Attendance Management Policy and Procedures

Attendance Management Policy and Procedures Attendance Management Policy..2 The Short Term Attendance Management Procedure...10 Explanation of Terms Used.13 The Stages of the Short Term Procedure.16 Introduction to Managing Long Term Sickness Absence.25 The Long Term Attendance Management Procedure 28 Explanation of Terms Used.29 The Phases of the Long Term Procedure.30 Appendix A: The Appeals Process for Attendance Improvement Notices..36 Appendix B: The Procedure for Hearing a Recommendation for Termination of Employment...38 Appendix C: The Conduct of Attendance Management Meetings 41 Equality Impact assessment summary...44 Note: blue typeface within the text below indicates information that is available on the staff Intranet/Czone. Copy approved by Governance Committee: February 2011 Page 1 of 44

ATTENDANCE MANAGEMENT POLICY Policy Statement 2 Key points. 2 1. Why is it important to manage attendance?... 3 2. Who takes responsibility for managing attendance?... 3 3. Pre-employment and Probation Monitoring.. 5 4. What is the definition of a sickness absence?... 5 5. Are flexible leave options available?... 5 6. To whom does the Attendance Management Policy and Procedure apply?... 6 7. Are there other policies and procedures linked to Attendance Management?... 6 8. What is the Equality Act and how does it impact on Management of Attendance?... 7 9. Corporate and departmental absence targets.. 8 10. What are the Attendance Management Procedures?... 9 Equality Impact Assessment.44 Policy Statement: Improving Staff Attendance Positively Impacts on Service Delivery. At East Sussex County Council 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 and Training (PAT). SAP provides up to date Attendance Management information and managers will receive monthly trigger information from SAP or FirstCare, if they are operating this pilot scheme. Copy approved by Governance Committee: February 2011 Page 2 of 44

The Attendance Management Toolkit containing advice and guidance for managers is available on the Intranet. The Attendance Management Policy and Procedure applies to all Council 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 The County Council 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. 1.4 The Council 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 Copy approved by Governance Committee: February 2011 Page 3 of 44

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 Council 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 Council, 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. The County Council has in place procedures for such referrals and advice can be 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. Copy approved by Governance Committee: February 2011 Page 4 of 44

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. See: Recruitment and Selection/Stage 8/ Pre-employment checks and references 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. See: Managing Staff/Support for managers and staff during the first year 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. See: Managing Staff/Managing sickness and attendance for the Absence Targets by Departments document which is reviewed annually. 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 Copy approved by Governance Committee: February 2011 Page 5 of 44

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 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. 5.5 Other flexible leave options are detailed in the: Life Wise Flexible Working Directory 6. To whom does the Attendance Management Policy and Procedure apply? 6.1 The Attendance Management Policy and Procedure applies to all Council employees, including those on both permanent and temporary contracts, and to employees working within schools where the Governing Body has adopted it. The Attendance Management Policy and Procedure does not apply to employees in their probationary period (see Para. 3.3 above): the Supported Introduction to Employment Policy applies in these cases. 6.2 The Attendance Management Policy and Procedure applies, without exemptions, to all Council 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: Health and Safety/Welfare policies Policy on Alcohol and Drugs in the Workplace No Smoking at Work Policy Stress Management Policy Management of Unacceptable Performance (Capability) Policy Disciplinary Policy and Procedure Supported Introduction to Employment / Supported Introduction to Employment for LMG Managers Policy Annual Leave Policy Life Wise Flexible Working Directory See: A-Z Employment Policies Copy approved by Governance Committee: February 2011 Page 6 of 44

7.2 Attendance Management Toolkit 7.2.1 Further guidance for managers is available on the Intranet, see: Managing Sickness and Attendance. 7.2.2. The documents available on these pages provide comprehensive guidance and advice to support managers at different stages of the Attendance Management Procedure and form the Attendance Management Toolkit: Attendance Management Frequently Asked Questions Notification and Recording of Absence Occupational and Statutory Sick Pay Available Support The management of stress Manager s Toolkit Absence Targets by Department Activity Logs for Managers Personal Attendance Support Plan template 7.3 Guidance for the management of disability in the workplace 7.3.1 Managers should also ensure that they are familiar with the guidance documents: Fact Sheet Disability and the Equality Act Reasonable Adjustments making changes to the workplace environment Fact Sheet managing disability in the work place See: Equality for Disabled People 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 Copy approved by Governance Committee: February 2011 Page 7 of 44

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 the extent of financial and other resources available (in the Council overall, not the particular team, school or department) the availability of external support and funding the extent to which the disabled person co-operates, if someone refuses to cooperate 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, school 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 Officer in the Advisory Team in Personnel and Training. 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 Council 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 Officer 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 Intranet. See: Equality for Disabled People 9. Corporate and departmental absence targets 9.1 The County Council is striving to achieve 100% attendance although it recognises that employees will have the occasional absence. However the Council seeks to minimise these occasions by application of the Attendance Management Procedures. Copy approved by Governance Committee: February 2011 Page 8 of 44

9.2 The County Council has sickness absence targets, in order to reduce absence days per employee per year. There is an overall target for the County Council as a whole and there are also separate departmental targets. Both are reviewed and revised annually. See: The Council Business Plan/ Strategic Management and Economic Development for the corporate sickness absence reduction target and Managing Sickness and Attendance for the document Absence Targets by Departments. 9.3 Both the overall corporate target, and the departmental absence targets, provide 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 Council 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. Copy approved by Governance Committee: February 2011 Page 9 of 44

THE SHORT TERM ATTENDANCE MANAGEMENT PROCEDURE. Stage 1 Return to work meeting If appropriate seek Occupational Health Advice Stage 2 Trigger meeting Record one of three possible outcomes Not concerned a blip in otherwise good attendance record Cause for concern but mitigating factors: Chronic Illness, disability issues covered by the Equality Act external factor eg Pandemic Cause for concern Strategy 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) Copy approved by Governance Committee: February 2011 Page 10 of 44

Short term procedure Long term procedure Stage 1 Return to work meeting Stage 2 Trigger meeting Where long term absence relates to health issues or sickness absences in plan already developed in short term procedure Phase 1 Initial attendance management meeting Develop Personal Attendance Support Plan Phase 2 Interim attendance management meeting(s) Stage 3 Trigger meeting Attendance Improvement Notice (Right of Appeal) Stage 4 Trigger meeting Second or Final Attendance Improvement Notice (Right of Appeal) Strategy for Improvement Personal Attendance Support Plan Phase 3 Ill health retirement Hearing to consider continuing employment may result in termination with Right of Appeal. If plan not working or service cannot sustain absence level Phase 3 Final attendance management meeting or Phase 4 Return to work (including medical redeployment) Hearing to consider continued employment - may result in termination with Right of Appeal Where long term absence starts at stage 4 24 month period Re-open Plan if further related absences occur Copy approved by Governance Committee: February 2011 Page 11 of 44

ST.1 Notification of Absence. 12 ST.2 Frequent Short Term Sickness Absences 13 ST.3 What is the Short Term Procedure?... 13 ST.4 What is meant by the term triggering?... 13 ST.5 What are trigger reports?... 14 ST.6 What is meant by cause for concern?... 14 ST.7 What is a strategy for attendance improvement?... 14 ST.8 What is a Personal Attendance Support Plan?... 15 ST.9 What is an Attendance Improvement Notice?... 15 ST.10 Stage One Return to Work Interview 16 ST.11 Stages Two, Three and Four of the Short Term Procedure- General Principles.. 16 ST.12 Stage Two Return to Work Trigger Meeting 18 ST.13 Stage Three Return to Work Trigger Meeting. 20 ST.14 Stage Four - Return to Work Trigger Meeting 21 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?... 22 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?... 23 ST.1 Notification of Absence ST1.1 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. See: When you are off sick for the Notification and Recording of Sickness guidance document. ST1.2 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. Copy approved by Governance Committee: February 2011 Page 12 of 44

ST1.3 For employees participating in the FirstCare Attendance Management Pilot, all absences should be reported to FirstCare, as well as to the line manager if there are work issues to be discussed. Managers within the Pilot group do not have to separately record absences on the notification of absence from duty form, as SAP will automatically be updated via monthly uploads into the system. 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 What is the Short Term Procedure? ST3.1 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. ST3.2 Sickness absences in excess of 4 weeks continuous duration will be managed under the Long Term Attendance Management Procedure (see below). ST3.3 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 across the Council 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. Copy approved by Governance Committee: February 2011 Page 13 of 44

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. For managers participating in the FirstCare Pilot a trigger report is sent automatically when an employee meets a trigger point. 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 Council 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: County Council and departmental 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 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). Copy approved by Governance Committee: February 2011 Page 14 of 44

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 ongoing 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 found on the Intranet in the Attendance Management Toolkit. 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. Copy approved by Governance Committee: February 2011 Page 15 of 44

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, unless the absence was reported to FirstCare under the Pilot Scheme. Record the details of the discussion on the Short Term Attendance Management Activity Log for Managers and retain on the employee s supervision file. See: Managing Sickness and Attendance for the Activity Log for Managers document. 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. 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. Copy approved by Governance Committee: February 2011 Page 16 of 44

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 departmental/school supervision 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 and Training Attendance Management Team. 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. Copy approved by Governance Committee: February 2011 Page 17 of 44

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 inc. 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 Copy approved by Governance Committee: February 2011 Page 18 of 44

consider whether a referral to the Occupational Health Team for advice is appropriate in the circumstances, before recording the outcome of the meeting. See: Health enquiries and referrals for the Health Enquiry Referral Form document. 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 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 down loaded from the Attendance Management Toolkit on the Intranet, See: Managing sickness and attendance. 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 departmental supervision 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. Copy approved by Governance Committee: February 2011 Page 19 of 44

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 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 Copy approved by Governance Committee: February 2011 Page 20 of 44

ST.13.8 Once issued to the employee, a copy of the Attendance Improvement Notice should be sent immediately to the relevant Personnel Officer, in order that it can be placed on the employee s personal file. A copy should also be placed on the employee s supervision 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 Paras. 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 Officer. 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 consider or re-consider any issues involving industrial injury consider or re-consider any issues relating to stress, taking into account the Council s policies on 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 Copy approved by Governance Committee: February 2011 Page 21 of 44

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. Copy approved by Governance Committee: February 2011 Page 22 of 44

ST.15.6 Where the manager opts to do this, in the exceptional circumstances specified above, the employee will be expected to contribute constructively to the development of the strategy for improvement and will have no right of appeal against the manager s decision to adopt this optional course of action. ST.15.7 If the employee will not, or cannot, agree a strategy for improvement and a Personal Plan with their line manager at either Stage 3 or Stage 4, where this option is offered to them, the manager must issue an Attendance Improvement Notice or Second or Final Attendance Improvement Notice, as appropriate. The employee may then exercise their right of appeal under the Short Term Procedure. ST.15.8 Where a Personal Plan is developed at either Stage 3, or Stage 4, it will always specify a fixed term time limit for the improvement in attendance, which will not exceed 6 months. There will be no option for an ongoing review period. ST.15.9 Where a strategy for improvement and a Personal Plan is implemented at Stage 3, and the required attendance improvement is not achieved, the manager will have the discretion to move to Stage 4 of the Short Term Procedure and, after hearing the employee s representations, serve a Second or Final Attendance Improvement Notice if considered appropriate. ST.15.10 Similarly, where a strategy for improvement and a Personal Plan is implemented at Stage 4 and the required attendance improvement is not achieved, the manager will have the discretion to hear the employee s representations at a further Stage 4 meeting and to issue a Final Attendance Improvement Notice, if considered appropriate, without first issuing a Second Attendance Improvement Notice. ST.15.11 The employee will have the right to appeal the issue of an Attendance Improvement Notice, Second or Final Attendance Improvement Notice issued in these circumstances, in the normal way. 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? ST.16.1 Where an employee s short term absence becomes a long term absence (defined as a continuous period of sickness absence of 4 calendar weeks or more): during a period when they are being managed under Stages 2, 3 or 4 of the Short Term Procedure and a Personal Plan has already been developed under the Short Term Procedure, then management of the long term sickness absence may commence at either Phase 2, or Phase 3, of the Long Term Procedure as deemed appropriate by the manager in the particular circumstances of the case. (See the Long Term Attendance Management Procedure below). OR if a Personal Plan has not been developed under the Short Term Procedure at the point when the absence becomes long term and the Short Term Procedure is at Stage 2 or 3, Copy approved by Governance Committee: February 2011 Page 23 of 44

then, the Long Term Procedure will commence at Phase 1, and a Personal Plan will be developed accordingly. OR if a Personal Plan has not been developed under the Short Term Procedure at the point the absence becomes long term and the Short Term Procedure is at Stage 4 then, the Long Term Procedure will commence at Phase 3 without exception. In these circumstances the most likely outcome will be a hearing to consider the employee s continued employment. ST.16.2 The employee will have the right to representation at the Phase 3 meeting in accordance with the Long Term Procedure (see below) and the right of appeal against the decision of a hearing to consider his/her continued employment (see Appendix B). Copy approved by Governance Committee: February 2011 Page 24 of 44

INTRODUCTION TO MANAGING LONG TERM SICKNESS ABSENCE LT.1 General Principles. 25 LT.2 Annual Leave accrual during long term sickness absence. 25 LT.3 What are the responsibilities of the manager and the employee during a long term sickness absence?... 26 LT.4 What other Council policies, guidance and information might be relevant to managing long term sickness absence?... 27 LT.5 What is the definition of a long term sickness absence?... 29 LT.6 What is the Long Term Attendance Management Procedure?... 29 LT.7 What is an Attendance Management Meeting?... 29 LT.8 What is a Personal Attendance Support Plan?... 29 LT.9 Right to Representation 30 LT.10 Phase 1: Initial Attendance Management Meeting 30 LT.11 Phase 2: Interim Attendance Management Meetings... 30 LT.12 Phase 3: Final Attendance Management Meeting 31 LT.13 Phase 4: Return to Work 33 LT.14 What happens if the Return to Work Plan is not successful or cannot be signed off within 12 calendar weeks?... 34 LT.15 What happens if the employee has a further sickness absence following their Return to Work?... 35 LT.1 General Principles LT.1.1 In cases of prolonged or long term sickness, it will not always be possible to resolve the situation through improvement in the employee s absence record: ill health retirement or termination of contract may have to be considered. LT.1.2 However, it is recognised that it is important that the principles of good practice apply to ensure the situation is handled sensitively and in a fair, consistent and compassionate way. LT.2 Annual Leave accrual during long term sickness absence Copy approved by Governance Committee: February 2011 Page 25 of 44

LT.2.1. When managing long term sickness absence, managers should be aware that paid annual leave entitlement continues to accrue and, for an employee who has not had an opportunity to take their annual leave allowance within the leave year, because of long term sickness absence, the carry forward provisions will be different to those set out in the Annual Leave Policy. LT.2.2 Where annual leave accrues in this way, managers should seek advice from the Attendance Management Team Personnel Officer advising them on the Long Term Procedure. LT.2.3 Where a long term sickness absence gives rise to a termination of employment, employees will be entitled to a payment in lieu of any statutory annual leave allowance that has accrued up to the date of termination and which has not been taken due to absence on long term sickness. LT.2.4 The treatment of annual leave accrual during long term sickness absence will be handled differently for term time only staff. For advice on how these provisions apply to employees on term time only contracts, please consult your departmental Personnel Officer in the Attendance Management Team in the first instance. LT.3 What are the responsibilities of the manager and the employee during a long term sickness absence? LT.3.1 Both the manager and the employee must maintain regular, informal contact (at least fortnightly) from the date the sickness absence commences and agree a mutually acceptable means of keeping in touch throughout the employee s absence from work, in addition to the formal Attendance Management Meeting process set out in the next section. LT.3.2 The employee has responsibility for: informing their line manager immediately if there is any change in their medical condition and/or information relevant to the management of their absence from work and Personal Attendance Support Plan attending, wherever possible, and participating constructively in Phase 1, 2 and 3 Attendance Management Meetings to facilitate their earliest possible return to work participating in Phase 4 Return to Work reviews where a return to work is agreed and providing clear and constructive feedback to their manager about the effectiveness or otherwise of the Return to Work arrangements attending the Phase 4 Final Review Meeting and signing off the Personal Attendance Support Plan confirming they are satisfied with the arrangements put in place. LT.3.3 The manager has responsibility for managing the absence in accordance with relevant Council policies and procedures, which will include: exercising fairness, consistency and understanding throughout the attendance management process maintaining confidentiality of all information relating to the employee s ill health accurately recording relevant information from informal contact with the employee during their sickness absence on their supervision file Copy approved by Governance Committee: February 2011 Page 26 of 44

regularly reviewing the sickness absence using timely and informed Attendance Management Meetings accurately recording the Attendance Management Meeting discussions, conclusions and agreed actions on the Personal Attendance Support Plan (the Personal Plan), including the Return to Work section of the Personal Plan, and ensuring an up to date copy is kept on the employee s personal file providing clear, accurate and timely copies of the latest version of the Personal Plan to the employee immediately following each Attendance Management Meeting ensuring that they hold a Return to Work meeting with the employee on their first day back at work or, if they are unavailable on that day, ensuring another, properly briefed, manager meets with the employee and facilitates their return to work ensuring they hold a Phase 4 Final Review Meeting with the employee and formally sign off the Personal Plan. If it is not possible for both parties to sign off the Personal Plan, an alternative course of action in line with Phase 4 of the procedure can be followed recording any reasonable adjustments that are made under the Equality Act in accordance with the Council s procedures and sending the record to Personnel and Training. LT.4 What other Council policies, guidance and information might be relevant to managing long term sickness absence? LT.4.1 In addition to the policies and other guidance listed in Section 7 above, managers should ensure that they are familiar with the following policies before considering alternatives to a return to work under Phase 2 of the Long Term Procedure: Managing Change Policy and Redeployment Policy from the Managing Change Suite of Policies Ill Health Retirement/Termination Policy See: A-Z Employment Policies and Making Changes LT.4.2 Managers are reminded of the necessity to consider the provisions of the Equality Act at each phase of sickness absence management (see Section 8 above). LT.4.3 Supporting guidance and information about Attendance Management is also available on the Intranet. See: Managing sickness and attendance. LT.4.4 Comprehensive guidance about the Equality Act and its implementation in the workplace, including making reasonable adjustments, is also available on the Intranet. See: Equality for Disabled People. Copy approved by Governance Committee: February 2011 Page 27 of 44

THE LONG TERM ATTENDANCE MANAGEMENT PROCEDURE Timeline Not later than week 6 Phase 1 Initial Attendance Management Mtg Develop Personal Attendance Support Plan Not later than week 26 Not later than week 32 Phase 2 Interim Attendance Management Mtg(s) Minimum of 1 in 1st 26 weeks of absence Commence medical redeployment by week 20 Phase 2 can be omitted in straightforward cases Max 12 weeks Phase 3 Final Attendance Management Mtg or either Phase 4 Return to work including: Medical redeployment Return to work meetings Final review meeting Sign off plan Manage under other policies and procedures as appropriate: Ill health retirement Hearing to consider continuation of employment with Right of Appeal. 24 month period to reopen and review plan if further related absences cause concern (re-open at Phase 3) If final review and sign off cannot be achieved Copy approved by Governance Committee: February 2011 Page 28 of 44

EXPLANATION OF TERMS USED LT.5 What is the definition of a long term sickness absence? LT.5.1 Any employee absent from work for a consecutive period of 4 calendar weeks or more will be regarded as having a long term sickness absence and it will be necessary for the line manager to seek a report from the Occupational Health Physician (contact your Personnel Officer in the Advisory Team for guidance on how to request this). LT.6 What is the Long Term Attendance Management Procedure? LT.6.1 The Long Term Attendance Management Procedure (abbreviated to the Long Term Procedure) comprises four different management phases linked to the date the sickness absence commenced and the development and review of a Personal Attendance Support Plan (abbreviated throughout to Personal Plan). LT.6.2 The Long Term Procedure has been designed to allow managers to: respond flexibly to the nature of the employee s illness and their individual circumstances, within clear timescales that ensure regular, timely, informed and thorough reviews of the absence take place and with a clear plan for minimising the absence and enabling the employee to return to work safely, with appropriate support, at the earliest opportunity. LT.6.3 The four management phases and their purpose are set out in summary below and shown diagrammatically in the flow chart above. Further detailed guidance for managing each phase is set out in Appendix C. LT.7 What is an Attendance Management Meeting? LT.7.1 An Attendance Management Meeting is a formal meeting convened under Phases 1-3 inclusive of the Long Term Procedure to review and assess information, advice and circumstances relating to the employee s long term sickness absence. The purpose of each meeting will vary according to which management phase the Long Term Procedure has reached and further details about this are set out in the Phases of the Long Term Procedure below. LT.8 What is a Personal Attendance Support Plan? LT.8.1 A Personal Attendance Support Plan (abbreviated to Personal Plan) incorporates a written record of each Attendance Management Meeting convened under Stages 1-3 of the Long Term Procedure and is a tool to develop and review a clear strategy of support for the employee. Guidance concerning the information to consider, which will vary according to the management phase, is set out in Appendix C and in the summary of the Long Term Procedure below. Copy approved by Governance Committee: February 2011 Page 29 of 44

THE PHASES OF THE LONG TERM PROCEDURE LT.9 Right to Representation LT.9.1 A manager has the right to be accompanied by a Personnel Officer and the employee has the right to be accompanied by a Trade Union representative or current work colleague at Phases 1, 2 and 3 of the Attendance Management Procedure. Further guidance about representation is contained in Appendix C. LT.9.2 Representation is optional for the Final Return to Work Review meeting in Phase 4 of the procedure. See Section 13 for further information about Phase 4 Return to Work meetings. LT.10 Phase 1: Initial Attendance Management Meeting LT.10.1 The Initial Attendance Management Meeting is a formal meeting between the line manager and the employee to be held after 4 calendar weeks of continuous absence, but no later than the end of Week 6. LT.10.2 Where a long term sickness absence is planned e.g. hospital admission for planned surgery, the Initial Attendance Management Meeting can be held, and a Personal Plan be developed, before the long term absence commences. LT.10.3 The purpose of the Phase 1 Initial Attendance Management Meeting is to gather and agree all relevant information concerning the employee s absence, in order to develop a Personal Plan tailored to the particular circumstances of the case, which: states the known facts relevant to the absence and its future management (see Appendix C for further guidance on the information to be considered for inclusion) sets out any further information required e.g. advice from Occupational Health Team sets out a strategy for the future management of the case and any interim case reviews with clear timescales (see Phase 2) or starts to plan for the employee s return to work, if this is imminent, with clear timescales (see Phase 3) and confirms the arrangements for regular, informal contact between the manager and employee during the course of the sickness absence (see Para. LT.3.1 above) LT.11 Phase 2: Interim Attendance Management Meetings LT.11.1 When the case is formally reviewed at the Phase 1 Attendance Management Meeting and a return to work is not considered imminent, a date should be set for a formal Interim Attendance Management Meeting to occur under Phase 2. This should take place at a reasonable interval from the Phase 1 meeting, taking into account all the circumstances and facts of the case. LT.11.2 The purpose of a Phase 2 Interim Attendance Management Meeting is to review the Personal Plan, including the arrangements for regular informal communication between the manager and the employee, and to update the information, planned actions and timescales specified therein, in response to new information/changes in circumstances and: Copy approved by Governance Committee: February 2011 Page 30 of 44

either (a) set a suitable date for a further Interim Attendance Management Meeting under Phase 2 or (b) arrange a suitable date for a Phase 3 Final Attendance Management Meeting, which will: plan for a return to work, including the finalisation of any medical redeployment if appropriate or an alternative course of action, when a return to work is unlikely to occur LT.11.3 The number of, and interval between, Phase 2 Interim Attendance Management Meetings will vary for each employee depending on the facts and circumstances of their case. For complex medical cases and/or where the sickness absence is likely to be prolonged it is envisaged that more than one Phase 2 Attendance Management Meeting will be necessary. LT.11.4 In all cases, if a return to work is not anticipated within four weeks of the Initial Attendance Management Meeting, the line manager should arrange at least one formal Interim Attendance Management Meeting to take place between the end of the 10 th calendar week and not later than the 26th calendar week from the commencement of the absence. Note: medical redeployment LT.11.5 Opportunities for medical redeployment will be more limited in schools. LT.11.6 Managers should note that, where medical redeployment is recommended by the Occupational Health Team, an employee needs to be on the redeployment register by the 20 th calendar week of their absence. (This enables 6 weeks of redeployment search under Phase 2 of the procedure and up to 6 weeks of redeployment search under Phase 3 of the procedure). Therefore where medical redeployment is recommended, managers should ensure that a Phase 2 Interim Attendance Management Meeting is held not later than the end of the 20 th calendar week from commencement of the absence. LT.12 Phase 3: Final Attendance Management Meeting LT.12.1 The procedure moves to Phase 3 when: either a return to work is imminent or it becomes clear from regularly reviewing the employee s absence in the Phase 2 Interim Attendance Management Meetings that a return to work is unlikely to be achieved either at all, or within a timescale that reasonably meets the needs of the service. LT.12.2 The purpose of the Phase 3 Final Attendance Management Meeting is to review the Personal Plan and: either confirm the anticipated date of the employee s return to work and explore what support may be necessary to ensure that their transition from absence to attendance is successful. This will include medical redeployment where applicable. See below: Notes1 and 2: Fit Notes and Return to Work Plan. Copy approved by Governance Committee: February 2011 Page 31 of 44

or conclude that, in the light of all the material facts of the case, the employee is unlikely to return to work either at all, or within a timescale that reasonably meets the needs of the service. In these circumstances, the manager will need to consider the options for termination of employment, including ill health retirement, mutually agreed termination of employment, or refer to a hearing to consider the employee s continuation in employment where a mutually acceptable termination arrangement cannot be reached. See below: Notes 3 and 4: Termination of Employment. Note 1: Fit Notes LT.12.3 From 1 st April 2010 Fit Notes will be introduced in which the employee s doctor will either certify that the employee is unfit for work or that they may be fit for work under certain circumstances or conditions. Where the employee s doctor recommends may be fit for work, the manager will need to determine whether the medical recommendations for a return to work can be accommodated by the Council as the employer. Advice and guidance will be available from the Attendance Management and Occupational Health Teams in Personnel and Training. Where the recommendations for support, or limitations regarding the employee s fitness for work cannot be accommodated by the Council as the employer at that particular stage of the employee s recovery, the manager should revert to managing the sickness absence under Phase 2 of the Long Term Procedure, until further review(s) indicates that any recommended adjustments can be reasonably accommodated by the manger to enable a return to work. The employee will continue to receive sick pay in line with their sick pay entitlement until a return to work is achieved or the Attendance Management Procedure is brought to a close. Note 2: Return to Work Plan LT.12.4 Discussions at the Attendance Management Meeting should be incorporated into the Personal Plan as a specific Return to Work section of that plan. The Return to Work section of the Personal Plan should then be reviewed in Phase 4 of the procedure once the employee has returned to work. Note 3: Termination of Employment LT.12.5 The manager will confirm his or her conclusions to the employee in writing and the case will be managed thereafter in accordance with the Ill Health Retirement/Termination Policy (see: A-Z Employment Policies) or the procedure for hearing a recommendation to terminate employment (see Appendix B) as appropriate. Note 4 LT.12.6 Reasonable management action to terminate, or to recommend termination of, employment for long term sickness absence cannot be delayed only on the basis that an employee s occupational sick pay has not run out. Each case has to be considered carefully and proportionately on its merits. LT.12.7 The line manager may call a Phase 3 Final Attendance Management Meeting at any time after the Phase 1 meeting. Where the purpose of the meeting is to agree a Personal Plan for a Return to Work it may not have been necessary to hold a Phase 2 meeting first, particularly if the reason for the sickness absence was straightforward e.g. planned surgery with no complications and the recovery proceeds according to plan. LT.12.8 Where the circumstances of the sickness absence are more complex, and the Phase 3 Final Attendance Management Meeting may lead to either a phased Return to Work or a requirement for other support, for example reasonable adjustments, or could Copy approved by Governance Committee: February 2011 Page 32 of 44

result in a recommendation to terminate employment, the manager must hold regular Phase 2 Interim Attendance Management Meetings to ensure that all relevant information has been obtained and options for rehabilitating the employee have been thoroughly explored before moving to a Phase 3 Final Attendance Management Meeting. LT.12.9 In these circumstances, the Final Attendance Management Meeting under Phase 3 should take place no earlier than the 26 th calendar week of the absence, unless a return to work is imminent, or an alternative course of action to resolve the absence can be mutually agreed at an earlier date. However, it should be convened no later than the 32 nd calendar week of the absence where medical redeployment is being sought, or where there are particular medical circumstances. LT.12.10 In exceptional medical circumstances a business case would need to be put together for approval by the departmental Assistant Director, or Headteacher/Governors in schools, to extend the process beyond 32 calendar weeks. Exceptional circumstances may include, but are not limited to, medical situations involving life-threatening or terminal illnesses (where the employee is nevertheless likely to be able to return to work and wishes to do so) or where late, but significant recovery enabling an imminent return to work is occurring. LT.13 Phase 4: Return to Work LT.13.1 Phase 4 commences on the employee s first day back at work after a long term absence on sick leave and may continue for up to 12 weeks from the date of return to work. LT.13.2 The purpose of Phase 4 is to ensure that: the employee is fully and properly supported during the transition period from absence to full attendance and there is a mechanism for reviewing the adequacy and effectiveness of the support mechanisms, including any reasonable adjustments, and the employee s progress is regularly monitored during this period. Return to Work Meeting LT.13.3 The manager will meet with the employee on their first day back at work, both to brief them on workload/operational matters and to ensure that: all arrangements previously agreed at the Phase 3 meeting and recorded in the Return to Work section of the Personal Plan are satisfactory and to establish whether the employee requires any additional support, not already discussed or agreed, to enable them to experience a smooth transition back into the workplace. LT.13.4 The Return to Work Plan may be amended, if necessary, in the light of the discussions at the Return to Work meeting, including any reasonable adjustments agreed. Further informal review meetings to monitor the transition arrangements may be arranged, if appropriate in the circumstances, before the Final Review Meeting (see below). Copy approved by Governance Committee: February 2011 Page 33 of 44

LT.13.5 Meeting with the employee on their first day back in the workplace after a long absence and ensuring they feel welcome and at ease is considered crucial to the process of rehabilitation. LT.13.6 Therefore, where the line manager is unable to meet with the employee on their first day back, they should nominate another, suitably briefed, manager to conduct the Return to Work meeting in their place. LT.13.7 Phase 4 is a transition phase from absence to full attendance and aims to rehabilitate the employee back into their work and also into normal working relationships as quickly as possible in their individual circumstances. Part of this rehabilitation will be the restoration of the normal supervisory relationship between the employee and their line manager. LT.13.8To facilitate this, there is no right to formal representation at Phase 4 Return to Work review meetings, except at the Final Review Meeting when the Return to Work section of the Personal Plan should be formally signed off (see below). The Final Return to Work Review Meeting LT.13.9 As part of the transition review meetings under Phase 4, the manager and the employee will agree a suitable date for a Final Return to Work Review Meeting when the Return to Work Plan will be signed off by them both, confirming that the rehabilitation phase has been completed successfully and the employee has returned to full fitness for work. LT.13.10 The date of the Final Return to Work Review Meeting will vary according to individual circumstances. However, 6 calendar weeks from the date of the employee s return to work is recommended as an optimum date for most cases. Representation at Phase 4 Return to Work Meetings LT.13.11 The employee may opt to be accompanied by a trade union representative or a current work colleague at the Final Return to Work Review Meeting and, if so, the manager may be advised by a Personnel Officer. LT.13.12 Requests to be accompanied by a Trade Union Representative or current work colleague at the Final Review meeting must be made at least 14 calendar days prior to the meeting, to ensure availability of a representative and Personnel Officer. LT.13.13 Where formal representation at the Final Review Meeting is requested, the procedural guidance in Appendix C for calling a formal Attendance Management Meeting will apply. LT.14 What happens if the Return to Work Plan is not successful or cannot be signed off within 12 calendar weeks? LT.14.1 In circumstances where full rehabilitation has not been achieved within 6 weeks, the line manager should be meeting with the employee regularly and reviewing with them the potential for them to return to work successfully. LT.14.2 Accordingly the line manager must review the Return to Work Plan formally with the employee not later than 12 calendar weeks from the date of return to work to re-examine the alternative options for the employee s future. These can include the consideration of: Copy approved by Governance Committee: February 2011 Page 34 of 44

medical redeployment if time permits, or an application for ill-health or early retirement or suspension from duty pending a hearing to consider the employee's continued employment. LT.14.3These options will be considered if a Return to Work Plan that is satisfactory to both the manager and the employee cannot either be signed off, or amended, to achieve a successful and sustained Return to Work within a reasonable timescale. Right to Representation LT.14.4This will effectively return the Long Term Procedure to Phase 3 and therefore the manager will have the right to be accompanied by a Personnel Officer and the employee will have the right to be accompanied by a Trade Union representative or current work colleague. Other procedural guidance applicable to a Phase 3 Attendance Management Meeting will also apply see Appendix C. Duration of the Personal Attendance Support Plan LT.14.5 The Personal Attendance Support Plan will remain on the employee s personal file for 24 months after it is signed off at the Final Return to Work Review Meeting. In certain circumstances, if the employee s attendance gives further cause for concern during this period, this Personal Plan may be reviewed and the Long Term Procedure re-activated at Phase 3 initially (see next section). LT.15 What happens if the employee has a further sickness absence following their Return to Work? LT.15.1 If the employee has a further sickness absence during the Phase 4 Return to Work period, and it occurs before the Phase 4 Final Review Meeting and sign off of the Return to Work Plan, the absence will be continue to be managed under Phase 4, even if it is a short term sickness absence. LT.15.2 A Return to Work meeting should be held as above and the line manager should review the Return to Work Plan and record any amendments that may be agreed in the light of information arising from the meeting. LT.15.3 Where short term sickness absence occurs within the 24 month period following sign off of the Return to Work Plan, the line manager will normally manage any such absence in accordance with the Short Term Procedure in the usual way. LT.15.4 However, the manager may exercise discretion and opt to review the attendance issues under Phase 3 of the Long Term Procedure where: the pattern and frequency of absence causes concern and/or it is considered probable, or possible, that the absences are related directly, or indirectly, to the employee s previous long term illness, or treatment for that illness LT.15.5 The Personal Plan will be re-opened and reviewed accordingly, including consideration of further reasonable adjustments, personal triggers and alternative courses of action that may be applicable. Copy approved by Governance Committee: February 2011 Page 35 of 44

APPENDIX A The Appeal Process for Attendance Improvement Notices issued under the Short Term Attendance Management Procedure A.1. Stage Three Attendance Improvement Notice The line manager presents the case to a Senior Manager or another manager at the same level. In schools the case will normally be presented by a member of the senior management team and if this is the Headteacher, the appeal will be heard by a panel of Governors. PAT provides support and advice as appropriate (usually a Personnel Officer from the Attendance Management Team). The employee may be accompanied by a TU representative or a current work colleague. if an employee exercises his/her right to appeal against the Attendance Improvement Notice, arrange a formal meeting to consider the appeal within ten working days of receiving the written registration of appeal. Secure PAT support from the Attendance Management Team give the employee written notice of the appeal hearing venue, date and time, along with the opportunity to bring a trade union representative or current work colleague and an opportunity for the employee to request any reasonable adjustments to allow them to attend exchange of documents should occur within three working days of the date of the appeal hearing and this should be confirmed in the written notice of the appeal hearing Senior Manager/Manager/Governors will reach his/her/their decision having listened to the case put by both sides and following an adjournment Senior Manager/Manager/Governors to notify the employee and Manager of the decision, in writing, within five working days of the appeal. Senior Manager/manager/governors may choose to give an oral decision on the day, but this must be confirmed in writing within 5 working days if the Senior Manager/Manager/Governors uphold the decision to issue an Attendance Improvement Notice, the employee must be informed that there is no further right of appeal within the County Council the Attendance Improvement Notice shall remain on the employee s record for 12 months and, providing the absence record gives no further cause for concern in this period, shall thereafter be regarded as time expired should an employee s attendance lapse in a subsequent period of employment, any additional Attendance Improvement Notice will be given under Stage 4 and will remain on record for 12 months (Second Attendance Improvement Notice) or 2 years (Final Attendance Improvement Notice) A.2. Stage Four Second Attendance Improvement Notice or Final Attendance Improvement Notice The line manager presents the case to another manager at the same level/senior Manager/Headteacher/panel of Governors as appropriate. PAT provides support and advice (usually a Personnel Officer from the Attendance Management Team). The employee may be accompanied by a TU representative or a current work colleague. if an employee exercises his/her right to appeal against a Second or Final Attendance Improvement Notice, arrange a formal meeting to consider the appeal within ten working days of receiving the written registration of appeal. Secure PAT support from the Attendance Management Team Copy approved by Governance Committee: February 2011 Page 36 of 44

give the employee written notice of the appeal hearing date, time and venue, along with the opportunity to bring a trade union representative or current work colleague and an opportunity for the employee to request any reasonable adjustments to enable them to attend exchange of documents should occur within three working days of the date of the appeal hearing and this should be confirmed in the written notice of the appeal hearing Senior Manager/Manager/Headteacher/Governors will reach his/her/their decision having listened to the case put by both sides and following an adjournment Senior Manager/Manager/Headteacher/Governors to notify the employee and manager of the decision, in writing, within five working days of the appeal. Senior Manager/Manager/Headteacher/Governors may choose to give an oral decision on the day but this must be confirmed in writing within five working days if the Senior Manager/Manager/Headteacher/Governors uphold the decision to issue a Second or Final Attendance Improvement Notice, the employee must be informed that there is no further right of appeal within the County Council the Second Attendance Improvement Notice shall remain on the employee s record for 12 months and the Final Attendance Improvement Notice for 2 years providing the absence record gives no further cause for concern in this period, it shall thereafter be regarded as time expired. should an employee s attendance lapse in a subsequent period of employment, any additional Attendance Improvement Notice will be given under Stage 4 and will remain on record indefinitely Copy approved by Governance Committee: February 2011 Page 37 of 44

APPENDIX B THE PROCEDURE FOR HEARING A RECOMMENDATION FOR TERMINATION OF EMPLOYMENT B.1. Consideration of Continuation of Employment B.1.1 In the event of the application of either the Short Term or Long Term Attendance Management Procedures resulting in the manager recommending that consideration should be given to terminating employment, a Senior Manager will present the case to either an appropriate delegated Senior Manager or the Chief Officer. In schools the case will be presented to either the Headteacher, or to a panel of Governors (if the Headteacher is the Senior Manager presenting the case). (See: Delegating Personnel Functions for a copy of the Scheme of Personnel Delegations document). B.1.2 Appropriate support from Personnel and Training will be available to the Chief Officer/Senior Manager or Headteacher/panel of Governors. B.1.3 The employee may bring a TU representative or current work colleague. B.1.4 If the employee appealed successfully at Stage 4 against a Final Attendance Improvement Notice and it was therefore disregarded, but the employee subsequently has triggered again/attendance has lapsed/not met attendance expectation etc., the issue will be dealt with under Stage 4 of the Short Term Attendance Management Procedure or Phase 3 of the Long Term Attendance Management Procedure whichever is applicable. Involve a Personnel Officer from the Attendance Management Team within PAT at the outset. B.1.5 If the employee was given a Final Attendance Improvement Notice under Stage 4 and: did not appeal, or appealed unsuccessfully, and has subsequently triggered/attendance has lapsed/not met attendance expectation etc., or has been absent for a continuous period of 4 weeks consideration should be given by the manager (in conjunction with a Personnel Officer from the Attendance Management Team) whether to recommend termination of employment. B.1.6 Careful consideration also needs to be given to the reason(s) put forward for satisfying any recommendation to terminate employment (e.g. capability and/or some other substantial reason). B.1.7 Consideration should also be given to seeking another expert medical opinion. B.1.8 There may be circumstances in which the manager believes a further period for improvement should be set, subject to review. B.1.9 If termination of employment is to be recommended, the manager informs the employee in writing with details of the arrangements for the hearing including date, time venue, the right to representation and an opportunity to request reasonable adjustments if appropriate. Copy approved by Governance Committee: February 2011 Page 38 of 44

B.2. The conduct of a hearing to consider continuation of employment B.2.1 The appellant, management and witnesses must exchange documents not less than 5 working days before the date of the hearing. B.2.2 The employee should be suspended (with full pay) pending the hearing (the period of suspension should not then count as further absence for the purpose of these procedures). B.2.3 The Occupational Health Physician may be called as a witness to give expert evidence. B.2.4 The line manager may be called as a witness to give evidence. B.2.5 The Chief Officer or delegated Senior Manager to hear the case. In schools the Headteacher or panel of Governors as appropriate. B.2.6 If the recommendation to terminate employment is confirmed, the employee is to be notified in writing within 5 working days of the hearing along with his/her right of appeal to a panel of three elected Members of the County Council. In schools the appeal will be heard by a panel of Governors (with different membership to the original panel if Governors heard the case). B.2.7 The employee is to be given contractual notice. The employee should be told not to attend work during the notice period. B.2.8 The employee must register his/her appeal in writing within 10 working days of receipt of the letter confirming the outcome of the hearing. B.3. Right of Appeal against Termination of Employment B.3.1 In the event of an appeal, the dismissing officer presents the management case to a panel (the appeal panel) of elected Members of the County Council, or panel of Governors if the employee works in a school. B.3.2 Appropriate PAT support will be made available to the dismissing officer and to the appeal panel. Where the appeal panel comprises elected Members, an officer from the Legal Services Team will be present to advise them. B.3.3 The employee may bring a TU representative or current work colleague. B.4. The Appeal Procedure B4.1 If employee exercises his/her right of appeal, the Director of Governance and Community Services, or the Clerk to the Governors in schools, will convene a formal appeal hearing, within the employee s period of notice if possible, but in all events within 2 months of receiving appeal notification. B.4.2 The Director of Governance and Community Services or the Clerk to the Governors in schools, will give both the employee and management side written notice of the appeal date/time and venue. The employee will be notified of the right to bring a trade union representative or current work colleague. Copy approved by Governance Committee: February 2011 Page 39 of 44

B.4.3 The appellant, management and witnesses must exchange documents not less than 5 working days before the date of the hearing, via the Director of Governance and Community Services or Clerk to the Governors as appropriate. The documents should be sent to the appeal panel members simultaneously. B.4.4 The formal hearing takes place and will normally re-hear the entire case. The dismissing officer presents her/his case and is questioned upon it. The employee then presents her/his case and is questioned upon it. The employee sums up after the manager. Both parties may call witnesses as part of their presentation. B.4.5 The appeal panel should notify both the employee and the dismissing officer of the decision, in writing, within 5 working days of the Appeal. (In addition, the appeal panel may choose to give the decision orally following an adjournment on the day of the Appeal, but this must be followed up in writing). B.4.6 If the Appeal is upheld, the suspension will be lifted with immediate effect with or without a further formal Attendance Improvement Notice and arrangements made for a return to work, normally to the employee s original post. The appeal panel are to state what, if any, further action should occur (within the Attendance Management Procedures) should further absences occur. B.4.7 If the Appeal is not upheld, the decision is final with no further right of appeal within the County Council. Copy approved by Governance Committee: February 2011 Page 40 of 44

APPENDIX C Guidance for the conduct of formal Attendance Management Meetings held under Phases 1-3 of the Long Term Attendance Management Procedure The following procedural guidance applies to all formal Attendance Management Meetings held under Phases 1-3 of the Long Term Procedure C.1 How do I convene an Attendance Management Meeting? C.1.1 When convening an Attendance Management meeting under Phases 1-3 of the procedure the manager should: invite the employee to attend in writing give at least five working days written notice of the meeting date, time and venue see Note 1 make it clear that the employee may be accompanied by a trade union representative or current work colleague see Note 2 Note1: C.1.2 Managers should consider the employee s health and personal circumstances when suggesting a suitable venue for Attendance Management Meetings and make any reasonable adjustments to facilitate the employee s attendance at the meeting. Any reasonable adjustments should be confirmed in the invitation letter. C.1.3 Ideally the meeting venue should be the employee s place of work, but if this is not suitable for medical reasons, it is recommended that the meeting should be held at an appropriate and mutually acceptable neutral venue. However, if an employee is severely incapacitated by their condition, then it can be agreed for the meeting to take place at the employee s home. Note 2: C.1.4 The employee must be made aware that family members are not permitted to represent them or advocate on their behalf. This should be clarified, particularly where the Attendance Management Meeting is to be held at the employee s home. C.1.5 The manager will normally be accompanied by a Personnel Officer at each Attendance Management Meeting. C.2. Can the Attendance Management Meeting proceed without the employee in attendance? C.2.1 At any phase of the Long Term Procedure, an Attendance Management Meeting may proceed in the employee s absence, but will be delayed on one occasion for up to seven working days if that is likely to enable the employee to attend. In any event every effort will be made to obtain a written submission from the employee and/or oral representations from a Trade Union representative or current work colleague on their behalf if they are unable to attend. C.3. Can the employee request support from family or friends? C.3.1 Family members or friends are not permitted to act as representatives, but may, upon request and with sufficient notice, be allowed to attend as moral support in Copy approved by Governance Committee: February 2011 Page 41 of 44

exceptional circumstances. However, they will not be able to represent or advocate on behalf of the employee and it is important that they are clear about their role before the meeting commences. C.4. What information and circumstances should a manager consider when preparing and reviewing a Personal Attendance Support Plan? 4.1 In preparing and reviewing a Personal Plan with the employee, the manager should: review the employee s current absence consider any report from the Occupational Health Team or refer to the Occupational Health Team (if not done so previously) seeking the likely date of return to work and any actions that might assist the process including any reasonable adjustments consider any issues relating to disability as covered under the Equality Act consider any issues involving industrial injury or other work related issues consider the employee s length of service and previous sickness record hear representations from the employee and/or their representative record the impact the employee s absence is having on service delivery and work colleagues consider advice from the Personnel Officer present as appropriate develop and agree with the employee a strategy for minimising their absence from work, reviewing the case at regular intervals and /or a Return to Work plan as appropriate depending on the management phase that the case has reached record the details of the meeting on the employee s Personal Plan (the template for the plan can be downloaded from the Personnel/Managing Staff pages of the Intranet) retain the Personal Plan on both the employee s personal file and their supervision file and provide a copy to the employee within 7 calendar days of the meeting. C.4.2 When an absence is likely to extend beyond 6 months, discussions at Phase 2 Interim Attendance Management Meetings may also include, in addition to the above headings, the possibility of: medical redeployment to a different post in the same establishment or elsewhere in accordance with the Council s Redeployment Policy and/or ill health retirement in accordance with the Council s Ill Health Retirement/Termination Policy additional requests for assessments and/or advice from the Occupational Health Team the impact of any changes in the employee s condition or treatment for their condition on the strategy for minimising their sickness absence and amendments to the Personal Plan to reflect any such changes C.5. What happens if a return to work is unlikely to be achieved? C.5.1 When all options to minimise the sickness absence and enable the employee to return to work successfully have been explored thoroughly during Phase 2 Interim Attendance Management Meetings. AND a Return to Work plan cannot be agreed by the 32nd calendar week of the absence Copy approved by Governance Committee: February 2011 Page 42 of 44

AND a business case for a discretionary extension in exceptional medical circumstances (see Para 12.10 of the Long Term Procedure) has not been agreed by the departmental Assistant Director. C.5.2. Then a Phase 3 Final Attendance Management Meeting will be convened to: a) finalise arrangements for medical redeployment or ill health retirement if appropriate and in accordance with the relevant Council policy, or b) to discuss the possibility of agreeing a mutual termination of employment or c) to advise the employee that the case will be referred to a hearing to consider the employee s continuation in employment. Copy approved by Governance Committee: February 2011 Page 43 of 44

Equality Impact Assessment Summary for Revised Attedance Management Policy and Procedure Date of assessment: Revised Attendance Management Policy and Procedure Managers name and role: Martin Allen - Personnel Manager, Greg Nicol - Personnel Manager This is a summary of the findings of the Equality Impact Assessment for the revised Attendance Management Policy and Procedure. For full details of the assessment, please contact the manager named above. Summary of findings The revised Policy and Procedure, as well as the introduction of a Personal Attendance Support Plan, promotes equality for age and disability and includes new guidance for managers about assessing and recording cause for concern to promote consistency and transparency of decision making within the procedure to promote fairness and equality in its application. Summary of recommendations and key points of action plan Policy drafted - Dec 09 Consultation with Trades Unions and Stakeholders Jan/Feb 10 Corporate Approval May 10 Training for Managers May/June 10 Launch pilot summer 10 Formal Review of pilot Dec 10 Subject to outcome of the review, ratify through governance by Mar 11 Groups that this project or service will impact upon If there is an x in the box below a +, it means the strategy or policy has a positive impact on that group. A x below the - sign means there is a negative impact. Race Gender Sexual Orientation Age Disability Religion/ Belief Other + - + - + - + - + - + - + - + - All Copy approved by Governance Committee: February 2011 Page 44 of 44