MANAGING ATTENDANCE AND SICKNESS ABSENCE POLICY … Attendance_H… · may also vary any parts of this policy, including any time limits, as appropriate in any case. 1.1. Trust Policy

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MANAGING ATTENDANCE AND SICKNESS ABSENCE

POLICY AND PROCEDURE

JULY 2019

This policy supersedes all previous policies for Managing Attendance and Absence Policy and Procedure

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Policy title MANAGING ATTENDANCE AND SICKNESS ABSENCE POLICY AND PROCEDURE

Policy

reference HR17

Policy category HR

Relevant to All Staff (except workers employed by NHSP)

Date published July 2019

Implementation

date July 2019

Date last

reviewed July 2019

Next review

date July 2022

Policy lead Malwina Paulus, HRBP

Contact details Email: [email protected] Telephone: 0203 317 7183

Accountable

director Sally Quinn, Director of HR & OD

Approved by: Joint Policy Group

Ratified by: Workforce Committee

July 2019

Document

history Date Version Summary of amendments

May 2018 10

A full review of the policy and its content – a number of

changes made to the length of the document, layout, and

the content

Nov 18 11 Added info about Disability Leave, corrected appeal times

March 19 12 Clarification on redeployment, partial days sickness and

time frame for completion of management reports

July 19 12.1 Specified ‘pro-rata’ triggers for part time staff

Membership of

the policy

development/

review team

ER Team, Joint Policy Group

Consultation

DO NOT AMEND THIS DOCUMENT

Further copies of this document can be found on the Foundation Trust intranet.

mailto:[email protected]

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Contents

1. Introduction

2. Scope of the Policy

3. Aims and Objectives

4. Duties and Responsibilities

5. Definitions

6. Sick pay

7. Sickness Management Procedure

8. Movement between short and long term sickness management processes

9. Annual Leave

10. Workplace injury

11. Pregnancy related sickness

12. Staff with disability

13. Redeployment

14. Associated Documents

15. Monitoring

Appendices:

Appendix 1: Flowchart for Managing Long Term Sickness

Appendix 2: Flowchart for Managing Short Term Sickness

Appendix 3: Managing Absence without Leave (AWOL)

Appendix 4: Stage 3 Hearing Procedure

Appendix 5: Equality Assessment

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1. INTRODUCTION

This document sets out the Trust’s policy on managing sickness absence in line with Agenda for

Change terms and conditions and other NHS terms and conditions of service. The policy does not

form part of any employee's contract of employment and it may be amended at any time. The Trust

may also vary any parts of this policy, including any time limits, as appropriate in any case.

1.1. Trust Policy Statement

Camden and Islington NHS Foundation Trust is committed to the delivery of world class care and

expertise to both staff and service users and our Cultural Pillars of valuing each other; feeling

empowered, keeping things simple and staying connected are fundamental to the delivery of this.

This policy has been developed with our values in mind and is intended to be implemented within

the spirit of these values.

Camden and Islington NHS Foundation Trust believes that it is a mutual benefit to the Trust and its

employees to work in partnership with Staff side. This policy has been developed and agreed by

management and Staff side, in order to ensure that staff are treated consistently and fairly.

2. SCOPE OF THE POLICY

2.1. This policy and procedure applies to all employees of the Trust including doctors in training

and Trust doctors. It does not apply to bank workers.

2.2. This policy also does not apply to cosmetic surgery undertaken for personal choice rather

than medical necessity. Sick pay will not apply in this situation and staff are expected to use

annual leave

2.3. Any episodes of sickness absence during an employee’s probationary period will need to be

managed in line with this policy. Their attendance will form part of the performance review

as per the Trust Probation Policy.

2.4. The purpose of this policy is to set standards for dealing with sickness absence in a

consistent, fair, sensitive and supportive way, whilst at the same time recognising the needs

of the service.

2.5. We wish to ensure that the reasons for sickness absence are understood in each case and

investigated where necessary. In addition, where needed and reasonably practicable

measures will be taken to assist those who have been absent by reason of sickness to

return to work.

2.6. Misconduct issues associated with sickness absence and attendance should be dealt with

under the Trust’s Disciplinary Policy.

2.7. Specific drug or alcohol related problems should be dealt with in conjunction with the Trust’s

Workplace Alcohol and Substance Misuse Policy.

3. AIMS AND OBJECTIVES

3.1. The aims of the policy are to:

3.1.1. Ensure that all staff are treated according to their circumstances and needs.

3.1.2. Outline the requirements of staff in respect of consistent and effective attendance in

the workplace.

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3.1.3. Ensure fair treatment of staff with a disability and ensure that obligations in respect of

the Equality Act 2010 are met.

3.1.4. Adhere to Agenda for Change and Medical and Dental terms of service in the

provision of managing attendance at work.

3.1.5. Acknowledge employees’ entitlement to sick leave and pay, within the scope of the

Attendance Policy, when they are unable to work due to illness or injury.

4. DUTIES AND RESPONSIBILITIES

4.1. Line Managers

4.1.1. Ensure all staff understand and comply with certification and absence reporting

procedures.

4.1.2. Record and maintain attendance records, hold return to work discussions after every

period of sickness absence and remind employees of the Trust’s ‘triggers for

concern’.

4.1.3. Manage high sickness absence rates in line with the appropriate process.

4.1.4. Report accidents at work in line with Trust reporting procedures.

4.1.5. Refer staff to Occupational Health as appropriate with their consent, providing

sufficient background information description of duties, absence data, etc. when doing

so.

4.1.6. Consider reasonable adjustments which enable staff to work effectively and maintain

satisfactory attendance records.

4.1.7. Take reasonable steps to ensure that employees work in a healthy and safe

environment.

4.2. Staff Members

4.2.1. Take steps to maximise their own attendance by responsible management of their

health e.g. when an employee is unwell, the expectation is that they will actively

participate in seeking appropriate treatment.

4.2.2. On the first day of sickness absence employees must contact their line manager as

soon as possible, and ideally prior to their start time, to advise them that they will not

be attending work, along with the reasons and likely duration. If an employee calls in

late and/or without a satisfactory reason, their absence may be counted as

unauthorised and considered as unpaid. It may also be considered a disciplinary

issue.

4.2.3. Provide a self-certificate for episodes of absence of 1-7 calendar days and a valid

medical certificate (Fit Note) for absences lasting 8 calendar days or more.

4.2.4. Attend any subsequent meetings as requested by their manager. At formal meetings,

employees may be accompanied by trade union representative or a work colleague

not acting in a legal capacity.

4.3. Employee Relations Team

4.3.1. Promote a consistent approach for managing sickness absence.

4.3.2. Advise managers of best practice and assist them in applying the sickness absence

procedure in a fair manner.

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4.4. Occupational Health (OH)

4.4.1. To provide impartial, expert advice to managers and employees on the fitness of

employees to undertake their role.

4.4.2. To signpost employees to other appropriate services e.g. counselling.

4.4.3. To advise on reasonable adjustments to the work, workplace, equipment and duties.

4.4.4. To provide advice on ill-health retirement.

5. DEFINITIONS AND TERMS

5.1. Short term sickness trigger

Four episodes and/or 10 calendar days in any rolling 12 month period (pro-rata for part time

employees).

5.2. Long term sickness

Continuous absence of 15 calendar days or more.

5.3. Self-certificate and GP fit note

Absences of up to 7 calendar days need to be self-certified by an employee. For absences of

eight calendar days or more, staff must submit medical certificates (Fit Note) from their GP

promptly within 5 working days of the 8th calendar day of absence. Backdated certificates will

not be accepted unless in exceptional circumstances. Therefore, it is the employee’s

responsibility to ensure a medical certificate is obtained in a timely manner. Managers are able

to seek verification of a medical certificate if required via Occupational Health. Any follow on sick

notes must be sent without a break in the period covered, failure to do so may lead to the leave

being unpaid / unauthorised

5.4. Ill Health Retirement (IHR)

Staff with at least two years membership of the NHS Pension scheme may be eligible for ill

health retirement. Advice from Occupational Health must be sought in advance to determine

whether they would support an application for ill-health retirement. The NHS Pensions Agency is

responsible for reviewing the applications and making final decisions on IHR.

5.5. Reasonable adjustments

The Trust has a legal duty to make reasonable adjustments for employees with a recognised

disability or who are pregnant. The Trust will consider making reasonable changes for other

employees who may require them. This may include changes to working environment, working

pattern, duties, location etc. to help with employees’ attendance at work. Advice should be

sought from Occupational Health and the ER Team.

5.6. AWOL

Absence without leave – unauthorised absence. Please refer to Appendix 4 for guidance.

5.7. Return to Work (RtW) interviews

Discussions between a manager and their staff member following the individual’s return to work

should be conducted in a supportive manner to ensure that staff are fit to return to work and are

provided with appropriate support if needed. This should be arranged as soon as practically

possible following an employee’s return to work.

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5.8. Injury Allowance

This only applies to staff covered under Agenda for Change terms and conditions. It is a

supplement in sick pay in circumstances where an employee’s pay is reduced primarily as a

result of an injury at work. Please refer to point 10 of the policy for further information.

5.9. Redeployment

The process of moving employees to a different role either on temporary or permanent basis.

Please see point 13 for further information.

5.10. Phased return to work

A staged approach to returning an employee to work i.e. reduced working hours in the initial

period following a return to work. The period of paid phased return should not exceed 4 weeks.

The maximum number of episodes of paid phased return is 2 in any 12 months rolling period.

Any additional phased return episodes will be paid for the hours worked and may be topped up

by annual leave.

5.11. Disability

Under the Equality Act a person is disabled if they have 'a physical or mental impairment which

has a substantial and long-term adverse effect on their ability to carry out normal day-to-day

activities'. ‘Substantial’ is more than minor or trivial, e.g. it takes much longer than it usually

would to complete a daily task like getting dressed; and ‘long-term’ means 12 months or more,

e.g. a breathing condition that develops as a result of a lung infection.

5.12. What counts as a day’s sickness absence?

• All off duty days and statutory holidays will count as an absence day unless the employee has

reported back as fit to work. For example if an employee is sick on a Friday and does not return

until Monday the absence will count as 3 days even if they would not be on duty over the

weekend unless reported as fit to return earlier.

• If any employee leaves work early due to sickness and less than half the shift has been worked

this will then count as a full day’s absence.

6. SICK PAY

Employees taking time off work due to illness will be entitled, subject to the conditions of Section

14(a)(England), to receive occupational sick pay in accordance with the table below:

Length of reckonable service Full Pay Half pay

During the first year of service 1 month 2 months

During the second year of service 2 months 2 months

During the third year of service 4 months 4 months

During the fourth and fifth years’ of

service 5 months 5 months

After completing five years of service 6 months 6 months

Sick pay is calculated on the basis of a rolling 12 month period.

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7. SICKNESS MANAGEMENT PROCEDURE

The section below outlines the stages of managing sickness and patterns of absence (e.g. absence

occurring at similar time of the year/week/month). Flowcharts can be found in appendices 1 and 2.

In consultation with the ER Team, managers should determine how many meetings at each stage of

the policy will be appropriate before progressing to the next stage.

Please note that after each of the stages an employee should receive a written record of the

meeting and a copy should be sent to Employee Relations Team.

7.1. Informal stage

When an employee has activated a Trust sickness absence trigger (either long term or short term),

their manager should commence sickness absence management under the informal stage, unless

the employee has been managed under the formal stages of the process in the 12 months prior to

the latest episode of sickness.

The manager will arrange to discuss the reasons, attendance concerns, patterns, support needed to

help the employee improve their attendance levels, consider OH referral, etc. An improvement target

will be set over a period of up to 12 weeks, at the end of which there will be a further meeting to

review the short term or intermittent periods of ill-health absence. In cases of long-term absence the

review period is 4 to 6 weeks. A written record of the meeting should be kept in the employee’s file

following the meeting for a period of 6 months following the end of the sickness monitoring.

7.2. Formal stage 1 and 2

If the employee’s attendance has not met the improvement target set during the previous stage of

sickness management, or the employee has not sustained their levels of attendance after the

monitoring period has ended, managers should move the employee to the next stage of the

procedure.

The focus of a Formal Stage 1 meeting remains the same as the informal stage, however at Formal

Stage 2 the manager should refer an employee to OH to consider redeployment options, if

applicable. The expected improvement and the consequences of non-improvement at Formal Stage

1 should be clearly outlined i.e. progress to Formal Stage 2 of the sickness absence procedure.

If, after a reasonable period of time, you have not been able to return to work, or if your attendance

has not improved within the agreed timescale, further meeting(s) will be held to establish whether

the situation is likely to change. Redeployment may be considered at this stage. If it is considered

unlikely that you will return to work or that your attendance will improve within a reasonable period of

time, you may be given written warning that you are at risk of dismissal. A further date for review

may be set.

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Managers will provide employees at least 5 days’ notice of a formal meeting. Employees have the

right to be accompanied by a union representative or a work colleague not acting in a legal capacity.

An HR Advisor may be present at this stage.

Should an employee fail to attend the meeting without a good reason, the manager can continue

with the meeting in their absence. For long term sickness absence, where an employee is unable to

attend the sickness absence meeting a home visit may be arranged with the agreement of the

employee, alternatively a telephone conference call may be arranged where appropriate.

In long term sickness absence cases it is essential that regular contact should be maintained

between the line manager and employee. This is a joint responsibility, therefore the employee and

line manager must agree on how this contact will be maintained.

If attendance deteriorates within twelve months of the specified period the process will be

reactivated at the formal stage (at the same stage previously implemented).

7.3. Formal stage 3

Where an employee’s attendance record continues to be unsatisfactory or, in circumstances of long

term sickness, where there continues to be no indication of a return to work in the foreseeable

future, it may be necessary to refer the employee to Formal Stage 3. In cases of long term sickness

absence, this meeting should normally be held prior to the 12th month of continuous absence. This

stage will be convened after all support options, including redeployment and ill-health retirement

(where appropriate), have been considered.

At this stage an independent manager will chair a panel supported by an objective HR

representative. The manager who has been responsible for sickness absence management will

complete a sickness absence report and present this to the panel. Reasonable notice (normally 7-10

days) and a copy of a management report will be given of this meeting and employees can be

accompanied by a Trade Union representative or a colleague, not acting in a legal capacity. At the

hearing the chair will consider predominantly sickness absence levels since the start of the most

recent process to manage attendance (including informal stages) which lead to stage 3 hearing,

however before reaching a final decision, the chair may also review overall attendance levels since

the beginning of the employment to help inform their decision.

At the stage 3 meeting the panel will review the following:

Sickness absence record and its impact on the department

Whether a return to work date is likely in the near future;

On-going treatment and/or recovery plan;

Whether all reasonable and practicable options to facilitate a return to work have been

considered, including redeployment where relevant;

Advice and recommendations from Occupational Health or a medical practitioner;

Potential for Ill-health retirement;

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Any additional support available

If a return to work date cannot be determined in the near future and all support mechanisms have

been considered, a possible outcome could be termination of employment where the employee has

been warned of the risk of dismissal and the situation has not changed significantly. A meeting will

be held to consider this further before any decision is made, allowing an opportunity for the

employee to raise any matters that they wish and to consider whether there have been any changes

since the last meeting. At this stage applications for ill health retirement can still continue to be

processed or initiated even though the member of staff has been issued the required notice of

dismissal. It may be possible to pay the employee in lieu of notice. The outcome of the meeting

should be confirmed in writing within 21 days and employee has the right to appeal against the

decision within 10 working days of receipt of the letter in line with the Appeals Procedure.

Where an employee or their representative is unable to attend the hearing and has notified the Trust

accordingly, a hearing should be rescheduled as soon as possible. This new date will not normally

be re-arranged further except in exceptional circumstances.

In circumstances where employee’s health has considerably improved, it may be possible for the

hearing panel to set an improvement target and a review period of up to 6 months. If the employee

exceeds the expected level of sickness within that period of time, stage 3 hearing will be

reconvened. If the employee triggers sickness monitoring between six to twelve months, formal

stage 2 will be reactivated.

The stage 3 hearing structure is attached in appendix 4.

8. MOVEMENT BETWEEN SHORT AND LONG TERM SICKNESS MANAGEMENT

PROCESSES

8.1. The following rules apply when employees experience both short and long term sickness.

Where absence initially managed under the short term procedure extends beyond 15

calendar days, this is classified as long term absence, and will be managed further under a

formal long term absence process.

8.2. Where an employee has returned to work from absence managed under the long term

sickness process and should further short term sickness arise within the specified review

period, the employee’s absence will be managed in line with the same formal stage of the

sickness procedure, which you were previously managed at. Managerial discretion in

managing short term absences following long term sickness is usually exercised in the

context of an on-going health conditions.

9. ANNUAL LEAVE

9.1. An employee on long term sickness absence continues to accrue the annual leave

entitlement. If their absence continues into the next financial year and they have not had an

opportunity to take their minimum annual leave under the Working Time Regulations 1998

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due to being absent during the whole or part of a holiday year, they may carry forward up to

a maximum of 18 months’ worth of unused statutory annual leave to be used within a

reasonable time of their return to work. Bank Holidays are not accrued during periods of

sickness absence. Any annual leave not taken within 18 months of the end of the holiday

year in which it accrues (whether or not you have returned to work) will be lost.

9.2. If staff are sick during annual leave and wish to reclaim the leave, they are required to notify

their line manager immediately on the first day of sickness as per normal reporting

procedures and provide their manager with a medical certificate from their GP or an

appropriate medical practitioner.

9.3. If an employee falls sick during their planned annual leave abroad and it delays their return

to work, the employee may be required to produce the UK fitness to work certificate, medical

evidence (even if abroad) and/or original flight tickets.

9.4. If an employee has pre-booked annual leave and is planning to go away during their period

of sickness, they must inform the employer of their intention to take the leave.

9.5. The employee is also obliged to maintain necessary contact with the employer whilst away

during their sickness, unless agreed otherwise.

10. WORK PLACE INJURY

10.1. In the event of a work place injury managers will ensure the health and safety of individual

and complete such reports as required and in force from time to time.

10.2. Eligible staff may apply for an injury allowance, which is a top up payment of up to 85% of

full pay and tops up sick pay, or earnings when on phased return on reduced pay.

10.3. To apply for the injury allowance, staff are encouraged to contact their manager or the ER

Team before the reduced sick pay will commence. The Trust will determine whether staff

are eligible for the injury allowance Staff who are dissatisfied with the decision may wish to

follow the Trust’s Grievance Policy.

10.4. Sickness relating to work place injury and/or illness will not be counted towards short term

sickness triggers. Long term sickness relating to the above is going to be managed under

the long term sickness procedure however this will be in a supportive manner to aid staff

their return to work.

11. PREGNANCY RELATED SICKNESS

11.1. Short term sickness relating to pregnancy or miscarriage will not count towards short term

sickness triggers. Should staff trigger the long term sickness procedure, managers should

arrange supportive meetings in an informal manner.

12. STAFF WITH DISABILITY

12.1. Staff who are on sick leave due to reasons relating to their underlying health condition which

is covered under the Equality Act 2010 may be managed in line with the principles of this

policy. However, the Trust recognises the need for the policy to be applied flexibly in those

circumstances in order for staff to feel supported.

12.2. The Trust has implemented Disability Leave in order to support staff with

disabilities/underlying health conditions. This type of leave can be used to cover sickness

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and unexpected absences relating to the disability/underlying health conditions. Managers

should refer to the Manager’s Guide to Supporting Staff with Disabilities and consult with

the ER Team.

12.3. Managers will take necessary steps such as referral to Occupational Health and consider

reasonable adjustments to help employees with disability with maintaining their attendance.

Further information can be sought in the Trust’s Guidance on Supporting Staff with Long

Term Conditions.

12.4. Managers need to consult with the ER Team before taking any formal steps to address

employee’s sickness absence due to reasons relating to disability.

13. REDEPLOYMENT

13.1. Redeployment is a reasonable adjustment and will be offered where advised by our

Occupational Health service to assist employees in sustaining a return to work in a role

which is considered suitable.

13.2. Temporary Redeployment may be suitable for employees who are fit to return to work in

some capacity but need a period of rehabilitation before resuming the full duties of their

substantive post, and may include a reduction in hours/change of job description. Temporary

redeployment will also be sought while permanent redeployment is being identified.

13.3. Permanent Redeployment may be appropriate where Occupational Health have advised

that the employee is no longer able to perform their substantive role due to a health

condition. However, they may have the potential of sustaining a return to work and/or

continuing work in a different role in which their health condition will not be a limitation, or

which can be adjusted more easily to accommodate the condition. Additionally the following

provisions apply:

The formal redeployment period is 12 weeks;

The employee meeting the essential criteria on the person specification;

A statutory trial period of four weeks will apply, which may be extended in exceptional

circumstances;

While a post of the same band will be sought, a post a band lower may be considered

suitable. Pay protection does not apply in these circumstances.

A post may be declined by the employee, but unreasonable refusal of what is

deemed as suitable redeployment may lead to dismissal on the grounds of ill-health if

there are no other options

When no suitable redeployment opportunities and all other options have been

considered, a meeting under Stage 3 of this policy convened at which dismissal on

the grounds of capability may be considered.

14. ASSOCIATED DOCUMENTS

Disciplinary Policy and Procedure

Equality and Diversity Policy

Agenda for Change Terms and Conditions

Grievance Policy

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Manager’s Guide to Supporting Staff with Long Term Conditions

15. MONITORING

Elements to be monitored

Lead How trust will monitor compliance

Frequency Reporting arrangements Which committee or group will the monitoring report go to?

Acting on recommendations and Lead(s) Which committee or group will act on recommendations?

Change in practice and lessons to be shared How will changes be implemented and lessons learnt/ shared?

Consistent application of the policy

HR Audit Quarterly Workforce Committee/Equality and Diversity Committee

Required actions will be identified and completed in a specified timeframe

Required changes to practice will be identified and actioned within a specific time frame. Lessons learnt will be shared with appropriate stakeholders

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Appendix 1 Managing Long Term Sickness Flowchart

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Appendix 2 Managing Short Term Sickness Flowchart

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Appendix 3 Absence without Leave process (AWOL)

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Appendix 4 STAGE 3 HEARING PROCEDURE

WELCOME

1. Introductions

2. Purpose of the hearing

3. Possible outcome of the hearing

4. Explain the procedure of the hearing (as outlined below)

MANAGEMENT CASE

1. Presented by the manager dealing with employee’s sickness

2. Panel of the hearing asks questions

3. Employee and their representative ask questions

EMPLOYEE’S STATEMENT

1. Presented either by the employee a friend or their union representative

2. Panel of the hearing asks questions

3. Management side asks questions

4. Whilst assisted by their companion, the employee will be expected to answer questions put to

them.

SUMMING UP FROM BOTH SIDES

1. No new information can be presented at this stage.

ADJOURNMENT

1. To consider facts and information presented at the hearing

2. Aim is to deliver the decision on the day of the hearing unless not possible.

RECONVENE THE HEARING FOR THE DECISION

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Appendix 5 Equality Impact Assessment Tool

Yes/No Comments

1. Does the policy/guidance affect one group

less or more favourably than another on the

basis of:

Race No The principles of the policy apply

to everyone equally. Should any

concerns be identified, they will

be reviewed on individual basis.

Ethnic origins (including gypsies and travellers) No The principles of the policy apply




Nationality No The principles of the policy apply




Gender No Potential impact on female staff

members who may suffer from

pregnancy related sickness. This

is mitigated by section 10 of the

policy.

Culture No The principles of the policy apply




Religion or belief No The principles of the policy apply




Sexual orientation including lesbian, gay and

bisexual people No The principles of the policy apply




Age No Older workforce may suffer from

more sickness due to the nature

and the intensity of work

performed. Staff will be treated

equally regardless of their age.

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Yes/No Comments

Disability - learning disabilities, physical disability,

sensory impairment and mental health problems No Potential impact on staff whose

sickness is due to disability

related reasons. This is mitigated

by section 11.

2. Is there any evidence that some groups are

affected differently? No The principles of the policy apply




3. If you have identified potential discrimination,

are any exceptions valid, legal and/or

justifiable?

N/A

4. Is the impact of the policy/guidance likely to

be negative? No

5. If so can the impact be avoided? N/A

6. What alternatives are there to achieving the

policy/guidance without the impact? N/A

7. Can we reduce the impact by taking different

action? N/A