Police Service of Northern Ireland

Police Service of Northern Ireland HQ Ref: HR/PD/05/07 Service Procedure No: 44/2007 File Box: B Date: 20 June 2007 Sub Head: (a) POLICE STAFF UNSATISFACTORY ATTENDANCE PROCEDURE 1. INTRODUCTION (1) All police and police staff absences will be monitored in accordance with the PSNI Managing Attendance Policy. Where an individual s attendance becomes a cause of concern due either to frequency/and or duration, supportive action will be taken to assist in identifying and resolving any underlying issue. (2) Where supportive action does not result in an improvement in the rate of attendance and total absences in a 12-month period are equal to or exceed a Bradford Factor of 90 the Unsatisfactory Attendance Procedure will be initiated. (3) The Unsatisfactory Attendance Procedure consists of three stages, each of which is designed to consider individual circumstances and assist in bringing about an improved rate of attendance. (4) The PSNI Unsatisfactory Attendance Procedure for police staff has been developed in accordance with NICS guidance on terms and conditions of employment and mirrors as closely as possible the Unsatisfactory Attendance Procedure for police officers. (5) The Unsatisfactory Attendance Procedure will be invoked in cases of both unacceptable levels of persistent short-term absences and long-term absences due to sickness and/or injury. It should however be noted that it is not possible to be prescriptive about all circumstances where action under this Procedure may be appropriate. (6) In deciding whether to take action under the Procedure, managers must treat each case on its merits and consider all of the pertinent facts available to them, including: (a) the nature of the illness, injury or condition; (b) the likelihood of the illness, injury or condition (or some other related illness, injury or condition) recurring; (c) the pattern and length of absence(s) and the period of good health between them; (d) the need for the work to be done ie what impact on the Service's performance and workload is the absence having; (e) the impact on other staff and their ability to deliver the required standard of service to internal and external users of the Service; (f) the extent to which the staff member has co-operated with supportive management action; (g) whether the staff member was made aware, in the earlier supportive action, that unless an improvement was made, action under the Unsatisfactory Attendance Procedure might be used; and 1

(h) whether Occupational Health and Welfare (OHW) has recommended a medical retirement that is being processed. (7) Action under the Unsatisfactory Attendance Procedure should not be invoked unless: (a) earlier supportive action was taken but either was declined or has failed to bring about the necessary improvement in the staff member s attendance; and/or (b) the staff member is on long-term sickness and, notwithstanding supportive management action having been taken, there is no realistic prospect of return to work in a reasonable timeframe. (OHW guidance will be sought in determining what is a reasonable timeframe). (8) The decision to invoke the Unsatisfactory Attendance Procedure in any particular case will depend on the known merits and facts of that case. However, managers must ensure that they have taken all reasonable steps to support an improvement in the staff member s attendance before taking action under the Unsatisfactory Attendance Procedure. (9) In accordance with NICS terms and conditions of service, staff members who receive a warning under the Unsatisfactory Attendance Procedure will not be eligible for temporary or permanent promotion whilst the warning remains live. 2. RIGHT TO BE ACCOMPANIED (1) A police staff member subject to the Unsatisfactory Attendance Procedure will be entitled to be accompanied, at any stage of the formal procedure, by a police staff member (known as a friend ). The friend may: (a) advise and assist the staff member; (b) speak on the staff member s behalf; and (c) produce documentation to assist the staff member s case. (2) The friend should be allowed reasonable duty time to prepare for and attend interviews and other meetings relating to the case. 3. UNSATISFACTORY ATTENDANCE STAGE 1 (1) Where supportive action under the Managing Attendance Policy has failed to bring about the necessary improvement in a staff member s attendance, and a trigger point is reached (Bradford Factor = 90+), the Personnel Manager will contact line management and advise that as a trigger point has been reached, consideration should now be given to invoking Stage 1 of the Unsatisfactory Attendance Procedure. The Personnel Manager will at this stage provide the line manager with a printout from the HR computer system of all sick absences in the past 2 years. (2) The line manager will within 2 days of the receipt of this information write to the staff member advising that consideration is being given to invoking the Unsatisfactory Attendance Procedure. The line manager will at this stage advise the staff member in writing of the right to appeal one or more absences to the Local Absence Review Panel (LARP) and provide the staff member with a copy of the computerised sick record for examination. The appeal must be submitted to the Personnel Manager within 7 days of the line manager s invitation. (3) Should the staff member decide not to appeal, or fail to submit an appeal within the time frame (unless an extension has been authorised by the Personnel Manager), then a formal warning will be automatically issued. 2

(4) Absence, which falls within one or more of the categories listed below, may be appealed. To appeal an absence, the Form 90/1 (available from PoliceNet) must be submitted ensuring the absence(s) to be appealed is/are specified and that the category under which each absence is being appealed is clearly identified. (a) Pregnancy related absences that are specifically related to a pregnancy and occur during the period of a pregnancy would not usually require an appeal. However absences that occur during pregnancy which are not specifically linked to that pregnancy will not be discounted. Any sick absence that commences immediately following the expiry of the pre-selected maternity period of 18, 26 or 52 weeks will not be automatically discounted. These absences will require an appeal if individuals wish them to be considered for mitigation. (b) Injury in the execution of duty. (c) Surgical/medical procedure that required a period off work. (d) Disability related sickness absence. (e) Infectious conditions On written medical advice from GP or on recommendation from OHW, absence from the workplace was directed to prevent or minimise the risk of infecting colleagues. (5) The LARP will comprise of two representatives of Area/Branch Senior Management of at least Chief Inspector rank or police staff equivalent, a Staff Association representative and facilitated by the local HR manager. The Panel will be convened to discuss cases as they arise. If there is a difference of view among the members of the Panel, the decision will be made by simple majority. The Panel will formally record this decision and its justification. The decision of the Panel will be final and binding. (6) In the event that the absence being appealed is subject to the civilian injury on duty considerations and no decision has been made on the application by the NI Civil Service Pensions Branch, the LARP may make a determination on the application for the purposes of the PSNI Unsatisfactory Attendance Procedure. Acceptance or otherwise of a civilian injury on duty by an LARP, for the purposes of the Unsatisfactory Attendance Procedure, will not infer any acceptance of the alleged injury for pay and/or pension purposes. This decision remains with the NICS Pension Service. (7) The LARP will invite the staff member to be present and if the staff member chooses to attend, a colleague or local trade union representative may accompany them. The Panel will consider all the documentation and any representations made and the Personnel Manager will notify the relevant line manager of one of two possible outcomes within 2 days of the Panel decision. The two possible outcomes are: (a) The absence will be discounted and the case referred back to the line manager for issue of a note of concern. (i) (ii) Where a further absence occurs and a trigger point (Bradford Factor = 90+) is reached this will be dealt with under Stage 1 of this Procedure; If a trigger point (Bradford Factor = 90+) is not reached within a 2 year period the record will be expunged and the staff member notified in writing. or (b) The absence will not be discounted and the case will be referred back to the line manager for issue of a formal warning. (8) Formal warnings remain live for 2 years and once issued result in lower absence trigger points of Bradford Factor of 60 being imposed on the individual. Where there is an improvement in attendance and the revised trigger point (Bradford Factor = 60+) is not reached within the 2 year period, the local personnel unit will expunge the record and notify the staff member of this action in writing. The staff member would at this stage revert to normal monitoring and triggers (Bradford Factor 90+). 3

(9) Where a further absence occurs and the revised trigger point of Bradford Factor 60+ is reached cases will automatically progress to the Unsatisfactory Attendance Procedure Stage 2. (10) Where formal warnings are being issued to staff who have been continuously absent this should wherever practicable be done in person. It should be noted however that neither continuous absence nor the inability to deliver a warning in person will preclude the issue of same. 4. UNSATISFACTORY ATTENDANCE STAGE 2 (1) The second stage of the Unsatisfactory Attendance Procedure will be automatically invoked where a member of police staff who has been issued with a formal warning breaches the Bradford Factor of 60+ at any stage during the life of the formal warning. (2) In the event that Stage 2 of the Procedure is invoked the line manager will advise the police staff member that the trigger point has been breached and invite them to submit an appeal to have the further absence(s) mitigated. The grounds and mechanism for submitting a request for absence to be mitigated is outlined in para 3(4). The request for mitigation cannot include any absences that have previously been considered by the LARP and been declined unless there is new/additional evidence available to support the request. The appeal must be submitted to the Personnel Manager within 7 days of the line manager s invitation. (3) Should the staff member decide not to appeal, or fail to submit the appeal within the time frame (unless an extension has been authorised by the Personnel Manager), a final warning will be automatically issued by the line manager. (4) The LARP will be as described at 3(5). The Panel will be convened to discuss cases as they arise. If there is a difference of view among the members of the Panel, the decision will be made by simple majority. The Panel will formally record this decision and its justification. The decision of the Panel will be final and binding. (5) The LARP will invite the staff member to be present and if the staff member chooses to attend, a colleague or local trade union representative may accompany them. The Panel will consider all the documentation and any representations made and the Personnel Manager will notify the relevant line manager of one of two possible outcomes within 2 days of the Panel decision. The two possible outcomes are: (a) The absence will be discounted and the initial formal warning remains in place; or (b) The absence will not be discounted and the case will be referred back to the line manager for issue of a final warning. (6) Final warnings remain live for 2 years and once issued result in a lower absence trigger point of Bradford Factor 20 being imposed on the individual. (7) Issue of a final warning will result in the imposition of a 3 month trial period during which the police staff member will be expected to have no sickness absence. (8) Should the police staff member have an absence in the 3 month trial period, which is not mitigated as described earlier, then the Personnel Manager will prepare a recommendation for termination of employment to the relevant Head of Personnel. (9) Where an absence occurs within the 3 month trial period and is mitigated then a further 3 month trial period will be imposed. (10) Where the police staff member has no absence during the 3 month trial period and the revised trigger point (Bradford Factor = 20+) is not reached within the 2 year period from the date of the final warning, then the final warning will be expunged and the staff member notified in writing. At this stage the staff member will revert to normal monitoring and triggers (Bradford 90+). (11) Where the police staff member has no absence during the 3 month trial period but further absence(s) occur within the life of the final warning and the revised trigger point (Bradford Factor = 20+) is breached then the case will automatically progress to Stage 3 of this Procedure. 4

(12) Where a final warning is being issued to staff who have been continuously absent this should wherever practicable be done in person. It should be noted however that neither continuous absence nor the inability to deliver a final warning in person will not preclude the issue of same. 5. UNSATISFACTORY ATTENDANCE STAGE 3 (1) The third stage of the Unsatisfactory Attendance Procedure will be automatically invoked where a member of police staff who has been issued with a final warning breaches the revised trigger point of Bradford Factor 20+. (2) As with the previous stages where the trigger point is breached the line manager will advise the police staff member, that the trigger point has been breached and will invite them to submit an appeal to have the further absence(s) mitigated. The grounds and mechanism for submitting a request for absence to be mitigated is outlined in para 3(4). The request for mitigation cannot include any absences that have previously been considered by the LARP and been declined unless there is new/additional evidence available to support the request. The appeal must be submitted to the Personnel Manager within 7 days of the line manager s invitation. (3) Should the staff member decide not to appeal, or fail to submit the appeal within the allotted period of time (unless an extension has been authorised by the Personnel Manager), then the Personnel Manager will forward to the relevant Head of Personnel a recommendation for termination of the staff member s employment. (4) Absence, which falls within one or more of the categories listed at paragraph 3(4) above, can be appealed. To appeal an absence, Form 90/1 available on PoliceNet must be submitted ensuring the absence(s) to be appealed is/are specified and that the category under which each absence is being appealed is clearly identified. (5) The LARP will be as described at 3(5). The Panel will be convened to discuss cases as they arise. If there is a difference of view among the members of the Panel, the decision will be made by simple majority. The Panel will formally record this decision and its justification. The decision of the Panel will be final and binding. (6) The LARP will invite the staff member to be present and if the staff member chooses to attend, a colleague or local trade union representative may accompany them. The Panel will consider the case and the outcome will be either: (a) The absence will be discounted and the previously issued final warning stands. Where there is no further absence within the life of the final warning the record will be expunged and the staff member notified in writing. Where a further absence occurs this will be dealt with under Stage 3 of this Procedure. or (b) The absence will not be discounted. (7) Where the LARP determine that the absence is not discounted, the Personnel Manager will prepare a report detailing the staff member s absence and the supportive actions that have been provided/offered. This report will be forwarded via the DCU commander to the relevant Head of Personnel within 10 days of the decision of the LARP not to discount the absence. (8) The Head of Personnel will invite the police staff member to attend an interview with the DCU commander and the Head of Personnel to discuss the absences, supportive actions and mitigating circumstances. The police staff member has the right to be accompanied by a colleague or local trade union representative. The Head of Personnel/DCU commander will consider the case and where necessary seek additional advice/guidance from specialist sources (eg OHW, Employment Lawyer etc) The Head of Personnel will have ultimate responsibility for determining the appropriate way forward and will notify the police staff member within 7 days of the meeting of one of the four possible outcomes. The four possible outcomes are: (a) The circumstances do not constitute unsatisfactory attendance on the part of the police staff member concerned, in which case no further action is necessary. 5

(b) (c) (d) The supportive action taken was not adequate. In this case the Head of Personnel and DCU commander will agree what further action should be taken to support the staff member. In so doing, the Head of Personnel should also decide what stage in the Unsatisfactory Attendance Procedure the police staff member s case should be deemed to have reached, and what trigger point is applicable for further action. The staff member remains in post with a specific written warning that failure to significantly improve and maintain attendance within a stated time may, following a further meeting with the Head of Personnel result in termination of employment on the grounds of unsatisfactory attendance. Depending on the status of the police staff member: (i) (ii) PSNI direct recruits, employment will be terminated on the grounds of unsatisfactory attendance; NICS staff, a recommendation for dismissal will be forwarded to the Department of Finance and Personnel (9) Option c, above, will in effect, be a final opportunity for the staff member concerned to improve their attendance. The time allowed for the required improvement will normally be up to 3 months following the meeting with the Head of Personnel and the DCU commander. If, after this time, the police staff member s attendance has improved and is maintained to an acceptable standard (Bradford Factor = 20 within 2 years) no further action should be taken. However if no such improvement has been achieved or maintained, the Personnel Manager will refer the case back to the Head of Personnel for action under Stage 3 of this Procedure. There will be no need to carry out the first and second stages again. (10) Should the Head of Personnel recommend option d above, the staff member will be given the option to resign or be dismissed. Resignation will allow one month s notice of termination of service commencing from the day that the staff member is informed in writing of the decision. Should the staff member elect to resign but then not resign in accordance with the requirement, the effect of the decision shall be to dismiss the staff member from the Service with effect from the end of the period of 1 month after the date on which the staff member was informed in writing of the decision. (11) Where the Head of Personnel decides that employment should be terminated, and the staff member does not opt to resign, then the Head of Personnel will inform the police staff member in writing that they are being dismissed from the organisation on the grounds of Unsatisfactory Attendance. 6. APPEALS MECHANISM (1) Where police staff, who have been subject to Stage 3 of the Unsatisfactory Attendance Procedure, considers that the procedure was not correctly applied, or the decision has been made in ignorance of a material fact, they may appeal the decision to terminate employment. (2) Appeals, which must be in writing and must state the grounds on which the appeal is based, should be made within 14 days of the notification that employment is being terminated, and should be sent to the Head of Personnel via the Personnel Manager. (3) Where the grounds for appeal, are that the individual considers that the Procedure has not been correctly applied, it is for the appellant to detail how they believe this to be the case and how they have been treated less favourably as a result. Where the grounds of appeal are, that the decision has been made in ignorance of a material fact, the appellant must produce new additional evidence in support of the absence(s). (4) The Head of Personnel upon receipt of an appeal will prepare a report for the Deputy Director of Human Resources detailing the circumstances of the case, actions taken and rationale for the decision to dismiss. This report must be submitted to the Deputy Director of Human Resources within 7 days of the appeal being received. (5) The Deputy Director of Human Resources will in consultation with functional specialists such as the Employment Lawyer, Diversity, People Development etc consider the appeal and notify the Head of Personnel of the determination within 15 working days. 6

(6) In the event that the Deputy Director overturns the original decision to dismiss, the notification of this decision will include a direction as to what other action under Stage 3 of the Procedure should be taken. (7) The decision of the Deputy Director is final and there is no further internal right of appeal. (8) Where the Deputy Director upholds the decision to terminate employment and the police staff member chooses not to resign and as a result is dismissed Civil Servants have the right to appeal to the NICS appeals board. Direct Recruits may appeal to the Northern Ireland Policing Board. 7. INTERNAL LINKS (1) The PSNI Police Staff Unsatisfactory Attendance Procedure has been drafted in accordance with the provisions of the NICS staff handbook, Leaving the Service - Inefficiency and is the internal procedure that should be used to issue warnings and manage, both the long-term sick absent and the intermittently sick. The notice periods and consideration of compensation are as stated in the NICS staff handbook Leaving the Service Inefficiency. (2) All sickness absence must be managed in accordance with Policy Directive 08/07 - Management of Sickness Absence and this Procedure may not be utilised unless the procedural guidance adhered to in that Policy has been adhered to. (3) Line managers are also referred to the provisions of Policy Directive 07/06 Disability Discrimination Act Management of All Staff (Police Officers and Police Staff), which must be considered when managing the long term, or intermittently sick. 8. HUMAN RIGHTS/EQUALITY/INTEGRITY/SECTION 75 This Service Procedure is deemed to be Human Rights compliant and has been screened for Antibureaucracy/Section 75 considerations and meets the organisation s integrity standards. 9. MONITORING AND REVIEW This Service Procedure will be reviewed annually by Head of Branch, People Development. Service Procedure No. 44/2007, File Box B(a) Index Entries/ A - Attendance Procedure Unsatisfactory Police Staff U - Unsatisfactory Attendance Procedure Police Staff 7