1.0 Aim of the procedure 1.1 To ensure that managers: 1 understand and apply the Council s standards of attendance in the work-place and monitor their achievement 2 identify through risk assessments, general supervision arrangements and throughout this procedure whether staff require special chairs or other equipment to enable them to work safely. To seek advice and support from the OHS and Health & Safety Unit on this if in any doubt. To arrange for the purchase of such items from their own budget or through Access to Work (through Job Centre Plus HR can advise). 3 treat staff who are sick in a sensitive, fair, supportive and consistent way, in particular take account of any disability and associated reasonable adjustments to the work, workplace or organisation of work (not pay). Guidance (including definitions of disability and reasonable adjustments) is available in the Disability Handbook for Managers (see Framework Work/Life/Family for information on planned disability leave). 4 actively seek to rehabilitate staff to enable a safe and planned return to work 5 consider a phased return to work with reduced working hours for staff returning from long-term sickness. 6 have an effective and lawful way to deal with excessive absence that threatens work objectives 2.0 Key Points 2.1 The Council has a systematic approach to managing absence attributed to sickness which has the following features: 1 Council-wide targets for average levels of sickness absence 2 return to work meetings following all periods and cases of sickness absence (see Preventative Stage section 2.6). 3 triggers for action to prompt investigation of each case on its merits, and to avoid delays (see below:): 4 monitoring - to permit analysis, pick up any problems, and assist in meeting targets 5 an occupational health service referral (OHS) - to advise on the medical aspects of any case and the application of reasonable adjustments under the Disability Discrimination Act. Staff have the right to refer themselves to the OHS for advice and support. 6 systematic appraisal of the effectiveness of managers in dealing with cases of absence attributed to sickness and the implementation of reasonable adjustments for any disability under the Disability Discrimination Act. 7 if the above steps have failed consideration of whether the employee is capable of regular and efficient service The advice of the OH Physician should be followed, especially with regard to enabling people back to work. 1 August 2010 1
2.2 Target for average levels of sickness 2.3 The Council s target is to: 1 reduce the average number of working days taken as sick leave by its employees 2 be ranked within the best 8 London boroughs on this measure of sickness absence. 2.4 This target must not be mistaken as the target for any individual. It is an average, which takes into account all the Council s employees over a full year. 2.5 Triggers for action Discretion, sensitivity and good practice are vital in handling individual cases. Deferring action may also be considered in line with the Service Improvement by managing Attendance (SIMA) guidance. 2.5.1 Trigger Action manager to take 1. return to work after any sickness Return to work meeting 2. 8 working days 1 of sickness absence in any 12 month period, or 3. 3 periods of sickness absence in any 3 month period, or 4. a pattern of sickness absence 5. 2 weeks continuous sickness absence 6. 15 working days absence accumulated in any twelve month period 1 Consider referral to occupational health service and other action to examine whether the employee can give regular and efficient service. Begin sympathetic and regular contact with the employee if this has not started earlier Line manager to report to head of service on action so far. 2.6 There are four key aims at all stages of the procedure: 1 investigating the absence to understand its causes and the effect it will have on the employee s work. This should be a joint investigation with the employee. 2 taking all reasonable steps to collaborate with staff in tackling health, work or welfare issues- including work-related stress 3 keeping the employee informed (in good time) about where they stand, particularly if their job is at risk 4 exploring any options with the employee, which may permit them to improve attendance or return to work. 1 Pro rata for part-time staff 1 August 2010 2
2.7 In addition, our managers will: 1 treat staff 1 with sympathy, compassion and understanding 2 fairly and consistently 2 distinguish between cases that warrant disciplinary action and those, which are to be dealt with under this procedure. (In this procedure the key issue is not misconduct but whether the employee can give regular and efficient service.) 3 respect the employee s right to medical confidentiality 4 keep in touch with staff who are off sick agreeing the form and frequency of communication (this will normally be the line manager but if this is not appropriate an HR Adviser may keep in touch). 5 recognise that in some cases of absence, for example an operation followed by a recovery period, it may not be appropriate to take the normal action in response to triggers. Discretion, sensitivity and good practice are vital in handling individual cases. See SIMA guidance for Managers 6 implement any reasonable adjustments to the work, work-place or the organisation of work which would enable the employee to attend work regularly and give efficient service 7 consider any other issues or obligations, for example under the Disability Discrimination Act (DDA) 1995 (see Manager s Handbook on Disability), regulations on the treatment of new and expectant mothers, domestic violence, the Council s Alcohol Policy and Equalities issues including gender reassignment, 8 advise employees with a disability of the advice and assistance service available through the Access to Work Scheme from Jobcentre Plus, and work jointly with them. 9 ensure that medical screening and appointments are managed in accordance with the Framework - Work/Life/Family 10 after all periods of absence, carry out return to work meetings. 11 consider reasonable adjustments in respect of disability and consider any reasonable options for redeployment on medical grounds before making any recommendation for dismissal (where redeployment is an option identified by the occupational health service). 12 investigate matters involving staff for whom they are the line manager, and if a formal hearing is needed refer the matter to another manager with authority to hear the case 1 1. Normally: - the line manager will investigate the facts of the case although other officers may also assist - two other officers will hear the case: a manager with authority to act as Chair and make the decision and another to give a second view. The Chair has discretion to increase the size of the panel, especially if they need advice on technical or specialist issues.) 1 August 2010 3
2.8 Employees Responsibilities: 1. attend work when fit to do so, and return to work after any sickness absence as soon as possible. 2. be aware of and comply with the sickness policy and procedure, particularly regarding sickness notification requirements and the submission of medical certificates (see below:) 3. communicate regularly with their line manager or other designated person for example an HR Adviser, during periods of sickness absence 4. notify any absence as a result of an accident at work under appropriate reporting procedures (see Framework Health and Safety Protocol: Reporting Accidents, Injuries and Dangerous Events) Notification of Sickness Employees Responsibilities 1 st Day Telephone your line manager (or other person specified by your line manager) by 10.00 am or within one hour of your normal start time to report your absence State the nature and likely duration of your absence Report all sickness yourself (wherever possible) to your manager (or other person specified by your manager); do not leave messages with colleagues. 4 th Day Telephone your line manager (or other person specified by your manager) to provide them with an update on your health 8 th Day Telephone your line manager (or other person specified by your line manager) Obtain a medical certificate from your doctor and send it to your manager Ensure medical certificates are sent in regularly to cover the entire period of your absence failure to provide a certificate may result in loss of pay Absence longer than 8 days Agree with your manager how you will maintain contact ideally you should contact your manager weekly to report on your health and expected date of return All medical certificates must be received within 5 working days of the expiry of the previous certificate or your pay may be affected 1 August 2010 4
3.0 Outline of procedure 3.1 There are five stages to the procedure including preventative and informal stages, as listed below (plus a right of appeal). 3.2 In addition, the procedure also sets out the way to: 1 refer staff to the occupational health service (OHS) for advice on medical and health issues and reasonable adjustments relating to disability (See Disability Handbook for Managers) 2 withdraw an employee s entitlement to sick pay. 3.3 Managers may refer an employee to the OHS at any stage. Early referral may be helpful in gaining advice at any stage. Employees may also self-refer for advice and guidance. The advice of the OHS should be followed. 3.4 Managers may withdraw entitlement to sick pay whenever the conditions for doing so are met. As part of the managing sickness procedure, these processes 1 may or may not be required 2 may be appropriate more than once. Preventative Stage Informal Stage Referral to OHS First Formal Stage Final Formal Stage Appeal To conduct Health & Safety risk assessments and stress risk assessments. To make reasonable adjustments. To conduct a return to work meeting after all periods of sickness absence To bring management concerns to the attention of the employee, set targets and review period. To seek medical advice on any underlying illness and investigate the options available to the employee and the manager To discuss the effects of absence on work, set targets and review periods and tell the employee that the job may be at risk (if it is) To consider if the employee is capable of regular and efficient service, and if not, decide on dismissal, redeployment or some other action To consider any grounds of appeal raised by the employee 1 August 2010 5
4.0 Preventative Stage 4.1 Managers will, in an informal return to work meeting: 1 offer flexible arrangements to enable the employee to discuss sensitive medical issues that may affect their attendance or work performance. (For example they may wish to talk to or be accompanied by someone of the same race or gender.) 2 ask the employee about the reasons for their sickness absence, and any work, welfare, domestic or health and safety problems. Offer support as appropriate. This may include risk/stress assessments and access to work assessments, where appropriate. 3 encourage the employee to raise issues relating to a disability at this stage so that consideration can be given to reasonable adjustments relating to them 4 explain the Council s policies on sickness absence including the focus on whether the employee can give regular and efficient service 5 explore any other options which, may permit the employee to improve attendance or return to work 6 complete a return to work meeting form with the employee during the meeting. SIMA guidance for Managers 4.2 The employee is entitled to: 1 explain the reasons for their absence and be listened to 2 the right to medical confidentiality 3 access to any records or notes of matters discussed 4 where agreed, be provided with special furniture and/or equipment and be kept informed of any delays in its provision 5 raise the issue of reasonable adjustment relating to their disability and expect that their manager will seek further advice if unsure how to proceed 6 counselling from Carefirst (the Council s external counselling services provider) 7 receive copies of any OHS correspondence about them at the same time as it is sent to their manager. 8 meet with their manager to discuss any OHS correspondence about them. 9 request of HR that a different manager be identified to deal with their case (in cases where there are reasons why it would not be appropriate for their line manager to do so). 1 August 2010 6
5.0 Informal stage 5.1 Managers will, in informal meetings and 5.2 The employee is discussions: entitled to: 1 offer flexible arrangements to enable the 1 put their side of the case and employee to discuss sensitive medical issues. be listened to (For example they may wish to talk to or be 2 the right to medical accompanied by someone of the same race or confidentiality gender.) 3 access to any records or notes 2 investigate the reasons for sickness absence, of matters discussed and any work, welfare, domestic or health and 4 suggest reasonable safety problems. This should include risk/stress adjustments relating to their assessments and Access to Work disability, expect that their assessments, where appropriate. manager will seek further 3 encourage the employee to raise issues relating advice if unsure how to to a disability at this stage so that consideration proceed and respond within an can be given to reasonable adjustments relating agreed timescale. to them. Seek further advice if unsure how to 5 seek trade union advice and proceed and respond to the employee within an support on suggestions agreed timescale. regarding potential reasonable 4 suggest, and encourage the employee, to adjustments suggest reasonable adjustments relating to their 6 disability, seek advice if unsure how to proceed and respond within an agreed timescale 5 raise any management concerns and explain the effect of absence on the work 6 set standards and targets for attendance and arrange to monitor them 7 explain the Council s policies on sickness absence including the focus on whether the employee can give regular and efficient service 8 explore any other options which may permit the employee to improve attendance or return to work 9 if necessary, tell the employee that the next stage would be to refer to the OHS 10 if necessary, advise the employee that the next stage would be to deal with the matter formally 11 keep accurate records and notes of the matters discussed. 1 August 2010 7
6.0 Referral to occupational health service 6.1 The manager will: 6.2 The employee is entitled to: 1 supply the occupational health service with 1 medical confidentiality the information they require to advise on the 2 know the purpose of any referral case to the occupational health 2 seek medical advice (normally from the service and receive a copy of occupational health service) on the following the referral letter issues: 3 be told the implications of a 1 is there an underlying health problem and if refusal to attend the so, when is it likely to be resolved? occupational health service (for 2 if and when the employee returns to work, example, stopping sick pay 1 ) will they be fit to carry out their duties? 4 be told the implications of a 3 will there be a residual condition and what refusal to consent to a medical implications will it have for the work of the report 2 employee? 5 refuse or consent to a medical 4 are there any reasonable adjustments to report from their own doctor 2 the work, equipment or work place which 6 the opportunity to see, veto or may help with the duties of the job both in comment on the report of their general and in respect of a particular GP before it is submitted to the disability which has been raised by the OHS 2 employee? 7request access to any report on 5 is service likely to be regular and efficient? them prepared by the Council s 6 are there any other options which may occupational health service permit the employee to improve attendance subject to conditions set out in or return to work? the Access to Health Records 7 are there any other medical issues specific Act 1990. to the case? 8 Self refer to the OHS for advice 3 advise the employee that the possible and support outcomes of the OHS referral include that they may be: 1 deemed fit with or without reasonable adjustments 2 given consideration for redeployment 3 deemed permanently unfit to work 1. The employee s sick pay may be stopped since they would not be complying with the conditions of the sick pay scheme. Managers will deal with the case on the basis of the medical advice available. 2. Subject to conditions set out in the Access to Medical Reports Act 1988. Where the employee refuses access, managers will proceed on the basis of the medical evidence available 1 August 2010 8
7.0 First Formal Stage The employee should send to the employer at least 5 working days before the meeting copies of the documents they intend to produce at the meeting. 7.1 The manager will, in formal meetings and 7.2 The employee discussions: is entitled to: 1 continue with the four key activities set out in the box in section 2.6 of this section 2 if necessary arrange for another manager 1 to hear the case 2. They will... 1 consider the causes of the sickness absence and its effect on work, taking account of medical advice 2 explain Council policy on sickness absence including the focus on whether the employee can give regular and efficient service 3 explore any work, welfare or domestic problems or other explanation offered 4 set reasonable standards for attendance or a target for a return to work 5 consider options, including phased return 3, which would improve attendance or enable a return to work 6 review with the employee how effectively any adjustment required under the Disability Discrimination Act has been implemented and keep a record of the review 7 issue any warning (See section 10, Page 13 - Warnings and other management actions) and determine a course of action 4 which will take into account the needs of the council and, where possible, the interests of the employee 8 keep records and notes of the matters discussed. 9 ensure that where sickness absence arises from a known disability this fact is taken into account when considering targets and triggers for the employee See footnotes on following page 1 reasonable notice asking them to attend the meeting (normally at least 10 working days but less by mutual agreement) in writing of 1 the date of the meeting 2 the reason for the meeting 3 the issues to be discussed 2 receive, with the written notice of the meeting: 1 a summary of the history of absence 2 copies of the documents the manager will be referring to at the meeting 3 a list of the documents the manager will be referring to at the meeting 3 the opportunity to be represented by a trade union or another person (but not a legal representative) 4 postpone the meeting to another reasonable time within 5 working days after the original date - if their representative will not be available at the time proposed. 5 give any explanation and to put their side of the matter 6 a letter within 5 working days confirming the issues considered, the decisions and action plans made, 7 regular reviews of the action plan 1 August 2010 9
Footnotes for Section 7.0 First Formal Stage 1. A manager with authority to decide the case General Scheme of Delegation supported by at least one other person, often an HR Adviser. 2. The meeting date should be chosen after consulting with the parties, including the employee s representative, to avoid unnecessary postponements. 3. A phased return enabling the employee to return to work at first on reduced hours, gradually building up to their normal working hours over a period of up to 4 weeks (or in exceptional circumstances up to 6 weeks subject to advice from HR). The period of the phased return will not count as sick leave and will be on full pay. Phased returns are subject to the employee s Doctor having certified them fit to work. 4. Warnings and other management action as set out in page 13. 1 August 2010 10
8.0 Final Formal Stage The employee should send to the employer at least 5 working days before the meeting copies of the documents they intend to produce at the meeting. 8.1 The manager will: 8.2 The employee is entitled to: 1 continue with the four key activities set out in the box on page 2 point 2.6 2 if necessary arrange for another manager 1 to hear the case in a final formal meeting 2. They will consider after hearing from the manager and the employee: 1 if the employee is capable of regular and efficient service 2 if the employee s health needs are compatible with the Council s need for work to be done 3 any reasonable alternatives to dismissal including reasonable adjustments to the work or work place, Disability Leave, redeployment, phased return, early retirement and so on 4 whether the employee has been treated reasonably in all the circumstances (see the key points of the procedure - page 3 of this section). 5 determine a course of action 3 (including Disability Leave) which will take into account the needs of the council, and where possible, the interests of the employee. 3 ensure meetings are minuted 1 reasonable notice (normally at least 10 working days or less by mutual agreement) in writing of 1 the date of the meeting 2 the reason for the meeting 3 the issues to be discussed 4 the fact that they may be dismissed 2 receive, with the written notice of the meeting: 1 a summary of the history of absence 2 copies of the documents the manager will be referring to at the meeting 3 a list of the documents the manager will be referring to at the meeting 3 the opportunity to be represented by a trade union or another person (but not a paid legal representative) 4 postpone the meeting to another reasonable time within 5 working days after the original date - if their representative will not be available at the time proposed. 5 give any explanation and to put their side of the matter 6 a letter within 5 working days of the meeting - to confirm the issues considered, the decision and any right of appeal 4. 7 a copy of the minutes of the meeting 8 notice or pay in lieu of notice, if dismissed. 1. A manager with authority to hear the case supported by at least one other person, often an HR Adviser. The manager and the HR Adviser should both be well versed in managing sickness. 2. The meeting date should be chosen after consulting with the parties, including the employee s representative, to avoid unnecessary postponements. 3. Warnings and other management actions as set out on page 13. 4. The appeal must be lodged in writing with the Head of HR within 10 working days of hearing of a decision to dismiss. 1 August 2010 11
9.0 Appeal All paperwork from both sides must be supplied at least 5 working days before the date of the meeting. 9.1 The person 1 hearing the appeal will: 1 conduct the meeting as a fact-finding process ensuring good order and natural justice 2 decide any disputes about procedure 3 consider the grounds of appeal 2 and reconsider the decision 4 if need be, change the decision on the facts of the case or reduce the severity of the management action (or both) 5 ensure minutes are made of the meeting 6 confirm the decision in writing and provide a copy of the minutes to the employee 9.2 The employee is entitled to: 1 reasonable notice (normally 5 working days) in writing of the date of the hearing 2 reasonable opportunity to be represented by a trade union representative or another person (but not a legal representative) 3 postpone the meeting to another reasonable time within 5 working days after the original date - if their representative will not be available at the time proposed 3 put the grounds of appeal and bring evidence relevant to them 4 hear and question any rebuttal by management. 5 receive minutes of the meeting 1. Service Heads with specialist HR advice will hear appeals against dismissal or demotion. The Service Head or someone they appoint will hear appeals against any other decision; they will be supported by at least one other person, usually an HR Adviser. 2. Normally, the panel will examine the grounds of appeal (rather than re-hear the entire case) and will be on one of the following grounds: - Procedure a failure to follow procedure had a material effect on the decision - The facts of the case the appellant can bring evidence directly relevant to disputed facts as set out in the appeal. Otherwise the facts at the earlier stage will be accepted. - Sanction/warning/action too severe given the circumstances of the case - New evidence Only new evidence which had not come to light for the first hearing is to be considered. The appeal is not to be used to re-argue the case with different evidence. Where there is genuine new evidence the original hearing officer should have the opportunity to hear the evidence and review the decision. 1 August 2010 12
10.0 Warnings and other management actions 10.1 The following formal warnings are available: 10.2 Warnings 1 oral warning 2 written warning 3 final warning 10.3 When giving warnings managers will state: 1 the standard required (taking into account any disability) 2 the periods after which attendance will be reviewed 3 the period during which attendance will be monitored and the standard must be maintained (the duration of the warning). 10.4 In appropriate cases managers may also consider: 1 a period of suspension from the Council s sick pay scheme (but only where the case meets the conditions set out on page 15 in the footnote) 2 arrangements for a phased return to work. 10.5 The employee may normally be dismissed only: 1 after a final warning, and 2 there is no reasonable alternative to dismissal 10.6 As an alternative to dismissal, managers may decide on: 1 making reasonable adaptations to the work, work place or working arrangements (the Council s standards on managing change and job evaluation must be followed) 2 compulsory transfer to another suitable job - where the employee s condition means that they cannot continue in their original work-place or job 1 3 redeployment search throughout the whole council for an agreed period depending on the case. 4 demotion 5 termination of the employment contract subject to the provisions of a relevant Council scheme.- 1. Redeployment to a suitable alternative vacancy should normally be the last reasonable adjustment managers should consider. If this is not possible, managers should look for a an alternative role that is on the same salary scale as the employee s original job. If no such role is available, it is reasonable to offer the employee a role on a higher or lower grade and to pay them the salary for that grade. If they refuse the post then it may be justifiable to terminate their employment. 1 August 2010 13
11.0 Stopping entitlement to the Council s sick pay scheme 1 11.1 The manager will: 11.2 The employee is entitled to: 1 consider withdrawing entitlement to the Council s sick pay scheme if there is evidence that they are abusing it 2 2 if necessary, advise the employee in writing of 1 the grounds for withdrawing sick pay 1 clear reasons in writing for withdrawing entitlement to the Council s scheme 2 lodge an appeal in writing with the service head within 10 working days of hearing of a decision to withdraw entitlement to the scheme 3 3 statutory sick pay if they qualify for it. 2 the right of appeal 3 how long they will be unable to claim Council sick pay 4 how to qualify for statutory sick pay. 1. The Council s sick pay scheme is distinct from the statutory sick pay scheme and the conditions for payments under each scheme are different. An employee who fails to meet the conditions for payment of the Council s scheme may still qualify for statutory sick pay. 2. Suspension can only happen on two grounds: One: abuse of the conditions of the sick pay scheme, such as: - a refusal to submit to a medical examination - failure to comply with procedures for reporting absence Two: sickness absence that can be attributed to: - the employee s own misconduct or neglect - deliberate conduct prejudicial to recovery - active participation in professional sport - injury while working in their own time for private gain, or for another employer 3. The appeal will be chaired by the service head or another person they appoint. 1 August 2010 14
12.0 Appeal against stopping entitlement to sick pay 12.1 The Service Head will: 12.2 The employee is entitled to: 1 consider if the suspension is justified on the grounds set out by the manager 2 notify the employee in writing of the decision within 2 working days 3 honour the employee s entitlement to fair treatment. 1 lodge an appeal in writing within 10 working days of hearing of a decision to suspend them from the scheme 2 reasonable notice (normally 5 working days but less by mutual agreement) in writing of 1 the date of the meeting 2 the issues to be discussed 3 the opportunity to be represented by a trade union or another person (but not a legal representative) 4 postpone the meeting to another reasonable time within 5 working days after the original date - if their representative will not be available at the time proposed 5 hear the arguments of the manager 6 put their own side of things 7 a written record of the decision. 1. The service head or someone they appoint to hear the case, supported by at least one other person, often an HR Adviser. The decision of the panel after the appeal is heard is final. 1 August 2010 15
13.0 Notice Period if Dismissed 1 It may or may not be practical to ask the employee to work through the notice period. In law, an employee who is dismissed after sickness is entitled to: 1 notice (or pay in lieu of notice) even if they cannot work it in practice 2 full pay for the notice period - even if they are in the half pay or nil pay period of their sick pay entitlement 3 full pay for any untaken statutory annual leave accrued whilst on long-term sickness absence upon termination of their employment. 14.0 Sickness, annual leave and bank holidays (Section 16 Work/Life /Family paragraphs 2.7 and 2.17) 2.7 Carry Over of Leave: 1. Staff who have not had periods of long-term sickness absence may not carry over annual leave from one year to the next if they have taken either: 10 days or more special leave more than 15 days paid special leave and sick leave (combined). 2. Staff will continue to accrue annual leave and have a right to carry over statutory annual leave and take it at some point upon return from long-term sickness absence in the returning leave year. As the end of the current leave year the normal 5-day carry over rule would apply. 2.17 Sickness, Annual leave and Bank Holidays 1. Staff have the right to have annual leave reinstated if they fall sick provided that they: 1. comply with sickness reporting procedures, and 2.submit a medical certificate 2. Annual leave will be reinstated from the date of the medical certificate. There is no similar right for bank or public holidays. 3. Staff have a right to paid annual leave during periods of long-term sickness absence. 15.0 Extension of Sick Pay Please refer to Framework, Pay and Benefits Page 25, Paragraph 21.0 1 August 2010 16