POLICY & PROCEDURE ON SICKNESS ABSENCE MANAGEMENT

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1 POLICY & PROCEDURE ON SICKNESS ABSENCE MANAGEMENT This policy and procedure provides a framework to manage sickness absence in a fair and supportive manner. Its objective is to satisfactorily return employees to work following periods of absence where this is possible and practical. It provides a framework of performance management with standards for both employees and those responsible for managing sickness absence. We welcome feedback on this policy and the way it operates. We are interested to know of any possible or actual adverse impact that this policy/procedure may have on any groups in respect of gender or marital status, race, disability, sexual orientation, religion or belief, age or other characteristics. Document No. Version New policy Date Approved JNCC March 09 JTMT June 2009 Last Review Review Date June 2011 Equality Impact Assessed Yes (partial) Author/Contact Person Richard White (24)3926 Approved By: For use by (staff groups) Document Owner: Document Status: All groups Richard White Ratified

2 Contents Para No Description 1. Introduction and Purpose 3 2. Scope of Policy 3 3. Responsibilities this covers what is required of staff when they are absent through sickness including certificates, reporting and annual leave and of those with responsibility to apply this policy 3 4. Pre employment screening and capability 6 5. Context and forms of sickness absence - covering standards of 7 attendance, calculating absence rates, occupational health involvement, reasonable workplace adjustments and alternative employment 6. Management of short term absence Management of long term absence Dismissal from employment short and long term absence Appeal process against formal warnings or dismissal Paid sick leave and expiry of sick pay entitlement Support for staff Monitoring of policy Equality impact assessment Standards for better health Overall responsibility for the document Implementation and dissemination of document 21 Attachments for guidance Appendix One Self certificate for short term sickness Appendix Two Failure to contact work letter Appendix Three Examples of calculating sickness absence rates Appendix Four Improving working lives standards Appendix Five - Management of short term sickness flow chart Appendix Six Example of return to work from sickness interview form Appendix Seven (a) Occupational Health referral form and management guidance notes on use of the form Appendix Seven (b) Occupational Health Employee information sheets on the referral, examination and consent to medical records Appendix Eight Example of letter inviting member of staff to a structured short term sickness meeting Appendix Nine Example of outcome letter following short term sickness absence meeting Appendix Ten Management of long term sickness flow chart Appendix Eleven Example of letter inviting staff member to meeting about long term sickness absence Appendix Twelve Example of return to work plan Page No 2

3 1.0 INTRODUCTION AND PURPOSE OF POLICY & PROCEDURE 1.1 This policy and procedure provides a framework to manage sickness absence in a fair and supportive manner. Its objective is to satisfactorily return employees to work following periods of absence where this is possible and practical. It provides a framework of performance management with standards for both employees and those responsible for managing sickness absence. 2.0 SCOPE OF POLICY 2.1 It is the policy of the Trust to ensure the fair, reasonable and just treatment of all employees who are absent from work as a result of injury, ill health or prescribed industrial diseases. Trust employed medical and dental staff have a specific capability policy that works in association with this policy to address matters such as certification, monitoring and return to work interviews etc. 2.2 The Trust seeks to ensure that employees following this policy do not suffer undue hardship as a result of such absence and that management acts in accordance with employment legislation and has regard to sound human resource practices. It is recognised that all situations involving capability will require individual consideration through a consistent framework. It recognises also a requirement to examine the causes of sickness absence and where possible and reasonable the means to address these. Letters and other associated documents provided in the policy are for guidance. 2.3 The Trust recognises its own responsibilities for ensuring that the Workplace is a healthy and safe place to be. The Trust will conform to The Health and Safety at Work Act 1974, the Data Protection Act 1998, the Disability Discrimination Act 1995 (as updated) and other relevant legislation and good practice guidelines. 2.4 The Trust will also comply with the standards of good practice set out in the Improving Working Lives standards (see Appendix 4 for details) 3.0 RESPONSIBILITIES 3.1 Directors of the Trust It is the responsibility of Trust Directors (or equivalents) in all parts of the organisation to ensure that: - This policy is implemented Systems are in place that are fairly and evenly administered for the monitoring of sickness absence If required they act in the capacity of dismissing officer They provide leadership and scrutiny to enable performance targets to be attained. 3

4 3.2 Managers and Supervisors All those with responsibility for staff as part of their job have a responsibility for the health & safety and welfare of the employees in the areas the post covers. This includes the management of sickness absence. To ensure competency in this it should be included in the Knowledge and Skills Framework (KSF) profile for the role and reviewed through appraisal. For new starters with responsibility for staff, consideration should be provided as to the level of competency and understanding of sickness management process in MKPCT. To ensure a consistent and fair approach to the management of sickness absence, those with responsibility for sickness management must ensure the following is applied in the areas for which they are responsible: - A defined and effective reporting system for staff who are unable to attend work A defined and effective local system to provide return to work from sickness meetings that all employees understand A local system of monitoring sickness absence to determine the relative seriousness of each employee s sickness A system for notifying new employees of the local management of sickness absence through local induction. In addition, consideration that existing employees may need occasional reminders 100% reporting of sickness absence through the Trust s agreed processes such as the positive pay return. This also requires managers to forward to payroll COPIES of all medical certificates for individual employees who are absent through sickness with the monthly returns. 3.3 Employees When sickness occurs, the Trust s concern is about an employee s welfare and capability. Where concern remains after period(s) of absence this is a reasonable and legitimate cause for management action When an employee is absent through sickness they must report this situation following a local system. This information is required to enable colleagues at work to re-prioritise work, and continue the provision of services. Unless there are extenuating circumstances the employee is required to contact their work area in person to answer any work related queries. The following represents the minimum information required:. The likely duration of sickness absence The nature of the illness or condition If known, a likely to return to work date If the absence has clinical implications e.g. a skin complaint or infectious disease or if the reason for the absence is due to a work related injury. Details of outstanding work, appointments or duties that need to be carried out in his/her absence. 4

5 During longer periods of sickness absence agreement will be sought to determine a means to maintain contact with the absent employee. In some circumstances contact with the employee outside of this may be required due to service need. If this occurs there must be justifiable good reason. Where periods of absence are for extended periods what may be said to colleagues or means to maintain engagement with the work area Employees are responsible for ensuring that all types of sickness certificate are provided in a timely manner. This means that at all times the employee is required to be certificated for their sickness absence. See table 1 below For the first 4 to 7 calendar days of sickness absence a self certificate is required. An example of self certificate form is provided as Appendix 1. When an employee returns to work on or before the 7 th day of absence this certificate is to be completed and provided during the return from sickness absence meeting. If a period of sickness absence is for 8 or more calendar days a medical certificate must be provided by the employee. This must be received by the Trust no later than the 8 th calendar day of absence. If an employee is having difficulty obtaining a medical certificate they must let a line manager / designated person know of this situation immediately. If an employee is on annual leave and is taken sick, they may apply to reclaim the annual leave. For this to happen, the staff member must notify the designated person in their work area of this intention and arrange to provide a medical certificate. If this is done annual leave will be provisionally re-calculated back to the point of notification, and confirmed when the required medical certificate is produced. The medical certificate MUST cover the whole period for which is being re-claimed i.e. from the first day of sickness. If a medical certificate is obtained from outside the UK, clarification as to the equivalent nature of this may be required by the Trust to ensure consistency If an employee has not contacted their work area on the first day of absence, or not provided a required certificate or let their work area know of difficulties to obtain a certificate this is potentially a matter of misconduct and treated as unauthorised absence. If such a situation occurs, the employee will be notified by letter which is sent by special delivery of this fact. In addition if contact is not made by the THIRD day of absence payment will be suspended, see Appendix 2 for an outline letter. This concern will then be investigated under the Trust Disciplinary policy and procedure. If contact from the employee is not made in accordance with the letter pay will be suspended. Re-instatement of pay following 5

6 suspension will be dependent upon the account from the employee as to why the certificate was not provided. Certification Process No of calendar days absent 4 7 calendar days 8 calendar days or more Reclaiming annual leave when sick Table One Required certificate Self certificate Medical certificate Medical certificate Time by when certificate is to be received by the Trust On the day the employee returns to work covering the period from the 4 th day of absence to be provided during return to work meeting. By the 8 th calendar day of absence To be provided when the employee returns to work covering the whole period of annual leave to be reclaimed i.e. from the first day for which the employee sick and is applying to claim back annual leave. 4.0 PRE-EMPLOYMENT SCREENING AND CAPABILITY When recruiting staff the Trust will make an assessment of all applicants capability to do the job applied for. This will include current employees changing their post within the Trust, and new entrants. This is applied to all staff equally For applicants who have declared they are covered by the Disability Discrimination Act, the Trust will provide the following: - A guaranteed interview if all essential criteria identified through the application form are met Active and meaningful consideration of recommended adjustments identified through an occupational health assessment which all new employees undertake If as part of the recruitment concerns are raised as to an applicants record of sickness absence it is essential managers consider the capability requirement and circumstance of the new post and as appropriate take into account any available occupational health assessment. 4.2 Capability for posts will be considered in line with the Disability Discrimination Act 1995 and the Two Ticks Disability Symbol for which the Trust is recognized to show on-going commitment to employing disabled people. 5.0 CONTEXT AND FORMS OF SICKNESS ABSENCE 5.1 Sickness absence commonly manifests in 2 distinct forms short and long term. This policy distinguishes the form of management approach for each. 6

7 Short term sickness usually takes the form of a series of one off absences without an underlying recognised medical condition. Long term absence is normally where there is a continued period of absence for longer than 6 weeks or sporadic periods of absence relating to an underlying long term condition. If there are queries about which situation is being presented the Trust will involve the opinion of the Occupational Health department. For each there is also the potential for employees to be dismissed for reasons of capability. 5.2 Documentation Copies of documentation used in the management of sickness absence will be made available to the employee concerned this includes letters or forms of referral of employee to Occupational Health, and reports received from Occupational Health. Where, however, an employee self refers to the Occupational Health Department their manager / supervisor will not be provided a copy of any report. 5.3 Recording of sickness within the Trust Reporting of sickness absence in the Trust will identify both calendar days of absence, and actual days/shifts/hours lost Calendar days of sickness absence are used to calculate statutory and occupational sick pay. Sick pay calculation will be made by payroll in accordance with contractual entitlement. Actual episodes of sickness absence or working days/shifts/hours lost will be reported on group or individual scales. Such reports will be used to justify management decisions and allow scrutiny. 5.4 Standards of attendance Concern regarding absence will be shown by the Trust when standards of attendance are not met. This relates to the Trust s genuine concern about the capability of such employees. Any one of the following will be seen as activating management action beyond return to work from sickness meetings: - 10 days (pro-rata for staff working less than 5 days a week) of sickness absence within a rolling twelve month retrospective period A Bradford score of 200 or more - see section A single 6 week episode of sickness absence and no confirmed return to work date Any other reasonable cause for concern. All absence due to sickness is treated as genuine. Employees are required to provide appropriate certification to maintain accuracy of records and satisfy Statutory Sick Pay conditions. If there is reason to believe that the sickness absence in not genuine, this is a matter of gross 7

8 misconduct and will be investigated through the disciplinary policy and procedure accordingly Formal management action beyond return to work from sickness meetings may be applied if concern about capability exists. Any such outcomes will be clearly stated to the recipient in writing and they will have recourse to appeal. 5.5 To aid in the decision making process for outcomes in sickness management, the following represents a list of considerations to provide structure and consistency: - The frequency, duration and nature of the absence(s) The potential for sickness absence level to become acceptable in line with the agreed policy The potential of making adjustments to role or working arrangements and the reasonableness of such adjustments Whether or not the absence reflects a personal or domestic problem which could be rectified or supported with different managerial support Whether the absence is due to other employment or overtime. The effect that such absences are having on the individual s work performance and that of their workplace, particularly the requirement to deliver high quality patient care and the health and safety of other employees. The extent to which the absences constitute a problem which the Trust cannot continue to sustain. 5.6 Calculating the percentage of sickness absence for individual employees This is a means of identifying as a percentage the time that an employee is absent from work through sickness absence as compared to the required contractual time they should attend work. It can be calculated in days or hours provided the unit is consistent, can accommodate part time and full time patterns and follows a standard formula Its purpose is to demonstrate factually why concern about an employee s absence is being raised, and is used to demonstrate relative personal levels of sickness absence. These calculations are required to be conducted locally, where the required specific information is held. Written examples of how to calculate these figures are given as Appendix Bradford scores This is a statistical means to identify employees with frequent episodes of sickness absence. It uses a nationally recognised formula that uses data over 12 months; it squares the number of individual sickness episodes then multiplies this by the total number of calendar days absent from work. 8

9 For example an employee with 5 episodes of sickness having a total of 8 calendar days from work will have a Bradford score of 200 (5 multiplied by 5 multiplied by 8). Such reports will create for each employee a personal Bradford score which can be compiled to identify a relative order. This will then become a part of the management performance framework to ensure consistency by those responsible to manage sickness absence. The Trust has set a target of 200 as a benchmark. 5.8 Case Conference meetings with Occupational Health Such meetings may be arranged and are formal whereby the employee, their representative, the person managing the absence and a HR representative attend with an Occupational Health Department specialist. The meeting will be to examine in detail reports and any recommendations to ensure complete and open dialogue and mutual understanding. 5.9 Graduated return to the contracted post In some circumstances often within Occupational Health reports, it may be recommended the employee follows a plan that provides a graduated return to work with temporary adjustments which over time are removed until the employees can resume the full duties of their post When setting out the plan, consideration is required as to the reasonableness of suggested adjustments and the ability of a local area to accommodate such adjustments. A plan when agreed normally provides adjustments to working time and range of duties / responsibilities. Such adjustments will last for a defined period of time. The plan will see a progression of increased working time and range of duties / responsibilities In drafting the plan consideration of re-induction and or retraining is required, as is success criteria to identify progress and a system of supervision and support to allow progression in a safe manner. The length of time for the plan requires reasonableness, allowing an employee a fair chance to return to work, but that is economically sustainable for the Trust Payment during a planned period is maintained as if the employee was working their normal contract duties and hours. An example of a framework for a plan is shown as Appendix 12. To consider a plan its content and detail a case conference with an Occupational Health specialist is often seen as recommended If a plan is not applied or successful as set out there must be objective reasons to account for such a situation occurring. This must be discussed with the employee to ensure their understanding. This is particularly important, as if at the end of the plan the employee is unable to return to their contracted post the following are required management considerations: - extend the period of time Or 9

10 accept the limited capability, make adjustments, and if required change contractual elements for the employee. This can only occur if the local workforce can sustain the service required Or seek alternative employment Or make recommendation of dismissal for reasons of capability Adjustments to the contracted post or working environment Sometimes it will be recommended in an Occupational Health report that the employee could remain in the current contracted post if adjustments are made to it or to the working environment in which the post operates. This will require formal acknowledgement to the employee if accepted. A manager will be expected to apply such recommended adjustments, where possible, taking into account the fact that the PCT is a large employer, however it is recognised the PCT may only be around 150 employees in months time If recommended adjustments are refused by the Trust management there must be stated and factually based objective reasons for this. If a recommendation(s) are/is deemed to be unreasonable, the Trust is required to justify this conclusion through consideration of the following areas: - Effectiveness Practicability Financial / cost. If recommended adjustment(s) are seen as being unreasonable the associated facts and the decision making process must be provided in writing to the employee. This will provide a record and enable scrutiny. If adjustments are not able to be implemented, consideration as to the continued employment of the employee is required, or examination of alternative employment Alternative employment Sometimes it is considered appropriate or recommended that an employee is redeployed to a new alternative post or type of employment If alternative employment is recommended this is stating the employee is no longer capable to remain in their contracted post, and without such alternative employment the employee may be dismissed. Such a recommendation to find alternative employment would be shown in a report from Occupational Health where guidance as to the characteristics and capability requirements of alternative types of work is often explained. The employee in such a situation will require to be met with and this situation explained. A case conference is recommended to ensure complete understanding of details in a report. 10

11 There is NO requirement to create a post for an employee in such a situation If alternative employment is being sought, a period of no less than 8 weeks is provided, which commences from when the employee was informed that alternative employment is recommended. During the 8 week period vacancy bulletins will be provided to the employee, and support on completion of application forms and interview technique offered. The employee will be required to complete a current CV or generic application form to enable a full appreciation of the skills, knowledge and qualifications they hold. If the employee wishes this process to be waived this requires the express written confirmation from the employee. At the end of the 8 week period the matter will be reviewed through a formal meeting. If it is considered no suitable alternative has become available a decision as to the continued employment of the employee has to be stated Means to appoint to alternative employment through this process If a post of the same band/grade of the employee looking for alternative work becomes available within the same directorate of the employee, the employee will be offered the post to be slotted in. Appointment will be without interview or advertisement provided all essential criteria in the person specification are met. A meeting may be arranged to fully explain the role and ensure skills are able to be transferred, and the employee is comfortable and in agreement with such a move If the alternative post is of the same grade, and the employee meets all essential criteria on a person specification for the post can be identified from the application form or CV, yet outside of the employee s Directorate an application form will need to be submitted, and a ring fenced interview process takes place, whereby the only applicant in the first instance is the employee(s) meeting essential recruitment criteria looking to be redeployed If a post becomes available at a lower band/grade to that of the employee seeking alternative employment the difference in terms of grade or other conditions will not be protected in accordance with the relevant policy If a post of a higher grade/band becomes available and the employee meets all essential criteria of the person specification, the employee will need to undertake an interview Medical Records The Occupational Health Physician may seek information from the employee s General Practitioner/Consultant. The employee s informed and written consent must be obtained by the Occupational Health Department before contact is made with these physicians, in accordance with the Access to Medical Reports Act The employee should be advised of the outcome of the medical advice and be allowed the opportunity to seek their, own medical advice. Where 11

12 both parties agree, an independent arbitrator may be used in exceptional circumstances. See Appendix 7(b) for further details. 6.0 MANAGEMENT OF SHORT TERM ABSENCE 6.1 The management objective is to return the employee to a more acceptable and regular pattern of attendance. A flow chart Appendix 5 provides an overview. The way to achieve this is through a structured process of regular communications, enabling discussion of issues, and where required and practical adjustment of roles and working arrangements. If levels of attendance remain unacceptable, formal warnings and ultimately dismissal from employment can also happen Informal measures - Return from sickness meetings Return from sickness meetings should take place on the first day an employee returns to work from sickness absence. This meeting should only be delayed in exceptional circumstances. The purpose of such meetings is to establish factors affecting absence address any issues of concern and agree any appropriate action. Such meetings are to be recorded using form Appendix 6. Return to work conversations may take place over the telephone if both parties are in agreement. If concern is beginning to rise the person managing the absence must consider involvement and possible referral to the Occupational Health department (see management referral form or letter Appendix 7(a) and 7 (b), to enquire if there are underlying reasons for such absence. The management process requires consideration of reasonable adjustments to the role or way of working to enable a more regular pattern of attendance Formal Measure - 1 st Formal Warning A 1 st formal warning may be issued following a structured meeting between the employee and the person managing the absence Arrangements for a Structured meeting. To organise a structured meeting will require a letter to be sent to the employee. The letter inviting the employee to attend will state they may be accompanied by a friend, colleague, or represented by a Trade Union recognised by the Trust. Notice of 5 working days will be provided to the employee. A member of the HR department may attend such meetings, only if there are questions of policy or other important items beyond which the manager feels unable to adequately address. The invitation letter must provide a factual account as to why concern about attendance is being raised to this level and the outcome could be a 1 st formal warning. A draft generic letter is attached as Appendix 8. It is considered good practice that before sending the letter its contents are discussed with a member of the HR department Conducting the structured meeting During the structured meeting the aim is to allow an open discussion about the circumstances and 12

13 effects of the sickness absence to the individual employee and the department in which they work. To help provide structure to this discussion, a list of matters to consider is provided in Para Outcomes - After all comments have been made the person with responsibility to manage the absence will be required to consider the most appropriate outcome. This may be that: - the employee should remain at the level of being cautioned but without a warning. It may be an outcome that a 1 st formal warning for capability is issued, in which case: - This 1 st formal warning will last for a period of 12 months Within the warning there must be clearly described standards of attendance for which the employee is required to attain If the standard is not attained, it will initiate a further stage that would potentially be a final warning. A generic outcome letter is shown as Appendix Appeal - An employee with a 1 st formal warning through this route has a right of appeal. The appeal must be made in writing, by the employee, to the next level of management whose contact details will be provided in the letter confirming the 1 st Warning. The process of appeal will be as described in paragraph 9 of this policy Formal Measure - Final Warning A final warning cannot be applied unless a meeting to hear the facts and decide the appropriateness of issuing a final warning is arranged and heard by a manager more senior than the post holder who issued the 1 st Warning Arrangements to organise will require the employee to be invited to attend in writing. Notice of 5 working days is to be provided to the employee. The invitation letter must clearly state the possible outcome could be the issuing of a final written warning. In addition the letter must state that the employee will be afforded the opportunity to be accompanied by a friend or colleague, or represented by a trade union official of a trade union recognised by the Trust. The Hearing will be conducted by a single person more senior than the post holder who gave the 1 st formal warning. The post holder hearing will be supported by a member of the HR department. The manager who has been managing the absence up to the issue of the 1 st Formal warning will be required to provide a report and attend. This person will be supported by a member of the HR department. Prior to the hearing a management report detailing the concerns about the absence is required to be presented to the employee 5 working days prior to the hearing Conducting the hearing 13

14 The purpose of this meeting is to ensure procedural and factual details are correct. The manager will be required to present a report describing: - o Why there is a concern o Demonstrated attempts to resolve or improve attendance and the effect of these attempts o Explain the view on Occupational Health being involved or if there are Occupational Health reports comments from these o Describe the operational consequence of absence o Consideration of employee opinion and view on matters. o The employee / representative will be invited to present their understanding of events, and facts. o Comment on attempts to manage absence and find a solution to improve attendance. o State areas of concern or comment where things could be done differently and why. Following this presentation an opportunity to raise questions will be provided Following each presentation an opportunity to raise questions will be provided An opportunity for the summing up is provided, firstly from management and lastly the employee Outcomes - Following this the manager hearing will be required to consider the most appropriate outcome. A list of matters to consider is provided in paragraph 5.5. The outcome could be: - To issue a final warning for capability, or Extend the period of the 1 st formal warning or dismiss the case from management. If a final warning is issued this will: - Last for a period of 12 months Within the warning there must be clearly described standards of attendance for which the employee is required to attain to prevent further management action. If the standard is not attained, it will initiate a further stage that would be of a dismissal Appeal - an employee with has a right of appeal. The appeal must be made in writing, by the employee. The appeal is made to the next level of management whose contact details will be provided in the letter confirming the final warning. The process of appeal will be as described in paragraph 9 of this policy Dismissal An employee may be dismissed following a final warning being issued if the required standards of attendance are not attained. If this is the case the process as identified in paragraph 8.0 of this policy and procedure will be applied. 14

15 7.0 THE MANAGEMENT OF LONG TERM ABSENCE 7.1 The Trust will be faced with managing individuals with long-term sickness absence. For the purposes of this procedure, long term sickness absence is that which continues after 6 weeks certificated absence. A flow chart to describe the management process of long term sickness absence management is shown as Appendix It is the responsibility of those with responsibility in the management of sickness absence to check with employees at regular intervals, but especially when there are events or situations that are about to happen, i.e. sick pay changes etc. Such contacts are formal opportunities to discuss the situation of the employee, and to address questions or concerns they may have. These contacts are also opportunity to explain management actions such as occupational health referral or reports from occupational health. 7.3 Arrangements to meet employees on long term sickness will normally require a letter to be sent to the employee. The letter inviting the employee to attend will state they may be accompanied by a friend, colleague, or represented by a trade union recognised by the Trust. A member of the HR department may attend such meetings, but only if there are certain circumstances such as questions of policy or other important items beyond which the manager feels unable to adequately address. A draft generic letter is attached as Appendix 11. Prior to a letter being sent it is advised that HR advice is obtained. 7.4 During such meetings the manager should establish the possibility of return to work, with a given date, and/or whether there is the need for some suitable alternative work possibilities to be explored or adjustments to the current role. Management action and progress must be the subject of continuing discussion. When an employee is on long term sickness absence the employee should not be requested to undertake any work, unless this has been agreed with the individual, Occupational Health and the Human Resources Departments. 7.5 The policy objective of the Trust in managing such situations is to facilitate, wherever possible, the return of the employee to full normal contracted duties and terms and conditions for which he/she is employed in a fair and timely fashion. It is also the policy of the Trust, with the appropriate Occupational Health guidance, to do everything reasonable in the circumstances of the Trust to achieve this end including, where necessary, arrangements for a phased, uniquely managed, graduated return to the contracted post plan see Paragraph Where the employee is unable to return to the job he/she was employed to do because of injury, illness or restriction placed upon the employee by the Occupational Health Department, the Trust will endeavour, wherever 15

16 reasonably possible, to find reasonable suitable alternative employment see section This may, if necessary, include adaptation of the physical environment see section If there is a decision by the Trust that the service can no longer manage without the services of the absent employee and there has been the consideration or use without success of the following: - graduated return to work plan adjustments made to the current post attempts of redeployment to suitable alternative employment Consideration of dismissal will occur. If dismissal is to be considered see paragraph 8. Throughout this process it is essential that the management of the Trust can show that the procedures adopted throughout are fair and equitable. In addition, full documentation should be maintained throughout and every opportunity should be given to the employee and representative to indicate if they believe that dismissal is not the appropriate remedy, for example, by submitting independent medical opinion, or by showing the availability of suitable alternative work 8.0 DISSMISSAL FROM EMPLOYMENT SHORT & LONG TERM ABSENCE 8.1 If all reasonable options have been considered it may become necessary for the Trust to dismiss an employee who is absent from work through sickness. This will occur where: - no suitable alternative work is available or a return to contracted duties plan has not succeeded or adjustments are not reasonable or for short term absence the employee has been given a final warning and the associated standards not attained The decision to dismiss an employee on the grounds of capability will be taken by a dismissing officer this will be at a level of director who will hear and assess cases presented to them Prior to such a decision being arrived at the employee will be invited to attend a meeting in writing and a minimum of 5 working days notice provided. The invitation letter must clearly state the possible outcome could be the ending of the contract of employment At this meeting the employee will be afforded the opportunity to be accompanied by a friend or colleague, or represented by a trade union recognised by the Trust The manager who has been managing the absence will be required to present a report describing application of the policy stages, interpretation of Occupational Health / Medical reports as appropriate, consideration of job adjustments, and the reasonableness of these, actions to redeploy as 16

17 appropriate. Following this presentation an opportunity to raise questions will be provided The employee will be invited to present their understanding of what attempts to manage their absence by the Trust, the facts of the matter as they see them, if there are areas of concern or comment where things could be done differently and why. Following this presentation an opportunity to raise questions will be provided An opportunity for the summing up of management and lastly the employee cases will be provided The Director who is hearing will then be required to assess the facts made during the presentations and conclude an appropriate outcome, which could be dismissal. In reaching this conclusion they must be satisfied that the responsibilities of the Trust have been discharged appropriately and in accordance with good practice and this policy, areas of consideration when forming a conclusion are provided in paragraph 5.5. In circumstances of dismissal the employee would receive payment in lieu of notice and be paid any annual leave outstanding (as in accordance with the annual leave rules) A right of appeal as laid out in paragraph 9 of this policy If the employee is a member of the NHS pension scheme, they may be eligible for ill-health benefit. This requires an application to be made by the employee, and the decision to award is based upon specific rules as set by the Pensions Agency. The details of these are on the their web site at the following address It is important that the Pensions Agency is notified of any impending retirement as soon as is reasonably practical, otherwise pension payments may be delayed. The success of an application for a pension, and the Trust decision to dismiss are not related. 9.0 APPEAL PROCESS AGAINST FORMAL WARNINGS OR DISMISSALS The appeal process is an opportunity to enable an employee who has been warned or dismissed to have the decision overturned for reason of it being unfair or inappropriate. There is only one line of appeal for each warning or dismissal An appeal will be formed after an employee has written to a designated person identified in the letter confirming the warning or dismissal. The employee raising the appeal is requested to state in their letter the reason for the appeal, and for this to be received in the time scale required, i.e. 14 calendar days from the date on which the letter confirming the action was received. Such letters are strongly advised to be sent by special delivery. 17

18 9.1.3 The appeal meeting should be arranged to take place within 21 calendar days of the appeal letter being received, this though is dependant upon the availability of certain critical post holders involved in the appeal The appeal meeting will be arranged by letter and a minimum of 7 calendar days notice is to be provided. During the appeal meeting the employee is encouraged to be accompanied by a friend or colleague, or represented by a representative of a trade union recognised by the Trust. The letter of appeal will be presented to the manager who made the decision to warn or dismiss. This will form the basis of their response The manager who made the decision (the respondent) to warn or dismiss will be required to submit a report. During the appeal meeting this manager will be supported by a member of the HR department. The report from the responding manager must be made available to the employee raising the appeal with at least 7 calendar days notice of the date of the appeal For an appeal meeting against a warning, the appeal will be heard by a manager more senior than the manager who made the decision to issue the warning. This person will be supported by a member of the HR department for advice For an appeal meeting against dismissal, the appeal will be heard by 2 Directors of the Trust not previously and directly involved in the matter and a non Executive Director. The panel Chair will normally be the non executive director in attendance. This panel will be supported by a member of the HR department to advice During the appeal meeting the employee making the appeal will be invited to present the grounds and reasons for the appeal. Following this presentation an opportunity to raise questions will be provided The manager responding will be required to present a report addressing the concerns and grounds of the appeal as described in the letter of appeal. Following this presentation an opportunity to raise questions will be provided. The panel will be required to be satisfied of the appropriate application of the Trust policy and procedure for Sickness Absence Management Management will sum up their case followed by the summary from the employee or their representative The Manager / Panel hearing the appeal will then be required to assess the facts of each presentation and conclude an appropriate outcome. Such an outcome could be accepting or upholding the appeal resulting in a warning not being issued or re-instatement of the employee or; refusing the appeal whereby the decision to warn or dismiss remains. In reaching such conclusions the decision maker must be satisfied that the 18

19 responsibilities of the Trust have been discharged appropriately and in accordance with good practice and this policy The outcome will be provided if possible on the day of the meeting. Written confirmation will (unless extenuating circumstances prevail) be provided no later than 7 calendar days after the appeal meeting has ended. This outcome represents the final stage of appeal within the Trust PAID SICK LEAVE AND EXPIRY OF SICK PAY ENTITLEMENT 10.1 The Agenda For Change and Medical and Dental Employee Handbooks apply terms and conditions to establish entitlement to sick pay and means of management. Entitlement to sick pay in this Trust depends upon length of recognised and continuous NHS service and usually involves a period of sick leave on full pay, half pay and ultimately no pay. The Member of employee, their Manager, plus the Human Resources department will normally be informed by the Payroll Department one month before the member of employee is to be transferred on to half or no pay Discussion may also take place between the manager and the Human Resources Manager to determine: - If in case of injury at work, an application for Temporary Injury Allowance should be made Whether at the end of the half pay period, extension to that should be recommended or if failure to engage Occupational Health appropriately by the Trust such extension becomes a mandatory requirement The possibility of granting of unpaid leave for a specified period (see Unpaid Leave Policy) The arrangements that will be necessary to cover the work of the sick employee SUPPORT FOR STAFF 11.1 The policy establishes a clear framework for staff, and a framework for management actions. There is also the requirement within the policy to manage the causes of sickness absence through the work environment. This requires appreciation of work place assessments, and consideration of environmental factors Access to employee assistance scheme (ICAS) Staff are encouraged to contact ICAS to provide advice and support which is confidential and free. Contact to ICAS services is through a telephone system Access to Therapeutic Support and Occupational Health Services Staff may self refer to Occupational Health for advise and support. In such circumstances this is a confidential matter between the member of staff and the Occupational Health department. In addition where staff are 19

20 finding access to therapeutic services un-timely, the Trust through Occupational Health will support access to suppliers through GP contact MONITORING OF POLICY The policy will be monitored through regular performance reports. For Provider Services it will also be monitored through the HR Annual Report. 13. EQUALITY IMPACT ASSESSMENT An equality impact assessment on this document has been conducted. It has a medium impact. It will require the monitoring of staff outcomes through this process using the Electronic Staff Record system. Reports will be made to the Joint Staff Side Committee as part of operational monitoring and impact upon diversity. 14. STANDARDS FOR BETTER HEALTH Domain Definition/Evidence Clinical and Cost Effectiveness Governance Healthcare decisions and services are based on what appropriately assessed research evidence has shown provides an effective outcome for patients individual needs All providers of health services have in place the managerial and clinical leadership and accountability, the organisational culture, and the systems and working practices to enable probity, quality assurance, quality improvement and patient safety to be the central components of all routines, processes and activities. 15. OVERALL RESPONSIBILITY FOR THE DOCUMENT Deputy Director of Human Resources will take lead responsibilities for coordinating the development, implementation, review and upkeep of the document. 16 IMPLEMENTATION AND DISSEMMINATION OF THE DOCUMENT The document will distributed through the PCT Intranet site, to which staff can access. In addition its link will be circulated to the PCT senior manager and staff Joint Negotiating and Consultative Committee membership. The Document will form the basis of associated management training in the Trust. 20

21 Appendix One SICKNESS ABSENCE SELF-CERTIFICATE FORMAL DOCUMENT This certificate is required for all periods of absence from the 4 th up to and including 7 th calendar day of absence after which a doctor s medical certificate is required. PRIVATE & CONFIDENTIAL & PLEASE USE BLOCK LETTERS NAME: Mr/Mrs/Miss/Ms/Dr:... DIRECTORATE/DEPARTMENT OR SECTION:... JOB TITLE:... PERIOD OF SICKNESS First day of absence:... Last day of absence:... Date of return to work:... DETAILS OF SICKNESS/INJURY I was unfit to attend for work for the following reason :( Please be specific e.g. influenza, rheumatism, injury at work etc. It is not acceptable to state sick or unwell ) DECLARATION - I declare that I have not worked during the period of sickness stated above and that the information given is factually correct. Failure to provide such information may be seen as a matter of gross misconduct EMPLOYEE'S SIGNATURE:... DATE:... The completed form should be returned to THE FORMALLY IDENTIFIED POST HOLDER FORMALLY IDENTIFIED POST HOLDER SIGNATURE:... DATE:... 21

22 LETTER TO BE SENT BY NEXT DAY GAURANTEED DELIVERY Appendix Two Dear Re concern about failure to contact work area when absent OR failure to provide medical certificate when required Regard to the above I am writing to enquire as to the reason why you have not - contacted the Insert area name in accordance with the local reporting protocol, given your current period of absence that started insert date or that I have not received from you a medical certificate which according to our records was required on the??? which is either the 8th calendar day or absence or the date when your last note expired - Delete which statement does not apply I am concerned by this situation as you are potentially at risk of the absence being considered as being unauthorised, which is a matter of misconduct according to the disciplinary policy and procedure. I therefore require that you contact me as a mater of urgency and by no later than the insert date 3 days i.e. if letter written on 2 nd of month contact by the 4 th of the month. I have provided the telephone numbers available for you to contact me as follows???????? If you have forwarded already a doctors note and it is in transit I apologise for concern this letter may have raised, I still require you to contact the department even so. If you are having difficulty obtaining a medical certificate, then again I require you to contact me accordingly as a matter of urgency. I require such knowledge as to your whereabouts to assure me of your well being, and to allow the planning and work of the service. If you do not contact me within the time frame stated, pay will be suspended, and the matter be investigated as a matter of possible misconduct, arrangements for which will be provided accordingly. Yours sincerely 22

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