Policy and Procedures – Absence Management

Open Decision Item

195 1

One Corby Policy Committee 27th May 2014

Policy and Procedures – Absence Management

The Committee is presented with an updated Absence Management Policy and Procedure for its consideration and approval.

1. Relevant Background Details

Absence Management Policy

Members are presented with an updated and improved Absence Management Policy and Procedure for their consideration. It is widely recognised that attendance is a vital factor in the effective and efficient operation of local authority services. High levels of attendance at work are crucial if Corby Borough Council is to meet its commitment to the economic, effective and efficient delivery of high quality services. Sickness absence has a detrimental effect on the ability to meet this commitment.

This policy has been developed in partnership with the Unions and was tabled at the JCC meeting, held on 14th April 2014, for final consultation.

1.1 Report

Absence Management Policy

In partnership with the Trade Unions, the revised Absence Management Policy seeks to adopt a new methodology for absence monitoring: The Bradford Factor. This method takes into account the occurrences of sickness absence and the duration of the absence to ensure a fair and consistent approach is adopted across the organisation. Monitoring triggers would change from 8 days, or 3 occurrences, within 12 months to a Bradford Factor Score based system. Scores between 76 and 149 points would trigger an informal ‘red flag’ discussion, whereas points over 150 points would trigger formal action.

The policy is designed in two parts. The first section outlines the revised Absence Management Procedure, whereas part two provides management advice, support and templates of relevant documentation. A basic flowchart is provided at the back of the Policy to provide a ‘quick glance’ reference to employees and managers of the various policy stages.

Benefits of the revised policy include:

• Improved perception on the fairness in how the current scheme is applied

• Reduces management discretions to ensure consistency of approach

• Improved support for long term sickness

• Improved guidance notes and forms for managers and staff

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• Transparency of the Absence Management process

• Guidance notes for employees and managers on the support available to employee’s with a recognised disability and our duty to consider ‘reasonable adjustments’

Following a recommendation from the Unions, staff briefing sessions were held to highlight the proposed changes under consultation. 51% of our establishment attended a briefing session, of which 83% of attendees offered feedback in respect of how to transfer data from our current scheme to the new scheme rules. 28% responded to transferring over the previous six months worth of data, whereas 68% favoured twelve months worth of data. (4% made alternative suggestions). Based on union membership feedback, UCATT and UNISON are requesting six months worth of data to be transferred over, whilst UNITE had no additional comments to the data already collected.

It is proposed that, if the policy is adopted, the Bradford Factor Scores would be calculated under the new scheme rules to give everyone a ‘Bradford Score’. Action under the policy would be suspended upon implementation and will only be activated upon the first period of absence after implementation. Historical sickness data, valid at that time (including any transferred data still applicable in the ‘rolling year’ calculation), will be taken into account.

1.2 Options to be considered a) To approve the revised Absence Management Policy and carry over six months

worth of historical sickness data from the date of implementation or

b) To reject the revised Absence Management Policy

2. Issues to be taken into account:- Policy Priorities The revised Absence Management Policy has been developed in partnership with the Trade Unions.

Financial There are no financial implications linked to the implementation of this policy. Training will be managed in-house.

Legal / Human Resource (Workforce Planning)

The policy recognises its duty to consider reasonable adjustments, as appropriate and proportionate, to enable parties with a protected characteristic, as defined in the Equality Act 2010, to fully participate.

Performance Information & Best Value The policy aims to raise awareness of the unacceptable behaviours that can erode an employee’s dignity at work, thus providing a ‘safe’ place to work and reducing potential complaints that are disruptive and damaging to the motivation and performance of individuals or teams and damaging to the reputation of the Council.

Equal Opportunities An Equality Impact Assessment – Initial Screening - has been conducted during the development of this policy. Adjustments to the draft document have been incorporated to take account of issues highlighted, examples of which can be found in Section 9, 18.2 and 19 of the Absence Management Policy and Section 2 of the Management Toolkit.

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Risk The Council has a duty, under the Equality Act 2010, to eliminate unlawful discrimination, prohibited by the Act. Failure to do so could leave the Council exposed to the risk of a claim being submitted to a Tribunal, such as disability discrimination, for which compensation is uncapped. Knock on effects of poor absence management can also affect a workforce’s motivation, customer service, service delivery/outcomes and/or create the risk of increased costs associated to cover arrangements such as overtime, agency staff etc.

3. Conclusion An Absence Management Policy should aim to reflect a balanced combination of sensitive support along with appropriate control measures. Absence Management should be considered on an individual case by case basis, taking on board relevant medical or health and safety advice. The ‘Management Toolkit’, provided with the policy, is aimed at providing managers and staff with a reference guide to what steps, or considerations, need to be made on a case by case basis. Equally, the policy provides transparency on the Council’s expectations and consequences related to unacceptable levels of attendance. Full training will be provided to all Line Manager’s, along with staff briefings on the new policy.

4. Recommendations The Committee is recommended to:

i) Approve the attached Absence Management Policy & Procedure. Background Papers Equality Impact Assessment – Initial Screening

External / Internal Consultations SMT, JCC, Staff Briefings and Equalities Officer

List of Appendices Absence Management Policy and Procedure

Officer(s) to Contact Stella Jinks (Human Resources Manager) ext 4655

1 | P a g e F i n a l D r a f t

HR:Policies and Procedures Absence Management Policy

JCC / OCPC 14 April 2014

Issue Date:

Ref: HR – Policies Absence Management

1. Policy Statement

2. Related Policies

3. Policy Objectives

4. Notification of Absence

5. Certification of Absence

6. Return to Work “Wellbeing Meeting”

7. Pay Entitlement During Sickness Absence

8. Monitoring & Scoring Absence

9. Absence due to Disability

10. Absence Investigation

11. Unauthorised Absence

12. Annual Leave Entitlement in Relation to Sickness Absence

13. Appeal

14. Referral to Occupational Health

15. Lack of Capability (Ill-Health)

16. Ill Health Retirement

17. Sickness prior to Maternity Leave

18. Right to be Accompanied


1. Policy Statement

1.1. Corby Borough Council is committed to maintaining the health and

wellbeing of its employees, whilst continuing to fulfil their responsibility in service delivery.

1.2. The Council will be sensitive and supportive to those who may suffer the effects of ill-health, and to ensure that employees are treated fairly and consistently.

2. Related Policies

2.1. This policy is related to the Council’s Equality Policy. Variations to policy may

be considered on a case by case basis to accommodate a Protected Characteristic, as defined under the Equality Act 2010.

3. Policy Objectives

3.1. This policy explains the responsibilities and accountabilities of individuals and departments when an employee is absent from work due to ill health.

3.2. The Managers’ Toolkit provided in conjunction with this Policy will guide managers through each stage of the process.

3.3. Managers and employees should follow the procedure outlined within this policy to ensure that sickness absence can be managed and paid appropriately.

3.4. This policy does not form part of any employee’s contract of employment and it may be amended at any time, following consultation with JCC. The Council may also vary the procedures set out in this policy, including any time limits, as appropriate in any case.

4. Notification of Absence

4.1. An employee who is absent from work due to ill health must telephone

their Line Manager within half an hour of the start of their shift on the first day of sickness absence. Employees on shift patterns are responsible for adhering to local arrangements within their own service area. Text or email is unacceptable.

4.2. If the employee is unable to make the call a third party may do so but the employee must still contact their Line Manager as soon as they are able.

4.3. If the employee does not contact their manager, as defined in 4.1 & 4.7, the Line Manager or HR will attempt to make contact with the employee.

4.4. The employee should inform their Line Manager of their reason for absence and expected date of return, and remain in reasonable contact during the period of absence. If possible, the employee should also advise their Line Manager of any urgent work which requires attention in their absence.

4.5. If the employee is unable to return to work when previously indicated, they must contact their Line Manager ahead of any extended period of absence giving a revised date of return.


4.6. The Line Manager must alert HR of the employee’s absence due to ill health as soon as possible after notification has been received by completing and sending the Absence Notification Form. (Complete Sickness Notification Form (Part One) achieve form with the HR area on the Intranet)

4.7. In the event that your Line Manager is unavailable, it is the employee’s responsibility to know whom to notify in their absence.

4.8. Failure to notify absence, in line with this policy and procedure may result in the absence being recorded as unauthorised as per Section 11.

5. Certification of Absence

5.1. For the first 7 days (including weekends) of any period of sickness absence, an employee must complete a self-certification form on their return to work and obtain their Line Manager’s signature. The Line Manager must send the signed form to Payroll immediately.

5.2. Should an employee’s absence exceed 7 days, the employee must send a Doctor’s Statement of Fitness for Work to their Line Manager, prior to the period of certified absence.

5.3. The Line Manager must ensure that any medical certificates they receive are sent on immediately to the HR department.

5.4. The Council may, where it is considered appropriate, (for example, where there is frequent short-term absence) require Doctor’s medical certificates to be provided at any time. Any such additional certificates will be at the Council’s expense on production of a doctor’s invoice.

5.5. If an individual is certified as unfit for work either by their GP or by Occupational Health, they must not attend work unless they have been asked to do so in order to attend a Welfare Meeting, a HR meeting or an Occupational Health appointment.

5.6. If the employee provides a certificate stating that they may be ‘fit for work’, the employee should inform their Line Manager immediately. The Council will discuss with the employee any additional measures that may be needed to facilitate a return to work, taking in to account the employee’s doctor’s advice. This may take place at a Return to Work “Wellbeing Meeting”. If appropriate measures cannot be taken to facilitate a return to work, the employee will remain on sick leave and the Council will set a date to review the situation.

5.7. The Council may require the employee to obtain a ‘fit for work’ medical certificate from their GP before they are able to return to work.

6. Return to Work “Wellbeing Meeting” 6.1. The Manager will conduct a “Wellbeing Meeting” with any employee on

their return to work from a period of sickness absence.

6.2. The objective of this meeting is to identify ways in which the manager may support the employee to improve his/her attendance for the future and for the employee to bring any relevant matters to the attention of their Line Manager. It also gives the Line Manager an opportunity to update the employee on current work matters.


6.3. During this meeting a Wellbeing Meeting Form should be completed and sent to HR for the individual’s Personnel file.

6.4. In the cases of long term absence, employees will be reasonably expected to attend welfare meetings during their absence. These meetings can be held on or off site. Off site meetings can either be at home or a mutually agreed venue.

6.5. Where the employee’s doctor has provided a certificate saying that they ‘may be fit for work’, the Council will usually hold a Wellbeing Meeting to discuss any additional measures that may be needed to facilitate the employee’s return to work, taking in to account the doctor’s advice.

7. Entitlement to Pay During Sickness Absence

7.1. Council employees are eligible to receive sick pay whilst they are absent

from work due to ill health, provided that they follow the Absence Notification procedure, outlined within this policy (sections 4.1,5.1 & 5.2).

7.2. Sick pay entitlements are based on length of service as outlined in their terms and conditions of employment.

7.3. An employee who, despite being deemed unfit for work by their GP, is considered fit to work by the Occupational Health Advisor, should seek further guidance from Human Resources.

7.4. An employee who attends work and has completed more than half their normal daily hours and is authorised by their Line Manager, or relevant Head of Service, to go home on the grounds of ill-health, may, where authorised, be paid for the remainder of the day and not be recorded as sickness absence.

7.5. Where appropriate, a phased return to work may be agreed for an employee, in line with Occupational Health’s advice.

7.6. Repeated abuse of the sick pay scheme will be dealt with under the Council’s Disciplinary Procedure.

8. Monitoring & Scoring Absence

8.1. The Council uses a tool called the ‘Bradford Factor’ to monitor sickness

levels of all its employees and determine what action may need to be taken.

8.2. This method takes into account the occurrences of sickness absence and the duration of the absence and ensures a fair and consistent approach across the organisation. Please refer to Section 7 of the Management Toolkit.

9. Absence due to Disability

9.1. An employee who is classified as having a disability (as defined within

the Equality Act 2012) is legally entitled to have `reasonable’ adjustments considered, enabling them to continue in their employment.

9.2. Decisions on what adjustments are deemed ‘reasonable’ will be made in the light of information from appropriate specialists, the individual, and operational and health and safety considerations. Please refer to Section 2 of the Management Toolkit.


9.3. If the employee considers that they are affected by a disability or any medical condition which affects their ability to undertake their work, they should inform their Line Manager or HR.

10. Absence Investigation & Sanctions

10.1 Should an employee’s Bradford Factor (BF) score exceed 150,

whether through frequent short-term absences or a period of long-term absence, this will trigger an Investigation in line with Section 8 of the Management Toolkit. The Bradford Factor score calculation is based on occurrences squared, multiplied by the number of days absent in a 52 rolling week period.

Bradford Calculation: Occurrences x Occurrences x total days absent

The score thresholds are set out as below:

Bradford Score Thresholds as set out below are:

73 - 149 Red flag discussion;

150 - 274 Warning;

275 - 449 Final Written Warning;

450+ Dismissal

10.2 Red Flag discussions will be superseded by formal investigation and action where a Bradford Score exceeds 150 in advance of the red flag score being triggered. As a result of an investigation, an employee may be issued with a formal warning, final written warning and/or dismissal.

10.3 Warnings that are live on an employee’s file when a new trigger is reached will have a cumulative effect on the sanction issued.

10.4 Formal sanctions will be issued under this policy by the Line Manager up to and including final written warnings. Sanctions considering dismissal will be heard by a Panel, as set out in Section 15 below.

10.5 The Council does not have to issue all of the above sanctions sequentially. Your Bradford Factor score will determine what level of sanction should be considered.

10.6 The employee has a right to be accompanied where a formal sanction is being considered. Red flag discussion meetings are excluded.

11. Unauthorised Absence 11.1 Any day's or part day’s absence which has not been notified to the

Line Manager, or nominated person (or HR in both their absences), in accordance with the rules outlined within this procedure, will be automatically treated as unauthorised absence. The Council reserves the right not to pay the employee for any unauthorised absence.

11.2 The Council may suspend pay where a medical certificate or a self-certification form has not been received on time. Staff will be notified where pay has been stopped. Pay will be restored from the date that valid certification is received, providing sufficient entitlement remains, irrespective of whether the medical certificate covers the delayed


period. Management reserve the right to override this in exceptional circumstances only. The manager’s decision is final.

11.3 Unauthorised absence is considered a serious breach of contract, and may be referred for investigation under the Council’s Disciplinary Policy & Procedure as a gross misconduct offence.

12. Annual Leave Entitlement in Relation to Sickness Absence

12.1 An employee can ask to take annual leave during a period of sickness absence. This should be agreed in advance with their manager or, if this is not possible, on the first day of absence, and should be recorded as annual leave and not sick leave. This may be subject to future change based on the current interpretation in the courts of the Working Time Regulations.

12.2 Where sickness absence continues after annual leave has been taken, this will be considered a second occurrence of sickness absence.

12.3 If an employee is ill or injured during a period of pre-arranged annual leave they may elect to treat the days of incapacity as sickness absence instead of annual leave. The employee must inform their Line Manager of their incapacity and its likely duration as soon as possible, even if they are abroad. You will not receive enhanced sick pay (i.e. Occupational Sick Pay entitlements as opposed to SSP entitlements) unless you are able to provide a medical certificate or other evidence of incapacity at your own expense for the full period of incapacity.

13. Appeal

13.1 Employees will have the right of appeal against any formal sanction

applied as a result of action under this Policy as set out in Section 10 and Section 15. Refer to Section 8 of the Management Toolkit.

14. Referral

14.1 HR may ask an employee to attend an appointment with the

Occupational Health nurse or doctor, as they consider necessary.

14.2 The employee may be asked for permission for the Occupational Health provider to approach a healthcare professional who is treating them for a report in relation specifically to their condition which is causing them to be absent.

14.3 An employee may refuse to attend such an appointment, or may refuse to allow access to their medical records. However, under these circumstances the Occupational Health provider or the Council may base any advice or action to be taken on the information they do have available to them at the time.

14.4 The employee will be asked to agree to any report produced in connection with any such examination to be disclosed to the Council and that the Council may discuss the content of the report with their Line Manager, advisors and the relevant doctor.

15. Lack of Capability (Ill-health)


15.1 There are three main categories where ill health, whether mental or

physical, may be classified as a lack of capability and, as a consequence, incur action up to and including dismissal under this Policy. Refer to Section 13 of the Management Toolkit.

15.1.1. When the employee has been absent for some specific reason and there is a concern about the likelihood of future performance of their contract of employment; such as being unable to discharge the responsibilities of their job as a result of their ill-health

15.1.2. When the employee is not absent from work, but suffers some disability which, even with all reasonable adjustments considered, makes performance of the job unsatisfactory or dangerous

15.1.3. When an employee is unable to sustain an acceptable level of attendance for absences which can be for either related or unrelated reasons.

15.2 A decision to caution or dismiss an employee, under this policy, for lack of capability on ill-health grounds can only be taken by a member of SMT in consultation with HR. Please refer to Section 13 of the Management Toolkit.

15.3 There are three steps available to the employer, although each case must be considered on its own merits before determining which of the following actions to take. Any option can be used in isolation of the others.

15.3.1 Redeployment to a suitable alternative vacancy on establishment, where it is considered within the employee’s capability.

15.3.2 A written warning to the employee that the stage has been reached where, without sustained satisfactory attendance, it will become impossible to continue with the employment.

15.3.3 Dismissal on the grounds of lack of capability or, where appropriate, ill health retirement.

15.4 Action can be taken regardless of whether the employee has exhausted his or her entitlement to sickness benefit / pay.

15.5 A decision to caution or dismiss an employee for lack of capability on ill health grounds can only be taken by the Chief Executive, a Director or Head of Service in consultation with the Human Resources Manager.

15.6 In any discussion between the employer and the employee regarding capability (ill-health) the individual may be accompanied by a Trade Union representative or a work colleague.

15.7 The employee will have the right of appeal against a capability dismissal, under this policy, within 7 working days1 of being informed of the dismissal in writing. The decision of the Appeal Panel is final. Ref to Section 8.5 of the Management Toolkit.


16 Ill Health Retirement

16.2 An employee may be eligible for Ill Health Retirement should they be unable to work due to a serious illness and are a Member of the Local Government Pension Scheme (LGPS). Details can be obtained from HR.

16.3 A decision on eligibility is subject to, and will be made in consultation with, Occupational Health and the LGPS.

16.4 Please refer to Section 12 ‘Referral to Occupational Health’, and Section 14 within the Managers’ Toolkit of this Policy.

17 Sickness Prior to Maternity Leave

17.2 If an employee is absent from work wholly or partly on account of a

pregnancy-related condition within four weeks of the due date, their Ordinary Maternity Leave will be triggered automatically. Please refer to the Council’s Maternity Policy.

18 Right to be Accompanied

18.1 Employees are entitled to be accompanied at any formal meetings set out above (with the exception of red flag discussions, return to work or Well-being Meetings) (Ref to Sections 10.6 and 15.6 of the policy and Section 8 of the Management Toolkit), by either a work colleague or a recognised trade union representative.

18.2 For employees under the age of 18 years, the rights to be accompanied will be extended to a parent or guardian and will be permitted at red flag meetings, if requested.

The above rights to be accompanied will also apply to formal Appeal Hearings.

19 Exclusions 19.1 Absences excluded from sickness calculations are;

• Absence related to maternity • Reportable injury at work • Absence related to a recognised ‘disability’

19.2 Exclusions will be subject to either, provision of appropriate evidence,

Occupational Health or Health and Safety advice.

19.3 Absence should still be recorded on an individual’s personnel record, even if the absence is approved for disqualification from the Bradford Factor calculation.

Note:

1 For the purposes of the administration of this policy, a working day is deemed to be Monday to Friday only. Absences are calculated Sunday - Saturday, subject to shift patterns. Head of Service within the policy refers to either a Head of Service or Corporate Director.



WELLBEING POLICY: MANAGERS’ TOOLKIT CONTENTS

1. Introduction

2. Equality Act (2010)

3. Absence Notification and Certification

4. Wellbeing Meeting

5. Reasons for Absence

6. Sick Pay

7. Absence Triggers: Bradford Factor


9. Medical Suspension

10. Long Term Sickness Absence

11. Annual Leave & Sickness Absence


13. Lack of Capability (Ill-Health)

14. Permanent Incapacity

15. Stress at Work

16. Management Discretion

17. Data Protection / Confidentiality

FORM 1: Absence Notification Form

FORM 2: Well-being Meeting Form

FORM 3: Reasonable Adjustment Request Form

FORM 4: Stress Management Action Plan

APPENDIX A: Flowchart for Managers


1. Introduction

1.1. This Toolkit is provided for management guidance and has no contractual force. It may be amended as and when required.

1.2. This `toolkit’ should be considered in conjunction with the Council’s Wellbeing Policy.

1.3. Effective management of employee absence due to ill health is a key task that each manager has to face and requires a balance of support and empathy for the employee, alongside management control. Accurate records must be kept of all absences and any actions that the manager may take, as these may form evidence for any disciplinary process should absences persist.

1.4. Managers should also be aware of other Council Policies which may support an employee where their absence is not related to their own sickness, such as Parental Leave, Flexitime, Special and Annual leave.

2. Equality Act (2010)

2.1. The Equality Act (2010) prohibits discrimination on the grounds of disability. It places a duty on employers to make reasonable adjustments to working practices and premises in order to accommodate the needs of an individual employee who has a disability, as defined within the Equality Act (2010). This means that an employee with a disability must not be treated less favourably than any other employee without a sound business justification, and may be treated more favourably if this is considered to be a reasonable adjustment.

2.2. The Equality Act (2010) defines the protected characteristic of disability as applying to an individual who has a ‘physical or mental impairment that has a substantial and long-term adverse effect on their ability to carry out normal day-today activities’.

2.3. If there are problems with an employee’s attendance and an underlying medical condition or disability is identified, advice should be sought from Occupational Health. Occupational Health may be able to suggest reasonable adjustments that could be considered to either the physical place of work or to the duties entailed within the role, such as:

2.3.1. Altering hours of work 2.3.2. Assigning a different place of work 2.3.3. Allocating a ‘buddy’ to support the employee 2.3.4. Providing specialist equipment 2.3.5. Adjustments may be made to the Bradford Factor points that

trigger unsatisfactory attendance procedures (Occupational Health advice must be sought in this instance)

2.3.6. Allowing a longer period of time for reviewing reasonable adjustments or seeking redeployment.

2.4 Please note ‘reasonable adjustments’ must be proportionate. The impact

on an employee must be weighed up against the employer’s needs.


3. Absence Notification and Certification

3.1. Line Managers are responsible for monitoring their employees’ absence

3.2. Line Managers are responsible for completing the Absence Notification Form (Form 1), or an online achieve form (part one), whenever an employee phones in to report that they are unable to come to work due to sickness. HR must be notified immediately of the absence.

3.3. At the earliest possible opportunity after the employee returns to work following a period of sickness absence, Managers must conduct a Wellbeing Meeting with them, refer to Form 2

3.4. An employee must complete a Self-Certification Form for any absence of up to 7 days (including weekend days) and pass this to their Line Manager.

3.5. The Line Manager should countersign the Self-Certification Form and pass it to Payroll marked ‘Private & Confidential’ immediately, as this may impact on pay and on the Council’s ability to claim back any Statutory Sick Pay element of wages from Government.

3.6. Line Managers must send Medical Certificates to HR immediately, as this could have an impact on an employee’s pay and also on the Council’s claims from Government. Medical Certificates should be treated as ‘personal sensitive data’.

4. Well-Being Meeting

4.1. This meeting requires a balance between providing a supportive environment for the employee on their return to work after sickness, and managing and monitoring an employee’s period of sickness absence from work.

4.2. The Well-being Meeting should be held at the earliest opportunity once the employee returns to work, or during a period of long term absence. The purpose of the meeting should be to:

4.2.1. verify if the individual considers themselves fit for work 4.2.2. identify any help or support they might need in returning to

work 4.2.3. where appropriate, update and brief them on any changes

and/or on any current work priorities 4.2.4. where appropriate, discuss levels of sickness absence and

means of improving attendance in the future

4.3. The Well-being meeting is informal and does not form part of the organisation’s formal procedure, so there are no formal rights to be accompanied. However, should an employee ask to be accompanied, please discuss this with HR. Management’s decision will be final.

4.4. During a welfare meeting a Well-being Form (Form 2) should be completed and signed by both parties, and sent to HR immediately as a record of the discussion.

4.5. If it is considered that the absence may be related to a recognised disability, the Line Manager should seek medical advice from Occupational Health. An appointment for the employee can be made via the HR department.


4.6. It is important that any medical advice provided by Occupational Health should be carefully considered and discussed with the employee. Please note that the Council has a duty to consider ‘reasonable adjustments’ for employees with a recognised disability (Refer to Section 2 and Form 3)

4.7. The meeting could aim to explore the following, as considered relevant to the individual circumstances of the absence under review:

4.7.1. Is absence due to a work related injury/accident? If so, the Line Manager must contact the Council’s Health & Safety Officer to ensure it is reported

4.7.2. Is absence due to a condition which may require a formal risk assessment of their working environment? If so, the Line Manager must contact the Council’s Health & Safety Officer for advice or obtain the relevant risk assessment form from the Intranet.

4.7.3. Is absence related to, or could reasonably considered to be attributed to a disability? Line Manager should discuss with HR and seek an Occupational Health assessment. (Ref to Section 2)

4.7.4. Is absence due to Stress? If the stress is work related, the manager should take prompt steps to identify the factor(s) that may be contributing to the employee's condition. Methods should be discussed with the employee on how these stressors may be reduced/eliminated. If the stress is not work related, managers should discuss with the employee if any other Council Policies would be more relevant to support their needs.

4.7.5. The Stress Management Action Plan, within this `toolkit’ (Form 4), should be referred to. HR can be contacted to initiate any appointments with Occupational Health.

4.7.6. Is the absence not related to their own ill health? Line Manager’s should highlight this to the employee and consider which policy is more appropriate in the circumstances.

4.7.7. Has a Bradford factor trigger score been met? Complete the calculation prior to their Return to Work meeting and inform the employee during this meeting what their current score is. Ensure the employee is aware what may happen should further absences occur or if they have triggered a threshold.

4.8. The Line Manager should consider whether there are any patterns in the employee’s record of sickness absence. For example, whether or not they have frequent Monday or Friday absences, or ones that tend to occur at a particular time, eg just before an important monthly deadline or towards the end of a busy shift cycle. The Line Manager should speak to the employee about this by putting the facts to the individual and asking them if they can explain any emerging patterns. This may help to identify whether there are any workplace or other triggers which may need other action or support, or may simply deter further absence through greater awareness.

4.9. The Line Manager should remind employees of relevant trigger points so that the employee can take ownership to help monitor and manage their own absence and discuss any concerns they have with their Manager.


5. Reasons for absence 5.1. Employees with personal or family problems may need support or some

understanding from their employer to help them through a difficult period. However, it is also important to ensure that staff are aware that frequent absences are unacceptable from the employer’s point of view. The aim should be to strike a balance between the need to support an employee with genuine difficulties and the need to get the employee’s work done reliably and efficiently.

5.2. If the Line Manager suspects that reasons given for absences are not genuine, they are entitled to put these directly to the employee in a factual way in order to seek the truth, while avoiding making unsubstantiated accusations. Additional evidence or information may be requested from the employee.

5.3. It is important to ensure that a record is kept of any such discussions, usually with the notes from the ‘Well-being Meeting’.

6. Sick Pay

6.1. Sick pay entitlements are based on an employee’s length of service with the Authority:

During 1st Year of service: 1 month full pay (after 4months service, 2 months ½ pay)

Second Year: 2 months full / 2 months half pay

Third Year: 4 months full / 4 months half pay

Fourth / Fifth Year: 5 months full / 5 months half pay

Sixth Year onwards: 6 months full / 6 months half pay

6.2. Sick pay provisions will be calculated in line with the NJC Green Book

Terms and Conditions.

6.3. If the employee abuses the sick pay scheme a Line Manager can suspend an employee’s pay with immediate effect. The employee will be notified of the reasons. Should the employee wish to appeal against this decision, they may do so in writing to the next level of Manager to their Line Manager.

6.4. In the event that the decision to suspend pay is over-turned it will be reimbursed to the employee in their next normal salary payment.

6.5. Should an overpayment of salary be made, the Authority reserves the right to recover the overpayment from the employee.

7. Absence Triggers: Bradford Factor

7.1. The scores below show the levels of absence that will trigger formal

action:

7.1.1. A score equal to or above 73 in a 12 month rolling period will trigger a ‘red flag’ discussion with the Line Manager at which the Line Manager should inform the employee that their absence is of concern and advise them what action may follow should they have further occurrences of sickness absence. It should also try to identify any support to help reduce any further occurrences.


7.1.2. A score equal to or above 150 in a 12 month rolling period will trigger formal action to consider whether it is appropriate to issue a warning, as per Section 8 of the toolkit, including where this is as a result of one period of absence only.

7.1.3. A score equal to or above 275 in a 12 month rolling period will

trigger formal action to consider whether it is appropriate to issue a final written warning, as per Section 8 of the toolkit. All previous warning stages will be superseded, including where this is as a result of one period of absence only.

7.1.4. A score equal to or above 450 in a 12 month rolling period will trigger a Capability Hearing to consider whether dismissal is appropriate (as set out at Section 15 of the Management Toolkit). All previous warning stages will be superseded, including where this is as a result of one period of absence only.

7.1.5. Formal action will be taken in accordance with Section 8 of the

toolkit.

7.2. All calculations are cumulative from the first date of recordable absence and are based on a rolling year.

7.3. Worked Examples of the Bradford Factor Scoring

7.3.1. The Bradford Factor Score (BFS) calculation is “:Occurrences squared, multiplied by the number of days absent in a 52 rolling week period” so:

1 Occurrence of 30 days = 1 x 1 x 5 = 30

3 Occurrences totalling 11 days = 3 x 3 x 11 = 99


7 Occurrences totalling 11 days = 7 x 7x 11 = 539


7.4 Part time employees

To ensure equity of treatment the Bradford Score will be calculated as follows: Using an example of an employee who works a three day week, (Wed – Fri). If the employee was off sick for the Wed, Thurs, Fri of the first week, but was fit to return to work on the Monday of the third week, sickness would be calculated as: Week one: Wed, Thurs, Fri (3 days), Week two: Mon-Fri (5 days), week three: no absence (0) = 8 days. It would therefore be 1x1x8 = 8. For comparator purposes, their absence score would then progress through the Bradford System in the same way a full time employee with the same time off would.



8.1. If the employee score is equal to or above 150, it is the Line Managers

responsibility to investigate the absence(s). This should take into account factors such as; a breakdown of the employee’s BF score, a review of any previous action taken by the employee or manager from any Wellbeing Meeting(s), information provided by the employee about the reason(s) for the absences, explanation for any pattern in terms of reasons / frequency etc, considering whether medical advice is required and any other information which the employees may wish management to take into consideration.

8.2. A meeting should be held with the employee to discuss the above. The employee may bring a companion to these meetings. Their companion may be either a trade union representative or fellow employee. The employee must take all reasonable steps to attend a meeting. Failure to do so without good reason may be treated as misconduct. If the employee or their companion are unable to attend at the time specified you should immediately inform your Line Manager who will seek to agree an alternative time.

8.3. Subject to the investigation, as per 8.1, and, in consultation with HR, the Line Manager may issue the employee with a written warning. This will remain on file for a period of six months.

8.4. If a further Bradford Factor trigger is reached (275 and above), the Line Manager will investigate the facts, as per 8.1, and, in consultation with HR, may issue the employee with a final written warning. This will remain on file for a period of twelve months

8.5. If a further Bradford Factor trigger is breached (450 and above) the Line Manager will refer the matter to a panel to consider whether or not to dismiss an employee on the grounds of capability (ill-health). Panels, under this policy, will consist of a Head of Service/Director and a member of HR. An employee’s right to be accompanied is explained at 8.2 above.

8.6. An employee may appeal a written warning, final written warning or Capability (ill-health) dismissal, to their relevant Head of Service/Director. An employee’s grounds for appeal must be set out in writing within 7 working days of the sanction. Appeal Panels, under this policy, will consist of an independent Head of Service/Director and a member of HR. Appeals should ideally be heard within 20 working days of submission and the decision of the Appeal Panel is final.

8.7. Where a warning sanction is ‘live’ on an employee’s record, the sanction will be increased to the next level, unless the Bradford Factor (BF) score dictates otherwise. The sanction levels are Written Warning, Final Written Warning and Dismissal. Sanctions do not have to be issued sequentially. Your BF score will as at the date of your last absence will determine what level of sanction should be considered.

8.8. In the event that a sanction has expired, and there have been no further absences, the ‘live’ sanction will be removed from the employees file and any further periods of absence will be monitored under the Well-being Policy, commencing at management guidance note 8.1.


9. Medical Suspension

9.1. If they have a serious concern for the wellbeing and/or health & safety of

an employee the Line Manager may, in consultation with HR, medically suspend an employee from work, whilst seeking medical advice from Occupational Health. If an employee is medically suspended from duties, they will receive contractual pay rather than sick pay.

9.2. The medical suspension should be reviewed once Occupational Health has provided their report. If this confirms the employee is fit for work, the medical suspension will be lifted. If not, and the employee is deemed unfit for work, the period of suspension will be treated as sick pay, with appropriate sick pay benefits. Overpayments of any benefits will be recalculated and adjusted in the following month’s salary.

10. Long-Term Sickness

10.1. Long-term sickness absence is defined as any period of consecutive

absence from work for a period of 20 working days or longer. This can either be calculated as 20 actual days lost or an anticipated 20 working days based on the receipt of a signed medical certificate.

10.2. The Council will adopt a "case management" approach when dealing with employees who are incapable of working due to long-term ill- health. This means regularly reviewing an employee's absence and state of fitness to work, with the objective of facilitating their recovery and return to work. Case reviews will be held with the employee's Line Manager and the HR Department, in consultation with Occupational Health and the employee.

10.3. During any period of long-term absence there is a responsibility on both parties to keep in contact unless otherwise advised by Occupational Health. How this might take place will be agreed on a case by case basis, for example by telephone, email and/or visits to the employee's home, or another venue, at agreed times.

10.4. Adjustments to scoring may be appropriate under the Equality Act (2010) where Occupational Health advise that an absence is attributable to a disability. Reasonable adjustments may also be appropriate if the medical condition relates to a disability, but once these adjustments have been made, the employee will follow the same process as an employee without a disability.

10.5. When an employee who has been absent for a long period is well enough to return to work, a Well-being Meeting will take place as outlined in section 4 above.

10.6. Employees returning to work following a period of long term sickness absence must produce a medical certificate from their GP or consultant confirming their fitness to return to work.

10.7. They may also be required to attend an appointment with the Occupational Health Nurse before returning to work, to confirm their ability to return to full duties or a phased return, or to advise on reasonable adjustments.


11. Annual Leave

11.1. Any employee wishing to take annual leave during a period of long-term absence should put their request in writing to their Line Manager.

11.2. Where an employee returns to work in the current leave year after a period of long-term sickness, every effort should be made to encourage them to take their remaining contractual annual leave entitlement to assist with their rehabilitation back to work, ie a phased return. Should they be unable to take all of the leave, they may be able to carry over a proportion of their entitlement, in line with the Council’s Annual Leave Policy.

11.3. An employee is entitled to carry over any untaken statutory annual leave which they have been unable to take as a result of sickness absence. However, this only relates to the statutory element, ie a full-time equivalent annual entitlement of 5.6 weeks (28 days) paid holiday, including public holidays. There is no automatic entitlement to receive a payment in lieu for any additional annual leave accrued as a result of the contractual entitlement being greater than statutory amounts


12.1. HR may ask an employee to attend an appointment with Occupational Health, as they consider necessary.

12.2. Employees on long term sickness absence may be requested to be medically examined by Occupational Health to advise on their prognosis, anticipated period of absence and of any reasonable adjustments that may help to aid their return to work.

12.3. The employee may be asked for permission for the Occupational Health provider to approach a healthcare professional who is treating them for a report in relation specifically to the condition which is causing them to be absent.

12.4. An employee may refuse to attend such appointments, or may refuse to allow access to their medical records. However, under these circumstances the Occupational Health provider or the Council may base any advice or action to be taken on the information they have available to them at the time.

12.5. Managers may be invited by HR to attend part of an Occupational Health appointment to enable them to discuss any recommendations relating to the employee’s return to work or to consider recommended ‘reasonable adjustments’. The first part of the Occupational health meeting will continue to remain a private consultation.

12.6. In the event that a ‘reasonable’ adjustment or redeployment is unsuccessful for an employee covered under the Equality Act (2010), this will be discussed fully with the employee to ensure all lines of support / options have been exhausted.


13. Lack of Capability (Ill Health) 13.1. Where there is concern about the employee’s ability to discharge the

responsibilities of their job as a result of their ill health, whether mental or physical, there are three steps which the employer can take:

13.1.1. Redeployment to a post within the employee’s capability 13.1.2. A written warning to the employee that unless their attendance

improves and is sustained, it will become impossible to continue with the employment

13.1.3. Dismissal on the grounds of lack of capability. 13.1.4. Ill health retirement may also be an option, where the

employee is a member of the Local Government Pension Scheme and they meet the criteria laid down within the scheme.

13.2. Action can be taken regardless of whether the employee has exhausted their entitlement to sickness benefit / pay

13.3. Before taking a decision to dismiss on grounds of ill health, whether short or long term and whether or not as an ill health retirement, consideration will be given to the following:

13.3.1. Have offers of alternative types of employment been considered by management, whether or not an offer is made?

13.3.2. Where the condition causing the absence is a disability in accordance with the Equality Act 2010, have all reasonable adjustments been made to enable the person to discharge the responsibilities of their job?

13.3.3. Has the employee been sufficiently consulted about their problem and prospects in the light of their and the organisation’s interests and needs, including earlier discussion of the possibility of dismissal?

13.3.4. Would a warning, in the case of a long term absentee, or a further warning to an intermittent absentee, about the risk to the employee’s job be reasonable in the circumstances?

13.3.5. Where the problem is one of intermittent, frequent, absence is the absence to be treated as ill health or is it more appropriate to treat it as an unacceptable level of attendance and instigate the disciplinary procedure for misconduct?

13.3.6. Has advice been sought from the Council’s medical advisor or similarly independent medical source, about the employee’s condition and future prospects?

13.3.7. Has the employee been consulted and given an opportunity to give their own views on the matter since the medical report, if any, was received?

13.3.8. Can the employer reasonably be expected to wait any longer for the employee’s attendance record to improve, bearing in mind the interests of the organisation, the position which the employee holds and the need to be fair to that employee?

13.3.9. Have all aspects of the matter relevant to a decision to dismiss been investigated and considered?

13.3.10. Has the employee been consulted as to the final step in the procedure?

13.4. A decision to caution or dismiss an employee for lack of capability on ill health grounds can only be taken by the Chief Executive, a Director or Head of Service in consultation with the Human Resources Manager, or delegated deputy.


13.5. The employee may be accompanied to any meeting at which the possibility of a warning or dismissal is to be discussed, by a recognised trade union representative or a work colleague.

13.6. Records of all decisions regarding an individual’s lack of capability (ill health) will be kept in Human Resources on the employee’s Personnel File.

13.7. The employee will have the right of appeal against any decision to dismiss on grounds of Ill Health Capability. Should an employee wish to appeal they must do so, in writing, stating the grounds for their appeal, to the next level Manager, within 7 working days of being informed in writing of the termination. The decision of an Appeal Panel is final.

13.8. Termination will normally be with full notice of payment in lieu of notice (which the Council may pay in lieu or require you to work)

14. Ill-Health Retirement 14.1. When, in the case of long-term sickness absence, there is no clear

indication of a return to work date and the steps outlined in sections 10 and 13 above have been taken or considered, as appropriate, it may be necessary to consider ill health retirement.

14.2. Where it is unlikely that an employee will be able to return to work within a reasonable time period, and all other options have been exhausted, Occupational Health advice may be sought about whether ill-health retirement is appropriate.

14.3. Ill-health retirement will be considered subject to meeting qualifying criteria as set out in the Northamptonshire County Council Local Government Pension Scheme, and as such the employee will need to satisfy an independent medical advisor that they meet these criteria before any decision can be made.

14.4. An employee has the right of appeal against termination. Should an employee wish to appeal they must do so, in writing, stating the grounds for their appeal, to the next level Manager, within 7 working days of being informed in writing of the termination. The decision of the Appeal Panel is final.

15. Stress at Work 15.1. An employee who has been absent from work due to stress may be

referred to Occupational Health.

15.2. The manager should also signpost the employee to the Stress at Work service. This service is operated independently of the Council and is free of charge to all employees. The service is completely confidential and no information is shared with Council. Details of the Stress at Work service can also be found on the Intranet, staff notice boards, from Line Managers or Human Resources.

15.3. If the stress is work related, the manager should take prompt steps to identify the factor(s) causing the employee's problem, and discuss means of managing, reducing or eliminating those stressors.

15.4. Managers should refer to the Stress Management Action Plan within this `toolkit’ and alert HR.


16. Management Discretion 16.1 Where requested, a Line Manager has the discretion to authorise an

employee to record a day’s absence as holiday entitlement as opposed to sick leave.

16.2 The request must be made immediately upon the individual’s return to work. Backdated requests will not be permitted.

16.3 The request can only be made where the absence does not exceed one working day.

16.4 A maximum of two occasions (two separate days) per Holiday Calendar year (Apr – Mar) can be made and must be clearly recorded on the employees annual leave card.

16.5 Flexitime is not permitted to be used.

16.6 There is no automatic entitlement to this discretion and Managers may choose not to adopt / withdraw this discretion or decline an individual’s request, at any time. The decision of the Manager is final.

17. Data Protection / Confidentiality 17.1 Any documentation which details the employees medical situation is

likely to be classified as ‘sensitive personal data’ for the purposes of the Data Protection Act 1998.

17.2 As such, Managers are reminded to ensure that this information / documentation is stored suitably (and/or passed to HR/Payroll as appropriate so they can store it suitably). Details about the employee’s medical issues should only be shared with those managers / HR staff involved in the process.

17.3 If Managers have any queries about this they should contact HR for further guidance.


FORM 1: Absence Notification Form

Alternatively:

Complete the Notification Form (Part One) ‘achieve form’ on the Council’s intranet. (HR / Forms)

Completed by Line Manager upon notification of absence: Forward to HR immediately upon completion – marked Private & Confidential

EMPLOYEE DETAILS

Full Name:

Department:

Job Title:

ABSENCE DETAILS

Date of Call: Time of Call:

Anticipated date of return:

If date of return is extended Payroll must be notified. Line Managers are responsible for maintaining communication with the employee.

Agree how and when this will be done.

If appropriate, when have you agree for the employee to contact you again with an update? Date/Time:

Is a referral to Occupational Health required before they return to work? (eg if their absence is likely to be more than 20 days, or if their absence is stress related?)

Yes No

Details of any support/action discussed with employee: Under the Data Protection Act the information contained on this form is considered “sensitive data”. To ensure compliance with this Act, all completed forms must be forwarded to Human Resources immediately, marked Private and Confidential.

Signed Manager

Date:

Received in HR

Date:


FORM 2: Well-Being Meeting

Date of discussion

EMPLOYEE DETAILS

Full Name:

Department:

Job Title:

ABSENCE DETAILS

Date absence began:

Date of return:

Total number of days absent:

Reason for absence:

Absences in last rolling 12 month period:

Bradford Factor Calculation: Score

Has the employee been updated on any issues that occurred during his/her absence? Yes No

If the period of absence has been long-term does the employee require any retraining? Yes No

Any issues that the employee wishes to raise following their recent absence?


Does the employee consider themselves to have a disability? If yes, what is the recognised disability? (seek Occupational Health Advice where necessary) Is the disability registered with HR? Yes / No / N/A Do they consent to it be registered for equality monitoring purposes? Yes / No / N/A

Do any reasonable adjustments need to be considered? If yes, please define.

Has the employee met the corporate Bradford Factor trigger points in the last rolling 12 month period

72 or under: No further action

73 – 149: ‘red flag’ discussion

150 or above: referral to investigation process –

Section 8 of Management Toolkit

Has the employee been made aware of future actions in accordance with the Council’s Well-being Policy if they are absent again in the future?

Yes No

Is a referral to Occupational Health required?

Yes No


Details of support offered to employee (actions agreed, including timescales) Under the Data Protection Act the information contained on this form is considered “sensitive data”. To ensure compliance with this Act, all completed forms must be forwarded to Human Resources immediately, marked Private and Confidential. Acknowledgement: I confirm that the above data is correct to the best of my knowledge. I understand that this information will be used for the purposes of recording and monitoring sickness absence.

Signed Employee

Date:

Signed Manager

Date:

Received in HR by:

Date:


FORM 3: Reasonable Adjustment Request Form

Line Manager:

Position: Department:

Employee: Position: The adjustment(s) requested have been discussed with the above named employee and his / her views on the questions below have been sought and accurately recorded. The information contained in this form has been provided to help the organisation decide whether the adjustment requested is reasonable.

Estimated date adjustment can be implemented Description of disadvantage experienced by the employee’s protected characteristic and nature of reasonable adjustment sought

Has advice been sought from anyone else, e.g. Occupational Health, H&S Officer, GP/Specialist? If so, please attach a copy of the advice/assessment or provide a date by when this is expected.

How will the adjustment enable the employee to fulfil their job role?

How practical is it to make this adjustment? For example, how long will it take to implement, will additional training be required?


What are the costs, if any, of the adjustment? Is assistance available to help make the adjustment, e.g. Access to Work?

What implications would making this adjustment have on other employees within the team?

Factors to be taken into account in assessing ‘reasonable cost’ Recommendations from appropriate experts, i.e. medical, occupational health and/or workplace risk assessment (to be obtained if not attached)

Has a ‘risk assessment’ been completed – refer to Health and Safety for advice Date completed: Copy of risk assessment to be attached to this form

Any other relevant factors

Employee Signature Date Line Manager Signature Date


FORM 4: Stress Management Action Plan

Is stress related to: WORK / HOME / COMBINATION (delete as appropriate) Has the employee been advised of and given details of the STRESS AT WORK details? YES / NO

Occupational Health Advice:

(.. request referral or insert comments from Occupational Health advice)

Summary of

a) Identified Causes of Stress:

b) Agreed ACTION to be taken and by whom

(please use additional sheets where necessary)

Full Name:

Department:

Job Title:

Supported By:

Date:


1. Relationships at Work (Management / Colleagues) – this includes

promoting positive working to avoid conflict and dealing with unacceptable

behaviour

ISSUE:

PROPOSED ACTION / SUPPORT:

2. Change within the Workplace – how change is managed /

communicated

ISSUE:



3. Demands (workload)

ISSUE:


4. Control (over ability to organise own workload / supervision)

ISSUE:



5. Support (management / colleagues / clients)

ISSUE:


6. Role – whether people understand their role and ensuring there are no

conflicting roles within the Council

ISSUE:



Training support needed:

******************************************************

It is the responsibility of both the employee and the Line Manager to ensure that the above actions are followed through and that any problems encountered must be raised and discussed before the next scheduled review meeting.

I agree that the above notes reflect the key points and actions agreed.

Next Scheduled Review Meeting: __________________________ (date)

Employee: _______________________ (signature) ____________ (date)

Line Manager: ____________________ (signature) ____________ (date)

Copy of the form to be retained by the employee and Line Manager.

Copy to be forwarded to HR All copies must be stored confidentially.

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Policy and Procedures – Absence Management