IMPLEMENTATION DATE: NOVEMBER 2015 (REISSUED FEBRUARY 2017)

Sickness Absence Management 10.01 SECTION: HUMAN RESOURCES POLICY AND PROCEDURE: 10.01 NATURE AND SCOPE: SUBJECT: POLICY - TRUST WIDE SICKNESS ABSENCE MANAGEMENT This policy and procedure sets out the Trust s detailed arrangements for the management of sickness absence including the consideration and payment of injury benefits. The purpose of this policy and procedure is to clearly describe employees, managers, Occupational Health and Trade Unions responsibility in supporting and managing a period of absence due to ill health. DATE OF LATEST RATIFICATION: NOVEMBER 2015 RATIFIED BY: HR CORE GROUP IMPLEMENTATION DATE: NOVEMBER 2015 (REISSUED FEBRUARY 2017) REVIEW DATE: OCTOBER 2018 ASSOCIATED TRUST POLICIES & PROCEDURES: Conduct 10.10 Preventing Work Related Stress & Ensuring Staff Wellbeing Guidance Health, Safety & Welfare 16.01 Employment 10.08 Annual Leave 10.02 Trans Employees -10.07 ISSUE 8 FEBRUARY 2017

NOTTINGHAMSHIRE HEALTHCARE NHS FOUNDATION TRUST SICKNESS ABSENCE MANAGEMENT POLICY & PROCEDURE CONTENTS 1.0 Policy 1.1 Introduction & Objectives 1.2 Single Equality Scheme 1.3 Working in Partnership 1.4 Roles & Responsibilities 2.0 Management of Sickness Absence Procedure 2.1 Sickness Reporting Arrangements & Fit Notes 2.2 Sickness and Annual Leave 2.3 Sickness Absence Records 2.4 Return to Work Discussion 2.5 Staff Health Services 2.6 Stage 1 - Sickness Review and Target Setting 2.7 Stage 2 - Sickness Capability Hearing 2.8 Longer Term Sickness Absence 3.0 Training 4.0 Target Audience 5.0 Consultation 6.0 Legislative Compliance 7.0 Monitoring Compliance 8.0 Equality Impact Assessment 9.0 Champion and Expert Writer 10.0 Review Date Appendix 1 Appendix 2 Equality Impact Assessment Screening Tool Record of Changes ISSUE 8 FEBRUARY 2017 2

NOTTINGHAMSHIRE HEALTHCARE NHS FOUNDATION TRUST SICKNESS ABSENCE MANAGEMENT POLICY & PROCEDURE 1.0 POLICY 1.1 Introduction & Objectives 1.1.1 The Trust recognises that employees are our most valuable asset in delivering a high quality, safe and cost effective service to the people it serves. This will be achieved by offering attractive and fair conditions of employment, flexible working opportunities, a healthy environment and above all encouraging all employees to play an active role in the Trust s future i.e. taking opportunities to hear staff voice. 1.1.2 The Trust aims to raise awareness to help employees maintain good levels of health and wellbeing, enabling everyone to contribute fully through regular attendance at work. 1.1.3 This policy and procedure, which is applicable to all employees, is based on the core principles of ensuring an environment where staff health and welfare are a priority. It encourages managers and employees to clearly identify and understand the causes of sickness absence and initiate timely, appropriate and responsive interventions which both support and facilitate a return to work at the earliest opportunity. 1.1.4 This policy and procedure should be read in conjunction with the Guidance on Workforce Wellbeing and the Management of Sickness Absence and related documents contained within¹. The Guidance and all associated documents can be found on the Trust Intranet. 1.1.5 The Trust encourages and promotes a culture which ensures that employees are aware that their regular attendance at work and contribution to their team is valued and put in place strategies that minimize the impact of non attendance on both the individual, their colleagues and on operational services. 1.1.6 The Trust is committed to supporting employees, as far as is reasonably practicable where they have an underlying medical condition impacting on their ability to perform their role and where they are committed to their recovery and rehabilitation. 1.1.7 Employee s must take personal responsibility to fulfill the requirements to attend work in accordance with their contact of employment. 1.1.8 Everyone is different and each individual will be treated in a fair and reasonable manner with fair consideration given to individual circumstances. No two cases of sickness absence are identical and in all cases the Trust assumes that sickness absence is genuine. Employees should always be treated with empathy, understanding and compassion. The provisions of the Equality Act 2010 and other appropriate employment legislation will also be applied. ¹ Specifically the Department of Health Advice for Employers on Workplace Adjustments for Mental Health Conditions and NICE Guidance - Pathway on Promoting Mental Wellbeing at Work PH22, Managing Long term sickness and incapacity for work (2009) NICE Guideline PH19, Workplace Policy & Management Practices to Improve the Health & Wellbeing of Employees NICE Guidance NG13 and NHS Employers Guidance & Toolkits on Supporting Workplace Mental Wellbeing, Creating Healthy Workplaces and Everything You Need to Know About Sickness Absence 1.2 Single Equality Scheme ISSUE 8 FEBRUARY 2017 3

ISSUE 8 FEBRUARY 2017 4 Sickness Absence Management - 10.01 1.2.1 In applying this policy and procedure managers, employees and their representatives will have regard to the principles and requirements of the Trust s Single Equality Scheme. The Trust is committed to equality, diversity and human rights accordingly the implementation of this policy and procedure and its impact will be monitored across all equality strands and reported regularly to the Trust Board. 1.2.2 Managers will not discriminate in the application of this policy and procedure in respect of age, disability (including mental health status), race, ethnicity or nationality, sexual orientation, gender, gender identity, religion/beliefs, marital/partnership status, pregnancy/maternity or trade union membership. 1.3 Working in Partnership 1.3.1 The Trust acknowledges the significant role of representatives of trade unions and professional organisations who work in close partnership with managers to facilitate and support employees to take personal responsibility for their attendance at work. 1.3.2 Where an employee requests the assistance, accompaniment and support of a representative of a recognised Trade Union or work colleague not acting in a legal capacity, the appropriate manager will take all reasonable steps to accommodate this where appropriate. This should not detract from the manager and employee maintaining regular discussion regarding their attendance. 1.4 Roles & Responsibilities 1.4.1 Employees have responsibility for managing their own health and wellbeing and fulfilling the requirements to attend work in line with their contract of employment. This includes attending Occupational Health appointments as necessary and adhering to the requirements set out in the procedure (Section 2) 1.4.2 Managers, team leaders and supervisors are responsible for adhering to the requirements set out in the procedure (Section 2) and ensuring the work place remains conducive to achieving a healthy team working environment. Managers who do not follow the procedure will have their performance managed to ensure necessary improvements. 1.4.3 Occupational Health will provide guidance to the employee and manager on health matters which are affecting the required attendance at work. 1.4.4 Divisional Executive and Senior Management Team members are responsible for overseeing attendance levels and ensuring case management remains effective within the Division. Executive Directors may wish to review individual cases by undertaking bi-monthly reviews with a selected group of employees who are unable to attend work due to sickness absence. The purpose of the review is to ensure that the Trust is appropriately supporting employees who are absent from work. The appropriate line manager will also be invited to this meeting. Employees will be provided with the opportunity to be supported at the meeting by their trade union or professional organisation or a work colleague not acting in a legal capacity. 1.4.5 The Divisional HR team is responsible for supporting all levels of management with monitoring the attendance of their team/area of responsibility and ensuring that the procedure is adhered to. 1.4.6 The Trust Health & Safety Team is responsible for the monitoring of the required Trust and HSE documentation for reporting of work related injury and illness. Advice will be provided to include areas such as equipment needs, changes to the environment etc.

2.0 MANAGEMENT OF SICKNESS ABSENCE PROCEDURE 2.1 Sickness Reporting Arrangements & Fit Notes 2.1.1 Employees who are ill and unable to come to work have a responsibility to inform their manager by telephone before they are due to commence work. It is expected that employees will comply with locally determined reporting arrangements for sickness absence and employees will be notified by their line manager of these arrangements. Employees are required to explain the reason for absence and provide an indication of the length of time they expect to be absent. 2.1.2 In exceptional circumstances, and only where the employee is physically and/or psychologically unable to do so themselves, a member of their family/partner/spouse may telephone the manager on their behalf. 2.1.3 If the manager is unavailable for this initial contact then telephone contact details should be left in a message and the manager will contact the employee at the earliest opportunity. 2.1.4 During a period of absence, employees must keep their manager informed regarding their progress and their anticipated return to work date. In all cases the manager and the employee will jointly agree contact arrangements during the period of absence. At a minimum the employee will be expected to update their line manager at least once a week. The manager will maintain a record of all contact with the employee. 2.1.5 From the 8th calendar day sickness absence must be covered by a medical fit note which should be submitted to the line manager within 3 calendar days. Any subsequent fit note issued must be submitted within 3 calendar days of the expiry of the previous note. When determining the 8th day, all days including weekends, should be included for all groups of staff. Where an employee anticipates difficulty in timely submission of medical fit notes they must communicate this to their manager. 2.1.6 Where an employee does not comply with the sickness reporting procedure, including submission of fit notes within specified timescales (see point 2.1.5) they will be regarded as being absent without leave and this may be considered in accordance with the Trust s Conduct Policy and Procedure. 2.1.7 Where late submission of fit notes results in pay being withheld, employees will only be reimbursed statutory sick pay and not occupational sick pay, except in exceptional circumstances. 2.1.8 There are a number of circumstances where occupational sick pay may be withheld and where appropriate, action taken in accordance with the Trust s Conduct Policy and Procedure:- If it is found that during a period of absence an employee is acting in a manner inconsistent with the reason for the absence or If the employee is not supporting their own return to work 2.1.9 If the employee holds more that one contract of employment with the Trust or undertakes work with an agency/other employer, any period of sickness should affect all work including voluntary work or self employment. The only exception to this would be where a medical practitioner determines that specific work could be carried out by the individual. In these circumstances confirmation from the medical ISSUE 8 FEBRUARY 2017 5

ISSUE 8 FEBRUARY 2017 6 Sickness Absence Management - 10.01 practitioner would be required. This would not prevent the manager from requesting a second opinion from Occupational Health if that was felt to be appropriate. 2.1.10 Employees must not work for another employer whilst on sick leave with the Trust unless the above evidence (section 2.1.9) is provided and it is agreed with the manager Failure to provide this evidence in advance of any work being undertaken may result in this being regarded as a fraudulent act and/or dishonesty. 2.2 Sickness and Annual Leave 2.2.1 Whilst an employee is absent from work as a result of ill health, they will continue to accrue annual leave. 2.2.2 If an employee falls sick during a period of annual leave, the correct sickness absence reporting procedure must be followed and the period covered will be treated as sickness absence, allowing the employee to take annual leave at another time. 2.2.3 If an employee has a period of long term sickness absence and they wish to go on holiday, they are able to identify and agree with their manager a period of the sickness absence episode as annual leave and receive appropriate payment for that period. This will not be imposed on the employee. Whilst employees can travel and take annual leave during a period of sickness absence, going on holiday should not have a detrimental impact on their recovery. It if is found that during a period of absence an employee is acting in a manner inconsistent with the reason for the absence or not aiding their return to work, occupational sick pay may be withheld and where appropriate action taken in accordance with the Trust s Conduct Policy. 2.2.4 An employee will only be allowed to carry forward any outstanding statutory annual leave entitlement into a subsequent leave year. Any statutory leave entitlement should be taken within 18 months of the end of the year during which the leave was accrued. 2.2.5 If an employee leaves the Trust, they are entitled to payment to reflect accrued statutory annual leave and accrued contractual annual leave for the current leave year that has not been taken as a result of a period of sickness absence. 2.3 Sickness Absence Records 2.3.1 For the purposes of local sickness absence recording, all hours of sickness absence will be recorded, even where the absence relates to part of a day. However sickness absence recorded on ESR must be completed days. 2.3.2 Accurate and timely recording of sickness absence on ESR will ensure individual s pay is correct; pay can be adversely affected especially where employees have returned and this is not recorded on ESR. 2.3.3. Where sickness absence is as a result of an injury whilst at work, or illness acquired through work, before recording as such on ESR, this must be reviewed and agreed with the General Manager / Head of Service. If the period of sickness absence is recorded as work related NHS Injury Allowance may be payable. Consideration should also be given to RIDDOR reporting requirements. 2.3.4 Records of sickness absence will be kept by managers which enable identification of individual attendance patterns at an early stage.

2.3.5 All documentation relating to sickness absence will be stored on the employee s personal file. 2.4 Return to Work Discussion 2.4.1 A face to face return to work discussion will be undertaken with employees by their line manager ideally within 48 hours of the day they return from any period of sickness absence (including part days). If duty/work patterns do not coincide, this responsibility may be delegated to an appropriate member of staff. It remains, however, the responsibility of the line manager to ensure that the return to work discussion has been undertaken on their return to work and the discussion record filed on the employee s personal file. In exceptional circumstances, and especially in relation to community based services, initial contact may be undertaken between the manager and employee by telephone. However this should not detract from undertaking a more structured face to face discussion as soon as practicable. 2.4.2 The purpose of the meeting is to ensure that a productive discussion is held with the employee relating to their recent absence and their return to work. The areas that should be covered within the return to work interview are contained within the sickness absence management guidance document available on the Trust intranet. 2.4.3 If the recent episode of absence would prompt consideration of setting a sickness improvement target, the Stage 1 meeting (section 2.5) may be held immediately following the return to work discussion. This is provided that the employee has been made aware of the purpose of the Stage 1 meeting, has agreed to the meeting continuing and is happy to continue with that meeting without being supported by a representative of a recognised Trade Union or by a work colleague not acting in a legal capacity. 2.5 Staff Health Services 2.5.1 The Occupational Health Department is a confidential advisory service that has a dual role to provide advice and support to both managers and employees about health in the workplace and the possible effect of health conditions in relation to employment. Managers should refer employees to the service to ensure that they are able to obtain medical opinions regarding the health conditions of employees and the effect that these conditions may have upon the employee s ability to undertake roles and responsibilities. Employees are also able to refer themselves to Occupational Health if they wish. 2.5.2 Occupational Health will provide medical reports to managers. If an employee fails to attend an Occupational Health appointment, then the manager will need to make decisions and take action based on the most up to date information available to the Trust at that time. Failure to attend Occupational Health appointments without a reasonable explanation will be considered under the Trust s Conduct Policy and Procedure. 2.5.3 Managers should also encourage employees to take advantage of any relevant health and wellbeing services that may available across the Trust e.g. staff counselling services, smoking cessation services. Further information on such services can be obtained from Human Resource Advisors, Trade Union representatives, Occupational Health and the Trust intranet. ISSUE 8 FEBRUARY 2017 7

ISSUE 8 FEBRUARY 2017 8 Sickness Absence Management - 10.01 2.5.4 Managers should be aware of external sources of support such as Access to Work. Information about the programme and how to access support can be found within the sickness absence management guidance document available on the Trust intranet. 2.5.5 Managers are responsible for ensuring that stress risk assessments are carried out on a regular basis in accordance with the guidance on Preventing Work Related Stress and Ensuring Staff Wellbeing. 2.5.6 Where appropriate and applicable, managers should encourage employees to develop and agree Workplace Wellbeing Plans and Workplace Individual Support Plans as a way of supporting the employee to manage their wellbeing. 2.6 Stage 1 - Sickness Review and Target Setting 2.6.1 The line manager should arrange to meet with the employee where the employee has had either: a) 2 separate occasions of sickness absence in a rolling 6 month period (excluding pregnancy or work related illness) and/or b) 8 whole or part days sickness absence (for whole time staff, pro rata for part time employees) aggregated over a rolling 6 month period and/or c) A target previously set on a) or b) above which is due for review or d) A pattern of sickness absence is forming relating to reason and/or timing of absence 2.6.2 These should be considered in the context of an employee s overall attendance and employment record. 2.6.3 The employee must be provided with the opportunity to be accompanied and supported by an accredited representative of a recognised Trade Union or Professional Organisation or by a work colleague not acting in a legal capacity 2.6.4 The meeting should be held within 21 calendar days of the end of the period of absence which triggers the meeting and the employee should be notified in writing of the date, time and purpose of the meeting at least 14 calendar days in advance. The purpose of the meeting will be to: a) Discuss and review the position since the return to work interview and to advise the employee of the need for immediate and sustained improvement in their levels of attendance. The meeting will include discussion and establishment of sickness improvement targets (if appropriate to the circumstances of the individual and the service). b) Consideration should be given to any long term condition or disability and disability related absences when a reasonable adjustment may be more appropriate than the issue of an attendance target. c) Examine the working pattern and number of paid hours worked in excess of the employees contracted hours of duty. Where these are considered excessive it may be appropriate that no additional hours will be offered or worked until there has been a demonstrable improvement in the level of sickness absence. d) Ensure the employee is aware of their own responsibility for attending work and explain that it is reasonable to expect levels of sickness absence to improve. Where there is no improvement or if sickness absence levels increase again this may result in further formal action being taken.

e) Explore any other supportive strategies with the employee, for example staff counselling, smoking cessation, workplace wellbeing plans, stress risk assessments, access to work. f) The line manager will monitor the situation and establish a date to meet again to formally review the situation. Where the employee breaches the target Stage 2 Sickness Capability Hearing should be implemented see 2.6 below. Normal routine management supervision meetings can and should be used for the line manager and employee to keep in touch between the formal review meetings. Where the employee meets the attendance target consideration should be given to whether a further improvement target or initiatives designed to maintain the level of attendance at an acceptable standard, should be set. f) Where there is an identified underlying medical issue stated, this should be confirmed by Occupational Health. If the condition is likely to prevent sustained attendance at work reasonable adjustments should be considered and implemented where possible. If the employee s attendance does not improve sufficiently then a further meeting with the employee, their representative, the manager and HR Advisor to discuss next steps should take place. 2.6.5 Further guidance and a Stage 1 Meeting Record template is contained within the sickness absence management guidance document available on the Trust intranet. 2.7 Stage 2 - Sickness Capability Hearing Stage 2 Part 1 Capability Hearing 2.7.1 Where an attendance target has not been met or where there is continued concern about an employees attendance at work or performance due to health reasons whilst at work, a sickness capability hearing (Stage 2, part 1) with the employee should be arranged which will be conducted by an appropriate officer as per the Trust s Schedule of Authority. The employee should be provided with the opportunity to be accompanied to the meeting by their trade union representative or work colleague not acting in a legal capacity. A Human Resource Advisor/Manager should also be present. 2.7.2 The sickness capability hearing will be held no later than 21 calendar days following the return to work discussion. The employee will be notified of the arrangements for the hearing and its purpose no later than 14 calendar days prior to the hearing. All copies of documentation, including any management case (template and guidance found on the intranet) to be considered at the hearing will be forwarded to the employee with the letter notifying them of the arrangements no later than 7 calendar days before the hearing. 2.7.3 Employees who fail to attend a capability hearing will be notified in writing that it is in their interests to attend the hearing and provided with one further opportunity to attend the hearing. On the second occasion of failing to attend, without a reason deemed acceptable by the Trust, the case will be heard using all of the information and evidence available at the time a decision made in the employees absence. 2.7.4 The sickness capability hearing will allow for a full review of the facts of the case, including the employee s present and past sickness absence record, consideration of medical advice and any mitigating circumstances ISSUE 8 FEBRUARY 2017 9

2.7.5 If a sanction is appropriate this may also be linked to a further attendance target and/or other adjustments to working arrangements which are felt would improve the employee s levels of sickness absence. 2.7.6 Should a warning be issued, then any further breach of sickness absence targets or concerns about an employee s attendance at work or performance due to health reasons whilst at work should be considered at a further sickness capability hearing (Stage 2, part 2). The provisions as set out in 2.6.1 2.6.4 apply. Stage 2 Part 2 Capability Hearing 2.7.7 Where, due to continued breach of sickness absence targets, a Stage 2, part 2 Capability Hearing is held, action can be taken up to and including dismissal. Where dismissal is being considered line managers must ensure that an up to date medical opinion has been received prior to any decision being taken to dismiss the employee from employment. 2.7.8 Once the target/sanction has been met any further periods of sickness absence will be considered in light of the employees present and past sickness record. This will require a further meeting with the member of staff, the outcome of which may result in a further sickness absence target and/or further action being taken. 2.7.9 The employee has the right of appeal against the outcome of the capability hearings where the outcome results in a sanction or dismissal and will be advised of this verbally at the hearing and in writing. The employee should exercise the right of appeal by following the Trust s Appeal Procedure. 2.8 Longer Term Sickness Absence Stage 1 Maintaining Contact and Establishing a Management Action Plan 2.8.1 The manager should discuss and jointly agree with the employee a plan to maintain regular contact at the beginning of their period of sickness absence. Discussion will take place with them regarding a referral to Occupational Health to ensure that they are receiving support and advice about their condition, but also to ensure that the Trust receives information regarding their prognosis and likely return to work. Managers will ensure that payslips are forwarded to the employee together with any newsletters, briefing documents and team updates appropriate to the employee. 2.8.2 Managers will maintain a record of contact with the employee during their absence including accurate reporting on ESR. 2.8.3 The manager should consider the following interventions at the earliest opportunity and arrange to meet with the employee at a mutually agreed convenient Trust location (this may include home visits in exceptional circumstances) to discuss the following: a) The projected period of absence b) Health update and progress of treatment c) The advice of Occupational Health d) Opportunities for rehabilitation and/or redeployment (enabling the retention of employees unable to undertake their own job through ill health or injury as an alternative to ill health retirement or dismissal) and associated training needs. ISSUE 8 FEBRUARY 2017 10

ISSUE 8 FEBRUARY 2017 11 Sickness Absence Management - 10.01 Where non clinical placements for clinical staff are explored it must be noted that these will be reviewed on a monthly basis by the line manager. e) Support that may be available to the employee both within and outside the organisation. f) Arrange further review meetings and Occupational Health appointments. h) Graduated return to work plan. Such plans are not an entitlement but may be considered where the employee has had a significant illness and/or there are barriers to returning to work. The graduated work plan will allow employees to build up to optimum fitness before undertaking full contractual duties, therefore reducing the likelihood of a further sickness absence. Under normal circumstances if an employee has accrued annual leave whilst off sick they will be expected to use a proportion of this to facilitate a graduated return to work. As a guide the amount of leave to be used should be equivalent to the entitlement for the period off sick e.g. if an employee has been off for three months then a quarter of a full year s entitlement would be a reasonable amount of leave to utilise for a graduated return. Consideration should be given to the timing of the sickness absence in relation to the remainder of the annual leave year. Generally periods of graduated return should be short and for a specified time period up to a maximum of 4 weeks. However it is acknowledged that this will depend on the individual circumstances and these can be extended beyond the initial period at the discretion of the appropriate General Manager/Head of Service or delegated to the appropriate senior directorate/service area managers. 2.8.4 Managers should continue to maintain contact throughout the period of the employee s sickness absence and repeat the steps within this stage as appropriate until the absence duration reaches 3 months unless medical advice is received sooner that the employee will be unable to undertake the full duties of their substantive role. Further information is contained within the sickness absence management guidance document available on the Trust intranet. Stage 2 Consideration of Alternative Roles and/or Adjustments to Current Role / Termination of employment 2.8.5 Where long term sickness absence continues beyond 3 months, a further meeting should be arranged with the employee which should be held no later than the 4 th month of absence. This meeting should be conducted by the appropriate General Manager/Head of Service. The General Manager/Head of Service may delegate their authority to their next in line manager. This is to take account of the sensitivities which relate to ill health situations and to prevent the employee becoming involved with another manager with whom they may have previously had little contact. Where this is deemed appropriate the General Manager/Head of Service must ensure that they have been fully briefed regarding the circumstances. A Human Resource Advisor/Manager should also be present at the meeting. 2.8.6 The employee should be invited to, and given reasonable notice of the meeting, the purpose of which should be clearly identified as being to consider their future employment with the Trust. The employee should be provided with the opportunity to

ISSUE 8 FEBRUARY 2017 12 Sickness Absence Management - 10.01 be accompanied to the meeting by their staff representative, or work colleague not acting in a legal capacity. 2.8.7 The purpose of this meeting is to review the points covered in previous meetings above and to explore the longer term prognosis. This should involve the exploration of reasonable adjustments which can be made to the employee s substantive post to facilitate a return, alternative employment if it is unlikely that the employee will return to their substantive post, ill health retirement or ultimately dismissal on the grounds of capability arising from ill health. 2.8.8 It may be likely that there will be more than 1 meeting held to discuss the above, considering any timescales necessary to obtain medical reports, specialist reports, treatments and assessments. 2.8.9 If, on the basis of all available information, including an up to date occupational health assessment, and following discussion with the employee, it is decided that the health condition will prevent the employee from returning to their substantive post within a reasonable period, the employee should formally be advised that the Trust will have no alternative but to terminate their employment on the grounds of capability due to ill health. A final review meeting should take place to discuss and confirm the above. The employee should be given reasonable notice of the final review meeting and be provided the opportunity to be accompanied to the meeting by their staff representative or work colleague not acting in a legal capacity. Formal notice of the termination of employment should be confirmed both verbally and in writing, together with the arrangements for seeking alternative employment during the notice period. At this point the employee will be placed on the at risk register for ill health redeployment. 2.8.10 Employees will be advised of their right of appeal against termination of their employment verbally at the meeting and also in writing. The employee should exercise the right of appeal by following the Trust s Appeal Procedure. 2.8.11 Managers will ensure, after taking advice from Human Resources and also Occupational Health regarding the employees medical condition, that a full discussion is held with the employee regarding their skills, attributes and the type of alternative post sought. They will also identify, together with the employee s manager, any suitable vacancies which arise and bring these to the attention of the member of staff, arranging where appropriate for a preferential interview to be held. Records will be maintained of alternative posts identified. 2.8.12 On appointment to an alternative post the employee will assume the terms and conditions appropriate to the new post and an amended contract of employment will be issued by Human Resources. 2.8.13 NHS Terms and Conditions of Service do allow for termination of employment before the end of the paid absence period and each case should be considered individually. 2.8.14 A requirement of an application for ill health retirement is that the employee is permanently incapable of undertaking the role in which they are employed. The Trust will therefore deem the submission of the application for ill health retirement to be an acknowledgement by the employee of this position and will take the necessary steps to terminate employment. 2.8.15 It should be noted that a decision regarding eligibility for an ill health retirement pension is a matter for the NHS Pensions Agency and not a matter for the Trust.

3.0 TRAINING 3.1 Ongoing training is provided to managers likely to be involved in the implementation of this policy & procedure 4.0 TARGET AUDIENCE 4.1 All Trust employees, excluding bank staff. 5.0 CONSULTATION 5.1 Consultation will be between ELC, and Staff Side Representatives. 6.0 LEGISLATIVE COMPLIANCE 6.1 Equality Act 2010, Health & Safety at Work Act 7.0 MONITORING COMPLIANCE 7.1 The implementation of this policy and its effectiveness will be monitored on an ongoing basis by the Trust Board, relevant General Managers/Heads of Service, senior members of the Human Resource Departments and members of the Core Group. This monitoring process will include the consideration of employment relations statistics provided to management groups. 8.0 EQUALITY IMPACT ASSESSMENT 8.1 Following the EIA screening exercise it has been concluded that a full EIA is not needed. This policy, which should be read in conjunction with the associated guidance, ensures that the distinct needs of staff with the relevant protected characteristics (i.e. gender; gender reassignment; disability; and pregnancy and maternity), are appropriately and adequately considered, as required by the Equality Act 2010. 9.0 CHAMPION & EXPERT WRITER 9.1 The champion of this policy is the Director of HR. This policy and procedure has been expertly written by HR managers, staff side representatives and staff representatives from Living in Both Worlds. 10.0 REVIEW DATE 10.1 This policy will be reviewed in October 2018 or in light of organisational or legislative changes. ISSUE 8 FEBRUARY 2017 13

EQUALITY IMPACT ASSESSMENT (EIA) SCREENING TOOL Sickness Absence Management - 10.01 APPENDIX 1 Name of policy/procedure/strategy/plan/function etc being assessed: Sickness Absence Policy & Procedure Brief description of policy/procedure/strategy/ plan/function etc and reason for EIA: The policy and procedure sets out the Trust s detailed arrangements for the management of sickness absence including the consideration and payment of injury benefits. The purpose of the policy and procedure is to clearly describe employees, managers, Occupational Health and Trade Unions responsibility in supporting and managing a period of absence due to ill health. Names and designations of EIA group members: List of key groups/organisations consulted Data, Intelligence and Evidence used to conduct the screening exercise Charlotte Whyman, Senior HR Manager David Miller, Staff Side Chair Local Services Andrea Dickens, Trust Staff Side Chair Neil Thompson, Staff Side Chair CHP Staff Side reps Representatives from Living in Both Worlds HR reps Trust Core Group ELC Liz Walker Recovery Lead ISSUE 8 FEBRUARY 2017 14

Equality Strand Race Gender Inclu. Transgender and Pregnancy & Maternity Disability Religion/Belief Does the proposed policy/procedure/ strategy/ plan/ function etc have a positive or negative (adverse) impact on people from these key equality groups? Please describe Positive impact identified. Section 1.2 of the Policy clearly highlights the responsibility of managers to ensure that consideration is given to the equality and diversity needs/requirements of staff when implementing this policy and procedure. Positive impact identified. Pregnancy related absences are treated differently to other ill health absences and therefore removes the potential to discriminate on the grounds of pregnancy Managers required to encourage use of WISP plans for staff with a disability, consideration of reasonable adjustments at each stage of procedure, and to ensure that disability related sickness is dealt with in a nondiscriminatory manner. Are there any changes which could be made to the proposals which would minimise any adverse impact identified? What changes can be made to the proposals to ensure that a positive impact is achieved? Please describe Have any mitigating circumstances been identified? Please describe Areas for Review/Actions Taken (with timescales and name of responsible officer) N/A N/A Author to Review in October 2018 N/A N/A Author to Review in October 2018 N/A N/A Author to Review in October 2018 As Race N/A N/A Author to Review in October 2018 ISSUE 8 FEBRUARY 2017 15

Sexual Orientation Incl. Marriage & Civil Partnership Age As Race N/A N/A Sickness Absence Management - 10.01 Author to Review in October 2018 As Race N/A N/A Author to Review in October 2018 Social Inclusion* 1 October 2018 As Race N/A N/A Author to Review in Community Cohesion* 2 As Race N/A N/A Author to Review in October 2018 Human Rights* 3 October 2018 As Race N/A N/A Author to Review in * 1 for Social Inclusion please consider any issues which contribute to or act as barriers, resulting in people being excluded from society e.g. homelessness, unemployment, poor educational outcomes, health inequalities, poverty etc. * 2 Community Cohesion essentially means ensuring that people from different groups and communities interact with each other and do not exclusively live parallel lives. Actions which you may consider, where appropriate, could include ensuring that people with disabilities and non-disabled people interact, or that people from different areas of the City or County have the chance to meet, discuss issues and are given the opportunity to learn from and understand each other. * 3 The Human Rights Act 1998 prevents discrimination in the enjoyment of a set of fundamental human rights including: The Right to a Fair Trial, Freedom of Thought, Conscience and Religion, Freedom of Expression, Freedom of Assembly and Association and the Right to Education. Conclusions and Further Action (including whether a full EIA is deemed necessary and agreed date for completion) Screening Tool Consultation End Date Name of Equality and Diversity (E&D) Group Approving EIA (i.e. Directorate E&D Group, Divisional E&D Forum or Trustwide E&D Steering Group) Name of Responsible Officer Name and Contact Details (tel. e-mail, postal) Following the EIA screening exercise it has been concluded that a full EIA is not needed. The policy, as required by the Equality Act 2010 ensures that the specific requirements of diverse groups are identified, considered and met as appropriate within the remit of this policy/procedure. 31/08/15 Equality and Diversity Sub-Committee of the Board of Directors Charlotte Whyman, Senior HR Manager charlotte.whyman@nottshc.nhs.uk 0115 9691300 ext 11194 ISSUE 8 FEBRUARY 2017 16

Policy/Procedure for: Sickness Absence Management (previously 14.01) APPENDIX 2 Issue: 08 Status: Author Name and Title: APPROVED Group of HR Managers and Staff Representatives Issue Date: NOVEMBER 2015 (REISSUED 15 FEBRUARY 2017) Review Date: OCTOBER 2018 Approved by: Distribution: HR CORE GROUP NORMAL RECORD OF CHANGES DATE AUTHOR POLICY DETAILS OF CHANGE MAY 08 K Waters PE/23 Changes throughout the document AUGUST 2010 JUNE 2011 O Fulton 14.01 Extensive changes throughout the document, Single equality scheme, definitions, review date, employee, managers, HR responsibilities, role of OH, H&S, pay services, trade unions, pregnancy related sickness, short and long term sickness processes, Sickness Capability Hearing, work related accidents & stress, cosmetic surgery, legislation, appendix 2, appendix 3, additions to appendix 6, sickness and annual leave. J Cyrnik 14.01 Minor amendments throughout a follows:- Annual leave added to associated policies on front cover 6.14 HMRC definition of first full days absence 7.7 added reference to recording sick leave on Staff Leave record Appendix 5 of Annual leave policy 15.2 (a) amend reference to Appendix 3 to Appendix 4 15.3 removal of wording or has been breached Updated return to work template appendix 5 Jan 2013 K Waters 14.01 Extensive changes throughout the document May 14 P Hall 10.01 Changes of policy number May 2015 C Whyman Other referenced policy numbers updated to reflect changes 10.01 Review of content changes throughout the document ISSUE 8 FEBRUARY 2017 17