Attendance & Absence Management Suite of Policies

Attendance & Absence Management Suite of Policies

Governors Committee Responsible for the Policy: Standards Committee Date Approved: March 2015 Recommended Review Period: Annual Date for Review: March 2016 Leadership Team Role Responsible for the Operation of the Policy: Headteacher Notes to be read in conjunction with the Attendance Management Suite of Policies Please read in conjunction with Attendance & Absence Management Suite of Policies. Seaford Head operates in accordance with ESCC Policies using the 3:6 Rule for Absence Management. In conjunction with this Seaford Head also operates an internal monitoring of absence for absence review/management based on the following: The general annual target for Seaford Head is: no greater than 6 days through illness in the academic year. Following any absence through illness you will attend an informal duty of care meeting with your Line Manager. This is to ensure that you are physically well enough to return to work and to assess if you require any assistance/support to remain at work. Cumulative absences totalling 5 days or more in duration in any one term may trigger a Line Management Meeting, as above to ensure no recurring health issues and discuss any possible targets for the subsequent term. Any absence pattern which creates a cause for concern may also trigger a Line Management meeting. Compassionate Leave: (All staff) Compassionate Leave is at the discretion of the Headteacher and will depend on the particular circumstances of the case and the needs of the school at the time the request is made. All Staff requesting Compassionate Leave must see the Headteacher in person. Dependent Care: (All Staff) The maximum paid annual allowance for Dependant Care is 3 days. This will be calculated pro rata for part time staff. Support staff will be eligible for this following one year s service. Recognition for good attendance: All staff with good/outstanding attendance will have this recognised through the school s pay policy. Staff attendance which falls short of 95% will not be considered eligible for progression. Staff attendance will be reviewed annually and those staff with 95%+ will receive an attendance certificate which will be entered into a staff draw leading to a financial reward. 2

1. Attendance Management Policy & Procedure Page 5 2. Leave of Absence for Teachers Page 42 3. Leave of Absence for Support Staff Page 44 4. Occupational & Statutory Sick Pay Page 48 5. Maternity/ Paternity Information (babies born after 4/4/2015) Page 50 Teachers 6. Maternity/ Paternity Application Form Page 86 7. Maternity/ Paternity Information (babies born after 4/4/2015) Page 94 Non teaching staff 8. Maternity/ Paternity Application Form Page 130 Non teaching staff 3

1. Attendance Management Policy & Procedure Attendance Management Policy Page 5 The Short Term Attendance Management Procedure Page 10 Explanation of Terms Used Page 12 The Stages of the Short Term Procedure Page 15 Introduction to Managing Long Term Sickness Absence Page 23 The Long Term Attendance Management Procedure Page 26 Explanation of Terms Used Page 27 The Phases of the Long Term Procedure Page 28 Appendix A: The Appeals Process for Attendance Improvement Notices Page 34 Appendix B: The Procedure for Hearing a Recommendation for Termination of Employment Page 36 Appendix C: The Conduct of Attendance Management Meetings Page 38 Equality Impact assessment summary Page 41 4

ATTENDANCE MANAGEMENT POLICY Policy Statement Page 5 Key points Page 5 1. Why is it important to manage attendance? Page 5 2. Who takes responsibility for managing attendance? Page 6 3. Pre-employment and Probation Monitoring Page 7 4. What is the definition of a sickness absence? Page 7 5. Are flexible leave options available? Page 7 6. To whom does the Attendance Management Policy and Procedure apply? Page 8 7. Are there other policies and procedures linked to Attendance Management? Page 8 8. What is the Equality Act and how does it impact on Management of Attendance? Page 8 9. Corporate and departmental absence targets Page 9 10. What are the Attendance Management Procedures? Page 9 11. Equality Impact Assessment Page 41 Policy Statement: Improving Staff Attendance Positively Impacts on Service Delivery. At Seaford Head we believe in providing our employees with a healthy working environment and promoting and encouraging a healthy approach towards life. Key points Attendance Management starts at the point of recruitment and selection. It is important to manage sickness absence in a fair, consistent and compassionate way. There is an agreed procedure for managing short term sickness absence that must be followed. A different procedure applies to long term sickness absences of 4 continuous calendar weeks duration or more. Where either procedure is followed, it may be legitimate to consider recommending termination of employment on the grounds of incapability due to ill health even where the health reason is genuine. Line managers are responsible for managing attendance with support from Personnel specialists. Personnel specialists provide up to date Attendance Management information and the Headteacher will receive monthly trigger information from these Personnel specialists. The Attendance Management Toolkit containing advice and guidance for managers is available from the Headteacher. The Attendance Management Policy and Procedure applies to all Seaford Head employees including those with a disability as defined in the Equality Act 2010. Exceptions are those employees in their probationary year and employees in schools where the Governing Body has not adopted this policy. 1. Why is it important to manage attendance? 1.1 Seaford Head believes that its employees are its most valuable resource and recognises the important contribution made by regular attendance at work to maintaining high levels of service to the community. 1.2 Managing attendance is not only about ensuring that employees do not take time off work unless they have a genuine reason, it is also about providing a healthy working environment and promoting and encouraging a healthy approach towards life. 1.3 It is also important to manage attendance because of the impact staff absence can have on other colleagues in the workplace, who may be required to cover the duties of absent staff in addition to their own workloads. 5

1.4 The School believes that it is important to manage sickness absence in a fair, consistent and compassionate way. 1.5 Whilst some staff absence is inevitable, high levels of absence overall can be one of the many indicators of low staff morale. If absence levels are considered to be too high, managers may need to review working practices and/or working conditions and/or the culture in the workplace itself. 1.6 Acknowledging staff attendance following a sickness absence reinforces an individual s value at work and allows managers scope to identify ways in which employees can be supported to improve their attendance at work at an early stage. 2. Who takes responsibility for managing attendance? 2.1 Chief Officers/Headteachers 2.1.1 Chief Officers/Headteachers are responsible for ensuring that arrangements are in place in their departments/schools for the effective management of attendance, which will include regular reporting to service/school management teams. 2.2 Line Manager 2.2.1 The Attendance Management Procedure recognises that day to day absence management issues are best handled on an individual, one-to-one basis and the appropriate person to do this is the Line Manager. An integral part of each manager s responsibility is to maintain accurate record keeping, in order to develop a fair and consistent managerial approach to work attendance. 2.2.2 Consequently, managers should have the following target set as one of their annual performance targets each year: To consistently apply the Short and Long Term Attendance Management Procedures, in order to deliver the departmental absence reduction target. 2.2.3 Working conditions are regulated by Health and Safety legislation and managers are expected to ensure that all relevant legislation to protect the health and safety of its employees is complied with and that all necessary protection, training and awareness is provided to employees. 2.2.4 In schools it may be more appropriate for a member of the senior management team (who may not be the line manager) to manage attendance to ensure confidentiality of personal information is adequately safeguarded. 2.3 The Personnel and Training Team (PAT) 2.3.1 The Personnel and Training (PAT) Occupational Health Team, Staff Counselling Service and PAT Health and Safety Advisers are available to assist Chief Officers, Headteachers and senior/line managers in implementing School policies concerning the health, safety and welfare of employees. 2.3.2 PAT also support the effective management of attendance by providing information on absence levels and advice and support to managers on the operation of the procedures, during the formal stages. 2.4 Individual employees 2.4.1 Each employee has a personal responsibility to take all reasonable measures to ensure their fitness for work and to strive for 100% attendance. 2.4.2 If absences are work related, employees have a responsibility to be proactive in raising their concerns about work related causes of absence as part of the normal staff/manager relationship. Managers should then seek advice in accordance with the guidance to line managers in Paragraph 2.2.3 above. 2.4.3 Each employee has a personal responsibility to be pro-active in participating fully and constructively at all stages of the Attendance Management Procedures (both short term and long term) should either apply to them at any stage of their employment with the School, in order to ensure that they receive appropriate help and support to minimise their sickness absence record and optimise their well-being. 2.4.4 Where references to the Occupational Health Team or Occupational Health Physician are made, the employee s consent for an approach to their own doctor will be sought. Seaford Head School has in place procedures for such referrals and advice can be 6

provided by PAT. 2.4.5 In the event of consent not being given, the employee may be required to see the Occupational Health Physician and/or the Occupational Health Physician will be asked to give an opinion based upon available information at the time (Access to Medical Records Act 1988 will apply). 2.4.6 Where an employee declines to co-operate by withholding information or consent for an approach to their own doctor, there is the potential for decisions to be made which will be to their detriment. 3. Pre-employment and Probation Monitoring 3.1 Managing sickness absence and ensuring attendance at work starts at the point of recruitment and selection and it is the responsibility of managers, before confirming an appointment, to seek health related information from a previous employer, such as number of days absence in a given period (usually 12 months or 2 years) with the number of occasions this represented and the reasons for absence. Under the provisions of the Equality Act 2010 this information may only be sought once an offer of employment has been made. This offer should be conditional on satisfactory pre-employment checks and candidates should not be appointed where their previous health record subsequently causes concern. 3.2 Similarly, where a newly appointed member of staff is on probation, the attendance record should be reviewed regularly during the probationary period. Although attendance should be monitored closely at all times, particular attention should be given to attendance levels during the Probationary Review and Appointment Support periods, as part of the Supported Introduction to Employment procedures. 3.3 The Attendance Management Policy and the Procedures for managing both short and long term sickness absence do not apply to employees working within their probationary period. These employees will have their attendance managed through the Probationary Review Procedure. However the same attendance standards will apply under the Probationary Review Procedure, as under the Attendance Management Policy and Procedures (short and long term), and any breaches of attendance triggers or cause for concern, will result in serious consideration being given to the probationary employee s continued employment. 3.4 To ensure the employee is being treated equitably, managers will need to be aware of the overall absence reduction target their Department/School is aiming to achieve as this will provide a benchmark against which the probationary employee s attendance can be assessed. 4. What is the definition of a sickness absence? 4.1 A sickness absence is any absence from work where the employee is unfit through a medical condition or receiving medical treatment, including medical conditions and treatments falling within the Equality Act (see below, Section 8), except in the following circumstances: any pregnancy related illness authorised unpaid or paid leave for hospital or doctors appointments at which no actual treatment is to be provided authorised leave for dentists appointments authorised annual and flexi leave (including agreed duvet days see Para. 5.2 below) 5. Are flexible leave options available? 5.1 It is recognised that the ability to request annual leave (or, where applicable, flexi leave) at short notice i.e. on the morning that an employee is due to come into work may prove useful to staff and managers, if it were to avoid what might otherwise be a staff sickness i.e. where an unexpected personal or domestic situation arises. 5.2 These duvet days allow an employee to take up to two days of their annual or flexi leave entitlement per leave year at short notice, subject to their line manager s agreement, if it would prevent an unauthorised absence. The needs of the service and the possible costs 7

associated with cover arrangements must be considered by the manager prior to authorisation. 5.3 However, caution must be exercised by managers in using this discretion and any genuine sickness absence must be recorded as such. 5.4 Employees working in schools may not exercise the option to request a duvet day short notice leave day, due to the nature of term time working and contractual requirement for leave to be taken in school holidays only. 6. To whom does the Attendance Management Policy and Procedure apply? 6.1 The Attendance Management Policy and Procedure applies to all Seaford Head employees, including those on both permanent and temporary contracts. The Attendance Management Policy and Procedure does not apply to employees in their probationary period. 6.2 The Attendance Management Policy and Procedure applies, without exemptions, to all School employees who have a disability or medical condition which falls within the definitions set out in the Equality Act. However, managers will have regard to the impact of the employee s disability when managing sickness absence and agreeing any reasonable adjustments. 7. Are there other policies and procedures linked to Attendance Management? 7.1 Related policies 7.1.1 Alongside the Attendance Management Policy and Procedure there are the following related policies such as the School s Pay Policy. 7.2 Attendance Management Toolkit 7.2.1 Further guidance for managers is available from the Headteacher 7.3 Guidance for the management of disability in the workplace 8. What is the Equality Act and how does it impact on Management of Attendance? 8.1 The Equality Act 2010 acknowledges that an employee s illness may fall within the definition of a disability: a physical or mental impairment which has a substantial and long-term adverse effect on his/her ability to carry out normal day to day activities 8.2 The definition has four parts: the person must have a physical or mental impairment the impairment must have adverse effects which are substantial the substantial effects must be long term the long term substantial effect must have an adverse effect on normal day to day activities 8.3 Under the Equality Act, employers must consider making reasonable adjustments to assist employees (or potential employees) who, within the terms of the Act are disabled, to allow them to access work or to continue working. This might include: the re allocation of duties, the provision of physical aids or permitting different patterns of work as long as the change is deemed reasonable in the context of the specific circumstances. 8.4 In the first instance, managers are responsible for decisions on whether an adjustment is reasonable based on the following factors: how effective it would be in preventing or minimising any disadvantage to the disabled person how practical it is an action is more likely to be reasonable if it is straightforward the financial and other costs, including any disruption to other people or to the activities of the team 8

the extent of financial and other resources available the availability of external support and funding the extent to which the disabled person co-operates, if someone refuses to co- operate with the only adjustments that are reasonable, managers do not have a duty to do more. 8.5 Managers can approve whatever they consider to be reasonable for a person within their team or department. However, if a manager considers refusing an adjustment that has been suggested by the disabled person or by an internal or external medical or Occupational Health Adviser, he/she must first discuss their decision with their Personnel specialist. 8.6 The Equality Act applies to staff who work full or part time, temporarily or permanently and also covers some people who work for the School on a self-employed basis or through a consultancy or agency. 8.7 Guidance and advice on the Equality Act is available from the relevant Personnel specialist who will involve the Occupational Health Team and the Legal Services Team as appropriate. 8.8 The provisions of the Equality Act are relevant to, and underpin, the corporate procedures. The implications of the Equality Act in relation to the member of staff, their circumstances and the nature of their illness should be considered at each stage of the Attendance Management Procedure, because an individual employee s condition may fluctuate or change (for better or worse) over time. Similarly an employee not previously covered by the provisions of the Equality Act may fall within its definitions following a period of illness or injury. 8.9 Managers have a responsibility to ensure they are familiar with, and understand the application of, the comprehensive guidance concerning the Equality Act and Employment which is available on the internet. 9. Corporate and departmental absence targets 9.1 Seaford Head School is striving to achieve 100% attendance although it recognises that employees will have the occasional absence. However the School seeks to minimise these occasions by application of the Attendance Management Procedures. 9.2 Seaford Head School has sickness absence targets, in order to reduce absence days per employee per year. There is an overall target for the School as a whole which is reviewed and revised annually. 9.3 The overall corporate target provides managers with benchmark figures of sickness absence days per annum to facilitate the fair and consistent exercise of their judgement and discretion, when managing sickness absence and deciding whether the employee s sickness absence record gives cause for concern. 10. What are the Attendance Management Procedures? 10.1 The Attendance Management Procedures set a framework for managing both short term and long term sickness absences in the context of the School s Attendance Management Policy Statement. 10.2 The arrangements detailed in both the short term and long term procedures are to be followed, with no exemptions, on every occasion when employees are, or have been, absent from work due to sickness. 10.3 All personal records and any discussions held relating to employees attendance/absence must be treated in strict confidence. 9

THE SHORT TERM ATTENDANCE MANAGEMENT PROCEDURE Stage 1 Return to work meeting Stage 2 Trigger meeting If appropriate seek Occupational Health Advice Record one of three possible outcomes Not concerned - A blip in otherwise good attendance record Cause for concern by mitigating factors: Chronic illness, disability issues covered by the Equality Act external factor e.g. Pandemic Cause for concern Strategy meeting for improvement Develop Personal Attendance Support Plan Stage 3 Trigger meeting / cause for concern / Attendance Improvement Notice (Right to Appeal) Review at regular appropriate intervals not less than once every 6 months Stage 4 Trigger meeting / cause for concern / Second or Final Attendance Improvement Notice (Right to Appeal) Hearing to consider continued employment. May result in dismissal (Right to Appeal) 10

Short term procedure Long term procedure Stage 1 Return to work meeting Record one of three possible outcomes Phase 1 Initial attendance management meeting. Develop Personal Attendance Support Plan Stage 2 Trigger Meeting Stage 3 Trigger Meeting Attendance Improvement Notice (Right to Appeal) Strategy for Improvement Personal Attendance Support Plan Record one of three possible outcomes Phase 2 Interim attendance management meeting(s) Phase 3 Final attendance management meeting Stage 4 Trigger Meeting Second or Final Attendance Improvement Notice (Right to Appeal) Phase 3 Ill Health retirement Hearing to consider continuing employment may results in termination with Right ot Appeal Phase 4 Return to work (including medical redeployment) Hearing to consider continued employment. May result in termination with Right to Appeal Record one of three possible outcomes 24 month period Re-open Plan if further related absences occur 11

ST.1 Notification of Absence Page 12 ST.2 Frequent Short Term Sickness Absences Page 12 ST.3 What is the Short Term Procedure? Page 12 ST.4 What is meant by the term triggering? Page 13 ST.5 What are trigger reports? Page 13 ST.6 What is meant by cause for concern? Page 13 ST.7 What is a strategy for attendance improvement? Page 14 ST.8 What is a Personal Attendance Support Plan? Page 14 ST.9 What is an Attendance Improvement Notice? Page 14 ST.10 Stage One Return to Work Interview Page 15 ST.11 Stages Two, Three and Four of the Short Term Procedure - General Principles Page 15 ST.12 Stage Two Return to Work Trigger Meeting Page 16 ST.13 Stage Three Return to Work Trigger Meeting Page 18 ST.14 Stage Four - Return to Work Trigger Meeting Page 18 ST.15 Are there any circumstances at a Stage 3 or Stage 4 meeting when a manager may decide not to issue an Attendance Improvement Notice? Page 19 ST.16 What happens if an employee who is currently being managed under Stages 2-4 of the Short Term Procedure commences a period of long term sickness absence? Page 20 ST.1 ST1.1 ST1.2 Notification of Absence Each employee must notify their line manager as soon as they know that they are unable to attend work. Guidance should be issued to all employees and managers to ensure that they understand their responsibilities for the notification and management of absence. Chief Officers/Headteachers should ensure that each employee understands the procedures for informing their manager of an absence from duty. They should also ensure managers take responsibility for recording all absences on the notification of absence from duty form and monitoring the absence on a regular basis. The notification of absence from duty form must be forwarded as soon as possible to the Personnel Support Unit for recording on SAP. ST.2 Frequent Short Term Sickness Absences ST.2.1 Frequent short term absences that, in their nature, are unrelated may collectively signal general poor health. In such circumstances, there is likely to come a point where (assuming the attendance management procedures have not successfully resolved the problem) the interests of the organisation will outweigh the interests of the individual. This means that employment might be terminated where there is a record of frequent short term absences, following a hearing at which the employee will have with the right to representation and a right to appeal the outcome. EXPLANATION OF TERMS USED ST.3 ST3.1 What is the Short Term Procedure? The Short Term Procedure is the abbreviated term for the Short Term Attendance Management Procedure, used to describe the procedure for managing all short term sickness absences. These are sickness absences of between 1 and 28 calendar days (4 weeks) duration. Page 12 of 135

ST3.2 ST3.3 Sickness absences in excess of 4 weeks continuous duration will be managed under the Long Term Attendance Management Procedure (see below). The Short Term Procedure comprises four key stages: Stage One : Return to Work Interview all employees Stage Two : Return to Work Trigger Meeting (abbreviated to Stage 2 meeting) Stage Three : Return to Work Trigger Meeting (abbreviated to Stage 3 meeting) Stage Four : Return to Work Trigger Meeting (abbreviated to Stage 4 meeting) ST.4 What is meant by the term triggering? ST.4.1 This term refers to those individual employees who breach the benchmark figures set by School for the number of absence days taken in a specified period and/or the duration of the absence. The current benchmarks are: three separate absences in a 6 month period (referred to as the 3:6 rule) on a rolling 6 month basis one occasion of 8 working days or more continual absence ST.4.2 The 3:6 rule applies in all cases, irrespective of the nature of illness (including DDA conditions) or duration of individual periods of absence. Note: special consideration will need to be given to term time only patterns of work and the 3:6 rule. ST4.3 In addition, a pattern of absence which otherwise causes concern can trigger a Stage 2 or a Stage 3 meeting under the Short Term Procedure even if the 3:6 rule has not been breached and the employee has not otherwise triggered. ST.5 What are trigger reports? ST.5.1 The Personnel and Training Team (PAT) issue trigger reports to managers notifying them of any staff that have triggered in accordance with the definition above. ST.6 What is meant by cause for concern? ST.6.1 When reviewing any sickness absence with an employee under any stage of the Short Term Procedure, including Stage 1, the manager should be asking him/herself: am I concerned at the level and/or frequency of sickness absence this employee has taken? ST.6.2 Solely in the context of the School s Attendance Management Policy (see above, Paragraph 9.1) any sickness absence, even for legitimate reasons will, initially, give cause for concern because it will result in an attendance record of less than 100% and may also be indicative of underlying issues concerning the employee s health, or their safety and well-being at work. ST.6.3 The framework provided by the Short Term Procedure gives managers and employees an opportunity to explore the reasons for the sickness absence and for the manager to exercise their judgement and common sense about whether, in the light of these discussions, there is actual cause for concern, and if so the degree or level of that concern, taking into account a range of factors, including: School annual target figures for sickness absence The employee s individual employment history and attendance record, including the pattern and frequency of previous absences and number of days lost. The nature and circumstances of the particular sickness absence under discussion Any disability issues covered under the Equality Act that are likely to lead to an increased absence rate and/or above average or expected length of absence Page 13 of 135

Any advice received from the Occupational Health Team in relation to the employee s reason for sickness absence or, in the absence of such advice consider whether a referral would be helpful External influences on attendance levels e.g. a pandemic The nature of the employee s working environment and whether it may be a contributory factor or influence ST.7 What is a strategy for attendance improvement? ST.7.1 A strategy for attendance improvement will normally be developed by the manager and the employee at Stage 2 of the Short Term Procedure, as an alternative to issuing a formal letter recording cause for concern. ST.7.2 It is a consensual process between the manager and the employee involving the sharing of information and the preparation of a mutually agreed Personal Attendance Support Plan (see Para. ST.8.1 below). ST.7.3 Managers have discretion to implement this option where there are mitigating circumstances (see Para. ST.6.3 above), that should be taken into consideration when managing the frequency and pattern of the employee s absences. ST.7.4 There is no right of appeal where this discretionary option for managing sickness absence under the Short Term Procedure is implemented. If a strategy for attendance improvement cannot be agreed with the employee and a Personal Plan developed accordingly, the line manager will revert to managing the employee s attendance under the formal Short Term Procedure, Stages 2-4 inclusive, and the employee will have the right to appeal any Attendance Improvement Notices issued, in accordance with the provisions of that Procedure. ST.7.5 In exceptional and specific circumstances, a strategy for improvement may be adopted at the later formal stages (Stage 3 or Stage 4) of the Short Term Procedure see Section ST.15 below. ST.8 What is a Personal Attendance Support Plan? ST.8.1 A Personal Attendance Support Plan (hereafter referred to as a Personal Plan) will set out the strategy for attendance improvement and will include: the key points of discussion at the trigger meeting including a review of the employee s workload and/or the relationship with colleagues or line managers if considered relevant to the level of absence occurring confirmation that the absence gives cause for concern the reasons for the manager s conclusions the actions agreed by both parties to improve attendance, for example, the line manager may seek advice from the Occupational Health Team, or the employee may agree to seek further advice from their GP or request the ability to work more flexibly the circumstances which will trigger a further review of the employee s attendance record, for example, a specified attendance expectation (personal trigger points) over the next 12 months or, in the case of employees protected by the Equality Act, an individual attendance expectation based on advice from Occupational Health and/or an agreed review period, which may be either an agreed fixed term period, or an on- Page 14 of 135

going review cycle, as appropriate, subject to a minimum review of one in every 6 months. ST.9 What is an Attendance Improvement Notice? ST.9.1 An Attendance Improvement Notice, Second Attendance Improvement Notice and Final Attendance Improvement Notice are formal written accounts, using a standard template, informing the employee of their attendance expectations during the next 12 months. The standard templates can be obtained from the Headteacher. ST.9.2 An Attendance Improvement Notice and Second Attendance Improvement Notice will be held on record for 12 months and a Final Attendance Improvement Notice will be held on record for two years. If the employee s absence levels fall below the expectation set out in the relevant Attendance Improvement Notice, the next stage of the procedure will be put in place. ST.9.3 An Attendance Improvement Notice may be issued following a Stage 3 meeting. ST.9.4 A Second Attendance Improvement Notice or a Final Attendance Improvement Notice may be issued following a Stage 4 meeting. THE STAGES OF THE SHORT TERM PROCEDURE ST.10 Stage One Return to Work Interview ST.10.1 Most attendance management cases are unlikely to progress beyond Stage One, which applies to all employees (except those in their probationary period see Para. 3.3 above) on each occasion when they have been absent from work due to illness for one day or more. ST.10.2 The line manager meets with the employee on their return to work, following any period of short-term sickness absence (see definition in ST.3.1 above) regardless of the duration or nature of the employee s absence. This would normally be a short, informal and private meeting using the following format: acknowledge that absence has taken place review the absence record - consider discussing number of days lost, patterns, frequency and possible implications with employee if previous absence(s) is/are identified enquire sympathetically about the illness and whether GP assistance was sought - if so will further appointments be required in the future discuss what support the employee may need to ease the process of return including any reasonable adjustments provide an update on work issues and the cover arrangements put in place ensure the absence has been properly recorded on notification of absence from duty forms for recording purposes and sent to the Personnel Support Unit. Record the details of the discussion on the Short Term Attendance Management Activity Log for Managers and retain on the employee s supervision file. Note: for subsequent stages of the procedure the Activity Log for Managers will continue to be used to record discussions where a Personal Attendance Support Plan is not appropriate. ST.10.3 As managers are not always able to physically meet staff every day (due to different work bases), a telephone conversation may be substituted for a face to face meeting. What is important is that the Return to Work meeting is held as soon as possible following the employee s return to work and preferably on their first day back. Page 15 of 135

ST.11 Stages Two, Three and Four of the Short Term Procedure General Principles Recording Cause for Concern ST.11.1 In recording the outcome of trigger meetings formally in writing, under Stage 2, or when issuing an Attendance Improvement Notice under Stage 3 or a Second or Final Attendance Improvement Notice under Stage 4 of the Short Term Procedure, managers MUST state specifically whether or not, following their discussions with the employee at the trigger meeting, the employee s sickness absence record gives cause for concern and state reasons for their conclusion in either case. ST.11.2 If, under Stage 2, the sickness absence record does not give the manager cause for concern, in addition to giving reasons for this (for example, a previous exemplary attendance record or a one off short term condition that is likely to be resolved), the manager should nevertheless consider specifying the circumstances in which concern may arise in the future should full attendance not be regained and/or maintained. ST.11.3 In recording a cause for concern, managers should also state the level of their concern and any factors or information which may have mitigated this (see list of examples in section ST.6 above) and the impact on service delivery and work colleagues. ST.11.4 Copies of all correspondence, the Personal Plan and/or formal Attendance Improvement Notices recording concern about attendance should be placed on both the employee s school file and also on their personal file held by PAT. Right of Appeal ST.11.5 If the manager decides to issue an Attendance Improvement Notice, Second Attendance Improvement Notice or Final Attendance Improvement Notice, despite a request by the employee not to do so, the employee may appeal against the decision. ST.11.6 Any appeal must be made in writing by the employee to the manager, within five working days from the date the Attendance Improvement Notice, Second Attendance Improvement Notice or Final Attendance Improvement Notice was received by the employee. ST.11.7 The appeal will be heard by a different manager (senior to or at the same level) as the manager making the decision against which the employee is appealing. In schools, where the Headteacher has already been involved, the appeal will be heard by a panel of governors. (See Appendix A: The Appeal Process). ST.11.8 Support for managers/governors hearing appeals will be available from the Personnel specialists. However, the line manager/school will take responsibility for putting all the necessary arrangements in place for the appeal hearing. Right to Representation ST.11.9 The employee has a right to formal representation by a Trade Union official or to be accompanied by a current work colleague at a Stage 4 meeting. Managers will be advised by a Personnel Officer at Stage 4 meetings. ST.11.10 Stage 2 and Stage 3 meetings are conducted between the line manager and the employee as part of the usual supervisory relationship (or, in schools, a member of the senior management team) and there is no right to representation at these meetings. ST.11.11 However, if an Attendance Improvement Notice is issued as a result of Stage 3 meeting, or a Second or Final Attendance Improvement Notice is issued as a result of a Stage 4 meeting, the employee has a right of appeal (see Para. ST.11.5 above) and there is the right to formal representation at the appeal hearing, by a Trade Union official or current work colleague. Page 16 of 135

ST.12 Stage Two Return to Work Trigger Meeting ST.12.1 Where matters do progress beyond Stage1, the employee will either have developed a pattern of sickness absence that has triggered a notification to the line manager under the Short Term Procedure, or that otherwise causes the manager concern. Either on receipt of the trigger report, where an employee had been absent due to sickness on: three occasions during the previous 6 months on a rolling basis (the 3:6 rule) and/or one occasion of 8 or more working days continual absence, or where an employee has a record of frequent short term sickness absence that may not have triggered for either of the above reasons, but might otherwise be a cause for concern, ST. 12.2 The manager should arrange a Stage 2 meeting as soon as the employee returns to work, in all cases, regardless of the sickness absence reason and including conditions covered by the Equality Act. ST.12.3 In all circumstances, issues will be dealt with fairly by the manager at the Stage 2 meeting, giving the employee an opportunity to make representations and to be proactive and constructive in seeking to resolve the problem. ST.12.4 There should be no exemptions from the Short Term Procedure, but in considering the appropriate action to be taken, managers should exercise their judgement and discretion in each case. ST.12.5 In doing so, it is important for managers to demonstrate fairness and consistency in their approach at all times, in the application of the Short Term Procedure to the circumstances of individual employees. For this reason managers are required to clearly record their decisions in writing (see ST.11.1-4 included above). ST.12.6 The degree of a manager s concern, coupled with the extent of any mitigating factors, will determine the robustness of their management approach to improving attendance and, accordingly the route chosen to progress the Short Term Procedure, especially at Stage 2 (see Flow Chart for Short Term Procedure above). ST.12.7 As well as considering the employee s individual circumstances and any mitigating factors, the manager should consider, discuss and record the impact the employee s absence(s) is/are having on service delivery and work colleagues. ST.12.8 The Stage 2 meeting should be conducted in person, face to face, and will cover the same issues as a Stage One return to work interview (see Section ST.10 above). ST.12.9 In addition, the line manager will: inform the employee whether or not this level of absence causes concern (see guidance in Section ST.6 above) and consider whether a referral to the Occupational Health Team for advice is appropriate in the circumstances, before recording the outcome of the meeting. ST.12.10 Where a Health Enquiry Referral is considered by the manager to be relevant and appropriate on the basis of the Stage 2 discussions with the employee (normally where the discussion has revealed the possibility of disability issues covered by the Equality Act or a chronic medical condition that may have an adverse effect on attendance levels), the Stage 2 meeting will be adjourned until the Occupational Health advice is available, and then re-convened before recording the outcome (see ST.11.12 below). ST.12.11 If the fact finding discussion at the Stage 2 meeting does not identify underlying issues that may be adversely affecting the employee s attendance levels, the manager will conclude the meeting and will issue a letter confirming the outcome of the meeting Page 17 of 135

accordingly (a standard template is available from the Attendance Management Team in Personnel and Training): recording the key points of discussion at the Stage Two meeting and confirming whether or not the absence gives cause for concern and stating the reasons for the manager s conclusions as well as stating the circumstances which will trigger a further review of the employee s attendance record ST.12.12 Where the manager considers that there is cause for concern and has adjourned the meeting to seek advice from the Occupational Health Team, he/she will re-convene the Stage 2 meeting, review the advice received with the employee and: either issue a letter confirming their concern (as above) or agree a strategy for attendance improvement with the employee, which will include the development of a Personal Plan in accordance with the principles set out in Appendix C, Para. 4.1, but to be managed under the Short Term Procedure. ST.12.13 A template for the Personal Plan can be obtained from the Headteacher. ST.12.14 A copy of the agreed Personal Plan, or the letter confirming cause for concern (whichever is the outcome of the Stage 2 meeting), should be placed on the employee s personal file and also on their School personnel file. A further copy should also be sent to the employee within 7 working days of the Stage 2 meeting. ST.12.15 Where a strategy for attendance improvement has been agreed at Stage 2 of the Short Term Procedure, subsequent short term absences will be managed at Stage 2 under the Personal Plan, provided that: the absences relate to conditions or circumstances covered by the scope of the Personal Plan and/or the attendance levels can be managed, or continue to be managed, compatibly with the needs of the service and the impact on work colleagues. ST.12.16 Where attendance levels continue to cause concern and are not improving after a reasonable period of time in accordance with the strategy for improvement agreed at Stage 2, or the attendance level can no longer be sustained in the context of the needs of the service, the manager may progress to Stage 3 of the Short Term Procedure and convene a Stage 3 meeting. ST.13 Stage Three Return to Work Trigger Meeting ST.13.1 A Stage 3 meeting, in person, would apply automatically where an employee triggers for: a second time of three occasions during the previous 6 months on a rolling basis (the 3:6 rule) and/or a second occurrence of 8 or more working days continual absence ST.13.2 A Stage 3 meeting can also be convened by the manager when: a Stage 2 Personal Plan is not achieving the anticipated improvement in attendance within the period specified and/or the service can no longer sustain the level of absence being experienced and/or the manager has further concerns about frequent short term sickness absence and the absence pattern does not fall into any of the three trigger categories above ST.13.3 A Stage 3 meeting will cover the same issues as the Stage One return to work interview and the Stage 2 meeting and, in addition, the line manager will: inform the employee that the level of absence causes concern or further concern (if concern has already been expressed) and issue a written Attendance Improvement Notice to be held on record for 12 months. ST.13.4 Prior to issuing the Attendance Improvement Notice, the manager may adjourn the Page 18 of 135

meeting to seek a report, or further report (as applicable) from the Occupational Health Team and/or to seek advice from the PAT Attendance Management Team. ST.13.5 The employee should also be given an opportunity at the Stage 3 meeting to explain why an Attendance Improvement Notice should not be issued. ST.13.6 The meeting will be reconvened when the report and/or further advice is available to enable the additional information to be discussed with the employee before deciding the outcome of the meeting. In exceptional and specific circumstances, it may be acceptable to agree a Personal Plan at Stage 3, as an alternative to issuing an Attendance Improvement Notice (see Section 15 below). ST.13.7 The Attendance Improvement Notice will inform the employee: of the expectation of attendance during the next 12 months (normally 100%) and that a Stage 4 meeting will apply if sickness absence levels reach trigger points during the 12 month duration of the Notice and that the employee has the right of appeal against the Attendance Improvement Notice ST.13.8 Once issued to the employee, a copy of the Attendance Improvement Notice should be sent immediately to the relevant Personnel specialist, in order that it can be placed on the employee s personal file. A copy should also be placed on the employee s School file for ease of reference. ST.13.9 Employees have the right of appeal against the decision of a manager to issue an Attendance Improvement Notice under Stage 3 (see Paragraphs ST.11.5-8 above). ST.14 Stage Four - Return to Work Trigger Meeting ST.14.1 A Stage 4 trigger meeting would apply automatically where an employee triggers for: a third time of three occasions during the previous 6 months (on a rolling basis) and/or a third time of one occasion of 8 or more working days continual absence. an Attendance Improvement Notice has been issued following a Stage 3 meeting and there has been a breach of the attendance expectations set at Stage 3. ST.14.2 A Stage 4 trigger meeting can also be convened by the manager when: a Personal Plan was agreed at Stage 3 and is not achieving the anticipated improvement in attendance within the period specified and/or the service can no longer sustain the level of absence being experienced and/or the manager has further concerns about frequent short term sickness absence and the absence pattern does not fall into any of the four trigger categories above. ST.14.3 In order to convene a Stage 4 meeting, the manager will need to give the employee five working days written notice of the meeting and inform them that they may be accompanied by a trade union representative or current work colleague. The manager will normally be accompanied by a Personnel specialist. ST.14.4 Where an employee indicates that he/she is unable to attend a Stage 4 meeting because of ill health or other exceptional circumstances, the manager has the discretion to delay the meeting on one occasion for up to seven working days if that is likely to enable the employee to attend. ST.14.5 A Stage 4 meeting will enable the manager to: review the absence history of the employee including pattern, frequency, number of days lost etc. consider, or re-consider, any report from the Occupational Health Team consider or re-consider any issues relating to disability as covered by the Equality Act Page 19 of 135

consider or re-consider any issues involving industrial injury consider or re-consider any issues relating to stress, taking into account the School s policies covering Stress Management take into account any other factors which may have adversely affected the employee s attendance record since the Stage 3 meeting e.g. a current pandemic, or particular health issues relating to their working environment take into account the employee s overall employment history hear representations from the employee and/or their representative ST.14.6 Having considered carefully all of the factors above, the manager may decide on one of four courses of action: i. confirm, or reconfirm, attendance expectations and issue a Second Attendance Improvement Notice to be on record for 12 months. If any concerns arise during that period a further Stage 4 meeting to be convened; or ii. confirm, or reconfirm, attendance expectations and issue a Final Attendance Improvement Notice to be on record for two years. If any concerns arise during that period a further Stage 4 meeting to be convened; or iii. refer the case to a hearing to consider a recommendation to terminate employment (see Appendix B for the conduct of the hearing ); or iv. in very exceptional circumstances develop a Personal Plan (see below). ST.15 Are there any circumstances at a Stage 3 or Stage 4 meeting when a manager may decide not to issue an Attendance Improvement Notice? ST.15.1 At the Stage 3 or Stage 4 meeting, the employee should always be given an opportunity to explain why an Attendance Improvement Notice, Second Attendance Improvement Notice or Final Attendance Improvement Notice should not be issued. ST.15.2 Reasonable grounds for mitigation might include: being covered by definitions of disability as set out in the Equality Act, or an unreasonable workload or bullying at work as being the main factor(s) contributing to the employee s absence. ST.15.3 However, these issues should normally have been explored thoroughly earlier in the Short Term Procedure at Stage 2 and, if appropriate, managed using the strategy for attendance improvement and a Personal Plan. ST.15.4 Therefore any request for mitigation on these grounds at Stages 3 or 4 of the Short Term Procedure should be considered carefully by the manager taking into account: any previous and current reports from Occupational Health and careful consideration of the reasons given by the employee for not raising relevant mitigating factors previously, under earlier stages of the Short Term Procedure. ST.15.5 Where the manager is satisfied that: the employee is raising relevant new issues that could not reasonably have been known or disclosed at earlier stages of the procedure AND a strategy for improvement and a Personal Plan have not been discussed, developed and used in earlier stages of the Short Term Procedure, AND the new issues being raised are likely to be managed effectively, and attendance levels significantly improved, by developing a strategy for improvement and a Personal Plan to implement it he/she will have discretion to implement a strategy for attendance improvement, instead of issuing an Attendance Improvement Notice under Stage 3 or a Second or Final Attendance Improvement Notice under Stage 4. Page 20 of 135