ATTENDANCE CAPABILITY POLICY (Managing Sickness absence)

Wirral University Teaching Hospital NHS Foundation Trust Policy Reference: 152 ATTENDANCE CAPABILITY POLICY (Managing Sickness absence) Version: 9.4 Name and Designation of Policy Author(s) Ratified By (Committee / Group) Lawrence Osgood, Head of HR Workforce and Communication Group Date Ratified 5 th December 2014 Date Published 25 th June 2015 Review Date 5 th December 2017 Target Audience Other Associated Strategies, Policies, Procedures, etc All Staff Any policy linked to performance, conduct or equality and diversity. To be used in conjunction with: Managing Short and Long Term Sickness Absence - Guidance for Managers. http://www.wuth.nhs.uk/media/2076752/attendance-capability-guidelinesmanaging-short-long-term-sickness-absence-13.pdf #PROUD TO CARE FOR YOU wuth.nhs.uk @wuthnhs #proud

CONTENTS Content Page 1 Introduction... 1 2 Purpose... 1 3 Scope... 1 4 Trust Target, Triggers and Monitoring... 1 4.1 Trust Target... 1 4.2 Triggers... 2 4.3 Short Term or Persistent Absence... 2 4.4 Long Term Absence... 2 5 Special Circumstances... 4 6 Process for Managing Sickness Absence... 5 7 Certification Requirements... 7 8 Notification of Sickness... 7 9 Payment of Sick Pay... 8 10 Sickness Absence and Annual Leave... 8 11 Occupational Health... 8 12 Light Duties... 8 13 Medical and Other Appointments... 9 14 Unauthorised Absence... 9 15 Part Day Absences... 9 16 Other Employment... 10 17 Ill Health Retirement Procedure or Resignation by Mutual Agreement... 10 18 Terminal Illness... 10 19 Potential Use in Redundancy Situations... 10 20 Right to Representation and Appeal... 11 21 Definitions... 11 22 Duties / Responsibilities... 11 22.1 Employees... 11 22.2 Line Manager... 12 22.3 HR Department... 12 22.4 Occupational Health... 13 22.5 Local Counter Fraud Specialist... 13 22.6 Trade Union Representative... 13 22.7 Committee Roles... 14 23 References... 14 Appendix 1 Contact with Employees Absent Through Sickness... 15 Appendix 2 Attendance Capability Stages... 16

1 Introduction The policy provides an equitable, consistent and sensitive approach to the management of sickness absence. Employees are paid on the basis of satisfactory attendance and performance. While it is recognised that most employees will occasionally have acceptable reasons to be absent from work, all absences cause operational difficulties, undermine efficiency and increase costs. Overall, absenteeism can have a substantial impact on service delivery and the quality of patient care. The aim of this policy is therefore to minimise absence levels across the Trust, while also providing appropriate support to those absent for legitimate reasons, with the aim of assisting their return to work at the earliest opportunity. Sickness absence management is a key performance management responsibility for all managers and is part of their Appraisal process. This policy is intended to be used in conjunction with: Managing Short and Long Term Sickness Absence - Guidance for Managers. The Trust is committed to preventing discrimination, valuing diversity and achieving equality of opportunity. No employee will receive less favourable treatment on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation, or on the grounds of trade union membership. 2 Purpose The purpose of this policy and the linked management procedures is to: assist and encourage all employees to achieve and maintain satisfactory levels of attendance define acceptable levels/patterns of attendance; define the procedure for managing staff with unacceptable levels/patterns of attendance; provide managers with a framework to improve the attendance of employees ensure consistent and fair treatment for all employees who experience difficulties in attaining the standard to satisfactorily undertake their job 3 Scope This policy applies to all employees of Wirral University Teaching Hospital NHS Foundation Trust and should be read in conjunction with other Trust policies. 4 Trust Target, Triggers and Monitoring 4.1 Trust Target The Trust Board has set an attendance target of 96% (no more than 4% sickness absence). Wirral University Teaching Hospital NHS Foundation Trust Page 1 of 16

4.2 Triggers In the case of a long term absence (28 days or more) the long term absence triggers should be used, in the case of a short term absence (less than 28 days) the short term triggers would be used. Note: long term and short term triggers cannot both be applied to the same absence, if absence is less than 28 days only the short term triggers would be applied, if 28 days or greater only the long term triggers would apply. If a warning is issued in the meeting which is triggered by either short term or long term absence the warning stage counts towards progression via either route. For example a member of staff is off for 26 days and hits the short term trigger of greater than 4%, they are invited to a stage 1 meeting and a decision is taken to issue a stage 1 warning. They then subsequently go off for 35 days whilst the stage 1 for short term is still in effect, at 28 days they hit the first long term trigger and are invited to a further formal meeting resulting in a stage 2 warning being issued. When they resume after 35 days no further LT trigger has been hit and the ST triggers should not be applied to this absence as it is greater than 27 days. So no further formal action is taken at this point and just a return to work interview performed. 4.3 Short Term or Persistent Absence The short term sickness absence procedure will be initiated when one or more of the following triggers have been met:- Sickness absence % above 4%. If no warnings are in effect on the first day of the absence this will be measured over a retrospective rolling 52 weeks (looking back from the last day of sickness of the episode). Greater than 4% will trigger a stage 1 meeting which may result in the issue of a stage 1 warning. If a warning is in effect on the day a staff member begins a period of sickness then the percentage will be calculated over a retrospective rolling 26 weeks (looking back from the last day of sickness of the episode). If this percentage is over 4% the next stage meeting would be triggered. 3 episodes in a rolling 26 weeks. Patterns of absence (e.g. particular days of the week; coincidental with sporting or other events; particular shifts, school holidays, etc.). Any unauthorised absence The Managing Short and Long Term Sickness Absence - Guidance for Managers document sets out the procedure which will be followed for managing short term absences. 4.4 Long Term Absence Long term absence is defined as a continuous period of 28 calendar days or more. The first trigger during long term absence is 4 calendar weeks and a Stage 1 meeting will be convened (if previous warnings are not still in effect when the sickness started, if there are warnings in effect then an appropriate stage meeting will be convened at 4 weeks and subsequent stages at the points described below). The triggers following the warning meeting at 4 weeks will be at 12 weeks, 26 weeks and 32 weeks. If sickness continues beyond 32 weeks the trigger to consider issue of further warnings will be every 4 weeks thereafter. Wirral University Teaching Hospital NHS Foundation Trust Page 2 of 16

STAGE TRIGGER ONE (if no active warning) 4 WEEKS TWO (or as appropriate) 12 WEEKS THREE (or as appropriate) 26 WEEKS FOUR (or as appropriate) 32 WEEKS & 4 weeks thereafter if appropriate ** ** If sickness continues beyond 32 weeks, the trigger to consider issue of further warnings will be every 4 weeks thereafter. If a member of staff begins a period of long term absence within 2 years of a previous period of long term absence and there is no active warning in place then the stage one will be omitted and the employee will be invited to a stage 2 meeting at 4 weeks. The Managing Short and Long Term Sickness Absence - Guidance for Managers document sets out the procedure which will be followed for managing long term absences. Note: Warnings given for one type of absence (long or short term) count towards moving through stages even where further occurrences are to do with the other type of absence. The formal dismissal (stage 4) interview should be conducted by a manager with the level of authority to dismiss (as per disciplinary procedure) advised by a representative from Human Resources. In the case of a stage 4 meeting related to a long term absence it is important that the relevant facts regarding the reason for absence are known. To this end the employee should have had a recent review by the Trust occupational health department (ideally within the 3 months prior to the dismissal meeting) and the OH report from that review should be available to inform decisions at the stage 4 meeting. If the employee fails to attend Occupational Health then stage 4 dismissal meetings may need to go ahead without this report and decisions in these circumstances would be made based on best available evidence. If dismissal is decided upon, the employee will be dismissed with notice or with pay in lieu of notice. The employee must be informed in writing including their right to appeal. If further measures are to be considered as an alternative to dismissal, a letter should be issued outlining the action to be taken and the time scales involved. 4.4.1 No indication of a Return to Work Irrespective of the stages set out above and irrespective of if the employee has not reached the end of the contractual paid sick absence period at any point in a long term absence where there is a clear indication that a return to work will not be achieved within a reasonable timeframe managers can convene a meeting where dismissal may be an option. Before progressing to this stage Line Managers should discuss with their Human Resources Manager. The manager s aim should be to ensure that all possible solutions have been considered before making a decision to dismiss, for example in the case of disability reasonable adaptation of the role and reasonable redeployment. In considering all possible solutions the manager should be mindful of on-going treatment and referrals which the employee might be receiving and whether this is likely to significantly change matters in the near future. Wirral University Teaching Hospital NHS Foundation Trust Page 3 of 16

In addition, consideration should be given and the employee should be advised accordingly of whether Ill Health Retirement is an option and the details of this. 5 Special Circumstances It is important to remember that though the number of sickness absences and number of days absent are important elements in determining whether action in accordance with this Procedure is appropriate, it is just as important to consider individual circumstances. The Trust recognises that there may be occasions when managers should use their discretion to not issue a further warning when a trigger is met. The following are examples that might be considered in relation to this: - the reasons for the sickness absences and how likely they are to reoccur (e.g. an employee who has consistently good attendance over a number of years) is off for a few weeks after sustaining a broken leg, in such case it would probably not be appropriate to issue an improvement notice in such an isolated case) - For long term absence where a return to work is imminent. - whether reasonable adjustments have been made in the workplace to support an employee who suffers with an underlying health condition or disability - considering if any of the sickness absences are regarded as pregnancy related absences as these absences do not count towards trigger points - approved disability leave does not count towards a trigger point (see disability leave policy) - considering if any of the sickness absences are regarded as work related injuries (see also Injury Allowance Guidelines on HR section of intranet or from your HR manager) - Individual s willingness to attend the Self Care Programme. A review of any agreed flexible working arrangements will also be considered in the context of the reason for a member of staff s sickness absence. A discussion will take place at the return to work meeting or formal warning meeting to ascertain whether the existing arrangement could be having a detrimental effect on their health and contributing to their absence from work or alternatively to ascertain whether the introduction of a flexible working agreement may improve their health and attendance at work. A record of the discussion and outcome will be documented on the member of staff s return to work form or warning letter. Where flexible working is to be introduced or amended a new flexible working agreement form will need to be completed and a review period confirmed. If the flexible working arrangement is to cease this needs to be confirmed in a letter to the staff member. HR Managers should be consulted over any such actions. Please note: because a particular reason for absence has been accepted as a special circumstance earlier in the procedure, it is at management discretion whether that same special circumstance will continue to be accepted. Factors to be taken into account are; the continuing length of absence; frequency of absences; Occupational Health or other medical reports; prognosis on a return to work; reasonable adjustments; impact on service provision etc. In cases which reach Stage 4 of the policy, the Senior Manager with a HR representative will be able to consider the employees previous record of attendance. Should an individual be identified as having a disability, HR should be involved in the early stages so that appropriate advice and support can be given. Wirral University Teaching Hospital NHS Foundation Trust Page 4 of 16

6 Process for Managing Sickness Absence The procedure outlined below should be used to manage poor attendance, whether long or short term. It is a single process and covers both types of absences. Staff on a stage for one type of absence may move to a further stage for another type of absence where triggers are breached. Return to Work As much notice as possible must be given to your manager when you anticipate returning to work. On returning from every absence spell you should meet informally 1 to 1 with your manager to discuss any relevant matters, to sign any necessary documentation for sick pay, to inform if a trigger has been hit and that a formal meeting will be arranged etc. This meeting will typically occur when you report for duty. A return to work discussion is an informal meeting between a member of staff and their line manager that takes place when the member of staff returns, or plans to return to work following sickness absence. The Trust is committed to the return to work discussion because: It is good practice to meet with all staff members on any occasion they are returning to work after sickness absence; It enables informal discussion where any relevant matters can be discussed and the appropriate paperwork completed; It can be a valuable way of picking up early indications of any specific problems such as those related to a newly diagnosed disease or difficulties in the work or home environment; It provides an opportunity to outline support that can be offered to staff that might reduce sickness absence incidence via family friendly working arrangements, short notice annual or unpaid leave etc. Following a long period of absence it is recommended that the return to work discussion takes places as soon as the likely return to date has been identified. This may help the employee to prepare for their return and enables the manager to arrange any additional support required. Stage 1 When an employee hits one of the trigger points the manager will invite the member of staff to a Stage 1 meeting. The session will be used to bring to the employee s attention the reasons why it is felt that their attendance is unacceptable, ascertain whether they accept that there is a problem, listen to any explanations or statements made by them, advise on support that is available to them and discuss how they should seek to improve. The session should take the form of a positive and sympathetic interview. Points to be covered at the meeting: The trigger point they have reached (e.g. sickness percentage over Trust target in rolling 52 weeks) Steps already taken to encourage/improve attendance Support available Explanation from the employee as to the reasons for the absence The difficulties it causes in the department Wirral University Teaching Hospital NHS Foundation Trust Page 5 of 16

Review period and what may trigger the next stage The employee should be given a copy of the Attendance Capability Policy and warned that their sickness absence will be monitored. If there are special circumstances to be taken into consideration the manager will either consider that no action is appropriate or will confirm a stage 1 warning. This warning will be live for 26 weeks from the date return to work from the absence in question for short term sickness absence, and 26 weeks from the date the trigger was met for Long Term absences. If the employee does not breach a further trigger during this time the warning will expire. Stage 2 Should an employee be off sick whilst the previous stage 1 warning is still in effect and they hit one of the trigger points (either short or long term) the manager will invite the member of staff to a stage 2 meeting. The session will be used to bring to the employee s attention the reasons why it is felt that their attendance is unacceptable, ascertain whether they accept that there is a problem, listen to any explanations or statements made by them, advise on support that is available to them and discuss how they should seek to improve. Points to be covered at the meeting: The trigger point they have reached. Steps already taken to encourage/improve attendance Support available Explanation from the employee as to the reasons for the absence The difficulties it causes in the department Review period and what the next may trigger the next stage If the manager accepts that special circumstances need to be taken into consideration and discretion should be used the manager will either consider no action is appropriate or will confirm a stage 1 warning rather than move to stage 2. If no special circumstances exist the manager will confirm to the employee that they have been warned in accordance with the stage 2 level of the policy. This warning will be live for 26 weeks from the date return to work from the absence in question for short term sickness absence, and 26 weeks from the date the trigger was met for Long Term absences. The outcome will be confirmed in writing including informing the employee of their right to appeal. Stage 3 Should an employee be off sick whilst the previous Stage 2 warning is still in effect and they hit one of the trigger points (either short or long term) the manager will invite the member of staff to a stage 3 meeting. This should be done as quickly as possible after the breach and not left until the end of the warning period. Points to be covered at the meeting: The trigger point they have reached. Steps already taken to encourage/improve attendance Support available Explanation from the employee as to the reasons for the absence The difficulties it causes in the department Review period and what the next may trigger the next stage Wirral University Teaching Hospital NHS Foundation Trust Page 6 of 16

If the manager accepts that special circumstances need to be taken into consideration and discretion should be used the manager will either consider no action is appropriate or will confirm a new stage 2 warning rather than move to stage 3. If no special circumstances exist the manager will confirm to the employee that they have been warned in accordance with the stage 3 level of the policy. This warning will be live for 39 weeks from the date return to work from the absence in question for short term sickness absence, and 39 weeks from the date the trigger was met for Long Term absences. The outcome will be confirmed in writing including informing the employee of their right to appeal. Stage 4 Final Meeting Should an employee be off sick whilst the previous Stage 3 warning is still in effect and they hit one of the trigger points (either short or long term) the manager will invite the member of staff to a stage 4 final meeting. This should be done as quickly as possible after the breach and not left until the end of the warning period. If the manager accepts that special circumstances need to be taken into consideration and discretion should be used the manager will either consider no action is appropriate or will confirm a new stage 3 warning rather than dismiss. If a Stage 3 warning is reissued then its duration will be 52 weeks from the date of return from the absence in question for short term sickness absence, and 52 weeks from the date the trigger was met for Long Term absences and at the end of that 52 weeks if no further triggers have been hit the employee will automatically step down to a stage 2 warning which will then be in effect for a further 26 weeks. If no special circumstances exist the Trust has the right to dismiss the employee with notice (paid in lieu) irrespective of the fact they may still be in receipt of contractual sick pay. The outcome will be confirmed in writing including informing the employee of their right to appeal. 7 Certification Requirements All staff who are absent for a period of more than 4 calendar days and up to 7 calendar days are required to submit a self-certificate. From the 8 th day of sickness absence, a fit note is required and must be submitted immediately or as soon as reasonably practicable. Failure to comply with these requirements in a timely manner may affect pay and in the most serious cases, disciplinary action may be taken. Back dated medical certificates will not normally result in backdated pay. If an employee is subject to the formal review process for the management of short-term absence consideration may be given to the withdrawal of the right to self-certification. 8 Notification of Sickness See the Managing Short and Long Term Sickness Absence Guidance for Managers for further details. Wirral University Teaching Hospital NHS Foundation Trust Page 7 of 16

9 Payment of Sick Pay Under the provisions of this policy there may be an entitlement to occupational sick pay. This is set out in the schedule of main terms & conditions of services issued to all employees on commencement of their employment. This does not automatically allow employees to remain in the employment of the organisation until the occupational sick pay is exhausted. Sick pay is not normally payable for an absence caused by an accident due to active participation in sport as a profession or where contributory negligence is proved, in accordance with the Agenda for Change terms and conditions handbook. After investigation, consultation and consideration of other alternative posts, where appropriate, and where there is not a realistic prospect of the employee returning to work within a reasonable timeframe, the Trust will have the option to terminate employment before the employee has reached the end of the contractual paid sick absence period. 10 Sickness Absence and Annual Leave Staff who are sick during a period booked as annual leave should inform their manager immediately (whilst on annual leave) and provide a medical certificate from their GP to cover the period being converted to Sickness absence. Medical certificates must be paid for by the employee, if necessary. Annual leave may then be given back in such circumstances following consultation with the Directorate / Human Resources Managers. When an employee has been on long term sick leave and has been unable to use their outstanding annual leave by the end of the annual leave year they will accrue statutory holiday leave (see annual leave policy). It is likely that this accrued annual leave will then be used as part of a phased return to work programme. Where the employee has not taken their annual leave entitlement during the period of sickness absence, and where an employee s sickness absence spans two leave years, they will accrue statutory annual leave for the period of their sick leave and can be asked to take all of their accrued, but untaken annual leave, by the end of the leave year in which they return. Please see annual leave policy for further details. 11 Occupational Health All employees are required to attend Occupational Health were appropriate. Attending Occupational Health is a condition of the Occupational Sick Pay Scheme (OSP) and whilst this would be a last resort, should a member of staff refuse to attend/cooperate they should be informed that this is a condition of employment and as such could compromise the continued payment of OSP. Persistent failure to attend scheduled Occupational Health appointments may be dealt with under the Disciplinary Policy. 12 Light Duties If OH have advised that a member of staff can return to work on light/restricted duties, the manager must meet with the member of staff to determine what task/duties they can and Wirral University Teaching Hospital NHS Foundation Trust Page 8 of 16

can t do and document this. This period of lighter duties, should not normally last longer than 6 weeks. If the member of staff is unable to return to full duties in this time frame, further consideration should be given to temporary change of employment contract or permanent redeployment if appropriate and advice must be sought from Occupational Health. Managers must also take into account whether the member of staff has a disability, and therefore whether reasonable adjustments can be made to the role. 13 Medical and Other Appointments Employees should wherever possible arrange appointments outside of normal or rostered working hours. When this is not possible, employees should seek to arrange appointments that minimise the disruption to work. Where this cannot be arranged, permission to attend during work hours should be sought and should not be unreasonably refused. Except in cases of emergency, the employee should advise their line manager of the proposed time of the appointment as soon as possible and must produce an appointment card or letter if asked. Where there are a series of appointments for regular and on-going treatment, arrangements need to be approved by the line manager for handling these. Staff taking prescribed or other medication should speak to their manager and contact the Occupational Health Department for advice if they think that the medication they are taking may have an adverse effect on their ability to carry out their duties. 14 Unauthorised Absence Failure to report absence in line with the local procedures for the area of work will be treated as unauthorised absence and therefore unpaid, unless there are exceptional circumstances preventing the employee from doing so. In these circumstances the line manager should be contacted at the first available opportunity to explain the reasons for the non-compliance. Unauthorised absence is a trigger for action under this policy. If sick certificates are not provided, sick pay will not be paid. Reinstatement of sick pay from the day the certificate is received by the manager will be subject to compliance with keeping in touch provisions. Backdated medical certificates will not normally result in backdated pay. Failure to follow the correct absence notification procedures and / or unauthorised leave may result in disciplinary action. This includes non-attendance at meetings, Occupational Health appointments, not keeping in contact or providing medical certificates. 15 Part Day Absences Part day absences arising from an employee attending work but then going home due to illness will not normally count towards trigger points, although any subsequent days absence following the day of going home will. However if there is a pattern of part day absences the manager should contact HR for advice, as this may be reasonably considered as an unacceptable pattern of absence warranting a formal meeting. Wirral University Teaching Hospital NHS Foundation Trust Page 9 of 16

16 Other Employment If an employee is absent on sick leave, it is unacceptable that they should at the same time be working, including voluntary or unpaid work, for another employer or on a selfemployed basis. This includes working in another department or unit within the Trust. Abuse of the sick pay arrangements may be seen as fraud and may; depending on the circumstances, result in disciplinary action. In addition it may be considered as an offence under the Theft Act (1988) or the Fraud Act (2006) and therefore the employee may face further civil and/or criminal proceedings against them. 17 Ill Health Retirement Procedure or Resignation by Mutual Agreement If a member of staff is a member of the Pension Fund, they may apply for early release of their benefits due to continued ill Health. Whilst this is between the individual and the Pension Fund, the Trust will assist in the preparation and submission of this application. This does not preclude action being taken in accordance with this policy. Further advice and relevant forms can be obtained from the Pensions Officer regarding ill health retirement. In the event that there is no likely date of return to work for the employee and reasonable adjustments or redeployment have not been successful or are not applicable due to the employee s medical condition, the option of resignation by mutual agreement can be taken as an alternative to the formal procedure outlined above. This must be agreed at a meeting. The right of representation must still be offered. The summary of this meeting must be confirmed in writing. The employee must also be given the Right of Appeal and the termination date must be mutually agreed. 18 Terminal Illness Where an employee is suffering from a terminal illness the Trust would aim, as far as possible, to accommodate the employees wishes and would try to provide the most beneficial result for the employee and/or his/her relatives. In all cases of terminal illness, employees should contact the Pension Manager as soon as possible to enable options to be identified and discussed. Options include: That the employee continues to work fully or in a reduced capacity that, if the employee is eligible, they could make an application for ill-health retirement, or where life expectancy is 12 months or less, their incapacity pensions could be commuted so that the value of their benefits is paid as a single lump sum. 19 Potential Use in Redundancy Situations Absence history can be considered as part of the selection criteria for redundancy purposes. Please see Redundancy policy for further details. Wirral University Teaching Hospital NHS Foundation Trust Page 10 of 16

20 Right to Representation At all stages in the formal procedure staff have the right to be represented by a recognised Trade Union representative or a work colleague of their choice. However it is not in the interests of those concerned for a meeting to be delayed unduly while representation is sought. Where the manager is aware of the identity of the representative, the manager may attempt to contact the representative to arrange a mutually convenient time for a meeting. In instances where delay is unacceptable management will have the final decision on arrangements for meetings. 21 Definitions This policy seeks to address the appropriate process relating to the management of sickness and sickness related absence. Short Term Sickness Absence Short term absence can be defined as an episode of absence of less than 28 calendar days. Long Term Sickness Absence - Long term absence is regarded as any continuous absence period of 28 calendar days or longer. Sickness Absence Percentage This is the hours lost to sickness absence as a percentage of the contractual hours measured over a retrospective reference period of either 52 weeks or 26 weeks. If no warnings are live on the first day of the current absence this should be measured over the 52 weeks looking back from the last day of sickness of the current episode. If a warning is live on the first day of the current absence this should be measured over the retrospective 26 weeks looking back from the last day of sickness of the current episode. 22 Duties / Responsibilities 22.1 Employees Every employee, who has a contract of employment with the Trust, has certain obligations and rights with regard to sickness absence. Briefly these are: To ensure regular attendance at work To be familiar with the arrangements for reporting sickness absence To provide appropriate and timely certification of sickness To maintain regular contact with their line manager or nominated person when absent from work for short terms absences. For Long term absences then staff should agree regular contact arrangement with their manager (minimum every 2 weeks). To attend arranged medical appointments To co-operate fully in the use of the Trust s Sickness Absence Management Policy. If on a waiting list for any form of medical intervention, to ensure the individual in charge of their care is aware that they are a member of staff and can be contacted at short notice in the event of a cancellation Wirral University Teaching Hospital NHS Foundation Trust Page 11 of 16

Staff should be familiar and aware of their legal responsibilities under the Health and Safety at Work Act. The Trust has adopted a general Health and Safety Policy, available on the intranet. Staff must report to their line manager, any accident suffered whilst off-duty that causes absence from work and must also provide appropriate certification as required. 22.2 Line Manager The role of the line manager is critical in ensuring the effective application of the Sickness Absence Management Policy. The line manager is responsible for: Ensuring that all staff within their department understand and follow the procedures for reporting sickness absence; Managing staff absence in accordance with the Trust s Sickness Absence Management Policy. Maintaining regular contact with staff on short term sickness absence. For long term absences then manager should agree regular contact arrangement with individual (minimum every 2 weeks). Treating all staff who suffer ill-health, sympathetically, fairly and consistently; Monitoring the absence levels of staff and taking the appropriate action where necessary; Maintaining accurate documentation of absences; Informing the Payroll Department of all sickness absences, ensuring the self/medical certificates are received on dates due and that they are processed appropriately; Keeping staff who are absent informed of significant changes/events within the Department/Trust; Involving HR and Occupational Health in a timely manner; Where formal referral to Occupational Health is required, supplying adequate and appropriate information together with specific questions to be answered rather than general requests for advice; Ensuring that in dealing with sickness absence the department is complying with the Equality Act (2010) in relation to disability and the Trust s wider policies on equal opportunities and dignity at work, seeking the appropriate advice and support from HR and Occupational Health, as required; As far as is reasonably practicable, ensuring that on the first day of the employee s return a return to work discussion is conducted and the appropriate documentation completed 22.3 HR Department HR are available to provide advice, guidance and training on the application of this policy. HR advice should always be sought prior to issuing any formal warning to ensure a consistent approach. HR will always attend the formal long term meetings in the process. HR will always attend the formal Stage 2 meetings and above for short term absences Wirral University Teaching Hospital NHS Foundation Trust Page 12 of 16

22.4 Occupational Health The Occupational Health Department offers confidential advice and support to the employee, manager and HR during a member of staff's absence to help facilitate the best way forward. Advice will be based on knowledge of the illness and the employee s job. In certain circumstances and with the individual s consent, Occupational Health will seek the opinion of the employee s General Practitioner and/or Specialist. In the event of a referral from the Manager, Occupational Health will respond in writing and also send a copy of the correspondence to the employee. 22.5 Local Counter Fraud Specialist The Trust is committed to maintaining a culture of integrity, openness and honesty. It is therefore also committed to the elimination of any fraud within the Trust and to the rigorous investigation of any such cases. The Trust s Counter Fraud Policy, which is available on the intranet, outlines the definition of fraud and provides guidance for employees who have suspicions of fraud. An example of fraud is the misuse of sick leave, i.e. working elsewhere whilst off sick. If any individual suspects that an employee is falsely claiming sick pay in the first instance they should contact the Local Counter Fraud Service. In all instances where there is a suspicion of falsely claimed sickness absence the Trust s Local Counter Fraud Specialist will investigate it. All documentation relating to an employee s sickness may be used as evidence in the event of an investigation. 22.6 Trade Union Representative Support the individual member and his/her organisation in minimising absence from work caused by sickness. Provide their members with advice on all aspects of the policy. Ensure an appropriate trade union representative is available to attend the formal long term meetings in the process should their member wish to be accompanied and to ensure that meetings can occur in a timely manner. Ensure an appropriate trade union representative is available to attend the formal Stage 2 and above meetings in the process for short term absence should their member wish to be accompanied and to ensure that meetings can occur in a timely manner. Work closely with managers and other groups to make the policy effective at organisational level, including being aware of all relevant legislation. Maintain their competence in the application of the policy and in supporting their member through absence due to sickness. Work with their individual member, the manager and occupational health department to facilitate a return to work as soon as possible following a period of sickness. Wirral University Teaching Hospital NHS Foundation Trust Page 13 of 16

22.7 Committee Roles Workforce & Communication Group (W&CG) - The Workforce & Communication Group is responsible for the approval and performance management of this policy and procedure. Divisional Management Teams - The Divisional Management Team or equivalent is responsible for the development of a culture of attendance within the Division/Department, together with the proper management of absence in accordance with this policy. It will ensure that the policy is communicated and applied within the Division/Department and address any non-compliance, failure to meet the Key Performance Indicators and/or any associated risks. It is responsible for ensuring that data both quantitative and qualitative is analysed within the Division for the purposes of improvement, compliance and to risk assess the implications of high levels of absence. Describe the duties / responsibilities of anyone involved in the policy development or implementation (e.g. directors, managers, committees, specialist staff or groups, authors with responsibility for the policy and the staff who will implement it). This does not need to list every individual duty, but should give an overarching summary of responsibilities. 23 References NHS Terms and Conditions Handbook(s) Trust Annual Leave Policy(s) Theft Act (1988) Fraud Act (2006) Equality Act (2010) Wirral University Teaching Hospital NHS Foundation Trust Page 14 of 16

Appendix 1 Contact with Employees Absent Through Sickness Wirral University Teaching Hospital NHS Foundation Trust CONTACT WITH EMPLOYEES ABSENT THROUGH SICKNESS SHORT TERM LONG TERM Contact everyday unless agreed otherwise. Meeting to be arranged when any trigger is met. Contact every 2 weeks (at least). If off with stress, immediate referral to Occupational Health. If no contact from staff member, Manager to contact them. If no contact, Manager to write to individual advising pay will be withdrawn. Any other reason referral when absence of 4 weeks or more is identified. Contact should be with individual themselves unless exceptional circumstances. If still no contact, Wirral University Teaching Hospital NHS Foundation Trust Page 15 of 16 Manager to stop pay and write to confirm this.

Appendix 2 Attendance Capability Stages Employee Breaches Trigger Are there Special Circumstances? Stage 1 Warning No No Employee breaches another trigger in warning period? Warning Expires Yes Refer to Occupational Health, Yes Make Reasonable Adjustments Warning Expires Yes Are there Special Circumstances? No Stage 2 Warning Warning Expires No Yes Employee breaches another trigger in warning period? Employee breaches another trigger in warning period? No Yes Stage 4 Dismissal Are there Special Circumstances? Are there Special Circumstances? Stage 3 Wirral University Teaching Hospital NHS Foundation Trust Page 16 of 16 Date Published: 25 th June 2015 Review Date: 5 th December Warning 2017 No Yes Yes No

Consultation, Communication and Implementation Consultation Required Authorised By Date Authorised Comments Equality Analysis Sharon Clarke 25 th November 2014 Full assessment not required Policy Group Partnership 21 st October Steering Group 2014 Other Stakeholders / Groups Consulted as Part of Development Trust Staff Consultation via Intranet Partnership Steering Group 21 st October 2014 & 23 rd June 2015 Policy Development Sub Group 07/10/14 & 16 th June 2015 N/A Agreed via collective bargaining process Date notice posted in the News Bulletin. January 2015 Date notice posted on the intranet January 2015 Describe the Implementation Plan for the Policy / Procedure (Considerations include; launch event, awareness sessions, communication / training via DMTs and other management structures, etc) Associate Directors of Operations / Corporate Heads of Departments to disseminate communication through their management structures. HR Managers to present the policy at Divisional Management Teams (DMTs). By Whom will this be Delivered? Associate Directors of Operations / Corporate Heads of Departments HR Managers Version History Date Ver Author Name and Designation Summary of Main Changes Apr 2009 1 Lawrence Osgood, Principal OD Manager Jul 2009 2 Lawrence Osgood, Principal OD Manager Minor amendments made to clarify current practice. No change in practice. Oct 2009 3 Lawrence Osgood, Principal OD Manager Minor amendments made - Phased return conditions amended and approved by Policy Development Group 16.10.09. and agreed by Policy Lead, James Mawrey, 03.12.09. No change in practice. Sept 2010 4 Lawrence Osgood, Principal OD Manager Changes made in line with 2010 kpi Action Plan - minor amendments to clarify contact during sickness absence and standard letter to assist line manager (Appendix 15). Revised RTW and OH forms. No change in practice. Feb 2011 5 Lawrence Osgood, Principal OD Manager Changes made to clarify serious incapability absence procedure (section 12). No change in practice. Aug 2011 6 Lawrence Osgood, Principal OD Manager Include in Section 9.1 adverse reaction within 1-2 days of vaccinations. Service Improvement Programme Board changed to Workforce & Communications Programme Board where applicable Nov 2011 7 Lawrence Osgood, Principal OD Manager Policy Reviewed. Amendment in relation to warnings being from date of resumption from the sickness absence period the warning relates to (for clarification) Jan 2013 7.1 Lawrence Osgood, Principal OD Manager Appendices 17 & 18 added under Section 12 Serious Incapability Mar 2013 7.2 Lawrence Osgood, Principal OD Manager Amendment to Appendices 17 & 18 added under Section 12 Serious Incapability. Removed reference to HMB and replaced Workforce & Communications Programme Board with Workforce & Communication Group as per revised Trust governance structure.

Oct 2013 8 Lawrence Osgood, Principal OD Manager July 2014 8.1 Sharon Clarke, HR Manager Section 13 amended as a result of revised National A4C terms. Section 16 Absence due to Contagious Diseases added. In re-writing this policy the findings of the Francis report were taken into account. Section 7.4 Stage 1 - Line manager may be accompanied. Stage 2 Line manager should be accompanied. Paragraph added regarding staff who may be under the influence of prescribed medication. Update OH & HR/OD address on Return to Work form and deleted reference to Working Family Adviser. Update intranet links August 2014 9 Lawrence Osgood, Head of HR Jan 2015 9.1 Finola O Donnell, HR Manager Comprehensive re-write, triggers and stages in process reviewed and changed, management guidance taken out to be included in a separate document. Minor change within 4.4 agreed via email by Policy Group. Feb 2015 9.2 Finola O Donnell, HR Manager Update link to updated guidelines March 2015 June 2015 9.3 Finola O Donnell, HR Manager 9.4 Finola O Donnell, HR Manager Minor amendments clarifying consideration of stage at Stage 1 / duration of absence from effect date whether return to work or trigger date for long term / including reference to Injury Allowance Guidelines. Minor amendments including (if no active warning or as appropriate) in LTS trigger table / replace Voluntary Early Retirement with Ill health retirement / remove informal from para on Stage 1 meetings

Monitoring Compliance with the Policy Describe Key Performance Indicators (KPIs) Target How will the KPI be Monitored? Which Committee will Frequency Lead Monitor this KPI? of Review Sickness absence data will be analysed included in a 100% Report Quality and Safety As Required Director of Workforce report to the Quality and Safety Committee Where Trust absence targets are not met an exception report will be submitted to the Workforce and Communications Group. 100% W&CG Exception Report W&CG As Required Director of Workforce Where Trust absence targets are not met an exception report will be submitted to Senior Divisional Management (ADO s will receive sickness absence reports). 100% Sickness Exception Reports DMTs As Required Associate Directors of Operations or equivalent Corporate Head of Departments Performance Management of the Policy Who is Responsible for Producing Action Plans if KPIs are Not Met? Which Committee Will Monitor These Action Plans? Frequency of Review (To be agreed by Committee) Director of Workforce Workforce & Communication Group As Required