Absence Management Policy

Transcription

1 Reference Number: Version: 1.1 Name of Originator / Author & Organisation: Responsible LECCG Committee: LECCG Executive lead: HR031 Date Approved by LECCG Authorising Committee: Sarah Simmonds, HR NHS Arden & GEM CSU Risk & Governance Committee Tracy Pilcher, Chief Nurse December 2018 Target Audience: Distributed via: All Staff Website Intradoc Date Policy Circulated: December 2018 Page 1 of 15

2 Version Control Sheet Version Number Changes: i.e. Whole revision / Section revision / Paragraph / Appendix Version description of amendments 1. Whole Revision Whole revision to reflect use by CCG 1.1 Whole revision Whole revision and the addition of Public Equality Duty statement. Date Author/amended by Steve Wright Steve Copeland December 2018 Page 2 of 15

3 ASSISTANCE WITH THE APPLICATION OF THIS POLICY AND UPDATES This policy has been prepared so as to reflect the law as at 1 June The policy will require periodic review to reflect subsequent changes to the law. Changes to employment law have generally been made on 1 February, 1 April and 1 October in any given year. For advice and assistance in relation to the application of this policy and to obtain updates please contact: Stephen Wright, Deputy Head of HR Business Partners, GEM CSU, Birch House, Ransom Wood Business Park, Southwell Road West, Mansfield, Notts. NG21 0HJ December 2018 Page 3 of 15

4 1. INTRODUCTION AND PURPOSE OF POLICY & PROCEDURE 1.1 This sets out the Clinical Commissioning Group s ( CCG ) procedures for reporting sickness absence. It is also designed to provide a supportive framework for employees where a shortfall in attendance has been identified to assist those employees to improve, reach and maintain the standard of attendance expected. 1.2 Sickness absence can vary from short intermittent periods of ill-health to a continuous period of long-term absence and have a number of different causes (for example, injuries, recurring conditions, or a serious illness requiring lengthy treatment). 1.3 The CCG wishes to ensure that all absences and the reasons for them are reported, recorded, monitored and analysed in order to identify problems, review individual cases and decide upon any appropriate action. In addition, where needed and reasonably practicable, measures will be taken to assist those who have been absent by reason of sickness to return to work. 1.4 This policy does not form part of any employee's contract of employment and it may be amended at any time. The CCG may also vary the procedures set out in this policy, including any time limits, as appropriate in any case. 2. SCOPE OF POLICY 2.1 This policy covers all employees at all levels and grades, including senior managers, officers, directors, employees, trainees, homeworkers, part-time and fixed-term employees. 2.2 The CCG recognises its own responsibilities for ensuring that the Workplace is a healthy and safe place to be. The CCG will conform to The Health and Safety at Work Act 1974, the Data Protection Act 1998, the Equality Act 2010 and other relevant legislation and good practice guidelines. 3. RESPONSIBILITIES 3.1 Human resources will ensure that systems are in place for the monitoring of sickness absence. 3.2 Managers and Supervisors will be responsible for inputting details of their employees absence and the management of employees sickness absence. Page 4 of 15

5 4. SICKNESS ABSENCE REPORTING PROCEDURE 4.1 If an employee is taken ill or injured while at work they should report this to their line manager who will determine the most appropriate action to be taken. Line managers should contact the Occupational Health Department to make arrangements for anyone who is unwell to receive medical treatment where necessary. 4.2 If an employee cannot attend work because they are ill or injured they should telephone their line manager or the CCG s Human Resource s department as early as possible and no later than 30 minutes after the time when they are normally expected to start work. If the manager is not available the employee can leave a message and the manager will contact them as soon as is practicably possible. The following details should be provided: (a) The nature of their illness or injury (b) The expected length of their absence from work (c) Contact details (d) Any outstanding or urgent work that requires attention 4.3 Line Managers should ensure that: (a) Any sickness absence that is notified to them is recorded and reported to the Human Resources Department (b) Arrangements are made, where necessary, to cover work and to inform colleagues and clients (while maintaining confidentiality) 4.4 Employees should expect to be contacted during their absence by their line manager who will want to enquire after their health and be advised, if possible, as to their expected return date. 4.5 Employees who are ill or injured during a period of pre-arranged annual leave may elect to treat the days of incapacity as sickness absence instead of annual leave provided they follow the CCG s reporting procedures and obtain a medical certificate confirming their sickness. Employees must inform their line manager of their incapacity and its likely duration, even if they are abroad. Employees will not receive contractual sick pay unless they are able to provide a medical certificate or other evidence of incapacity at their own expense for the full period of incapacity. 5. EVIDENCE OF INCAPACITY 5.1 For sickness absence up to seven calendar days employees must complete a self-certification form which is available from the Human Resources Department. Page 5 of 15

6 5.2 For absence of more than a week employees must obtain a certificate from their doctor (a "Statement of Fitness for Work") stating that they are not fit for work and the reason(s) why. This should be forwarded to their line manager as soon as possible. If the employees absence continues, further medical certificates must be provided to cover the whole period of absence. 5.3 If an employee s doctor provides a certificate stating that they "may be fit for work" they should inform their line manager immediately. The CCG will work with the employee to consider any support or adaptations that may be needed to facilitate their return to work, taking account of their doctor's advice. This may take place at a return to work interview. If appropriate measures cannot be taken, the employee will remain on sick leave and the CCG will set a date to review the situation. 5.4 Where the CCG is concerned about an employees absence it may require a medical certificate for each absence regardless of duration. In such circumstances, the CCG will cover any costs incurred in obtaining such medical certificates, for absences of a week or less, on production of a doctor's invoice. 6. UNAUTHORISED ABSENCE 6.1 Cases of unauthorised absence will be dealt with under the CCG s Disciplinary Policy. 6.2 Absence that has not been notified in accordance with the terms of this policy will be treated as unauthorised absence. 6.3 If an employee does not report for work and has not telephoned their line manager to explain the reason for their absence, their line manager will try to contact them, by telephone and in writing if necessary. This should not be treated as a substitute for reporting sickness absence. 6.4 Failure by an employee to notify the CCG of their absence will mean that such absence will be dealt with as detailed in paragraph KEEPING IN CONTACT DURING SICKNESS ABSENCE 7.1 When employees are absent on sick leave they should expect to be contacted from time to time by their line manager to discuss their wellbeing, any support that can be provided, the employee s expected length of continued absence from work and any work issues. Such contact is intended to provide support, reassurance and will be kept to a reasonable level. The nature of the contact will be agreed with employees. Page 6 of 15

7 7.2 If employees have any concerns while absent on sick leave, whether about the reason for their absence or their ability to return to work, they should feel free to contact their line manager and or Human Resources Business Partner at any time. 8. MEDICAL EXAMINATIONS 8.1 The CCG may, at any time in operating this policy, ask an employee to consent to a medical examination by its Occupational Health Department and/or a doctor nominated by it, at its expense. The CCG may also seek an employee s consent for Occupational Health to contact their GP for information on the employee s fitness for work. 8.2 The employee s informed and written consent will be obtained by the CCG before contact is made with these physicians, in accordance with the Access to Medical Reports Act RETURN TO WORK INTERVIEWS 9.1 Managers should complete a return to work interview with employees following every period of absence. In many cases the meeting may be as brief as a quick chat to ensure the employee is fit to return, welcome them back to work and provide any support that could help them. 9.2 A return-to-work interview enables the CCG to confirm the details of the employee s absence. It also gives the employee the opportunity to raise any concerns or questions they may have, and to bring any relevant matters to the CCG s attention. 9.3 Where an employee s doctor has provided a certificate stating that they "may be fit for work" the CCG will hold a meeting to discuss any additional measures that may be needed to facilitate the employee s return to work, taking account of their doctor's advice. 10. RETURNING TO WORK FROM LONG-TERM SICKNESS ABSENCE 10.1 The CCG is committed to helping employees return to work from long-term sickness absence. Long term sickness absence is absence which is longer than 4 weeks, in any 12 month period. As part of the CCG s absence management procedure, the CCG will, where appropriate and possible, support returns to work by: (a) Obtaining medical advice (b) Make appropriate reasonable adjustments to the workplace, working practices and working hours (c) Considering redeployment; and/or Page 7 of 15

8 (d) Agreeing a return to work programme with everyone affected If employees are unable to return to work in the longer term, the CCG will follow the formal absence management meetings procedure 11. ABSENCE MANAGEMENT MEETINGS PROCEDURE 11.1 LECCG may apply this procedure whenever it considers it necessary, including, for example, if an employee: (a) has been absent due to illness on a number of occasions (b) as discussed matters at a return to work interview that require investigation; and/or (c) has been absent for more than 7 days 11.2 Employees must take all reasonable steps to attend a meeting. Failure to do so without good reason may be treated as misconduct. If employees or their companion are unable to attend at the time specified they should immediately inform their line manager or Human Resources who will seek to agree an alternative time A meeting may be adjourned if the employees line manager or the Human Resources department is awaiting receipt of information, needs to gather any further information or give consideration to matters discussed at a previous meeting. Employees will be given a reasonable opportunity to consider any new information obtained before the meeting is reconvened If, at any time, employees line managers or the CCG s Human Resources Department consider that they have taken or are taking sickness absence when they are not unwell, they may refer matters to be dealt with under the CCG s Disciplinary Policy. 12. RIGHT TO BE ACCOMPANIED AT MEETINGS 12.1 Employees may be accompanied to meetings by either a trade union representative or a colleague. Their identity must be confirmed to the line manager or Human Resources representative conducting the meeting, in good time before it takes place Employees are allowed reasonable time off from duties without loss of pay to act as a companion. However, they are not obliged to act as a companion and may decline a request if they so wish Some companions may not be allowed: for example, anyone who may have a conflict of interest, or whose presence may prejudice a meeting. Companions should not normally work at another site, unless no-one reasonably suitable is available at the site at which the employee works. Page 8 of 15

9 12.4 The CCG may at its discretion, permit a companion who is not a colleague or union representative (for example, a family member) where this will help overcome particular difficulties caused by a disability, or difficulty understanding English A companion may make representations, ask questions, and sum up an employee s position, but will not be allowed to answer questions on the employee s behalf. The employee may confer privately with their companion at any time during a meeting. 13. STAGE 1 - PRELIMINARY (INFORMAL) ACTION 13.1 If there are concerns regarding an employee s level of attendance, the manager will arrange a meeting with the employee to review their absence record and if relevant, draw up a performance development plan. A review period should be agreed (which will vary in individual cases, but generally this will be between 4 and 8 weeks) and support mechanisms considered. It is not usual practice for an employee to be accompanied at this stage. However, if the manager or employee feels that it would be appropriate, the employee may be accompanied by a colleague or Trade Union representative. HR may also attend A meeting should be held with the employee at the end of the review period to determine whether the performance development plan has been achieved. If the employee has not achieved the required level of attendance required during the plan or by the end of the review period, the line manager may consider progressing to Stage 2 of this procedure. However, if the employee has made sufficient improvement, the absence management procedure will cease. If the improvement is not sustained for 6 months from the end of the review period then the manager may progress to Stage 2 of this procedure Brief notes of all meetings should be taken to record what has been discussed and a copy provided to the employee for their agreement. 14. STAGE 2: FORMAL ACTION 14.1 Where there are continuing concerns over an employee s attendance, the manager will invite the employee to attend a Formal Absence Management Meeting. Seven days notice will be given for this meeting, the purpose of which is to establish the facts, to allow the employee to respond to concerns about their attendance and if applicable, put further support mechanisms in place. The employee has the right to be accompanied by a work colleague or Trade Union representative. Notes should be taken at this meeting and a copy will be sent to the employee for their agreement, together with any relevant documents e.g. the agreed performance development plan. Page 9 of 15

10 14.2 The person conducting the meeting will: (a) Identify the level of absence, and give clear guidance on the standard of attendance required (performance development plan); (b) Explore any support mechanisms available to help the employee improve their attendance; (c) Specify the monitoring and review period for improvement (which will vary in individual cases, but generally this will be between 4 and 8 weeks); (d) Advise the employee of the potential outcomes of the meeting noting that failure to improve to the required attendance level within the timescale could lead to the manager arranging an attendance management hearing whereby the employee could be issued with a final written warning (or dismissed in the case of long term absence) The employee will: (a) Provide an explanation as to any reasons why their attendance is not meeting expectations and explore any factors that may be having an impact (e.g. domestic circumstances, underlying health problems, work concerns, etc.); (b) Identify any support mechanisms that they feel may help them to improve their attendance Review Meeting 14.5 A review meeting will be held at the end of the support plan period, unless the plan will not be achieved during the review period, in which case it may be earlier. Employees have the right to be accompanied by a colleague or Trade Union representative. Notes should be taken at this meeting and a copy will be sent to the employee along with a letter confirming the outcome of the meeting Both the person conducting the meeting and the employee will have an opportunity to present evidence to support their position The potential outcomes of the meeting are: a) If the employee has made sufficient improvement, the attendance management procedure will cease. However, if the improvement is not sustained for 9 months from the end of the review period then the manager may recommence at Stage 3 of this procedure. b) If some improvement has been made and further progress is likely, it may be appropriate to extend the review period by 4-6 weeks. In the majority of cases it will be appropriate to extend the review period just once during the attendance management process. Page 10 of 15

11 c) If no, or insufficient improvement has been made, the employee will be advised that a Stage 3 Absence Management Hearing will be arranged at which they could be issued with a Final Written Warning If applicable, escalation to a Stage 4 Attendance Management Hearing (if management and employee agree that there is no likelihood that the employee will be able to return to work, and all other options (i.e. Ill Health retirement) have been exhausted, then Stage 3 may be bypassed. 15. STAGE 3: FINAL SICKNESS ABSENCE MEETING 15.1 The manager will be responsible for arranging a panel, chaired by a senior manager, who has no prior involvement in the employee s case, and accompanied by two other panel members; another independent manager and a representative from HR Services. The manager should also arrange a note-taker Seven working days written notice will be given to attend the formal hearing in which the employee will be informed of the reasons for the hearing and their right to be accompanied by a work colleague or Trade Union representative. The letter should state that a potential outcome of the hearing is a final written warning. Employees should also receive copies of relevant documentation e.g. performance development plan(s), notes of meetings, etc. within an evidence folder. Employees will also be given an opportunity to provide evidence and this must be submitted to the Chair of the panel at least 5 working days before the date of the hearing The panel may find: (a) The level of attendance is acceptable; (b) It is appropriate to issue the employee with an extension (4-6 weeks) to the review period of the performance development plan agreed during Stage 2. This should only be considered if an extension has not previously been given during the attendance management procedure or in exceptional circumstances. The panel will reconvene at the end of the extension period; (c) The level of attendance is not acceptable. If the panel are satisfied that the employee has been unable to improve their attendance to the required standard, they will issue the employee with a final written warning. Within 7 days of the hearing, the manager should meet with the employee to agree a further performance development plan and review period. A date and time should also be agreed for the final (and any mid-point) review meeting. The panel may wish to make recommendations at the hearing regarding the contents or duration of the performance development plan; Page 11 of 15

12 15.4 The employee should receive written confirmation of the outcome of the hearing including information on their right to appeal the decision Final Written Warning 15.6 Where an employee has received a Final Written Warning, this will remain on their file for 12 months Right of Appeal 15.8 An employee has the right to appeal against their final written warning. Any appeal must be submitted to the manager, who provided the written confirmation of the formal warning, in writing within 5 working days of receiving notification of the hearing Review Meeting A review meeting will be held at the end of the performance development plan review period, unless the plan has not been achieved, in which case it may be earlier. The employee has the right to be accompanied by a work colleague or Trade Union representative. Notes should be taken at this meeting and a copy will be sent to the employee together with a letter confirming the outcome of the meeting The potential outcomes of the meeting are: (a) If the employee has made sufficient improvement, the attendance management procedure will cease. However, if the improvement is not sustained within 12 months from the end of the review period then the manager may recommence at Stage 4 of this procedure; (b) If some improvement has been made and further progress is likely, it may be appropriate to extend the review period by 4-6 weeks. This should only be considered if an extension has not previously been given during the absence management procedure; If no, or insufficient, improvement has been made, the employee will be advised that a Stage 4 Absence Management Hearing will be convened to consider the case and that a potential outcome is dismissal. Termination will normally be with full notice or payment in lieu of notice. 16. STAGE 4 - ABSENCE MANAGEMENT HEARING 16.1 The manager will be responsible for arranging a panel, chaired by a senior manager, who has no prior involvement in the employee s case, and accompanied by two other panel members; another independent manager and a representative from HR Services. If a hearing has already been held under Stage 3 of the procedure then, where possible, the same panel should be used for this hearing. The manager should also arrange a note-taker. Page 12 of 15

13 16.2 Seven working days written notice will be given to attend the hearing in which the employee will be informed of the reasons for the hearing and their right to be accompanied by a work colleague or trade union representative. The letter should state that a potential outcome of the hearing is dismissal. Employees should also receive copies of relevant documentation e.g. performance development plan(s), notes of meetings, etc. within an evidence folder. Employees will also be given an opportunity to provide evidence and this must be submitted to the chair of the panel at least 5 working days before the date of the hearing The panel may find: (a) The level of attendance is acceptable; (b) It is appropriate to issue the employee with an extension (4-6 weeks) to the review period of the support plan agreed during Stage 3. This should only be considered if an extension has not previously been given during the attendance management procedure or in exceptional circumstances. The panel will reconvene at the end of the extension period; (c) The level of attendance is not acceptable. If the panel are satisfied that the employee has been unable to improve their attendance to the required standard, they will dismiss the employee from the Council s employment with notice The employee will be notified in writing of the outcome of the hearing including their right of appeal. If the employee has been dismissed, the letter should include the reason for the dismissal and the employee s termination date. A copy of the notes from the hearing should also be provided. 17. APPEALS 17.1 An employee may appeal against the outcome of any stage of this procedure and may bring a companion to an appeal meeting An appeal should be made in writing, stating the full grounds of appeal, to the employee s line manager within 7 days of the date on which the decision was sent to them Unless it is not practicable, the employee will be given written notice of an appeal meeting within one week of their appeal. In cases of dismissal the appeal will be held as soon as possible. Any new matters raised in an appeal may delay an appeal meeting if further investigation is required An Employee will be provided with written details of any new information which comes to light before an appeal meeting. An employee will also be given a reasonable opportunity to consider this information before the meeting Where practicable, an appeal meeting will be conducted by a manager or relevant officer senior to the individual who conducted the absence management meeting. Page 13 of 15

14 17.6 Depending on the grounds of appeal, an appeal meeting may be a complete rehearing of the matter or a review of the original decision Following an appeal the original decision may be confirmed, revoked or replaced with a different decision. The final decision will be confirmed in writing, if possible within 7 days of the appeal meeting. There will be no further right of appeal The date that any dismissal takes effect will not be delayed pending the outcome of an appeal. However, if the appeal is successful, the decision to dismiss will be revoked with no loss of continuity or pay If the employee is a member of the NHS pension scheme, they may be eligible for ill-health benefit. This requires an application to be made by the employee, and the decision to award is based upon specific rules as set by the Pensions Agency. The details of these are on the their web site at the following address It is important that the Pensions Agency is notified of any impending retirement as soon as is reasonably practical, otherwise pension payments may be delayed. The success of an application for a pension, and the Trust decision to dismiss are not related Discussion may also take place between the manager and the Human Resources Business Partner to determine: If in case of injury at work, an application for Temporary Injury Allowance should be made Whether the employee s contractual sick pay should be extended The possibility of granting unpaid leave for a specified period (see Unpaid Leave Policy) The arrangements that will be necessary to cover the work of the sick employee 18. SUPPORT FOR STAFF 18.1 Right to be accompanied at meetings 18.2 Employees may be accompanied to meetings by either a trade union representative or a colleague. Their identity must be confirmed to the line manager or Human Resources representative conducting the meeting, in good time before it takes place Employees are allowed reasonable time off from duties without loss of pay to act as a companion. However, they are not obliged to act as a companion and may decline a request if they so wish Some companions may not be allowed: for example, anyone who may have a conflict of interest, or whose presence may prejudice a meeting. Companions should not normally work at another site, unless no-one reasonably suitable is available at the site at which the employee works. Page 14 of 15

15 18.5 The CCG may at its discretion, permit a companion who is not a colleague or union representative (for example, a family member) where this will help overcome particular difficulties caused by a disability, or difficulty understanding English A companion may make representations, ask questions, and sum up an employee s position, but will not be allowed to answer questions on the employee s behalf. The employee may confer privately with their companion at any time during a meeting Access to employee assistance scheme (ICAS) 18.8 Staff are encouraged to contact ICAS to provide advice and support which is confidential and free. Contact to ICAS services is through a telephone system Access to Therapeutic Support and Occupational Health Services Staff may self-refer to Occupational Health for advice and support. In such circumstances this is a confidential matter between the member of staff and the Occupational Health department. In addition where staff are finding access to therapeutic services un-timely, the Trust through Occupational Health will support access to suppliers through GP contact. 19 MONITORING OF POLICY 19.1 The policy will be monitored through regular performance reports. For Provider Services it will also be monitored through the HR Annual Report. 20 IMPLEMENTATION AND DISSEMMINATION OF THE DOCUMENT 20.1 The document will distributed to all staff via Intradoc and the Lincolnshire East CCG Website. Page 15 of 15