Management of Ill Health Policy and Procedure

Transcription

1 Management of Ill Health Policy and Procedure This Policy describes the process for Managing Ill Health Key Words: Sickness, Ill health, Fit Note, Long term, Short term, return to work, triggers, occupational health, targets, underlying condition, phased return, reasonable adjustments, stress, permitted hours, medical appointments, sick pay, industrial Injury Version: 15 Adopted by: Strategic Workforce Group Date adopted: 18 th April 2012 Name of Human Resources originator/author: Name of Workforce and OD Development Committee responsible committee: Date issued for 1 st May 2014 publication: Review date: May 2016 Expiry date: 1 October 2018 Target audience: All Staff Type of Policy Clinical (tick appropriate box) Risk Management Standards if applicable: n/a Relevant CQC Standards: 14 Non Clinical

2 CONTRIBUTION LIST Key individuals involved in developing the document Name Kshama Srivastava Vyv Wilkins Vanda Walker Designation Senior HR Business Partner Equalities and Human Rights Officer HR Business Partner Circulated to the following individuals for comments Name Kathryn Burt Human Resources Operational Team Antony Upton Richard Holmes Designation Head of HR (CHS) Senior HR Business Partners/ HR Business Partners/ Senior HR Advisors Local Counter Fraud Specialist Support Local Counter Fraud Manager WWG Members LPT Senior Managers Band 8a and above Workforce & OD Development Committee Members Policy Group Members Integrated Equality & Diversity Service Joint Staff Consultation and Negotiating Committee (JSCNC) Listening into Action focus group. 2 of 75

3 Contents POLICY Section Area Page No. Equality Statement 14 1 Summary 14 2 Introduction 14 3 Purpose, Scope and Key Principles, Training PROCEDURE 4 Duties within the organisation Certification, Monitoring & Recording Absence Return to work Absence triggers 24 8 Referral to Occupational Health Procedure for dealing with short term & unrelated sickness absence in excess of Trust triggers. 10 Procedure for dealing with absence due to a chronic underlying medical condition and/or permanent/long term incapacity or if a person is unfit to undertake their role due to health reasons even if there have been no periods of absence Absence due to stress or anxiety Other areas 12.1 Postponement of ill health review meetings Phased return to work - Staff returning to work after long term sickness Permitted Work Staff still on certified sick leave 12.3 Self-Elected or Cosmetic Surgery 12.4 Sickness and Annual Leave/Public Holidays 12.5 Medical appointments 12.6 Pregnancy-related sickness 12.7 Sick Pay 12.8 Industrial Injury 12.9 Absence due to IVF treatment Gender Reassignment Absence due to D&V Absence due to Organ/Bone Marrow Donation 3 of 75

4 Contents Continued. Section Area Page No. 13 Sickness Absence Data Monitoring for Compliance and Effectiveness Link to Standard/Key Performance Indicators Due Regard References Dissemination and Implementation Training 43 APPENDICES 1 Absence from Work - First Contact Sheet a Self-Certification of Sickness Absence 46 1b A Sample Statement of Fitness for Work (fit note) 47 2a Health Monitoring Form 48 2b Return to Work form a Weekly absence return form with guidance to complete 51 3b Guidance for inputting sickness on ESR using self service 51 4 Occupational Health Referral Form Template for ill health review meeting letter Redeployment on ill health grounds Levels of Authority for Dismissal, Reviews and Appeal 63 8 Flowchart showing how a sickness hearing will be run Procedure and flowchart for conducting an appeal hearing Trust s guidance on carryover of annual leave accrued during sick leave Due Regard Initial screening template NHS Constitution checklist Policy Monitoring 75 4 of 75

5 Version Control and Summary of Changes Version No 1 Date March 2012 Comments (description change and amendments) Adopted the LCCHS Managing Sickness Absence Policy and Procedure and updated accordingly /05/12 Deleted the following wording in Para Staff working in catering sections or handling food must be excluded from coming to work for a period of 48 hours after they have been symptom free and excluded from handling food for a period of further 24 hours. This has been replaced with the following; Any employee who is off sick due to D&V must be excluded from coming to work for a period of 48 hours after they have been symptom free. 17/05/12 Added clarification on Chronic underlying medical condition to be recognised under section 10 of the Procedure. The foot note states: For a Chronic underlying medical condition to be recognised under this section, it should have been diagnosed by a clinician (GP, Nurse or a hospital doctor) and the person should be under the care of their GP or another clinician 17/05/12 Additional text added to the first bullet point of Shown in red and italics: Discussions regarding how long the employee is likely to be incapacitated. Discussions regarding the level of future absences particularly in cases of short term sickness absence due to a chronic underlying condition. 17/05/12 Appendix 1a self-certificate: Deleted the following option from the reason for absences: S99 Unknown causes (not specified) 17/05/ addition of the following text in point 4 Shown in red and italics Ill health retirement will be considered if in the opinion of the Occupational Health service the employee meets the criteria for applying for ill health retirement and where the employee meets the NHS Pension Scheme length of service criteria. Where ill health retirement is an option, the application process for ill health retirement will l run concurrently with the notice period to terminate an employee s contract of employment unless the employment has been terminated with pay in lieu of notice 06/09/12 In cases of employees with special class status who are aged 55-60, termination of employment may be deferred following the result of their ill health retirement application. If their ill health retirement application is unsuccessful this deferral ill enable them to apply for special class status retirement whilst still in employment. 5 of 75

6 17/05/12 Appendix 10 updated as follows; 3. Where an employee has been unable to take their annual leave entitlement in the leave year due to being on sick leave for the entire leave year or because there is insufficient time left to take leave on their return from sick leave, they will be entitled to carry forward outstanding leave into the next leave year. The amount to carry forward will be calculated as specified in point 4 below. 4. Where a decision has been made to allow an employee to carry over outstanding annual leave (more than 1 week) to the next leave year, the total of the number of days leave taken during the leave year and number of days leave to be carried over cannot exceed statutory leave entitlement including any bank holidays which have been taken in the leave year. 4 22/05/12 Final version 5 31/05/12 First contact sheet amended 6 06/12/12 Under 12.5 medical appointments added the text in red and italics: Employees are expected to arrange medical appointments outside their work hours. Where this is not possible, the employees will be allowed to take time off to attend these appointments taking into account any reasonable adjustments such as adjustments of hours etc. for regular appointments. The line manager, however will need to see the proof of appointment before granting time off with pay. 7-8 Amendment to para 9.1 as follows: Where a manager has identified a problem of short term and unrelated sickness absence (patterned or sporadic) and they have established that the absences are not due to a chronic underlying condition, the manager will act in accordance with the following procedure, unless there are exceptional reasons not to do so. Where a manager is unsure whether there is an underlying medical condition they should refer the employee to Occupational Health to seek advice on this. 9 23/05/13 Paragraph and have been amended in light of the changes in national NHS terms and conditions regarding calculation of sick pay /01/14 Throughout the policy, reference has been made to the Reasonable Adjustments (RA) Policy which is now implemented (Dec14). This policy should be implemented in conjunction with the RA policy is new to account for e-rostering process Line managers are responsible for ensuring the accurate submission of absence data to payroll. Submission can be through: 1. Where areas are rostered absence should be recorded through the E-rostering system. 6 of 75

7 2. Where managers have access to ESR supervisor selfservice functionality they must ensure that absences are recorded on ESR in a timely manner. 3. Where managers have no access to electronic systems they should complete the weekly absence return form (Appendix 3) for all their employees and ensure timely submission to payroll for the previous week so SBS will input by 12 noon on the Tuesday. Managers should only submit the data using one method If an employee becomes ill whilst at work and feels too unwell to continue working, their absence from work for part of a working day will not be recorded as sickness absence for sick pay purposes. This absence however will be recorded on their health monitoring form and will be taken into account when monitoring patterns and levels of sickness absence. 9.5 There are a number of stages of formal reviews that can be held. Each stage is attached to an action. These increase in severity to reflect the size of the absence issue, but will generally start from the lowest level and progress to more serious levels if the problem is not resolved. There may be circumstances where it necessary to move straight to a formal stage of the procedure e.g. where a significant history of poor sickness absence has been identified And In stage 2 and 3 of formal review meeting, we have added that A member of the HR Operational Team will usually be present at this meeting have been separated out for clarity. We now have managing long term absence where redeployment is an option and a separate section where redeployment is not an option. Where redeployment is an option, appendix 6 provided detail and should be read in conjunction with this section added additional information to take account of the NEST pension scheme Employees undergoing self-elected surgery/procedures will normally need to use their annual leave or request unpaid special leave to cover for their absence. We have added: N.B Gender reassignment procedures are exempt please refer to Gender Re-assignment Policy. Added Employees who are required to attend Amica counselling appointments will not be required to make up the time lost. Added Where the employee's absence is as a result of an injury at work, or may be attributable to their employment they should be made aware of the amended NHS Injury Benefit Scheme regulations (2013) and the Trust Guidance on NHS Injury Allowance. Please refer to section 12.8 for further 7 of 75

8 details. Added Any employee who is off sick due to D&V must be excluded from coming to work for a period of 48 hours after they have been symptom free. This applies if you are off with one of the symptoms i.e. D and/or V New due regard screening template appendix 12 completed Appendix 2a added guidance on triggers Appendix 2b added prompt regarding professional registration Appendix 6 provides clearer guidance on the timing of giving notice on the redeployment process. Regardless of contractual notice, all employees will be issued with 12 weeks notice of termination at the beginning of the 12 week redeployment period. Added Included new stage where the employee will be offered the right to a formal dismissal panel hearing. This is also included in appendix 7. Titled changed to Management of Ill Health policy and procedure and include a new section Section 10 now makes reference to procedure for dealing with chronic underlying medical condition or long term or permanent incapacity whether or not absence has occurred. Legal advice sought and they confirmed that redeployed due to disability related ill- health redeployment will attract pay protection in accordance with the Trusts pay protection provisions /04/14 Feedback from policy group comments incorporated, which include; Training paragraph and NHS Constitution checklist 08/05/ Employees must not work under any other employment arrangement (directly employed bank, agency or self-employed) with the Trust or any other employer during this time). 28/05/14 Appendix 5 amended to reflect prompt of annual leave discussion and half pay/no pay discussion /01/ Removed word short term. 7.3 Removed wording which stated that a referral should always be made to Occupational Health following the return to work meeting as this is not always necessary or appropriate. 05/01/ Changed wording to reflect fact that it may not always be possible to accommodate the advice of Occupational Health from a service perspective. 8.8 Added in that telephone advice can be sought from the 8 of 75

9 Occupational Health Duty Nurse. 05/01/16 Section 9 and 9.1 For clarity changed wording to reflect that this section will now apply to absences in excess of trust triggers. Added in that episodes of long term absence where there is no underlying condition can be considered under this procedure when deciding to set targets. This allows more flexibility to appropriately and proactively manage absence. 9.8 Added in notice required to invite employee to a stage one formal review meeting Added in if appropriate set a target as exceptional cases of mitigation will be considered and 9.21 Separated out mitigating circumstances from underlying conditions for ease of clarity and to allow managers to give proper and due consideration to mitigation. 9.20, 9.21, 9.32 (point 15) and Appendix 6 Changed from 7 calendar days to 10 working days to ensure consistency with Trust Disciplinary Policy and Procedure. 05/01/16 10 and 10.1 Slight change in wording to clarify that there may be cases that this section applies even where employees have not been absent. Added in that episodes of long term absence where there is no underlying condition can be considered under section 9 when deciding to set targets. This allows more flexibility to appropriately and proactively manage absence Change to wording following review of Occupational Health Referral Guidance to provide greater clarity over reasons to appropriately refer Added in word contractual to ensure consistency of practice with case management. 05/01/ Removed wording in relation to pay as no longer applicable at this point in time New section giving employees paid time off if donating an organ or bone marrow. 05/01/16 Appendix 1 and 2b Added in prompt for managers around 9 of 75

10 referring employees to staff physiotherapy service. Appendix 4 Slight change in wording following review of referral guidance by Human Resources and Occupational Health (OH) aimed at reducing unnecessary referrals and encouraging mangers to seek more timely telephone advice from the OH Duty Nurse where appropriate. Appendix 5 Added in prompt for managers to notify Workforce Systems Team if employee is on long term absence and therefore is unable to have an appraisal - this will ensure increments are still paid. Appendix 6 (point 4) Clarity that hearing is being held under the Management of Ill Health Policy and Procedure but is following process outlined in Trust Disciplinary Policy /03/ to 8.15 Addition of this section to outline process if any referrals are received from the Government s Fit for Work Scheme /6/16 Amended Appendix 7: Levels of Authority for Dismissal and Appeal against Formal Action within Policy and Procedure for Managing Sickness Absence Panel composition: Added category of staff Band 8c or above and removed and replaced Non-Executive Director on appeal panels for All other staff 13 31/10/16 Amended Appendix 4 Occupational Health Referral Guidelines and Referral Form Reflects requirement for all referrals to be reviewed by the Human Resources Operational Team before they are sent to Occupational Health. Changed wording in 8.7 and 8.8 to reflect changes in the Referral Guidelines. Removed 8.9 as reasons for referral are outlined in Appendix 4. Referral form has been updated with specific questions with aim of adding value to the referral process for managers and staff /12/ Added new paragraph to reflect that when an employee s level of sickness is hitting the triggers and absences are not due to a chronic underlying condition, target setting will now take place at an informal stage either as part of the return to work meeting or at an alternative informal meeting. The right to representation has been removed at the informal first stage /12/ reworded to reflect that stage 1 is now informal /12/ to 9.10 reworded and summarised into one point 9.8 to reflect position detailed above in section /12/16 Appendix 2b Return to Work Meeting Form Revised to include new position detailed above in 6.5 Added in declaration that the information supplied by the employee 10 of 75

11 is complete and correct and they have not worked elsewhere during the recorded periods of absence /12./16 Appendix 5 Ill Health Review Meeting Notes Template Revised to reflect that stage one is now informal and there is no right to representation at this stage /04/17 Appendix 1 Absence from work First Contact Sheet Included prompt for manager to complete an incident form if absence to an accident at work /04/17 Appendix 2b Return to Work Discussion Included prompt for manager to complete an incident form and RIDDOR notification if absence due to accident at work /04/17 Appendix 10 - Guidance on carryover of annual leave accrued during sick leave. Revised wording to provide greater clarity over the carry over arrangements /9/17 Appendix 2a Health Monitoring Form Updated form to include guide for target setting 15 14/9/17 Appendix 2b Return to Work Form Updated form to clarify process regarding target setting 15 14/9/17 Appendix 5 Ill Health Review Notes Template Updated form to include space to record target set and record of warning and prompt to check mandatory training record 11 of 75

12 All LPT Policies can be provided in large print or Braille formats, if requested, and an interpreting service is available to individuals of different nationalities who require them. For further information contact: Vanda Walker, HR Business Partner, on or 12 of 75

13 Definitions that apply to this Policy Long term sickness Short term sickness Trigger points Due Regard Sickness absence will be classified as long term if the employee has been absent for a continuous period of 4 weeks or more. Sickness absence will be classified as short term if the employee has been absent for a continuous period of less than four weeks. 6 working days or 4 episodes in any rolling 12-month period (pro rata to the number of days worked per week for staff working less than 5 days per week) Having due regard for advancing equality involves: Removing or minimising disadvantages suffered by people due to their protected characteristics. Taking steps to meet the needs of people from protected groups where these are different from the needs of other people. Encouraging people from protected groups to participate in public life or in other activities where their participation is disproportionately low. 13 of 75

14 Equality Statement Leicestershire Partnership NHS Trust (LPT) aims to design and implement policy documents that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account the provisions of the Equality Act 2010 and advances equal opportunities for all. This document has been assessed to ensure that no one receives less favourable treatment on the protected characteristics of their age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex (gender) or sexual orientation. In carrying out its functions, LPT must have due regard to the different needs of different protected equality groups in their area. This applies to all the activities for which LPT is responsible, including policy development, review and implementation. 1.0 SUMMARY 1.1 The Management of Ill Health Policy and Procedure exists to provide a fair and consistent and compassionate approach to the management of sickness absence in the work place. 1.2 The Trust values the health and wellbeing of its employees and aims to enable the attendance of all employees throughout the working week and provide a supportive framework on which ill Health may be managed appropriately. This proactive approach aims to support employees to remain at work. 1.3 Whilst is accepted that ill health is a part of life. The Trust acknowledges that high levels of ill health may have a detrimental effect on the level of service provided and can place an added burden on other employees. 1.4 This policy should be read in conjunction with the Trusts Reasonable Adjustment Policy. 2.0 INTRODUCTION 2.1 Leicestershire Partnership NHS Trust (LPT) recognises the valuable contribution made by every member of staff to the delivery of its services and is committed to the promotion of their health, safety and well-being. 2.2 LPT is committed to supporting employees who suffer ill health or incapacity either of a temporary or permanent nature. 2.3 Every employee has a duty to attend work regularly and report any sickness absence in accordance with their local procedure. 2.4 Managers have responsibility for monitoring and managing ill health in their area. They will be supported to do this by receiving appropriate training and advice from Human Resources.

15 3.0 PURPOSE, SCOPE, KEY PRINCIPLES AND TRAINING Purpose 3.1 This policy and procedure is intended to facilitate a fair and consistent approach to handling staff sickness absences. It is inevitable that staff will experience periods of ill health and require sick leave from time to time, it is important therefore that managers deal sensitively and effectively with employee absence in a sympathetic, supportive and consistent manner. 3.2 The aim of this policy and procedure is also to ensure that the Trust is aware of and records the levels of and reasons for staff sickness absence, helping to minimise the negative impact on services due to employees ill health whilst ensuring staff absence is dealt with fairly and equitably given the individual circumstances of each case. Scope 3.3 This policy applies to all employees of LPT for matters relating to incapacity through mental or physical ill health. 'Incapacity' can involve periods of prolonged absence or short term absences of an unrelated nature or caused by an identified chronic underlying condition with or without absence s. 3.4 For medical and dental staff this policy should be applied in conjunction with Maintaining High Professional Standards in the Modern NHS framework. This document can be found on the Department of Health website or accessed using the following link: Other policies might also need to be taken into account in the management of sickness absence including: Flexible working/work life balance Policies, Special Leave policy, Alcohol, Drugs and/or Other Substance Misuse, Health and Safety, Infection Control and the Reasonable Adjustment Policy. Key Principles LPT S approach to managing attendance is underpinned by the following principles and standards: 3.6 Regular attendance at work is a fundamental element contained in all contracts of employment. All staff has a duty to attend work and where they are prevented from doing so due to ill health they should report their absence as soon as possible in line with their local reporting arrangements. 3.7 All ill health will be regarded as genuine unless LPT receives evidence to the contrary. 3.8 Line Managers are responsible for managing attendance and identifying and addressing issues which impact on employees attending work. 3.9 A Return to Work meeting will be held after each period of sickness absence. The purpose of this meeting will be to provide support, to ascertain well-being of the employee, to discuss the employee s overall attendance. 15 of 75

16 3.10 Staff will have the right to be accompanied in formal ill health review meetings by their Staff Side Representative or a work colleague Communication between Line managers and staff is key to maintaining a positive working relationship during periods of absence. Line managers will keep in contact with staff on a regular basis. Similarly staff will ensure they keep their line manager updated regarding their sickness absence Advice and support will be sought from the Occupational Health Service to help manage ill health and improve attendance All staff will be provided with information, help and support to enable them to attend work regularly Staff will be entitled to receive statutory and occupational sick pay in line with their contract of employment and terms and conditions of service. This entitlement can however be suspended if staff do not comply with the requirements of this procedure. Training 3.15 In accordance with the classification of training outlined in the Trust Learning and Development Strategy this training has been identified as role development training Training on sickness absence management under this policy and procedure will be provided to all managers by Human Resources and/or Staff Side representatives The Training Administration Team will annotate the record of all staff for whom sickness absence management training is indicated, according to the Training Needs Analysis, with a requirement to have training in Sickness Management on the Organisation s Training database Attendance on the sickness absence management training will automatically assign competence to the individual s record once confirmation of attendance has been received Cases of non-compliance with the requirement to book on and attend courses to maintain competence will be reported to the Head of Service ULearn can be utilised to provide efficient and accurate data for the monitoring of training and education activity, ensuring quality assurance mechanisms are in place. 16 of 75

17 4.0 DUTIES WITHIN THE ORGANISATION All staff are expected to accept personal responsibility for the practical implementation of this policy. Lead responsibility for the implementation of this policy will rest with each Trust Director/Divisional Director. To ensure the policy is consistently applied, coordinating responsibility is assigned to the Director of Workforce and OD who will have responsibility for monitoring the implementation and operation of this procedure across the Trust 4.1 Trust Board The Trust Board has a strategic responsibility to ensure that appropriate conditions at work exist to ensure the health, safety and wellbeing of Trust employees and to ensure that employees are able to maintain regular attendance The Trust Board will set the Key Performance Indicators (KPI) for sickness absence for the Trust and will review the overall sickness absence data and performance of the organisation. They will provide the strategic direction for the Trust on managing employee health and wellbeing and sickness absence. 4.2 Management responsibilities Line managers are responsible for: Supporting staff with health problems at the earliest opportunity in accordance with this policy ensuring appropriate Occupational Health advice and support is sought Maintaining accurate sickness absence records which include information such as: date/s of absence, reason, working time lost and time off due to disability leave It is essential that managers complete the health monitoring form, ensuring that all appropriate information is recorded. This will enable line managers to access accurate information regarding their staff sickness and allow them to identify absence trends and manage absence effectively Monitoring attendance and sickness absence of their employees; Putting in place locally agreed reporting procedures which include procedures for notifying absence, completion of first contact form etc Ensuring all new employees are made aware of all locally agreed procedures as part of an employee s workplace orientation Conducting a return to work interview following each episode of absence so that advice and support can be given at an early stage (see section 6); Taking appropriate action to manage ill health effectively and in a timely manner in accordance with this policy and procedure; 17 of 75

18 4.2.9 Obtaining advice from the Trust s Occupational Health Service where work may be impacting on an employee's health, or where health problems may be affecting an employee's attendance or work performance; Ensuring contact is maintained with employees who are absent due to ill health in order to offer appropriate advice, support and to keep them up to date with the organisational changes.; Ensuring that where ill health is attributable to an accident at work, the appropriate documentation is completed and requirements of LPT s accident reporting procedure are adhered to Ensuring that employees are treated fairly and compassionately when managing ill health; Ensuring that consideration is given to reasonable adjustments for those members of staff that require them Ensure confidentiality is maintained. 4.3 Employee Responsibilities Employees are expected to achieve acceptable levels of attendance in the workplace and to take personal responsibility for their own health and wellbeing Employees should also ensure that Health and Safety standards in their working environment are maintained at all times and report any risks they may identify in relation to their own physical and/or mental health at work to their line manager All employees must comply with the requirements of their locally agreed reporting procedures. Employees must make themselves aware of the contents of their locally agreed reporting procedure for their area/team; In the absence of a local procedure, notification of absence should be made to the line manager as soon as possible before the commencement of duty to allow any arrangements to be made for cover; When contacting their line manager the employee will be required to provide the following information to complete the first contact form (appendix 1). Reason for absence (nature of illness/symptoms) Estimated duration of absence (where possible) Contact details Details of any urgent commitments/urgent work which needs to be covered whilst the employee is absent. Any support required It is the employee s responsibility to inform their manager (or a nominated alternative if absent) of their inability to attend for work due to illness. It is not the responsibility of a friend, family member or work colleagues to contact the manager. However it is acknowledged that in exceptional circumstances a staff 18 of 75

19 member may be unable to contact the line manager themselves and therefore only in those circumstances will it be acceptable for someone else to contact the manager on their behalf. The person who contacts will need to provide the information detailed in paragraph above Employees are responsible for maintaining daily contact with their line manager whilst absent and for keeping their manager updated regarding their health, unless if there is an expected date of return. In this case, as a minimum, employees will be required to maintain weekly contact with their line manager Employees are responsible for informing their line manager of any health concerns that are affecting their ability to carry out the full duties of their role or may affect their ability to attend work on a regular basis. Employees also have a duty to discuss any reasonable adjustments that may be required for example in relation to any disability Employees are obliged to liaise with Occupational Health when required by their Line Manager. Where an employee fails to liaise with the Occupational Health service when required it may result in suspension of sick pay and disciplinary action Employees are required to share as much information as possible with their line manager where a period of long term absence is anticipated, e.g. for a planned operation. This should be shared prior to the absence and ideally should include the reason for absence, the anticipated duration of absence and any anticipated recovery period and any anticipated changes in capability, whether short or long term. This is to allow the Line Manager to plan for the absence and anticipate any adjustments that may be required following the absence. Appropriate confidentiality will be maintained Employees are required to attend ill health review meetings arranged under this policy. If the employee or their representatives are unable to attend a review meeting it will be rearranged once and will where ever practicable take place within one week of the original meeting. If an employee fails to attend a sickness review meeting despite repeatedly being requested to by management, this may result in suspension of sick pay and disciplinary action Employees must conduct themselves in a manner which aids their recovery An employee who fails to follow the requirements of this policy may be subject to disciplinary action LPT reserves the right to withhold occupational sick pay if an employee fails to comply with the requirements of this policy. 4.4 Human Resources/ Medical Staffing Team Human Resources Department or Medical Staffing will be responsible for: Updating this policy in light of changes e.g. changes in legislation, changes in Department of Health guidance, changes in service requirements etc. 19 of 75

20 4.4.2 Providing training, advice, assistance and support to ensure robust, consistent and fair implementation of this policy Facilitating a proactive approach to the management of sickness and improvement in attendance Providing regular sickness absence and disability leave information to the operational management, senior management team, Board etc. 4.5 Staff Side Representatives Staff Side Representatives are required to provide advice and support to their members throughout the application of this policy Staff Side and management will work in partnership to reduce sickness absence, improve attendance and improve employee health and wellbeing When accompanying their members at ill health review meetings/ hearings, staff side representative/work colleague can do the following: put the employee s case sum up the employee s case respond on behalf of the employee to any views expressed at the hearing confer with the employee during the meeting/hearing ask questions The staff side representative/work colleague cannot however answer any questions on the employee s behalf. 4.6 Occupational Health The role of Occupational Health Service is to provide specialist, impartial advice on health issues in the context of the working environment. Any referrals must be undertaken in line with this procedure. 5. CERTIFICATION, RECORDING & MONITORING SICKNESS ABSENCE 5.1 Certification of Absence For sickness absence of 1-7 calendar days (inclusive), including non-working days, employees are required to provide a self-certification form (Appendix 1a) upon their return to work For sickness absence of 8 or more calendar days (inclusive), including non-working days employees are required to obtain a Statement of Fitness for Work or Fit 20 of 75

21 Note 1 from their doctor. Statement of Fitness for Work must be provided to the line manager within 7 calendar days of the expiry of the self-certificate or last fit note In exceptional circumstances the Trust may suspend the facility for an employee to self-certify sickness absence and may require a medical certificate from day one. The line manager will pick up the cost of early certification where this applies Failure to provide medical certificates in a timely manner may result in the suspension of sick pay If an employee falls sick whilst travelling abroad they must report their sickness to their line manager in the normal way and submit a medical certificate or other acceptable evidence in the country of travel (where possible in English language). Failure to provide such certification will result in non-payment of sick pay and nonreturn of annual leave. Advice from the local consulate may be sought if applicable. 5.2 Recording If staff are unable to attend work due to sickness they must inform their line manager as soon as possible in line with local reporting procedures. Line managers will ensure that their absence is recorded accurately and in a timely manner. This will include completion of the First contact form (appendix 1) Line managers will hold a return to work interview and will complete a Health monitoring form every time an employee returns to work following a period of sickness absence Line managers are responsible for ensuring the accurate submission of absence data to payroll. Submission can be through: Where areas are rostered absence this should be recorded through the E-Rostering system. Where managers have access to ESR supervisor self-service functionality they must ensure that absences are recorded on ESR within 3 working days. Where managers have no access to electronic systems they should complete the weekly absence return form (Appendix 3) for all their employees and ensure timely submission to payroll for the previous week so payroll will input by 12 noon on the Tuesday. Managers should only submit the data using one method. 1 With effect from 6 April 2010, medical certificates (Med 3 and Med 5) have been replaced with a single revised Statement of Fitness for Work (fit note). The fit note system will mean that doctors can advise that the employee is either: unfit for work; or may be fit for work. A doctor will give a may be fit for work Statement if they think that their patient s health condition may allow them to work if they get suitable support from their employer. If an employee is not fit to work the statement of fitness for work will state this. A sample Statement of Fitness for Work is included in Appendix 1b. For further information please visit 21 of 75

22 5.2.4 If an employee becomes ill whilst at work and feels too unwell to continue working, their absence from work for part of a working day will not be recorded as sickness absence for sick pay purposes.. This absence however will be recorded on their health monitoring form and will be taken into account when monitoring patterns and levels of sickness absence An essential part of sickness recording is to ensure the full and correct coding of reasons for sickness absence for all days lost to sickness. This provides line managers and the Trust with information to highlight the main causes of sickness, helps to identify where patterns are emerging and enables the Trust to target and action any areas of concern. The codes for other and unknown should not be used. In exceptional circumstances advice should be sought from HR where this is being considered. 5.3 Monitoring Line managers are responsible for monitoring sickness absence levels for their teams and are responsible for periodically reviewing records to identify any trends and patterns When reviewing sickness absence line managers should determine if the absence is:- Long Term Sickness absence will be classified as long term if the employee has been absent for a continuous period of 4 weeks or more or is expected to absent a continuous period of four weeks or more. Short Term Sickness absence will be classified as short term if the employee has been absent for a continuous period of less than four weeks. Sickness absence can also be classified as: Patterned: Where patterns in sickness absence are identified e.g. sickness absence precedes or follows annual leave, non-rostered days, bank holidays, weekends, particular shift patterns, or periods of night duty, etc. Sporadic: irregular or intermittent sickness absence. Planned: Where sickness absence is for a planned surgery and/or hospital admission Ill Health attributable to an industrial injury must be recorded as such and monitored When monitoring sickness absence for their area, line managers should compare the levels in their area with overall levels of sickness absence for the Trust and with other comparable areas. Appropriate action should be taken if sickness absence levels exceed targets If line managers believe there may be evidence that an individual s sickness absence is not genuine, they should seek advice from the Human Resources Team. 22 of 75

23 If evidence is established that an employee has provided false information about their sickness absence the disciplinary procedure will be invoked and the Trusts LCFS (Local Counter Fraud Specialist) should also be directly informed to consider a possible criminal investigation. 6 RETURN TO WORK MEETING 6.1 A return to work discussion must take place after each period of sickness absence regardless of duration. Where possible the line manager should meet with the employee to conduct this meeting. However where line mangers and their teams are not sited in the same location it will be acceptable to conduct this meeting by telephone. 6.2 This meeting will provide an opportunity to discuss the reason/s for sickness absence. The line manager should also use this meeting to: Confirm the date when the employee was fit (this may be a non-working day i.e. Saturday, Sunday etc.) Confirm if the employee has fully recovered and is fit to perform their duties; Where it transpires that the employee may have suffered from a condition causing memory loss or inability to remember all aspects of their work correctly, a full assessment of their ability to carry out the role in conjunction with Occupational Health and other appropriate professionals should be instigated. Where the employee s absence period is over 7 days and they have submitted a Statement of Fitness to Work (fit note), discuss with the employee their doctor s advice, in terms of the support to be provided to facilitate their return to work. If it is not possible to provide the support for the employee to return to work, the Statement should be read as if the doctor had advised not fit for work. In this case the manager should inform the employee s doctor of reasons why they were unable to accommodate their advice regarding support and what support they are able to provide instead. Review any links to earlier absences; Establish if the employee has worked with another employer whilst on sick leave with the NHS Establish whether it is necessary to seek occupational health advice* or seek support from other agencies; Update the individual on any work issues that have occurred since their absence; The return to work meeting, should be handled sensitively and take into account the employees right to medical confidentiality. Intrusive questioning should be avoided if possible. Record the meeting on Appendix 2b. *In cases of anxiety or stress-related illness, or where there appear to be links to earlier absences line managers may consider whether there is a need to refer the employee to Occupational Health service. 6.3 Line managers should take into consideration that the health of employees may be affected by a number of factors e.g. their work, personal or domestic circumstances, relationships with other team members etc. 23 of 75

24 6.4 In some instances employees may find it difficult to discuss certain problems with a manager of the opposite sex. In these cases the employee may request that these discussions take place with someone other than the individual s own line manager with an understanding that any work related implications of the discussions will be shared with the employee s line manager. 6.5 Review the employees sickness absence against agreed triggers. If the employee is now breaching the Trust trigger points advise that a stage one informal review meeting is now required where it may be necessary to set an improvement target. Where agreed, it is possible to combine the return to work meeting and informal review meeting. If the staff member is close to triggering, advise them that further sickness may result in a stage one informal review. 7 ABSENCE TRIGGERS 7.1 In order to facilitate effective management of sickness absence an ill health review will be required if an employee has been absent from work due to sickness for 6 working days or 4 episodes in any rolling 12-month period (pro rata to the number of days worked per week for staff working less than 5 days per week). Please refer to Reasonable Adjustment Policy in respect of disability leave which is not counted as sickness leave. Formula to calculate pro rata triggers: No of days worked by the employee x 6/5 = pro rata trigger (fractions should be rounded up to the nearest whole number) 7.2 This does not preclude managers from initiating a review of absences prior to these 'trigger points' being reached where there is sufficient concern to make such action necessary. 7.3 Where an employee has triggered it may be necessary to seek Occupational Health advice prior to convening an ill health review. This does not preclude managers from initiating an Occupational Health referral prior to employees reaching the triggers if necessary. Equally, when looking at short term absences managers will not as a matter of routine need to make a referral before proceeding to stage 1 i.e. setting targets if it is clear there is no underlying condition. 7.4 Long-term sickness absence will be reviewed after 4 weeks or before if Occupational Health advice is available. 8 REFERRAL TO OCCUPATIONAL HEALTH 8.1 The role of the Occupational Health Service is to provide advice to line managers on the medical condition of their staff and any impact their condition may have on their ability to attend work or perform the duties of their role. 8.2 Where advice from Occupational Health on the employees medical condition is received this must be followed where possible from a service perspective The Occupational Health Service provide advice in relation to long term health problems where prognosis for recovery is important for managers to arrange cover. 24 of 75

25 The Occupational Health Service also provides advice where there are limitations on an individual s capability to perform their duties due to a disability. 8.4 The Occupational Health Service also provide advice in cases of short term persistent sickness absence and if line managers require medical opinion on an employee s ability to attend work regularly. 8.5 In cases of recurrent sickness absence, the manager is able to ask the employee directly if they have a medical condition that impacts on their ability to attend work. If the answer is no, then a referral may not be needed even if they have breached the trigger as outlined within this policy and managers can proceed directly to formal stage 1 i.e. setting targets. 8.6 Breaching the trigger is an indication that management action is needed to try to reduce the employee s absence, not necessarily that a referral to OH is required. This will speed up the process in managing short term absence as line managers will not be waiting for OH advice where it is not required. 8.7 An employee can be referred to Occupational Health by their line manager at any time when a clinical assessment is required; this should be done in accordance with the Referral Procedure Guidelines in Appendix If line managers are unsure whether a referral is appropriate they should discuss the case with their Human Resources Advisor prior to implementing the referral. Telephone advice can be sought from the Occupational Health Duty Nurse. 8.9 Employees can refer themselves to the Occupational Health Service at any time for advice. In these circumstances the line manager will not receive any assessment report from Occupational Health unless the employee requests Occupational Health to share their report with the line manager or where Occupational Health decides that failure to share the report may pose a risk to the employee or the organisation It is a requirement of this policy and an express term of the employees contract of employment that an employee will submit to an occupational referral and medical examination if requested to do so Where an employee fails to attend an occupational health appointment or cancels an appointment, Occupational Health will inform the relevant line manager and rearrange the appointment. If an employee has selected the date of the 1 st appointment, a 2 nd one will not be arranged. A 2 nd appointment will be offered where no choice has been given on the timing of the 1 st appointment. Failure to attend may lead to disciplinary action taking into account any reasonable mitigation on an individual basis. If an employee is unable to go to the Occupational Health Department for health reasons a home visit can be arranged in exceptional circumstances Employees should be aware that if a manager, having made all reasonable attempts to obtain Occupational Health advice, is unable to do so, they will make decisions and take action without occupational health advice and on the information that is available. 25 of 75

26 Fit for Work Scheme 8.13 Subject to consent an employee s GP may refer them directly to the Government s Fit for Work Scheme. This will mean that they are assessed by an externally appointed Occupational Health Professional who will conduct a telephone and if necessary face to face assessment. The person conducting the assessment will become their case manager and will produce a return to work plan for the employee The case manager may contact the employee s line manager and/or our internal Occupational Health Specialist to help inform the return to work plan. Return to work plans produced via this referral route will be ed or where appropriate posted to the employee s line manager A Fit for Work service return to work plan has the same status as a fit note. GPs are not obliged to issue a fit note if the Fit for Work service issues a return to work plan. 9 PROCEDURE FOR DEALING WITH SHORT TERM AND UNRELATED ABSENCES IN EXCESS OF THE TRUST TRIGGERS 9.1 Where a manager has identified a problem of short term and unrelated sickness absence (patterned or sporadic) and they have established that the absence is not due to a chronic underlying condition, the manager will act in accordance with the following procedure, unless there are exceptional reasons not to do so. It may also be appropriate to manage long term cases (i.e. continuous absence of over four weeks)where there is no underlying condition in accordance with this section Where a manager is unsure whether there is an underlying medical condition they should refer the employee to Occupational Health to seek advice on this. 9.2 At all stages, managers will ensure that all relevant facts and aspects of the case are considered as far as possible and whether at any stage it is appropriate to recategorise the absences within the policy. 9.3 There is a separate procedure for dealing with short term absences due to a chronic underlying medical condition and/or permanent long term incapacity which is outlined in section 10 below. Rights to be accompanied 9.4 At all formal stages of the procedure under section 9, the employee will have a right to be accompanied by either their staff side representative or by a work colleague. In exceptional circumstances and where agreed by the Trust, the employee can be accompanied by a family member or friend. There is no right to legal representation in these meetings/hearings. Stages of reviews 9.5 There are a number of stages of reviews that can be held. Each stage is attached to an action. These increase in severity to reflect the size of the absence issue, but will generally start from the lowest level and progress to more serious levels if the problem is not resolved. There may be circumstances where it necessary to move 26 of 75

27 straight to a formal stage of the procedure e.g. where a significant history of poor sickness absence has been identified. 9.6 It is also possible for a review meeting under this procedure to conclude that no formal action needs to be taken. 9.7 The stages of review and the range of informal/ formal action is as follows: Stage 1 Informal review meeting: Initial improvement target set Stage 2 Formal review meeting: First Written Warning Stage 3 Formal review meeting: Final Written Warning Stage 4 Final Formal review : Termination of employment (panel hearing) Stage 1 Informal Review Meeting 9.8 Where an employee s level of sickness absence has hit the trigger, and persistent absences are not due to a chronic underlying medical condition, a stage 1 informal ill health review meeting should take place, to review the employee s sickness absence. In most cases this will take place at the return to work meeting however, in exceptional circumstances the employee may wish to take advice from the staff side representative prior to attending a meeting. In these circumstances the employee will be given a minimum of 7 calendar day s written notice of the date and time of the meeting. 9.9 The purpose of this review meeting will be as follows: To review the member of staff's attendance record during the relevant period; To ensure the employee is aware of their attendance record, the number of absences and the periods of good attendance in between To give the member of staff the opportunity to discuss any problems or raise any concerns; To remind the employee of the standards of attendance which are required To set a target for improvement, where appropriate and a period over which attendance levels will be monitored 2 To arrange for support or work adjustments. If appropriate advice may be sought from Occupational Health; 2 Setting Targets for Improvement in Sickness Absence Levels When considering whether it is appropriate to set targets for improvement and what targets to set, it is important to ensure that individual circumstances of the employee are taken into account. The factors to consider are: Does the employee have an underlying medical condition or disability? Has any advice been received from the Occupational Health Service which needs to be implemented? Are there any reasonable workplace adjustments which need to be put in place before improvements in attendance can be expected? Is the absence related to an injury or accident at work? and Is the absence related to pregnancy? 27 of 75

28 To obtain the commitment of the employee to achieve the required attendance level. To inform the member of staff that If he/she fails to demonstrate agreed improvement in the levels of sickness, a stage 2 formal review will be instigated 9.10 If, at the end of the review period, the required attendance level has been met, the employee will be informed of this and they will be encouraged to maintain this level of attendance If, however, the required improvement target has not been met, a meeting will be held under the stage two of this procedure Where it is apparent, that the employee has exceeded the improvement targets set before the end of the review period, the date of the next review and any subsequent meeting will be brought forward The discussion should be recorded on the template attached at Appendix 5. Notes of all ill health review meetings will be kept in the employee s personal file as an accurate record of these meetings and shared with both parties. Stage 2 Formal review meeting First Written Warning 9.14 Where the employee has not met the improvement targets set at stage 1 a stage 2 formal review meeting will be convened. A member of the HR Operational Team will usually be present at this meeting The employee will be given the right to be accompanied together with a minimum of 7 calendar days written notice of the date and time of the meeting The employee will be informed of the reason for it and be advised that they will have an opportunity at the meeting to put forward an explanation, either personally or through a representative If the employee is unable to attend the review meeting, it can be rescheduled in accordance with paragraph 12.1 of this procedure At this meeting: The employee s sickness record for the relevant period will be considered. The employee will be offered the opportunity to give their reasons for exceeding the improvement targets set at the stage 1 informal review meeting; Discuss with the employee if any reasonable adjustments and/or additional measures of support are required; this may include an appointment with the OH department where necessary If there are mitigating circumstances at this stage consideration should be given to extending the monitoring period if required. 28 of 75

29 If there are underlying conditions, supported by medical evidence in relation to the sickness absence under consideration, at this stage, consideration should be given to dealing with the case under section 10 of this procedure. If there are no mitigating circumstances or if management is not satisfied that the mitigation presented by the employee has sufficient bearing on their poor attendance level, the employee should be issued with a first written warning. This will stay on their file for 12 months. Further improvement targets and a review period will be set. The employee should be advised at this stage if during the review period they exceed the improvement targets set, stage 3 will be invoked. A letter will be sent to the employee to confirm the outcome of the review meeting within 7 calendar days of the review meeting. Where the employee feels that the action taken against them is unjust they can appeal against the decision. Any appeal must be made to the Head of Human Resources within 10 working days of the date of letter confirming the warning. Along with their appeal the employee must set out in writing his/her grounds for appeal (please refer to paragraph 1.2 of appendix 9), the statement of case and any other documentation which they wish the appeal panel to consider. Appeal hearing will be conducted as set out in Appendix 9. Stage 3 Formal review meeting Final written warning 9.19 Where the employee has not met the improvement targets set at stage 2 review meeting, stage 3 review meeting should be convened. The meeting will be conducted as outlined in stage 2 review. A member of the HR Operational Team will usually be present at this meeting. At the meeting: The employee s sickness record for the relevant period will be considered. The employee will be offered the opportunity to give their reasons for exceeding the improvement targets set at stage 2 review; Attempts will be made to identify any further reasonable adjustments and/or additional measures of support; this may include a further appointment with the OH department where necessary If there are mitigating circumstances at this stage consideration should be given to extending the monitoring period if required. If there are underlying conditions, supported by medical evidence in relation to the sickness absence under consideration, at this stage, consideration should be given to dealing with the case under section 10 of this procedure. If there are no mitigating circumstances or if management is not satisfied that the mitigation presented by the employee has sufficient bearing on their poor attendance level, the employee should be issued with a final written warning. This will stay on their file for 24 months 29 of 75

30 Further improvement targets and a review period will be set. The employee should be advised at this stage if during the review period they exceed the improvement targets set, stage 4 will be invoked which may result in termination of their contract of employment. A letter will be sent to the employee to confirm the outcome of the review meeting within 7 calendar days of the review meeting. Where the employee feels that the action taken against them is wrong or unjust they can appeal against the decision. Any appeal must be made to the Head of Human Resources within 10 working days of the date of letter confirming the warning. Along with their appeal the employee must set out in writing his/her grounds for appeal (please refer to paragraph 1.2 of 9), the statement of case and any other documentation which they wish the appeal panel to consider. Appeal hearing will be conducted as set out in Appendix 9. Stage 4 Final Formal review (panel hearing) Termination of Employment 9.20 If the improvement targets set out at the stage 3 review meeting have not been met, and all alternatives have been exhausted, the Manager should arrange a stage 4 final review hearing This hearing should be conducted by the appropriate senior manager with authority to dismiss (please see Appendix 7), along with a Senior HR Representative The employee should be given a minimum of 10 working days written notice of the hearing, informing of the reason for it and be advised that termination of contract due to persistent and short term sickness absence is one of the possible outcomes of the hearing. The management statement of case and other supporting documents should be sent to the employee at least 10 working days before the date of the hearing to enable them to formulate a response. The employee's statement of case, any witness statements and names of any witnesses the employee wishes to call should be submitted to the chair of the panel at least 5 working days before the date of the hearing If the employee is unable to attend the hearing, it can be rescheduled in accordance with paragraph 12.1 of this procedure At the hearing, the manager will be expected to describe: The nature and extent of the unsatisfactory attendance A description of the improvement targets set and actions taken to date The timescale over which the review has taken place The support provided to encourage sustained attendance, i.e. any counselling or additional support given, or any adjustments made to the nature, role or duties of the job Arrangements made to supervise and monitor the employee s attendance 9.25 The employee or their representative will have the opportunity to submit evidence or witnesses where appropriate to support their case, raise any points of explanation and to ask management any questions they feel are relevant to their case. 30 of 75

31 9.26 Management will also have an opportunity to ask the employee any questions they feel are relevant to the case. The Panel will also be able to ask both parties questions The senior manager with authority to dismiss and HR representative will consider the facts presented and will decide whether or not to dismiss the employee. In exceptional circumstances, a further opportunity to improve as an alternative to dismissal may be offered If the employee is to be dismissed this will be with notice or with pay in lieu of notice The employee will be informed in writing of the hearing of the outcome of the stage 4 review hearing no later than 5 working days from the date of the hearing Where the employee feels that the decision to terminate their employment is unjust they can appeal against the decision. Any appeal must be made to the Head of Human Resources within 10 working days of the date of letter confirming the dismissal. Along with their appeal the employee must set out in writing his/her grounds for appeal (please refer to paragraph 1.2 of appendix 9), the statement of case and any other documentation which they wish the appeal panel to consider. Appeal hearing will be conducted as set out in Appendix The lodging of an appeal will not suspend notice of termination or actual termination. In the event of reinstatement/re-engagement following appeal, the employee will be compensated for loss of income between the date of termination and the date of reinstatement/engagement PROCEDURE FOR DEALING WITH ABSENCE DUE TO A CHRONIC UNDERLYING MEDICAL CONDITION AND/OR PERMANENT/ LONG TERM INCAPACITY OR IF A PERSON IS UNFIT TO UNDERTAKE THEIR ROLE DUE TO HEALTH REASONS EVEN IF THERE HAVE BEEN NO PERIODS OF ABSENCE Where an employee is experiencing sickness absence which is due to a chronic underlying condition or permanent/long term incapacity or is unfit to undertake their role due to health reasons even if there have been no periods of absence; the procedure as outlined below will be adopted. Episodes of long term absence where there is no underlying condition can be considered under section 9 of this policy when deciding whether to set targets If appropriate eemployee s will be referred to the Occupational Health Service to seek advice for example on future prognosis; timescale for likely return and any other specific adjustments which may be required Upon receipt of Occupational Health advice a formal ill health review meeting will be held with the employee to consider the occupational health advice and any other information to determine a way forward. Any reasonable adjustments required should be made for the meeting to take place. 31 of 75

32 10.4 Regular ill health review meetings should be held with the employee whether or not absence due to ill health has occurred. Where applicable review meetings should also occur before an employee goes into half sick pay and no sick pay Employees will have a right to be accompanied by their staff side representative or a work colleague A member of the Human Resources Team may also attend these meetings where requested or required. The ill health review meetings may include the following: Discussions regarding how long the employee is likely to be incapacitated. Discussions regarding the level of future absences particularly in cases of short term sickness absence due to a chronic underlying condition. Discussion whether phased return to work is appropriate. Please refer to section 12 of the policy further details. Review and readjustment of an individual s duties either on a temporary or permanent basis to assist return to work and/or retain at work. Any agreement must balance the needs of the employee with the needs of the service. Where absence or incapacity is due to a disability as defined by the Equality Act 2010 line managers in consultation with HR must consider reasonable adjustment of an individual s duties. There is an obligation to make reasonable adjustments for a disabled employee under the Equality Act. Please refer to Reasonable Adjustments Policy for further options. If re-adjustment to an individual s duties cannot be accommodated for operational reasons or have been previously tried and showed not to work, redeployment to suitable alternative employment should be considered. Redeployment will be in line with the procedure explained in appendix 6 of this policy and procedure In exceptional cases the manager may decide at his/her discretion not to hold a review meeting or defer it. The circumstances where this may apply could include: Where the employee is due to return fully to work imminently and a return to work discussion is more appropriate. Where the nature and severity of the illness or injury is such that it is reasonable to defer the meeting to a later, more appropriate time. Where the reasons for absence and an expected date of return to work are known in advance (e.g. due to a planned operation), and the employee is still within the anticipated period of absence and where a return to work discussion may be more appropriate. If a formal review meeting is not arranged it is still important to maintain good communication between the manager and employee to update progress with recovery, agree a plan of action and discuss any changes that may affect this plan Termination of Employment on Grounds of Capability/Ill-Health where redeployment is not an option. 32 of 75

33 (this section only applies in cases of long term/permanent incapacity whether or not absence has occurred or episodic absence due to a chronic underlying medical condition) After full consideration of the options as detailed in 10.7 above and only as a last resort where there is no reasonable prospect of an employee returning to work for a long time or foreseeable future (in case of long term absence) or insufficient improvement in employee sickness absence levels (in case of episodic absence due to chronic underlying medical condition/long term permanent incapacity whether there has been no absence) an employee s contract should be terminated on the grounds of incapacity/ill health. This option can be implemented before an employee has exhausted their full contractual sick pay entitlement A final review meeting will be arranged with the employee to consider all the information and give them an opportunity to state their case. This meeting will be chaired by a senior manager with the authority to dismiss (Appendix 7) accompanied by a HR Advisor/Business Partner The employee will be given 7 calendar days' notice of this meeting The employee will have a right to be accompanied by their staff side representative or a work colleague. If the individual or their representative is unavailable to attend the review meeting they can seek one postponement. The review meeting will be rearranged within a reasonable period of time e.g. within 7 calendar days of the original meeting It should be explained to the employee that they have the right to a formal ill health hearing. If the employee wishes to exercise this right, a hearing should be convened in accordance with appendix 8 of this policy If the employee proceeds with a formal ill health hearing, decisions regarding the termination will be made by the formal panel rather than the final review meeting If the outcome of the final review meeting is to terminate employment on grounds of ill health it will be with contractual notice or pay in lieu of notice The review meetings outcome must be confirmed in writing. The employee will have a right to appeal against this decision Any appeal against termination of employment on the grounds of incapacity due to ill health must be made in writing with full grounds of appeal, all documentation, and list of witnesses to the Head of Human Resources within 10 working days of the date of the letter confirming the decision. Appeal hearing will be conducted as set out below in Appendix Where an employee is unable to attend the final review meeting due to their ill health, it should be held in their absence. If the employee is accompanied by their staff side representative, and would like them to attend the meeting, then they should be allowed to represent the employee at this meeting ILL HEALTH RETIREMENT 33 of 75

34 For Members of the NHS Pension Scheme Ill health retirement will be considered if in the opinion of the Occupational Health service the employee meets the criteria for applying for ill health retirement and where the employee meets the NHS Pension Scheme length of service criteria. Where ill health retirement is an option, the application process for ill health retirement will run concurrently with the notice period to terminate an employee s contract of employment unless where employment has been terminated with pay in lieu of notice In cases of employees in the 1995 scheme with special class status who are aged 55-60, termination of employment may be deferred following the result of their ill health retirement application. If their ill health retirement application is unsuccessful this deferral l will enable them to apply for special class status retirement whilst still in employment. For Members of the National Employment Savings Trust (NEST) Pension Scheme Members who suffer from ill health may be able to take their money out of the NEST pension scheme before the age of 55. This will be the case if a registered medical practitioner says the member is and will continue to be incapacitated and is not able to carry on working in any occupation. In the case of serious ill health, where a registered medical practitioner says the member has less than a year to live, NEST can pay the member their retirement pot as a lump sum. This can happen at any age before 75. Where a member wishes to apply for their NEST pension early on health grounds, they must contact NEST directly to request the appropriate claim forms. Completed forms are returned directly to NEST. 11 ABSENCE DUE TO STRESS OR ANXIETY 11.1 Where an employee s absence is attributed to stress an early Occupational Health referral should be actioned to seek advice Line Managers should encourage staff to access Amica the employee assistance/counselling service. This is a self-referring confidential service for all employees Where an employee s absence is attributed to stress the line manager should implement the following steps: a. Work with the employee to identify the factors causing work and non- work related stress. Undertake a risk assessment in accordance with the Management of Stress Policy and Procedure. b. Work with the employee to explore and implement solutions to minimize or eliminate factors causing work related stress and assist where ever possible with non-work related stress. 34 of 75

35 c. It is recommended that the employee and their colleagues are involved in this exercise because they are often closest to the issues and thus best placed to develop and implement good solutions. d. A record of discussion including the issues identified and any agreed actions should be kept. Where it is agreed that no action is required a note of this should also be kept. e. The line manager must ensure any agreed actions are implemented and evaluated to ascertain effectiveness. For further details please refer to the Management of Stress Policy and Procedure. 12 OTHER AREAS 12.1 Postponement of ill health review meetings Where the name of the employee s staff side representative/work colleague who will accompany them is known, the ill health review meeting should be arranged at a date and time when they are available to attend. All parties should make efforts to avoid unreasonable delay when arranging a mutually convenient date and time for the meeting If the individual or their staff side representative/colleague is unable to attend a scheduled review meeting s/he may request one postponement, provided the request for postponement is made on reasonable grounds. The meeting will be rescheduled as soon as possible ideally within 5 working days of the original date. The Trust will be under no obligation to allow further postponements Phased Return and Permitted Work Phased return to work - Staff returning to work after long term sickness who have been declared fit to return to work by their GP And Permitted Work - Staff who are still signed off sick by their GP as not fit to return to work however are advised to work limited hours to determine fitness Phased Return A phased return to work is normally used for staff who have been absent from work for a long period of time (usually a number of months) and may find it difficult to do their full contractual hours or full duties straight away. This will apply when an employee has been assessed fit to return to work by their GP A period of phased return will last for a maximum of 4 weeks. Where, a longer period of phased return is recommended on medical grounds, this will be considered as an exception and on a case by case basis A phased return plan will be agreed by line manager and employee prior to return to work. Hours will increase incrementally over the agreed period so that the employee is working their full contractual hours by the end of the period. The plan 35 of 75

36 will define duties to be performed during the phased return period. This plan will be reviewed periodically. The nature of the plan will be determined by individual circumstances. The Manager will inform the employee that they must not work under any other employment arrangement (directly employed bank, agency or self -employed) with the Trust or any other employer during this time During the period of phased return the following pay arrangements will apply: i. If on commencement of phased return employees have a minimum of 4 weeks sick pay remaining (half or full) they will receive their normal pay during the period of phased return. ii. If they have less than 4 weeks sick pay remaining at commencement of phased return employees will be paid for the hours worked as part of the phased return plan. Employees can use their annual leave or time off in lieu (TOIL) to cover any shortfall in hours Permitted Work Permitted Work is a prescribed treatment by either Occupational Health or a GP, to assist individuals back to work whilst they remain off sick. They may attend work for no more than 15 hours per week in a supernumerary capacity to help allay any anxieties about returning to work and allow them to adjust to the work environment and develop cognitive stamina after a lengthy absence A period of permitted work will last for a maximum of 4 weeks. Where, a longer period is recommended on medical grounds, this will be considered as an exception and on a case by case basis During the period of permitted work the employee remains certified sick and could carry out tasks that differ from their normal duties and responsibilities to allay any fear or pressure of returning to work During the period of permitted work, the employee will be entitled to receive their normal sick pay entitlement, provided they have not already exhausted this. As the employee will be on certified sick leave, they will not be entitled to pay or accrue time for hours worked during the period of permitted work regardless of the situation in respect of their sick pay entitlement Employees must not work under any other employment arrangement (directly employed bank, agency or self-employed) with the Trust or any other employer during this time) Self Elected or Cosmetic procedure Employees undergoing self-elected surgery/procedures will normally need to use their annual leave or request unpaid special leave to cover for their absence. N.B gender reassignment procedures are exempt please refer to Gender Reassignment Policy Absence due to cosmetic surgery may be included in the LPT s Occupational Sick Pay scheme if the surgery/procedure is a direct result of a referral on 36 of 75

37 medical grounds. The employee will need to provide the proof of this referral before a decision to grant paid sick leave can be taken Sickness and Annual Leave/Public Holidays Where an employee falls sick during a period of pre-arranged annual leave they will have an option to reclaim that period of annual leave provided they follow normal sickness reporting procedure and provide a fit note/s to cover the whole period for which annual leave is being reclaimed. The employee will pick up the cost of fit note if charged by their GP Where sickness absence occurs when an employee is abroad, medical certificates (or equivalent) issued abroad should be copied and sent to the manager as soon as possible if the employee intends to reclaim their annual leave. The original documents (or certified copies) must be supplied on the return to work Failure to provide the above will result in the employee not being able to reclaim their annual leave An employee on sick leave is entitled to accrue their normal annual leave during the period of sickness absence. Please refer to the Trust s guidance on carryover of annual leave accrued during sick leave (appendix 10) Where an employee s contract of employment is terminated on grounds of ill health, they will be paid in lieu for any outstanding accrued annual leave Employees will not be entitled to reclaim a statutory/public holiday if they are sick on that day Medical appointments In the first instance, all employees are expected to arrange medical appointments outside their work hours. Where this is not possible, the employees will be allowed to take reasonable time off to attend these appointments Employees who take time off from work to attend these appointments will be required to take annual leave, time off in lieu or make up the time lost. The line manager may ask for a proof of appointment before granting time off Disabled employees, pregnant employees or those who have been diagnosed with a chronic underlying medical condition (confirmed by the Occupational Health) will not be required to make up the time lost if the medical appointment is connected with their disability, pregnancy or chronic underlying medical condition. The line manager however must see the proof of appointment before granting time off with pay Employees who are required to attend Amica counselling appointments will not be required to make up the time lost Where the line manager has sufficient grounds to believe that the employee is abusing the facility to get paid time off to attend medical appointments, the Trust 37 of 75

38 will suspend the facility for the employee pending investigation into the matter under the Trust s Disciplinary Procedure and/or may refer the matter to Counter Fraud Pregnancy-related sickness Pregnancy-related sickness absence should be recorded as such and should not be taken into account when looking at setting targets under section An employee who is absent due to a pregnancy-related illness during the four week period prior to the week when the baby is due will be required to start her maternity leave, and will be entitled to maternity pay and not sick pay. Having odd days off due to pregnancy-related illness during this period may be treated as sick leave if the employee wishes to defer the start of her maternity leave provided a risk assessment does not indicate that remaining at work will endanger her pregnancy Sick Pay Employees who are absent from work due to illness will be entitled, subject to the conditions of this policy and procedure, to receive sick pay in accordance with the scale below; During the first year of service During the second year of service During the third year of service During the fourth and fifth years of service After completing five years of service one month s full pay and two months half pay two months full pay and two months half pay; four months full pay and four months half pay; five months full pay and five months half pay Six months full pay and six months half pay In the event of employment coming to an end, entitlement to sick pay ceases from the last day of employment For staff on pay spine points 1 to 8 and those absent due to a work related injury or disease in the actual discharge of their duties and who are not in receipt of injury allowance, the definition of full pay will include regularly paid supplements, including any recruitment and retention premia, payments for work outside normal hours and high cost area supplements. Sick pay is calculated on the basis of what the individual would have received had he/she been at work. This would be based on the previous three months at work or any other reference period that may be locally agreed For staff on pay spine points 9 to 54, full pay as per NHS staffs terms and conditions is pay which is in line with the appropriate pay point in the relevant pay circular, plus high cost area supplements (if these are in payment on the day before the sickness absence begins) Full pay needs to be inclusive of any statutory benefits (so as not to make sick pay greater than normal working pay). The combined addition of statutory sick pay to half pay must not exceed full pay. 38 of 75

39 For employees who are on Agenda for Change terms and conditions: sick pay for those who have exhausted sick pay entitlements should be reinstated at half pay, after 12 months of continuous sickness absence, in the following circumstances: Staff with more than 5 years reckonable service - sick pay will be reinstated if sick pay entitlement is exhausted before a final review meeting for long term absence has taken place. Staff with less than 5 years reckonable service - sick pay will be reinstated if sick pay entitlement is exhausted and a final review does not take place within 12 months of the start of their sickness absence. Reinstatement of sick pay should continue until the final review meeting has taken place. Reinstatement of sick pay is not retrospective for any period of zero pay in the preceding 12 months of continuous absence. The above provisions will only apply where the failure to undertake the final review meeting is due to delay by the employer. Where a review is delayed due to reasons other than those caused by the employer these provisions will not apply An employee who is absent from work as a result of a third party accident is not entitled to sick pay if damages are received from the third party. In such cases LPT will pay the employee a sum equivalent to what would have been paid to them as sick pay. When the employee receives damages they will be required to repay this sum to LPT. Once the sum is repaid the absence shall not be taken into account for the calculation of sick pay allowances. However the period of absence will be recorded as sick leave for monitoring and absence management purposes Where the employee has received a compensation for loss of earnings, their failure to repay sick pay to LPT would lead to referral to the Local Counter Fraud Specialist and disciplinary action taken by the Trust Where an employee is moving into a half pay or no pay situation, they will be informed of this in advance of the pay day Sick pay will not be paid for absences caused by accidents due to active participation in sport as a profession, or where contributable negligence is proved. Where this is the case, the manager must liaise with HR for advice Where the employee's absence is as a result of an injury at work, or may be attributable to their employment they should be made aware of the Trust Guidance on NHS Injury Allowance. Please refer to the Trust Guidance on NHS Injury Allowance and section 12.8 below for further details There is no right for an employee to exhaust the their entitlement to sick pay under the Trust s Sick Pay Scheme prior to termination. The Trust may terminate employment before an employee has reached the end of the contracted paid sickness absence period. Such a decision will be made on an individual case basis. 39 of 75

40 12.8 Industrial Injury Industrial injury is an accident which occurs in the course of an employee s work and causes personal injury. An industrial injury may also be caused by an environmental issue (e.g. chemical reaction) that leads to a period of sickness absence The employee must report the details of the accident/incident in line with LPT S accident reporting procedures. The line manager must comply with the RIDDOR 3 requirement. (where applicable) Appropriate absence code must be used on weekly absence return forms or on ESR (for those using self-service) to record industrial injury. Employees may be entitled to claim Injury Allowance. Please refer to the Trust Guidance on NHS Injury Allowance 12.9 Absence due to IVF treatment The employee will be required to take their own time off from work (time owing, annual leave or unpaid leave etc.) to undergo IVF treatment. Normal rules for requesting leave will apply However, if an employee is ill as a result of the treatment and has to take time off then they will be entitled to sick leave. Normal rules for reporting sick leave and certification will apply Gender Reassignment Any periods of absence resulting directly from the process of gender reassignment (planned care) will be treated as being due to underlying medical condition and will not count towards attendance triggers Where gender reassignment process includes receiving medical treatment such as surgery, absence due to this will be treated the same as sickness absence due to any other medical intervention Absence due to Diarrhea and Vomiting (D&V) Any employee who is off sick due to D&V must be excluded from coming to work for a period of 48 hours after they have been symptom free. This applies if you are off with one of the symptoms i.e. D and/or V During the 48 symptom-free period when the employee is not allowed to attend a place of work, the line manager should contact the employee to explore options of working from home or adjustment to rostered days off Where these options have been explored however not feasible, 48 hour symptom free period should be classed as special leave with pay 3 Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 1995 (RIDDOR) 40 of 75

41 For the purpose of recording sickness absence due to D&V the following rules must be followed: The days when the employees is absent from work because they were suffering with D&V symptoms should be recorded on ESR as normal sick leave with appropriate code and reason. Where working from home option has not been used, the 48 hour symptom free period should be recorded on ESR as special leave with pay. On the health monitoring form, the line manager will need to record: a) Actual days when the employee was absent from work because they were suffering from D&V should be recorded as sickness. This will be counted towards the trigger points for monitoring purposes. And b) The 48 hour (2 day) period when the employee was symptom free, however did not work from home, should be recorded on health monitoring form as symptom free D&V period. This will not be counted towards triggers for monitoring purposes. c) It is the employee s responsibility to report when they are symptom free to their line manager, as failure to do so may result in these days being counted for monitoring purposes Absence due to Organ/Bone Marrow Donation Employees will be granted paid time off for any appointments and/or surgical intervention required as part of donating an organ and/or bone marrow. 13 SICKNESS ABSENCE DATA 13.1 Line Managers will be responsible for ensuring sickness absence information is input on ESR (where self-service is in operation) or weekly absence return forms are completed and forwarded to payroll in a timely manner for inputting in ESR as outlined in para above Workforce Information will provide managers with monthly sickness absence data which will include staff who have exceeded the triggers set under this procedure and staff on long term sick leave Line managers will analyse these reports and manage sickness absence of staff that have exceeded the trigger and staff on long term sickness and take appropriate action under this procedure. HR Advice will be sought where required Information on sickness data will be presented to the relevant committees and groups as required by the Trust. 41 of 75

42 14.0 MONITORING COMPLIANCE AND EFFECTIVENESS Ref Minimum Requirements (what are you measuring) n/a Year average total % of sickness absences Selfassessment evidence Divisional workforce reports Process for Monitoring (how you measure it) Responsible Individual / Group Frequency of monitoring Year average % of short term sickness absences Year average % of long term sickness absences Divisional workforce reports Divisional workforce reports Monthly reports from ESR WOD Monthly Year average % of disability leave absences Divisional workforce reports Total cost of sickness absence Divisional workforce reports Number of days lost Divisional workforce reports 15.0 LINKS TO STANDARDS/PERFORMANCE INDICATORS TARGET/STANDARDS Care Quality Commission registration standards (outcome 14) Supporting Workers (21) of the Health & Social Care Act (2008) (Regulated Activities Regulations 2010 CQC essential standards KEY PERFORMANCE INDICATOR That the Trust maintains compliance with CQC registration standards, this policy supports outcome standards DUE REGARD The Trust is committed to providing equality of opportunity, not only in its employment practices but also in the services for which it is responsible. As such this policy has been 42 of 75

43 developed in context of Section 149 of the Equality Act 2010 have due regard for the need to: Eliminate discriminations Equality of Opportunity Provide for good relations between people of diverse groups Please refer to Appendix 12 Due Regard Screening Template for further details REFERENCES AND ASSOCIATED DOCUMENTATION To include a list of all references, including references to other Trust s policies etc. This policy was drafted with reference to the following: LPT s Management of Organisational Change policy LPT s Reasonable Adjustments Policy LPT s Management of Stress Policy and Procedure LPT s Flexible working/work life balance policies, LPT s Special leave policy, LPT s Policy on Alcohol, Drugs and/or Other Substance Misuse LPT s Health and Safety Policy LPT s Infection Control Policies ACAS Advisory booklet - Managing attendance and employee turnover 18.0 DISSEMINATION AND IMPLEMENTATION The policy is approved by the Leicestershire Partnership NHS Trust Workforce and OD Committee and is accepted as a Trust wide policy. This policy will be disseminated immediately throughout the Trust following ratification. The dissemination and implementation process is: Line-Managers will convey the contents of this policy to their staff Staff will be made aware of this policy using existing staff newsletters and team briefings The policy will be published and made available on the Intranet 19.0 TRAINING There is no training requirement identified within this policy, however awareness on this policy can be arranged on an individual basis via Human Resources. 43 of 75

44 LEICESTERSHIRE PARTNERSHIP NHS TRUST Appendix 1 Absence from Work - First Contact Sheet To be completed when an employee rings in sick. Once completed, this should be forwarded to the appropriate manager (If it is not completed by the manager) for further action and/or inclusion on the employee s personal file. Name: Base: Hours Worked: Job Title: Line Manager: Work Pattern: Date / Time of Telephone Call: Self / Medical Certificate Reason for Absence: Is the absence due to an accident at work? If yes has the incident form been completed? Yes Yes No No Date sickness absence started Likely duration of Absence: Is the person alone at home? If yes, anything we can do to help? (if yes please state what help) Work action required i.e. cancel clinics, cancel meetings: Is a referral to the Staff Physio Service required? Information taken by Name: Signature: Job title: Date: Further Action /Relevant Notes: 44 of 75

45 To be completed by Line Manager Name (manager): Signature(Manager): Designation: Date: As a matter of good practice, it is recommended that this form is shared with the employee at the return to work meeting. 45 of 75

46 LEICESTERSHIRE PARTNERSHIP NHS TRUST Appendix 1a SELF CERTIFICATION OF SICKNESS ABSENCE IN CONFIDENCE For completion by employee You are required to complete this form from your FIRST day of sickness. If your absence continues for more than 7 calendar days a medical certificate will also be required. The completed form should be submitted to your Line Manager as soon as possible on the day of your return to work. Name: Assignment No. Job title: Department: I certify that I was unable to attend work due to sickness absence for the period: Date absence from: Date absence to: The reason for my absence from work was (Please tick ONE of the following boxes): S10Anxiety/stress/depression/other psychiatric illness S11 Back problems S12 Other musculoskeletal S13 Cold, cough, flu - influenza S14 Asthma S15 Chest & respiratory problems S16 Headache/migraine S17 Benign & malignant tumours, cancers S18 Blood disorders S19 Heart, cardiac & circulatory problems Additional information: S20 Burns, poisoning, frostbite, hypothermia S21 Ear, nose, throat S22 Dental & oral problems S23 Eye problems S24 Endocrine/glandular problems S25 Gastrointestinal problems S26 Genitourinary & gynaecological disorders S27 Infectious diseases S28 Injury, fracture S29 Nervous system disorders S30 Pregnancy related disorders S31 Skin disorders S32 Substance misuse Was this an Industrial Injury? Was this a third party accident? No No Yes Yes If the reason for absence was due to an accident If the absence was due to a road traffic accident or similar at work you must also complete and accident at accident in which recovery of earnings may be made work form. against a third party you will receive OSP and in the event If yes, the Incident Reference number of your claim becoming successful the amount is to be is repaid to the Trust Was there any support that could have been offered which would have negated the need for you to take absence? No Yes. Please give details: I declare that the information given is complete and correct and that I have not worked during the period stated. I understand that if I knowingly provide inaccurate or false information about my absence it will render me subject to action under the Trust s Disciplinary Policy and Procedure and/or investigated under Counter Fraud. Employee signature: Date: Appendix 1b 46 of 75

47 Sample Image of Statement of Fitness for Work (fit note) 47 of 75

48 LEICESTERSHIRE PARTNERSHIP NHS TRUST Appendix 2a Health Monitoring Form (Return to work meeting record) Name of the employee: Division: Department: Contracted weekly hours: Number of working days per week: Sickness Trigger (pro rata for part timers): (Please refer to the trigger table below) First day off Last day off No. of working days lost Reason for absence Date of Return to work meeting Referral to OH Y/N (if Y: Date of referral) Comments Date Sickness closed on ESR/or included in weekly absence form Signature of Employee Signature of Manager Working days For 5 working days a week For 4 working days a week For 3 working days a week For 2 working days a week For 1 working day a week Triggers 6 days/ or 4 episodes 5 days/ or 4 episodes 4 days/ or 3 episodes 3 days/ or 3 episodes 2 days/ or 2 episodes Targets Guide* No more than 3 days over 2 episodes No more than 3 days over 2 episodes No more than 2 days over 2 episodes No more than 2 days over 2 episodes No more than 1 day over 1 episode *These targets are a guide and will usually be agreed as half the trigger and rounded up. The target period will usually be set over a 6 month period with a 3 month review. 48 of 75

49 LEICESTERSHIRE PARTNERSHIP NHS TRUST Appendix 2b Return to Work Discussion For completion by Line Manager This form should be completed by or on behalf of the Line Manager with the employee on the day of return to work from sickness absence. You should also refer to the Health Monitoring Form at the meeting and once completed a copy of this form should be given to the employee and a copy should be attached to the Health Monitoring Form. Employee Name: Job Title: Dates of sickness absence (relating to this discussion) Start: End: Was the reason related to a previous absence? Does the employee report the absence as work related? Yes No Yes No If due to an accident at work was an incident form completed? If employee considers absence to be work related you must take advice from your HR Advisor in relation to NHS Injury Benefit Yes If yes the incident reference is. No Is RIDDOR applicable? If yes has RIDDOR notification been completed? Yes Yes No No Is there any support that could have been put in place at work which would have negated the need for the absence? (i.e. flexible work arrangements, stress risk assessment, AMICA support etc.) Would any further absence be expected as a result of this previous absence? Has the employee been reminded about their cumulative sickness in the last 12 months? Please refer to Health Monitoring Form: Has employee been advised further sickness absence will result in targets being set at next return to work meeting (if applicable)? Yes No If Yes Please specify here: Yes No Yes No Number of days sickness: Number of episodes sickness: Yes No 49 of 75

50 Is any further action needed? Yes No If yes please detail here: Is a referral to Occupational Health required (will this provide new information or support)? Is a referral to the Staff Physio Service required? Advise staff can refer themselves to the service. Yes No Yes No Is an informal or formal review now required as triggers have been met or targets breached? Where level of sickness absence has hit the trigger and persistent absences are not due to a chronic underlying medical condition, a stage 1 informal ill health review meeting should take place. In most cases this will take place at the return to work meeting however the employee may wish to take advice from a staff side representative prior to attending a meeting and in these circumstances the employee will be given a minimum of 7 calendar day s written notice of the date and time of the meeting. Where targets have been breached at informal stages advise employee that a stage 2 formal review meeting will be arranged and seek advice from your HR Advisor. Where stage 1 informal ill health review meeting takes place at return to work meeting please record targets set here: (Please refer to target setting guide on Health Monitoring Form). Possible adjustments to current role discussed detail here: Target set:..days / or.episodes (i.e. whichever is exceeded sooner days or episodes) Date targets effective from:. End date:. Review Date: Date return to work meeting recorded on ESR: Any comments from employee: Any comments from manager: I declare that the information given is complete and correct and that I have not worked during the period stated. I understand that if I knowingly provide inaccurate or false information about my absence it will render me subject to action under the Trust s Disciplinary Policy and Procedure and/or investigated under Counter Fraud. Employee s Signature: Managers Signature: Manager print name: Date: Date: Job Title: Please retain this completed form on employees personal file and give a copy to employee 50 of 75

51 Appendix 3a Weekly Absence Return form with guidance to complete For form click here: Guidance to input sickness absence on ESR using self service Appendix 3b For Guidance Notes click here; 51 of 75

52 Appendix 4 UNIVERSITY HOSPITALS OF LEICESTER NHS TRUST OCCUPATIONAL HEALTH SERVICE REFERRAL PROCEDURE FOR OCCUPATIONAL HEALTH ASSESSMENT PRACTICAL GUIDANCE FOR MANAGERS LEICESTERSHIRE PARTNERSHIP TRUST 1. SELF REFERRAL Any member of staff can access the Occupational Health Department at any time for work related health advice. They will be offered advice at the time of their call from the LPT OH Duty Nurse. The number is This service is available between 08.30am and 4.30pm, Monday to Friday. 2. MANAGEMENT REFERRAL Referral of a member of staff by their manager needs to be handled sensitively. A referral is required only if it will provide you with new information. Points to consider are as follows: 2.1 WHEN SHOULD YOU REFER? You may need to refer a member of staff if: There is an underlying medical condition that affects their ability to attend work and no previous referral has been made. You believe there may be an underlying health problem that affects their ability to do the job. They are off work and advice is needed to facilitate a graduated return. Occupational Health have produced a number of Return to Work Guidance sheets for a range of conditions designed to help you plan a supportive return to work directly with the member of staff without the need for a referral. These are available from your HR Advisor of through contacting the OH Duty Nurse. If particularly complex or not covered by the above guidance a referral may still be required for advice on a graduated return to work. You need advice about specific adjustments. There is a concern about the impact of a medical condition or disability on their working ability. The case is escalating to a level that could result in termination of employment. Concerns about fitness for work, whether or not sickness absence has actually occurred- Includes concerns about control of infection issues, safety risks, disability issues. Concerns about work related ill health is the job or work environment affecting their health? Repeated referral to occupational health is not indicated if the employee s health has not changed since the last OH report. This is particularly important in cases where attendance has not improved despite OH advice. In cases of recurrent sickness absence, the manager is able to ask the employee directly if they have a medical condition that impacts on their ability to attend work. If the answer is 52 of 75

53 no, then a referral may not be needed even if they have breached the trigger in the Management of Ill Health Policy and Procedure. Breaching the trigger is an indication that management action is needed to try to reduce the employee s absence, not necessarily that a referral to OH is required. Consider asking the following questions in the referral (if necessary) When can he/she return to work? Does he/she need help to do so? Is there an underlying condition which is responsible for repeated absences Is this absence pattern likely to continue can adaptations to work be made to assist the person to attend regularly? Is attendance likely to improve in the future? If you have any doubts about whether an occupational health referral is appropriate, please telephone first to discuss the issues with your HR Advisor or the LPT OH Duty Nurse 2.2 HOW SHOULD YOU REFER? You must complete a referral form in all cases which may be accompanied by a covering letter. The form should be ed to hradvisoryteam@leicspart.nhs.uk. Indicate clearly the reasons for the referral and the questions which you wish the occupational physician or nurse to answer. Discuss the referral with the member of staff and confirm that you have done so on the referral form or letter. Do not give a copy of the referral to the member of staff at this stage in case it requires amendment. Indicate on the form if you have already spoken to the LPT OH Duty Nurse and indicate what you have implemented from that advice. Provide details of sickness absence if relevant, including dates and certified reasons for absence. If the person to be referred is currently absent, please state when they were last at work. Provide information about job, hours of work and any particular requirements related to the work or work environment. Provide details of any modifications or work adaptations already tried. Please include details of any specific performance difficulties that the employee has encountered at work. This is especially important if the purpose of your referral is to establish if health problems are present that may impact on their ability to perform their role safely. 3. WHAT HAPPENS NEXT? All referrals will be reviewed by the HR Advisory Team in the first instance. You may be contacted for additional information or to discuss the appropriateness of the referral. The HR Advisory Team will forward the referral to Occupational Health and will notify the manager when this has been done. A copy of the final referral must be given to the member of staff at this stage and any changes discussed with them. When the referral is received in occupational health it will be, scrutinised by the occupational health nurse and an appointment allocated with a physician or nurse. The employee will be contacted to arrange an appointment. A copy of the appointment will be sent to the manager by of 75

54 Most appointments which are clinical in nature will be seen in the occupational health department and may include a physical examination. Some consultations will be conducted via the telephone. Some individuals seen by an occupational health nurse will be referred for further medical assessment by the occupational physician. Liaison between occupational physician and the member of staff s GP or hospital specialist may be required but direct referral for further investigations or treatment is unusual. Physiotherapy may be arranged if appropriate. Following the consultation a written report will be sent to the manager and HR advisor. This will be done by and the letter will be in a PDF format. Members of staff will also receive a copy. 4. POST ASSESSMENT Manager should consider the report which they have received and should request clarification if necessary. Manager may need to seek further advice, e.g. from HR advisor, about redeployment or implementation of occupational health recommendations. Further review appointments will have been arranged in the occupational health department if necessary and manager will be kept informed. Managers are asked to inform occupational health of developments such as agreed work modifications, whether temporary or permanent, changes of job, redeployment, resignations, contract termination or retirement so that occupational health records can be updated. October of 75

55 University Hospitals of Leicester NHS Trust Occupational Health Service REQUEST FOR OCCUPATIONAL HEALTH ASSESSMENT Full Name of Member of Staff: Date of Birth: Service: AMH/LD CHS FYPC Enabling Hosted Bank only Employing Trust: LPT Department: Home Address: Job Title: Work Site: Home/Mobile No: Work No: Personal Address: REASON(S) FOR REQUEST Please complete the form below (boxes will expand as you type) or attach a letter ensuring that all areas of the form are covered. You must complete each box in order to make a referral. All referrals should be ed to hradvisoryteam@leicspart.nhs.uk for review by the HR Team prior to submission to OH. Referrals which do not contain sufficient relevant information will be returned to you and support will be offered to assist you with re-drafting the referral. 1. Reason for absence from work and/or ill-health condition (as a minimum include details of the previous 12 months absence, highlighting dates of absence you wish OH to consider and the reported reasons for absence. If currently absent, please say when the individual was last at work. Alternatively it is acceptable to attach a printout of the Health Monitoring Form). 2. Details of management action taken to date (informal or formal meetings with the consent of the employee you may wish to attach copies of the notes of relevant ill health meetings / targets or warnings / adjustments to duties, working hours or pattern, special equipment provided (reasonable adjustments) / previous phased returns to work (including dates) / signposting to Amica / stress risk assessment / signposting to Staff Physiotherapy Scheme). 55 of 75

56 3. Has there been any advice from a GP or Specialist regarding the ability of the staff member to carry out their duties and if so what is it? 4. Have you spoken to the OH Duty Nurse (telephone ).If no consider contacting the nurse for advice before submitting referral. If yes, include information on advice given, what you have implemented. (If relevant, you should give information on adjustments you have considered but have not implemented and the reasons why). 5. Brief summary of job role, hours of work and any particular requirements related to work or work environment. (You may wish to include the job description as additional information but must still complete this section).) 6. Reason for referral this should relate directly to section 2.1 of the Referral Procedure for Occupational Health Assessment 56 of 75

57 7. What specific questions do you want OH to answer? You may want to consider the following: When can he/she return to work? Does he/she need help to do so? Is there an underlying condition which is responsible for repeated absences Is this absence pattern likely to continue can adaptations to work be made to assist him/her to attend regularly? Is attendance likely to improve in the future? If the employee is on long term sick leave, what are the anticipated timescales of when he/she is likely to return to work? Before submitting this referral, please consider if the questions you are asking will provide you with any new or additional information. If you are unsure if a referral is appropriate, contact the OH Duty Nurse (Telephone ) or your HR Advisor. ASSESSMENT REQUESTED BY: Name:..Post:. Base.Tel No... HR Advisor to whom a copy of the report should be sent: Name I confirm that I have discussed the reason(s) for this formal referral with the member of staff named. I confirm that I will give them a copy of the final referral prior to their OH appointment. Signed:..Date:... Completed form should be ed to hradvisoryteam@leicspart.nhs.uk 57 of 75

58 LEICESTERSHIRE PARTNERSHIP NHS TRUST Appendix 5 Ill Health Review Meeting Notes (Template) Name of Employee: Date of Meeting: Date notes of meeting sent: Please tick as appropriate Short term and unrelated sickness absence in excess of Trust triggers Long term sickness or episodic due to chronic underlying condition Stage 1 informal review Stage 2 formal review Stage 3 formal review Other Review Meeting Final Review meeting Attendees (name and job title) Staff Side Rep / If no rep happy to continue? Yes/No Date invite to the meeting sent to employee (formal stages only): (a copy of this must be kept on personal file for future reference) Purpose of the meeting: List any relevant documents considered at the meeting: (i.e. Occupational Health reports, fit notes, previous meeting notes etc.). Summary of discussion: 58 of 75

59 Outcome of the meeting: (i.e. improvement targets with dates, consequences for breaching these, reasonable adjustments to the role, phased return with dates and hours, further OH referral, setting up a dismissal panel, any other agreement reached etc.) Where a warning has been issued the terms and consequences of breaching any further targets should be listed here. Improvement targets set:... days / or... occasions Date effective from: / / to / / Details of warning (i.e. First Written Warning or Final Written Warning - if applicable): Date effective from: / / Expiry date / / Discussion of Annual Leave (AL): Remind employee that if they do not take their annual leave they will lose it in accordance with the provisions set out in Appendix 10. Take AL Carry over AL Statutory AL (28 day for full time employees/ pro rata for part time employees) Core Mandatory Training discussion: Notify Workforce Systems Team if unable to have appraisal due to long-term absence. Half Pay/No Pay discussion: Incremental Date: Support requested by the employee/their Staff Side representative, support provided by management to date and any further support agreed: Date of the next review: (if set up, if not set up please state so): Any other information comments I confirm the above to be an accurate reflection of the meeting; Signature: Employee Copies: Employee Staff Side rep (if present) Line Manager Personal File 59 of 75

60 Alternatively, where instead of the above template, outcome of the ill health review meeting is confirmed in a letter, the following key points must be included in the letter: The letter should include the following information Date of the meeting Names and job titles of the attendees Purpose of the meeting Summary of discussions at the meeting Outcome of the meeting i.e. any agreement reached in terms of a way forward, reasonable adjustments to the role, phased return, further referral to Occupational Health etc. Where improvement targets have been set these should be clearly outlined in the letter with dates and consequences of breaching these Where temporary arrangements have been agreed i.e. adjustments, phased return, end dates should be clearly stated. Where action such as a warning has been issued, terms of this should be clearly stated Discussion about annual leave to take / carry over / Statutory entitlement of 28 day max for full time staff (pro rata to employees that work full time) Half pay and no pay position Any support offered by management or concerns raised by employee should be clearly recorded with a way forward. A paragraph providing the employee an opportunity to come back to you should they disagree with the contents of the letter. A copy of the letter should be sent to the employee for their record. Where the employee was accompanied by a staff side representative a copy of the letter should be sent to them at the same time. Another copy should be kept by the manager and in the employee s personal file for record. 60 of 75

61 Appendix 6 LEICESTERSHIRE PARTNERSHIP NHS TRUST Redeployment on grounds of ill health For an employee who is either on long term sick or has episodic absence due to an underlying condition(s), redeployment to another post should be considered following advice from Occupational Health. Redeployment as an option should only be considered if re-adjustment of duties in accordance with the trusts Reasonable Adjustment Policy have previously been tried and showed not to work or, it cannot be accommodated for operational reasons or on the basis of Occupational Health Advice. Where redeployment is being considered the following process will apply: 1. The employee will be invited to a Final Review and Redeployment Meeting where the details of the redeployment period will be discussed and agreed. This meeting will be chaired by a senior manager with the authority to dismiss (Appendix 7) accompanied by a Human Resources Advisor. 2. The employee will be given 7 calendar days notice of this meeting. 3. The employee will have the right to be accompanied by their staff side representative or a work colleague. If the individual or their representative is unavailable to attend the review meeting they can seek one postponement. The review meeting will be rearranged within a reasonable period of time e.g. within 7 calendar days of the original meeting. 4. It should be explained to the employee that they have the right to a formal ill health hearing. If the employee wishes to exercise this right, a hearing should be held under the Management of Ill Health Policy and Procedure but will follow the process outlined in accordance with the Trusts Disciplinary Policy and procedure 5. If the employee proceeds with a formal ill health hearing, decisions regarding the termination will be made by the formal panel otherwise the process below will automatically be instigated during the final review and redeployment meeting. 6. The employee will be awarded preferential status for a12 week period, during which redeployment opportunities will be explored. 7. Twelve weeks notice of termination on grounds of ill health will be issued to the employee at the beginning of the redeployment period. Notice period will run concurrently with the redeployment period. 8. The employee will be offered an opportunity to apply for available post/s that have been identified as suitable by completing an application form and will be given preferential consideration. They will be interviewed with other applicants who have been awarded preferential status or are at-risk due to redundancy or other reasons and still need to demonstrate suitability for the new position against essential criteria on the person specification. 61 of 75

62 9. A post will be classified as suitable, under this procedure, if it meets the following requirements: It is at the same band or a lower band than the employee s current pay band The employee meets the essential criteria for the job or would meet with minimal training within a reasonable period of time Hours of the post are similar to the hours of the employee s current contracted hours in the post or consistent with the occupational health advice relating to hours. Duties of the post are consistent with the occupational health advice 10. Where the employee wishes to apply for a post which is more than one band below their substantive post and in Occupational Health s view they are fit to undertake that role, they will be given preferential treatment for this. 11. Redeployment implemented under this policy will not attract protection, unless the redeployment is due to a disability in which case it will attract pay protection in accordance with Appendix 2 of the Trusts Management of Organisational Change policy. Redeployed employees will assume all the terms and conditions of the post being offered. For example where the employee is redeployed in a lower banded post or a post of fewer hours, pay protection will not apply. Similarly where redeployment results in the employee incurring more home to base mileage due to relocation, excess mileage will not be payable. 12. Where the employee has a disability, reasonable adjustments need to be made to allow them to undertake the role. Where required assistance and advice from agencies/professionals such as Occupational Health, Disability Employment Advisors, Remploy etc. (as appropriate) should be sought on this matter. 13. Redeployment in another post will be subject to a 4 week trial period from both sides (management and employee). 14. A meeting will be convened 7 calendar days before the end of the 12 week redeployment period to either confirm the success of the trial or where the trial has been unsuccessful and the redeployment period has been exhausted to reiterate that the contract of employment will be terminated as explained at the Final Review and Redeployment Meeting, 15. Any appeal against termination of employment on the grounds of incapacity must be made in writing with full grounds of appeal, all documentation, and list of witnesses to the Head of Operational Resources within 10 working days of the date of the letter confirming the decision. The appeal hearing will be conducted as set out below in Appendix 9 62 of 75

63 Appendix 7 Leicestershire Partnership NHS Trust Levels of Authority for Dismissal and Appeal against Formal Action within Policy and Procedure for Managing Sickness Absence Category of Staff Chief Executive First and final written warnings Panel of 3 comprising: Chairman of the Trust Non-Executive Director HR Representative Appeal against first and final written warnings *** Panel of 3 comprising: Chairman from another NHS Trust Non-Executive Director HR Representative Termination of employment due to unrelated and persistent sickness absence Panel of 3 comprising: Chairman of the Trust Non-Executive Director HR Representative Termination of employment due to long term or permanent incapacity/absence due to a chronic underlying medical condition Chairman of the Trust and HR Appeal against Dismissal (due to both unrelated/persistent and long term or permanent incapacity/absence due to a chronic underlying medical condition *** Panel of 3 comprising: Chairman from another NHS Trust Non-Executive Director Senior HR Representative Executive Directors/ Panel of 2 Comprising: Chief Executive HR Representative *** Panel of 3 comprising: Chairman Non-Executive Director HR Representative Panel of 3 comprising: Chairman Non-Executive Director HR Representative Panel of 3 comprising: Chief Executive Non-Executive Director HR Representative *** Panel of 3 comprising: Chief Executive or Chairman from another NHS Trust Non-Executive Director Senior HR Representative Staff at Band 8c or above Line Manager and HR *** Panel of 2 comprising: Manager above and next in line to the manager who issued the warning HR Representative Panel of 3 comprising: Director Manager HR Representative Line Manager and HR (Decision to terminate must be signed off by a Director of the Service as a minimum and line managers must not dismiss their direct reports) *** Panel of 3 comprising of: Non-Executive Director Director Senior HR Representative All Other Employees Line Manager and HR *** Panel of 2 comprising: Manager above and next in line to the manager who issued the warning HR Representative Panel of 3, comprising: Director or Head of Service Manager HR Representative Line Manager and HR (Decision to terminate must be signed off by Head of the service as a minimum and line managers must not dismiss their direct reports) Panel of 3 comprising: Director or Head of Service Manager at band 8c or above Senior HR Representative Note: 1. No person previously involved in the current case will be on the panel considering termination of employment due to unrelated and persistent sickness absence or be a panel member on the appeal panel 2. Where appropriate actions may be delegated to designated officers 3. For all appeals none of the panel should have been previously involved at any level or be from the same service. 63 of 75

64 Appendix 8 Leicestershire Partnership NHS Trust Flowchart to show how the Formal Ill Health Hearing will be run Chair to open the hearing by setting the context Chair to invite all parties to introduce Chair to explain ground rules by which the hearing would be run and confirm with both parties who will be their nominated representative to present the case Management s nominated representative to present the case (unless where the panel takes it as read) Employee or their nominated representative to ask management side questions regarding management case Panel to ask the management s nominated rep questions (Presentation of Employee s Case complete) Adjournment (if required) Employee or their nominated representative to present their grounds for appeal (unless where the panel takes it as read) Mgt s nominated rep to call their 1 st witness Mgt s nominated rep to examine their witness Employee or their s nominated rep to cross examine Mgt s witness Panel to ask witness/s questions Mgt s nominated rep to re-examine their witness (Same cycle to follow for other Management witnesses if more than one) Employee or their nominated rep to call their 1 st witness Employee or their nominated rep to examine their witness Management s nominated representative to ask the employee questions Mgt s nominated rep to cross examine the employee s witness Panel members to ask employee questions Presentation of Management s Case completed Panel to ask witness/s questions Employee or their nominated rep to re-examine their witness Management s nominated representative to sum up Employee or their nominated representative to sum up (Same cycle to follow for other Employee side if more than one) a) summing up must be confined to evidence presented, no new info should be introduced at this stage b) summing up should be limited to a maximum of 15 minutes from each side 64 of 75

65 Flowchart to show how the Formal Ill Health Hearing will be run Adjournment for panel to make a decision The panel will consider the information presented by both parties and make a decision as to whether it is reasonable to terminate the employee s contract of employment with the Trust. The possible outcomes of the hearing are as follows a. Termination of Employment (with notice or pay in lieu of notice) Or Other recommendations as advised by the panel (i.e. extension for redeployment period etc.) b. Continuation of final written warning with or without any change in the targets set (only applicable to short term and unrelated sickness absences) Hearing to reconvene Chair of the panel will deliver the decision The Employee will be advised of their right to appeal against the decision The decision will be confirmed in writing within 7 calendar days of the hearing 65 of 75

66 Leicestershire Partnership NHS Trust Appendix 9 PROCEDURE FOR CONDUCTING AN APPEAL HEARING 1. Conducting an appeal hearing 1.1 The Appeal will be heard by a panel as outlined in appendix An Appeal Hearing is not designed to re-hear the case but to examine the grounds of appeal. The appellant must be specific about the grounds of appeal; these will effectively form the agenda for the hearing. Appeals can be raised on one of the following grounds: the procedure: a failure to follow procedure had a material effect on the decision the decision - the evidence did not support the conclusion reached the penalty - was too severe given the circumstances of the case new evidence - which has genuinely come to light since the meeting at which the action was taken. 1.3 No person previously involved in the decision or handling of the case should sit on the panel. 1.4 The employee will have a right to be accompanied by either their staff side representative or by a work colleague. 1.5 Appeals should be heard without undue delay and ideally within 6 weeks of its submission. 1.6 The employee shall be given at least 7 calendar days notice of the date of the appeal hearing. 1.7 As part of the appeal process the employee s ground for appeal, their statement of case and any other documents submitted will be shared with management. 1.8 Management will be required to submit the statement of their case to the panel at least 7 calendar days before the appeal hearing. This will be sent to the employee and their representative prior to the hearing. 1.9 At appeal, the employee will present their case and establish why they are contesting the original decision. Management side will explain to the appeal panel why they reached the decision and will answer any questions that may arise. The employee or their representative will be entitled to ask any questions and to make a submission. Similarly the management side and the panel members will be able to ask the employee or management any question in relation to the case The appeal panel s decision will normally be given on the concluding day of the appeal hearing. In exceptional circumstances, where a decision is not reached on the concluding day, the decision will be notified to the appellant and the respondent in writing within 7 calendar days of the hearing The possible outcomes of the appeal are: 66 of 75

67 1. Uphold the original decision i.e. no change 2. Uphold the appeal i.e. revoke the original decision and replace it with the following: issue a lower level warning with or without any change in the targets set no formal action to be taken however no change in the targets set 1.12 Where the appeal against termination is upheld, the employee s employment will be reinstated from the date of dismissal and continuity of service will be maintained with back pay to be paid No further right of appeal is available to the employee within the organisation. 67 of 75

68 Leicestershire Partnership NHS Trust Flowchart to show how the Formal Ill Health Appeal Hearing will be run Chair to open the hearing by setting the context Chair to invite all parties to introduce Chair to explain ground rules by which the hearing would be run and confirm with both parties who will be their nominated representative to present the case Employee or their nominated representative to present their grounds for appeal (Unless where the panel takes it as read) Management s nominated representative to ask the employee questions (Any questions asked must be answered by the employee. Their representative can not answer any question on the employee s behalf) Employee or their nominated rep to call their 1 st witness Employee or their nominated rep to examine their witness Mgt s nominated rep to cross examine the employee s witness Panel to ask witness/s questions Employee or their nominated rep to re-examine their witness Panel members to ask employee questions (Same cycle to follow for other Management witnesses if more than one) Presentation of Employee s Case completed Adjournment (if required) Management s nominated representative to present the case (unless where the panel takes it as read) Mgt s nominated rep to call their 1 st witness Mgt s nominated rep to examine their witness Employee or their nominated representative to ask management side questions regarding management case Employee or their nominated rep to cross examine Mgt s witness Panel members to ask the management s nominated rep questions Presentation of Management s Case completed Management s nominated representative to sum up Panel to ask witness/s questions Mgt s nominated rep to re-examine their witness (Same cycle to follow for other Employee side if more than one) Employee or their nominated representative to sum up c) summing up must be confined to evidence presented, no new info should be introduced at this stage d) summing up should be limited to a maximum of 15 minutes from each side 68 of 75

69 Flowchart to show how the Formal Appeal Hearing will be run Adjournment for panel to make a decision The appeal panel will consider the appropriateness of the original decision made, based upon the information that was available to management at the time the sanction was issued. In doing so the panel will need to determine: a) whether in the circumstances the sanction applied was appropriate given the evidence presented, and in consideration of any mitigation that was presented b) Where the ground of appeal is procedural failure, the panel will also consider if there was any failure to follow the procedure that may have had a material effect on the original decision The possible outcomes of the appeal hearing are as follows 1. Uphold the original decision i.e. no change 2. Uphold the appeal i.e. revoke the original decision and replace it with the following: issue a lower level warning with or without any change in the targets set no formal action to be taken however no change in the targets set Note: Where the appeal against termination is upheld, the employee s employment will be reinstated from the date of dismissal and continuity of service will be maintained with back pay to be paid Hearing to reconvene Chair of the panel will deliver the decision The decision will be confirmed in writing within 7 calendar days of the hearing No further right of appeal is available to the employee within the organisation. Where the appeal panel is unable to deliver the decision on the day, both parties will be informed that the decision will be confirmed in writing. 69 of 75

70 Appendix 10 Guidance on carryover of annual leave accrued during sick leave. 1. Employees on long term sick leave should ensure that they plan how they will take their accrued annual leave to ensure that it is all taken within the leave year. This may mean that all or a proportion of it should be taken whilst on sick leave. From a statutory perspective a minimum of 28 days annual leave (including bank holidays) must be taken each financial year. (prorated) for part time staff). If due to long term sickness a member of staff has been unable to take the minimum 28 days statutory leave by 31 st March, the difference between 28 days and leave already taken may be carried over into the next leave year. Guidance can be sought from your HR Advisor. 2. Where an employee on sick leave, wishes to exercise their right to take accrued annual leave during the period of their sickness, he/she must request leave by contacting their line manager and HR representative. Where their request for annual leave has been accepted, this period will not count as sick leave for statutory and contractual sick pay purposes. 3. Where an employee chooses to take annual leave during their period of sickness absence, line managers will close the period of sickness on ESR and put the employee on annual leave. This will reset their entitlement to OSP/SSP depending on how much annual leave has already been taken in the last 12 months and will extend the period of sick pay the employee is entitled to. 4. Where the employee s request for annual leave is exceptionally refused by the Trust, he/she will be allowed to take the leave on return even if it is in the subsequent leave year. 70 of 75

71 Part A Appendix 11 Due Regard Equality Analysis Initial Screening Template Introduction This document forms part of the Trusts Due Regard (Equality Analysis) toolkit which can be accessed here. Leicestershire Partnership NHS Trust has a legal requirement under the Equality Act 2010 to have due regard to eliminate discrimination. It is necessary to analysis the consequences of a policy, strategy, function, service or project (referred to as activity) on equality groups in respect of service users, patients and staff. The analysis has to consider people s protected characteristics 'age, disability, gender reassignment, marriage / civil partnership, pregnancy and maternity, race, religion / belief, sex, sexual orientation. We also include other vulnerable groups who may not be protected under the Equality Act but their needs should be considered. There are several tangible benefits in conducting equality analysis prior to making policy decisions, including: Higher quality decisions as a result of more complete management information Reduced cost as a result of not having to revisit policy that is not fit for purpose Enhanced reputation as an organisation that is seen to understand and respond positively to diversity. Most importantly, through equality analysis we are able to take into account the needs of our different equality groups of staff and patients. Changes being proposed through policy, strategy, transformational programmes or other methods need to be analysed from an equality perspective and the results considered before decisions are made. Where negative impacts are identified, ways to mitigate or minimise them must be put in place. Before starting if you are unfamiliar with doing an Equality Analysis contact the Equality and Human Rights Team for guidance or visit the Due Regard section on the Trust Intranet here. Below is the Due Regard Screening Template which aims to assess the likelihood of a negative impact on an equality group/s. For example, a policy change in financial management systems may be considered major but has no negative impact. The initial screening form needs to be completed to decide if a full Due Regard (Equality Analysis) * should be undertaken. An overview of the various options available is highlighted in a Due Regard fact sheet which includes top tips and a flow chart which can be accessed here. 71 of 75