and agree a plan of action to break the pattern. Any agreed actions must be confirmed in writing to the employee.

11 If the Headteacher, other nominated senior member of staff or appropriate line manager has reasonable belief that the reason given for the absence is not genuine they should consult a Human Resources Officer regarding possible action under the School s Disciplinary Policy. Case reviews are mandatory at the intervals specified in paragraph 4.15 of the Procedure to ensure that ongoing communication occurs. Depending on the circumstances of the individual case it may also be appropriate for the Headteacher, other nominated senior member of staff or appropriate line manager to arrange to meet with the employee for case reviews in between these intervals. The outcome of a case review meeting will depend on the level and reasons for absence, but it is likely that the discussion between the Headteacher, other nominated senior member of staff or appropriate line manager and employee will include: what specific action can be undertaken by the employee what specific action can be undertaken by the Headteacher, other nominated senior member of staff or appropriate line manager whether a management referral to the Occupational Health Unit is required (see guidance on referral to Occupational Health Unit below) in the case of later stage case review meetings, the discussion will include the possibility of further action being taken if attendance levels do not improve e.g., consideration of a move into the formal warning stage if cumulative absence, or dismissal if continuous absence beyond nine months. Representation is not normally appropriate during the informal stages of the procedure. These meetings are management meetings between the employee and their Headteacher, other nominated senior member of staff or appropriate line manager. However there may be occasions where both the employee and Headteacher, other nominated senior member of staff or appropriate line manager would find it helpful for the employee s Trade Union representative to be present at the meeting. Any actions agreed at a case review meeting should be documented and confirmed in writing to the employee. If it becomes apparent during the case review process that the employee s employment is at risk they must be told and a full record be made. The employee must have written confirmation that they have been told that their job is at risk. Template letters can be found at appendices 1-3 Case Conferences - Paragraph of Procedure Case conferences enable a Headteacher, other nominated senior member of staff or appropriate line manager to meet with a representative from Human Resources and the Occupational Health Unit to obtain advice and guidance on how best to support and manage an individual absence case. It is the Headteacher, other nominated senior member of staff or appropriate line manager s responsibility to approach Human Resources and the Occupational Health Unit and arrange a case conference. When attending the case conference the Headteacher, other nominated senior member of staff or appropriate line manager will be required to provide documentary evidence of absence records and actions already taken. Before the meeting they should also consider what questions they want to raise, or what areas they want to highlight for discussion.

12 Case conference prompts are outlined in paragraph 4.15 of the Procedure and identify which are mandatory and which are optional depending on the circumstances of the particular case being managed. As with case reviews, depending on the circumstances of the individual case it may also be appropriate for the Headteacher, other nominated senior member of staff or appropriate line manager to arrange a case conference in between these intervals. Employees will not attend these meetings. However, depending on the management actions agreed at the case conference it may be necessary for the Headteacher, other nominated senior member of staff or appropriate line manager to meet with the employee after the meeting to discuss their absence further. If it becomes apparent during the case conference process that the employee s employment is at risk they must be told and a full record be made. The employee must have written confirmation that they have been told that their job is at risk. Prompts for action - Paragraph 4.15 of the Procedure Reference to a continuous absence of 21 or more working days relates to the Council s normal 5 working days per week, and therefore to a continuous absence of 4 weeks and 1 day. This applies equally to teachers, part time employees and term-time employees who are absent for 4 weeks and 1 day regardless of the number of days worked per week. See also the section on recording sickness absence for part-time employees elsewhere in this guidance. Sickness Absence - Action Record and Plan This form, attached as appendix E in the Procedure is a reference document for the Headteacher, other nominated senior member of staff or appropriate line manager to record any contact and discussions that have taken place with the employee, together with any actions taken in connection with the prevention and/or management of an individual employee s sickness absence(s). The Headteacher, other nominated senior member of staff or appropriate line manager can maintain this form as an electronic record. Information from the form can be used by the Headteacher, other nominated senior member of staff or appropriate line manager when preparing for the meeting and by extracts that are going to be used during the meeting being included in the information sent to the employee with written notice of the meeting. Formal Warning Stage Paragraph of Procedure Before deciding whether or not to enter into the formal warning stage, the Headteacher, other nominated senior member of staff or appropriate line manager must first give careful consideration to the employee s overall record of absence, any discussions held as part of return to work contact or discussion, case review meetings and any actions already taken and recorded on the Sickness Absence Action Record and Plan. The formal warning stage will normally be entered into where cumulative absences total 35 or more working days (Triggers are pro rata for part time workers. Please refer to the Part Time

13 Pro-rata Guide) made up of three or more periods, irrespective of the length, in an 18 month rolling period. The Headteacher, other nominated senior member of staff or appropriate line manager will have previously explained to the employee at a case review meeting that their level of sickness absence was likely to lead to action being considered under the formal warning stage of the Procedure and confirmed this in writing to the employee. It is essential that timely action is taken to avoid unreasonable delays following the employee s return to work. If the formal warning stage is entered into, a meeting should take place within 15 working days of the employee s return to work. If a formal warning is issued it will take effect from the date of the meeting. The formal warning stage will not be used to deal with a single continuous sickness absence or sickness absence arising out of an accident, assault, injury or disease whilst undertaking the duties of the post, or those which are as a direct consequence of pregnancy. Any decision not to enter into the formal warning stage must be authorised by the Headteacher and a record kept of the rationale and reason for not progressing to a meeting. This must be recorded on the IPP system and also on the Sickness Absence Action Record and Plan. This decision must then be reviewed after each subsequent period of absence in line with paragraph 4.22 of the Policy and Procedure. If the original rationale and reason are still valid authorisation must again be sought from the Headteacher to not enter the formal warning stage, and a record made as outlined above. Where it is considered that the original rationale and reason for the initial decision are no longer relevant the formal warning stage will be entered into. Where the formal warning stage is entered into the employee will be given written notice of the meeting in accordance with paragraph 4.20 of the Procedure (see template letter at appendix 4). The Headteacher or other nominated senior member of staff must also send the employee a copy of the papers to be relied upon during the meeting (e.g., copies of relevant correspondence, extracts from the Action Plan and Record etc). The Headteacher or other nominated senior member of staff must give careful consideration to all the circumstances surrounding the case, including any representations made by the employee or their representative before deciding whether or not to issue a formal warning. It is important that detailed records are made of the reason for the decision. Any decision to not issue a formal warning must be authorised by the Headteacher and a record kept of the rationale and reason for not issuing a formal warning. Any decision not to issue a formal warning must be recorded on the IPP system and also on the Sickness Absence Action Record and Plan. This decision must then be reviewed after each subsequent period of absence in line with paragraph 4.22 of the Policy and Procedure. If the original rationale and reason are still valid the Headteacher must once again authorise the decision to not issue a formal warning and a record made as outlined above. Where it is considered that the original rationale and reason for the decision are no longer relevant the formal warning stage will be entered into again. If required, the Headteacher can obtain advice and guidance regarding the appropriateness of the decision from the Human Resources Section. Where a decision is taken to issue a formal warning this will be confirmed in writing within 5 working days of the meeting. The letter must also include details of the employee s right of appeal. During the 12 month period following the date the formal warning was issued, the Headteacher, other nominated senior member of staff or appropriate line manager must continue to closely monitor any subsequent absences, and must hold at least one case review meeting after 8 further working days absence. This review meeting must still take place if the employee remains absent

14 from work due to sickness after the 8 th day. If at the end of the 12 month period cumulative absence has not exceeded 12 working days (Triggers are pro rata for part time workers. Please refer to the Part Time Pro-rata Guide) the formal warning will be regarded as having expired and the employee s attendance will continue to be managed in accordance with provisions of the Policy and Procedure s timescales, support etc. Template letters can be found at appendices 5 & 6. Dismissal - Paragraph of Procedure The Governing Body must clearly record who has the delegated authority to make initial decisions to dismiss, i.e. the Headteacher, the Headteacher and a governor, or a Committee of the Governing Body. Where the Headteacher has previously made decisions about the use of discretion over the issuing of formal warnings, or has issued a formal warning to the employee under the Attendance at Work Policy and Procedure (Schools) it is not appropriate that they should also take the initial decision to dismiss. In these circumstances the decision to dismiss must be delegated to a Committee of the Governing Body A meeting will be arranged to consider the future employment of the employee where, during the 12-month period following the formal warning being issued, further sickness absences exceed 12 working days(triggers are pro rata for part time workers. Please refer to the Part Time Pro-rata Guide), or at the end of a nine month period of continuous absence there is no reasonable prospect of the employee returning to work.. The definition of further sickness absence may also include any continuous absence which takes place following the issuing of a formal warning. The employee must be given written notice of the meeting (see template letter at appendix 7) in accordance with paragraph 4.25 of the Procedure. The employee must also be given a copy of the papers to be relied upon during the meeting (e.g., copies of relevant correspondence, extracts from the Action Plan and Record etc). Prior to taking a decision the Governing Body Committee or Headteacher must consider fully the issues listed under paragraph 4.26 of the Procedure. A representative of the Director of Children, Family and Adult Services has the right to attend any meeting and offer advice where the dismissal of an employee in a school is being considered; this will normally be someone from the Human Resources Section. In order to safeguard the school s position, advice and guidance must always be sought where it becomes clear that action is likely to be taken which may lead to the dismissal of an employee. Appeals - Paragraph 4.28 of Procedure Any appeal must be on the grounds of misapplication of the Procedure and in line with paragraph 4.28 of the Policy and Procedure. The letter from the employee must include the specific grounds on which they are making their appeal. In the case of an appeal against dismissal, the Chair of the Governing Body Committee or Headteacher who took the decision to dismiss will be required to present the case at any appeal hearing.

15 In the case of an appeal against the issuing of a formal warning the Chair of the Governing Body Committee, Headteacher or other nominated senior member of staff who took the decision to issue the warning will be required to present the case at any appeal hearing. The Procedure to be followed at an appeal hearing is outlined at Appendix D of the Procedure. MISCELLANEOUS PROVISIONS Referrals to Occupational Health Unit and Recommendations The Headteacher or other nominated senior member of staff is ultimately responsible for deciding what action to take having regard to how long the school can sustain the absence, together with the other information available to them including any advice from the Occupational Health Unit. The Headteacher or other nominated senior member of staff must decide when it is appropriate to make a referral to the Occupational Health Unit for support in the process, and should take the lead and make the referral rather than asking the employee to make a self referral. N.B. It must be borne in mind that, whilst the provisions outlined in this Section will apply to teachers there is a different process to follow where a teacher wishes to apply for payment of ill health retirement benefits under the Teachers Pension Scheme. The Occupational Health Unit will help with the submission of medical advice and Human Resources will be involved in processing the application form. It is expected that the Headteacher, other nominated senior member of staff or appropriate line manager will already have taken all possible steps to support the employee in remaining at work or returning to work after a period of absence, and will have started to formulate an action plan to support the employee. Once an action plan has been agreed the Headteacher, other nominated senior member of staff or appropriate line manager must communicate this sensitively to the employee explaining the proposed course of action. Depending on the context of the reason for the absence consideration must be given to the most appropriate means of communicating this information. It may be that before making a referral the Headteacher or other nominated senior member of staff needs to arrange a Case Conference to obtain advice and guidance on any proposed courses of action. When making a referral careful thought must be given as to what information is required to assist in the management of the absence and frame questions accordingly on the referral form. A copy of the referral form, together with Guidance Notes is available from the Intranet Home Page through the following links Directorates : arvato : Human Resources : Occupational Health : Referrals (including fast track physiotherapy). It must be remembered that the role of the Occupational Health Unit is to provide advice and guidance and not to take management decisions. Possible questions could include: Are there any modifications, adjustments and/or adaptations you could recommend making to accommodate the employee s medical condition? Are there any other issues which I should be aware of and take into account when considering the possible courses of action?

16 If the modifications, adjustments and/or adaptations, as suggested by you are made, will the employee be able to fully perform their job? Please indicate whether the employee is likely to be fit to return to work within a specified timescale, or shortly afterwards. If the employee is not fit to perform the duties of their current job is redeployment an option, and if so what type of duties would be suitable or need to be avoided. The Headteacher or other nominated senior member of staff must explain to the employee in advance that they are making a referral to the Occupational Health Unit and the reasons why, including what questions they are asking. They must also advise the employee that they are likely to receive an appointment with an Occupational Health Nurse, and that after the appointment a written response will be sent to the Headteacher or other nominated senior member of staff. The Headteacher or other nominated senior member of staff must maintain contact with the employee while they are waiting for a response from the Occupational Health Unit. The above paragraphs will normally apply to referrals made throughout the process. However, the following section will generally be appropriate to what could be the final referral to the Occupational Health Unit. This will take place prior to holding a dismissal hearing and will help inform decisions as to how much longer the absence can be sustained. Depending on the questions asked by the Headteacher or other nominated senior member of staff, they may receive a response containing advice that the employee is either: (a) (b) (c) Likely to be fit to return to their current post within the specified timescales, or shortly afterwards. In this case the Headteacher, other nominated senior member of staff or appropriate line manager should continue to discuss and agree a return to work plan with the employee. Fit to return to their current post with modifications to the job or work environment. In this case the Headteacher, other nominated senior member of staff or appropriate line manager should continue to discuss a return to work with the employee, agree what modifications can reasonably be made, and agree a return to work plan with the employee. Not fit to perform the duties of their current post but that redeployment should be considered. In this case, the Headteacher or other nominated senior member of staff must contact the Human Resources Officer for their service area to arrange for the employee to be placed on the redeployment register. Proactive attempts to find the employee suitable alternative employment will be made in the period prior to a meeting being convened with the employee. Suitable alternative employment is defined in the Retraining and Redeployment Policy. Any offers of alternative employment must be subject to medical clearance from the Occupational Health Unit. If suitable alternative employment has not been found by the date of the above meeting, the employee will be issued with notice of termination on the grounds of capability due to unresolving ill health. The period of notice will be as stated in the contract of employment, which is usually one week for each completed year of continuous service up to a maximum of twelve weeks. During the notice period attempts will continue to find suitable alternative employment for the employee. (d) Not fit to undertake the requirements of their post or any other work in the Council, BUT is not permanently unfit (as defined by the respective Pension Regulations for Local Government Services employees, or teachers). In this case, the employee will be deemed

17 unfit for redeployment under the Retraining and Redeployment Policy (J2) and the Headteacher or other nominated senior member of staff should consider the remaining courses of action previously identified in discussion with the employee, or at a Case Conference. In these circumstances, it is likely that the employee will be dismissed on the grounds of capability due to unresolving ill health. As a result of not being permanently unfit the employee will not be eligible to access pension benefits. (e) Not fit to perform any work. In this case the employee is deemed to be permanently unfit to work and will be dismissed on the grounds of capability due to unresolving ill heath. Within the notice of termination of employment there will be brief details of the criteria for ill health retirement, and a tear off slip will be provided for individuals to complete and return to Human Resources to request access to their pension benefits on health grounds. In the case of teachers, the employee will be provided with details of the application process for access to Infirmity Benefits under the Teachers Pensions Scheme if they have not already received them, or the process has not already started. Should an employee wish to apply for access to their pension benefits they will be requested to complete an application form, and an appointment will be made with the Occupational Health Unit to determine eligibility. In the case of Local Government Service employees the Occupational Health Unit will write to the employee notifying them of the outcome of their application and, if their application has been unsuccessful, giving them the right of appeal against the decision. In the case of teachers, they will be notified of the outcome of their application by Teachers Pensions. In the case of terminal ill health the Occupational Health Unit and Human Resources will deal with access to pension benefits on behalf of the employee to ensure that the most beneficial options are identified for the employee, and that the process is managed with as much sensitivity as possible. A template letter inviting an employee who has a continuous absence to a dismissal hearing can be found at appendix 9. Unauthorised absence An employee who has failed to follow the Procedure for notifying absence in line with paragraph 4.2 of the Procedure is considered to be absent without permission. On the employee s return to work the Headteacher, other nominated senior member of staff or appropriate line manager must ascertain the reason for the absence and decide whether there was an acceptable reason for the failure to follow the procedural requirements. If the reason given for not making contact is acceptable and was due to sickness, then sickness absence can be recorded retrospectively. If the reason is not due to sickness but is acceptable and in line with the policies adopted by the Council and Governing Body appropriate action should be taken to authorise paid or unpaid absence and the decision and circumstances must be recorded (see template letters at appendix 9and 10). Where there are no acceptable circumstances then pay must be deducted and disciplinary action considered, where appropriate. If the employee fails to contact the nominated person on their first day of absence it is acceptable practice for the Headteacher, other nominated senior member of staff or appropriate line manager to try and make contact with the employee to ascertain their whereabouts and health status. Where attempts to make contact have been unsuccessful and the employee has