RCCG/GB/17/009 iii) Policy and Sickness Absence Procedures Version No V1.0 AGEM CSU CF Specialist Head of Governance Author Date Comments Approved by 16-1-17 Content reviewed CF comments added V1.1 19-1-17 To be APPROVED Governing Body V1.1 January 2017 2
Reader information Reference CCG Document purpose HR009 NHS Rushcliffe CCG Sets out the policy for the management of absence due to ill health. Version V1.1 Title Policy and Sickness Absence Procedures Author AGEM HR Business Partners Director of Corporate Development Beachcroft LLP CCG Approval Date 19-1-17 CCG Approving Committee Governing Body Review Date November 2019 Groups/staff Consulted Target audience Circulation list Associated documents Superseded documents Sponsoring Director NHS Rushcliffe CCG CCG staff CCG staff Flexible Working Policy Special Leave Policy Maternity, Paternity, Adoption and Parental Leave Policy Annual Leave Policy Disciplinary Policy Capability Policy NHS Nottinghamshire County PCT Management of Absence due to Ill Health Policy and Toolkit for Managers. Chief Officer V1.1 January 2017 3
CONTENTS 1. POLICY AIM... 6 2. SCOPE OF THE POLICY... 6 3. KEY DEFINITIONS... 6 3.1 Short-term sickness absence... 7 3.2 Long-term sickness absence... 7 3.3 Disability... 7 3.4 Definition of disability... 7 3.5 Duties under the Equality Act... 7 3.6 Definition of an occasion... 8 4 ROLES AND RESPONSIBILITIES... 8 4.1 The role of employees... 8 4.2 The role of managers... 9 4.3 The role of Human Resource Business Partners (HRBP)... 9 4.4 The role of Occupational Health... 10 4.5 The role of Staff Partnership/Trades Unions/Professional Body Representatives... 10 4.6 The role of the CCG Health and Safety Representative... 10 4.7 Using Occupational Health Services... 11 5 SHORT-TERM SICKNESS ABSENCE... 11 6 LONG-TERM SICKNESS ABSENCE... 12 6.1 Length of absence... 12 6.2 Contact during long-term sickness absence... 12 6.3 Referral to Occupational Health... 13 6.4 Rehabilitation... 13 6.5 Effectively supporting employees with long-term conditions... 13 6.6 Return to work... 13 6.7 Consideration of Redeployment... 14 6.8 The possibility of termination of employment... 14 7 PROCEDURE WHEN AN EMPLOYEE IS ABSENT THROUGH SICKNESS... 14 7.1 Notification... 14 7.2 Absence certification... 15 7.3 Working whilst certified sick... 15 V1.1 January 2017 4
7.4 Sickness during Annual Leave... 15 7.5 Sick Pay and Annual Leave... 16 7.6 Return to work meeting... 16 8 EMPLOYEE WELLBEING MEETINGS... 17 8.1 Purpose of an employee Wellbeing meeting... 17 8.2 Right to be accompanied... 17 8.3 Stage One - First Wellbeing Meeting... 18 8.3.1 Review... 19 8.3.2 Stage Two - Second Wellbeing Meeting... 19 8.3.3 Stage Three - Third Wellbeing Meeting... 19 8.4 The possibility of termination of employment under the relevant policies... 19 8.5 Stage Four Termination of Employment... 20 8.6 Appeal... 21 9 POSSIBLE CAUSES OF FREQUENT OR LONG-TERM SICKNESS ABSENCES... 22 9.1 Causes of Sickness Absences... 22 9.2 Discussing frequent sickness absences... 22 9.3 Personal and family problems... 22 9.4 Stress and other problems... 22 9.5 Patterns of sickness absence... 23 10 MANAGEMENT RESPONSES TO SICKNESS ABSENCE... 23 10.1 Management support... 23 10.2 When sickness absences are thought not to be genuine... 23 11 SICK PAY ENTITLEMENT... 23 12 ENSURING THE POLICY IS ACCESSIBLE TO ALL EMPLOYEES... 24 13 DETAILED GUIDELINES... 24 14 MONITORING AND PERFORMANCE MANAGEMENT OF THE POLICY... 25 15 DUE REGARD... 25 16 EQUALITY STATEMENT... 25 17 HELP AND ADVICE... 25 18 REVIEW... 25 APPENDIX 1 SICKNESS BENEFITS... 26 V1.1 January 2017 5
1. Policy Aim NHS Rushcliffe CCG is committed to improving the health, wellbeing and attendance of all employees. Consequently, the overall aim of the Attendance Matters Policy is to promote health and wellbeing and attendance at work. Attendance does matter across the CCG as a high level of attendance is central to the CCG s ability to deliver a high level of service and promote good morale for all employees. In a demanding, service delivery and patient-focused environment, the CCG relies on employees to deliver excellent service and meet agreed objectives. However, sometimes there will be instances when an employee is not fit enough or able to attend work. It is the CCG s policy to support employees who are genuinely ill and unable to come to work. In order to deliver the best possible service, some of the essential factors are that employees are motivated, have a sense of wellbeing and are able to attend work. To promote engagement and wellbeing, there are a number of proactive policies and support structures in place, including Occupational Health provision, flexible working, counselling and active stress management initiatives aimed at creating a healthy and safe working environment. Genuine reasons for absences are understandable and this policy outlines what managers and employees should do when an employee is unable to attend work as a result of sickness absence. It also provides details of support available to help employees recover and return to work. This policy is supported by more detailed guidance for employees and managers which is set out in the Employee Guidelines and Management Guidelines. Sickness absence, which is not reasonable, or at a high level, has a considerable impact on the organisation s performance and must be reviewed and locally managed. This policy briefly outlines what would happen in this instance. More detail regarding the relevant procedures is available in the Employee Guidelines and Management Guidelines. 2. Scope of the Policy This policy applies to all employees of the CCG. The equality impact of the policy in relation to race, disability, gender, marital status, civil partnership status, age, sexual orientation, religion, beliefs and social class of employees, has been taken into account and is reflected in the policy where appropriate. This is a corporate policy and therefore applies to all business areas. This policy is applicable to all employees working in the CCG. 3. Key Definitions There are two distinct types of sickness absence: short-term sickness absence long-term sickness absence V1.1 January 2017 6
3.1 Short-term sickness absence Short-term sickness absence involves periodic sickness absences, often of individual relatively short durations. There are two kinds of periodic short-term sickness absence: Predictable absences (for example, for a minor operation) Unpredictable absences (for example, as a result of the sudden onset of a serious migraine) Frequent and persistent short-term sickness absences may mean that there is an underlying issue that needs investigating, which may or may not be disability-related. The employee may not be fully aware of any impairment or there may be other issues such as family difficulties which are impacting on an individual s work attendance. As a result of this, it is important that return to work meetings and, when applicable, employee wellbeing meetings take place and appropriate support is put in place. 3.2 Long-term sickness absence Long Term sickness absence can be sub-divided into two types: Sickness absence of a known length An employee is off work for a set period of time e.g. waiting for, or recuperating from, an operation. Sickness absence of an unknown length An employee is off work due to sickness and continues to send in Fit Notes (formerly known as medical certificates), but is unable to indicate a date for return. The CCG regards any sickness absence of more than four weeks as long-term. 3.3 Disability 3.4 Definition of disability Where an employee s illness or impairment is long-term, it is likely to be covered by the Equality Act 2010. The definition of disability in the Act is a physical or mental impairment which has a substantial and long-term adverse effect on [the person s] ability to carry out normal day-to-day activities. An individual whose impairment is fully controlled by medication will be protected by the Act if he or she would be substantially impaired without his/her medication or aid (e.g. a hearing aid). The definition of disability is very broad and will include a very wide range of physical and mental conditions and illnesses. 3.5 Duties under the Equality Act Where an employee has a disability under the terms of the Equality Act 2010, the CCG is under a legal duty: V1.1 January 2017 7
Not to treat the employee less favourably because he/she has a disability (or a particular type of disability) or, unless justified, on any grounds related to the disability (including disabilityrelated absence). To make reasonable adjustments to any provision, criterion or practice applied by the CCG, and to physical features of premises. Managers should discuss adjustments with the employee concerned. The employee will have a better understanding than the manager of what measures would help to facilitate normal or effective working and help him/her to overcome any disadvantage that the disability might otherwise cause. 3.6 Definition of an occasion An occasion is any time when an employee is absent from work because of illness of whatever duration during their normal working day. An occasion will not include instances such as: Pre-authorised attendance at an appointment with GP, hospital, dentist, optician, special domestic leave, etc. Absences related to injuries or illness sustained at work where the employee is not 100% at fault. Absences that should be or have been managed as long-term sickness. Pregnancy related absence. The Equality Act 2010 makes it unlawful for employers to discriminate against current or prospective employees who have a disability or have had a disability in the past. Employees who have a condition which is deemed as a disability under the current guidelines and which has been advised to the CCG, via their Occupational Health Advisors or otherwise, must be dealt with in accordance with this Act. This may mean employees -have an additional set of agreed review periods that relate to absences caused by their disability which will be reviewed separately. 4 Roles and Responsibilities 4.1 The role of employees Employees have a responsibility to: Attend work when they are able to do so, to be aware of the locally agreed procedure and to follow the specified procedure when they are not able to attend work. To conduct themselves in a manner, which is consistent with their absence and will not impede their recovery so that they can return to work once they are able, provided it is safe to do so. Provide appropriate medical certification in a timely way, ensuring that they complete a selfcertification form initially and regularly submit fit notes from a qualified doctor if their absences last more than seven calendar days failure to do so may result in deduction from pay for unauthorised absence. To advise if they are continuing to undertake paid/voluntary work elsewhere to enable the manager to confirm whether this is acceptable Maintain regular communication (in line with agreed arrangements) with their manager (or agreed other person) throughout the course of their absence and notify the manager of their expected return to work date as soon as they are in a position to do so. Co-operate fully in the application of this policy including being available to attend sickness absence review meetings and Occupational Health appointments during their period of V1.1 January 2017 8
absence (unless medical circumstances prevent this from being possible, in which case other review arrangements will be agreed). Maintain statutory registrations throughout any periods of absence or immediately advise their manager if this is not possible. Advise their manager, or other appropriate person, if they develop a medical condition that could affect their ability to carry out their job role (further guidance on this is provided in the Employee Guidelines) This will enable appropriate support and reasonable adjustments to be put in place, where applicable. 4.2 The role of managers Managers who supervise employees have a responsibility to manage and monitor their employees attendance and sickness absence. The manager is the first point of contact for an employee who is absent from work through sickness. The manager s role is to: Take a fair, supportive and equitable approach. Liaise with the HR Business Partnership team (and other relevant sources of expertise) to obtain guidance and information. Where applicable, provide information (in conjunction with the HR Business Partnership team) on schemes such as the NHS Injury Benefit Scheme and Temporary Injury Benefit (further guidance on this is provided in the Management Guidelines). Seek to maintain appropriate contact with the employee who is absent. Take action to make sure the employee completes a self-certification form for any absence of up to seven calendar days and provide fit notes to cover all longer periods of absence. Conduct return to work meetings with employees as soon as possible on their first day back at work. Ensure accurate inputting of information into the relevant recording systems. Identify and/or implement reasonable recommended changes needed in working practices and environments to accommodate return to work. Keep any personal information they obtain about employees health or personal lives confidential in line with the organisations Data Protection policies and Records Management Guidance. Refer the employee to, and liaise with, Occupational Health, ensuring the Occupational Health referral document is shared with the employee prior to submission (the Your Attendance Matters Management Guidelines provides further information on this). Liaise with other appropriate professionals in line with Occupational Health guidance. Ensure that employees are kept informed regarding developments in the workplace and as necessary consulted regarding changes in the workplace that affect their role. Undertake mandatory training on equalities and undertake training on Managing Sickness Absence. 4.3 The role of Human Resource Business Partners (HRBP) The HRBP support is provided by the Commissioning Support Unit, Arden and the Greater East Midlands (CSU, A&GEM). HRBPs will advise and help both the manager and the employee to promote attendance and manage sickness absence. HRBPs will: Answer questions on policy and practice. Provide practical guidance and information on the management of sickness related absence. Build links with relevant advisers, including Occupational Health, Resolve and Disability Employment Advisers (who provide guidance and assistance on gaining Access to Work support and funding) Assist with compliance with the Equality Act 2010. Help the employee and the manager to make well informed decisions. V1.1 January 2017 9
Liaise with Occupational Health to obtain recommendations and advice. Where applicable, provide information (in conjunction with managers) on schemes such as the NHS Injury Benefit Scheme and Temporary Injury Benefit. Ensure the fair and equitable application of this policy across the CCG. 4.4 The role of Occupational Health Members of the Occupational Health Team are independent specialist practitioners who are trained to provide a confidential service to: Promote employees health, safety and welfare. Help identify the nature of an employee s illness or condition and its likely effects on the employee s ability to carry out his/her duties. Advise the CCG on the likely length of an employee s absence. Advise at an early stage on rehabilitation to prevent medical conditions becoming chronic. Advise on return to work plans. Advise managers about any limitations or work-related restrictions and their likely duration. Identify recommended changes needed in working practices and environments. Advise on any specific support which is required by an individual and any equipment which may be useful. Assist with compliance with the Equality Act 2010. Help the employee and the manager to make well informed decisions. Liaise with qualified medical practitioners to understand the extent of any medical condition the employee has in the context of its impact on work in order to make recommendations to remove or minimise any barriers to working. Accept self-referrals. Provide reports. 4.5 The role of Staff Partnership/Trades Unions/Professional Body Representatives Staff Partnership/Trades Unions/Professional Body Representatives will: Represent, advise and support employees as required throughout the processes associated with this policy. Bring any mutually beneficial improvements to this policy to the attention of the CCG. Assist in ensuring compliance with the DDA and other related statutory requirements. Maintain detailed knowledge of the procedures set out in this policy in order to provide informed advice to members who are involved in sickness absence concerns. Liaise with relevant managers and HR where appropriate to resolve issues arising in the policy s implementation. 4.6 The role of the CCG Health and Safety Representative The role of the CCG Health and Safety Representative is to: Provide Health and Safety advice and assistance to all levels of staff which will include, as appropriate, conducting risk assessments and specialist workplace assessments following periods of sickness absence. Keep managers advised with regard to actual or anticipated changes in health and safety legislation and accepted best practices. Undertake workplace inspections and provide reports to management on such inspections. V1.1 January 2017 10
Undertake accident and serious untoward incidents investigations and provide management and, when required by law, the Health and Safety Executive, with reports of such incidents and dangerous occurrences. Undertake investigations into cases of work related ill health in liaison with appropriate professionals eg the Occupational Health Department and provide management and, where required by law, the Health and Safety Executive, with reports on such cases. Undertake health and safety audits in order to determine the effectiveness of the health and safety management procedures and where appropriate, make recommendations as to the measures necessary to rectify failings in the procedures. Assist in the identification of health and safety training needs and, where appropriate, deliver or arrange to be delivered, such training as may be necessary for the health and safety of employees. Submit reports of all incidents, (affecting patients, public and/or staff), which are reportable under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR) 2013 to the enforcing authority on the online reporting form located on the HSE website http://www.hse.gov.uk/riddor/report.htm. 4.7 Using Occupational Health Services It may often be appropriate for the CCG to seek medical information and/or advice. This may be the case where an employee has been intermittently absent or absent for a long period of time through sickness or where an underlying medical issue is causing persistent sickness absences. Where an employee feels that he/she would like advice or support to help manage health, safety and welfare, he/she can arrange in strict confidence an appointment to attend Occupational Health at any time. This can be done either through self-referral by personally contacting Occupational Health or through the employee s manager. The aim of Occupational Health will be to support the employee to remain in work or to return to work by: Advising management when a return to work will be possible. Advising management whether a clinically-recommended phased return to work, e.g. part-time working initially, would be appropriate for the employee. In these circumstances such arrangements will be managed in accordance with Section 14 of Agenda for Change. Considering, in consultation with the employee, work arrangements that may be suitable for the employee in the circumstances. Supporting the implementation (where appropriate) of a formal risk assessment using the CCGs risk assessment template. Suggesting what, if any, adjustments or different arrangements would help the employee to get back to work, for example lighter duties or less stressful work. Advising management whether the employee is likely to be fully recovered or whether there is likely still to be some on-going impairment. Setting mutually agreed time limits to review the situation. Recommending referral to specialist practitioners e.g. physiotherapy, counselling. 5 Short-term Sickness Absence Whilst the CCG understands that there may be a certain level of short-term sickness absence amongst employees, it must also pay due regard to its operational needs. If an employee is frequently and persistently absent from work through sickness, this can damage efficiency and the provision of the CCGs services, as well as placing an additional burden of work on the employee s colleagues. The CCG has therefore adopted a number of sickness absence review points which absence is measured against which can be found in Section 9. V1.1 January 2017 11
By implementing this policy, the aim is to strike an even-handed balance between the reasonable pursuit of business objectives, and the genuine needs of employees to be absent because of sickness. The purpose of these sickness absence review points is to alert managers to this and set a foundation for an employee well-being meeting and, where relevant, the undertaking of a risk assessment. Where an employee reaches fourteen calendar days of absence but has not yet returned to work, a well-being meeting will be arranged when the employee is back at work unless it is more appropriate to organise this in advance of the employee s return. 6 Long-term Sickness Absence 6.1 Length of absence If an employee has a serious medical condition or has sustained a significant injury, this may mean that he or she is away from work for a lengthy period of time. The expected length of the sickness absence may sometimes be known whilst in many instances it will not be possible initially to predict the length of absence. Managers should be proactive in relation to monitoring the employee s sickness absence and in seeking to rehabilitate the employee back to work. 6.2 Contact during long-term sickness absence It is important that the manager (or other nominated person as agreed with the employee) and the employee who is absent remain in regular contact with each other during a long-term sickness absence. Further guidance on what is meant by regular contact including the suggested timescales and frequency of contact is set out in both the guidelines for managers and employees. It is good practice to agree arrangements for contact at the outset and it is the manager s responsibility to initiate this. Whilst some managers may (understandably) feel uneasy about contacting an employee who is off sick, it may help an employee who is ill to maintain a link with his/her employment, and with colleagues, so as to avoid isolation. Regular contact from the workplace may be the employee s only link to his/her normal life, and may be welcome, so long as no pressure is put on the employee. The manager (or other nominated person as agreed with the employee) should attempt to contact the employee as soon as the sickness absence continues for more than one week and ask whether he/she would prefer personal visits, telephone contact or e-mail contact, or a combination. Home visits (or equivalent) should take place regularly after 4 weeks continuous absence (unless specific circumstances mean this is inappropriate). Before any home visits take place, they should be expressly agreed with the employee. In some circumstances, employees may prefer to meet at an agreed suitable and alternative location. Further guidance on home visits (or their equivalent) is set out in the Employee Guidelines and the Management Guidelines. The manager should also ensure that the employee is sent any internal communications that are routinely given to employees, e.g. newsletters, information about organisational changes and other announcements. As part of maintaining contact and in compliance with Section 14 of the Agenda for Change Terms and Conditions Handbook regular review meetings will be held. These will ensure that: Everything is being done to support an employee s successful return to work. V1.1 January 2017 12
In those rare instances where it is not possible for an employee to return to work, they are supported and advised regarding their options, including where appropriate applications for Illhealth Retirement Pension benefits. Further guidance on managing long term sickness (together with likely timescales for the frequency and timing of review meetings, including the final review meeting) is set out in the Your Attendance Matters Employee Guidelines and the Management Guidelines. 6.3 Referral to Occupational Health Depending on the length of time the employee is absent from work through sickness, and the nature of the medical condition or impairment, it may be appropriate for the CCG to seek medical information and/or advice. In these circumstances, the manager may refer the employee to Occupational Health. This may happen more than once depending on the length of the employee s sickness absence. Where there is a conflict of opinion between the GP and Occupational Health advice on the impact and management of an individual s health, this will be referred to an appropriate third party specialist for independent assessment. 6.4 Rehabilitation Managers should be proactive in relation to monitoring the employee s sickness absence and their rehabilitation back to work. It will be important for the manager to liaise with the HRBP and Occupational Health to establish what the employee will and will not be capable of doing on return to work and whether any reasonable adjustments to the employee s duties need to be made. The manager needs to consider, based on medical advice, whether the employee is capable of performing his/her normal job with adjustments, or whether a move to another job, if one is available would be appropriate. A key option to consider will be a phased return to work taking account of any recommendations made by Occupational Health or the employee s GP, for example with the employee initially working only part-days or flexible hours (any such arrangements should be managed in accordance with the guidance set out in Section 14.14 of Agenda for Change). All options should be discussed with the employee directly before any decisions are made. Further guidance on rehabilitation and phased returns is detailed in the Employee Guidelines and Management Guidelines. 6.5 Effectively supporting employees with long-term conditions It is recognised that individuals within our workforce may have complex mental or physical health conditions that, while not hampering their full contribution at work, may benefit from greater understanding, adaptations or improved work design. Included in these complex situations would be chronic conditions like arthritis, asthma or diabetes, or stress and clinical depression. Often these conditions could be better supported at work, which may enable people to work longer, not seek Ill-Health Retirement, and help the NHS as a good employer to attract and retain talent. Manager can seek support with this from Occupational Health. 6.6 Return to work Managers should make sure, when the employee returns to work, that the employee: Knows that his/her return to work is welcomed. V1.1 January 2017 13
Will have an appropriate return to work plan (where there has been long term sickness absence, this plan may entail their work tasks being built up at an appropriate rate). Undertakes a Risk Assessment, where appropriate, to inform the return to work arrangements. Is aware of the on-going support available through Access to Work (where this is applicable). Is brought up to date in respect of any changes that have taken place during his/her absence. Is provided with training on any new equipment or processes. Has a review plan where appropriate to monitor the employee s welfare and performance over an agreed period of time following his/her return. Managers should bear in mind that an employee who has been absent through sickness from work for a time, especially if the illness has been stress-related, may feel anxious about returning to work, and worry about how he/she will be treated. It will therefore be important for the line manager to take positive steps to welcome back the employee, make him/her feel at home and take positive steps to facilitate re-integration into the workplace. This might include, for example, allocating a buddy to support the return to work. To help ensure a successful return to work, it is the responsibility of employees to work with managers and Occupational Health Services, where applicable, to: Undertake agreed return to work plans. Participate in Risk Assessments and/or other assessments, where appropriate, to inform the return to work arrangements. Make contact with Access to Work where this is applicable in order that available support can be accessed. Review and/or attend any update briefings/training in respect of any changes that have taken place during their absence (guided by their manager). 6.7 Consideration of Redeployment In rare cases it may be that the employee is no longer able to perform the job he or she was employed to do. In this case, all redeployment opportunities will be explored following the principles set out in the redeployment procedures detailed in the Organisational Change policy. 6.8 The possibility of termination of employment A supportive approach will always be taken with regard to long term absence. However, the difficult reality is that in some circumstances there may be no prognosis for a return to work within a reasonable timescale. This can be the case despite positive interventions and reasonable management support, including the exploration of all reasonable alternatives as detailed in the Management Guidelines. In some cases, it may not be possible to keep a job open any longer for an employee who has been absent from work through sickness on a long-term basis or it may not be possible to find a reasonable alternative job for an employee who is certified as able to return to work but can no longer perform his or her own job. In these circumstances, there may be no option but to terminate the employee s contract. Where this rare situation applies, an employee will be kept fully informed as soon as it is established that there is a risk to his/her employment and the relevant at risk policy and procedures will be followed. In these circumstances, the employee will be advised on appropriate possible entitlements, for example, ill-health retirement and permanent injury benefit. 7 Procedure when an Employee is absent through Sickness 7.1 Notification V1.1 January 2017 14
An employee should telephone his or her line manager (or agreed nominated and known point of contact) no later than one hour after their normal start time on the first day he/she is absent from work through sickness, in order to notify the manager that he or she is unable to come to work. The employee should give an indication of how long he or she expects to be absent and the reason for the sickness absence. Should the reason for absence be of such a personal nature that relaying it to a manager would cause significant difficulty; alternative appropriate arrangements for communicating the reason for the absence will be agreed. Further guidance on this is set out in the Employee Guidelines and the Management Guidelines. If the employee fails to call and just does not appear for work, the manager should telephone him/her to establish the reason for the non-appearance. This will also give the manager the opportunity to check with the employee if there is any information needed in respect of the employee s on-going work. Should the absence not relate to sickness or other authorised reason for non-attendance, the matter will be dealt with as an unauthorised absence. The manager should keep a record of the employee s call (or, where appropriate, of the fact that the employee did not call in). The record should show who called, who took the call, when the call was received, the stated reason for the sickness absence and how long the employee said he/she expected to be absent. All records should be held confidentially. Subsequently, the employee must keep in regular contact with the manager throughout the duration of his/her absence. The Employee Guidelines set out in further detail what the employee needs to do whilst absent from work and the support available. Whilst it is the employee s responsibility to notify their manager of sickness absence, it is the manager s role to record and report sickness absence in line with procedures. If the employee becomes ill during the working day he/she is required to inform their manager who will report any absence which is over half their working day. Such absence will be recorded for absence purposes. 7.2 Absence certification If an employee is absent due to ill health for seven or fewer consecutive calendar days, he or she must complete a sickness absence self-certification form on return to work. This forms part of the Return to work Meeting (see 6.6 below). Absences due to ill health of more than seven consecutive calendar days will require a Fit Note from a qualified doctor or other appropriate health professional to cover all absence beyond the first seven days. These should be sent to the line manager unless other arrangements have been expressly agreed. 7.3 Working whilst certified sick Employees should be aware that they must not undertake work for another employer during periods when they would normally be working for the CCG whilst they are either self or medically certified as sick. If an employee wishes to undertake any work whether paid or unpaid they must seek written consent from their Manager who should also send a copy to HR. Failure to notify the CCG can have very serious consequences as it is considered as fraudulent and would be reported to the Counter Fraud Specialist (CFS) where criminal action may be taken. The matter may also be investigated under the CCG s Disciplinary Policy, the outcome of which could include dismissal from the employment of the CCG. 7.4 Sickness during Annual Leave V1.1 January 2017 15
Employees should contact their manager (or other appropriate person) if they become ill during a period of Annual Leave. This should be done on the first day of sickness. As soon as the sickness ends, the employee must notify their manager so that there is clarity on the exact days on which the employee was ill. Depending on the length of the sickness absence, an employee should complete either a sickness absence self-certification form on return to work and/or submit a Fit Note. For clarity, any Annual Leave during which an employee was ill, and had accordingly notified their manager, will be recorded as sickness absence. The outstanding Annual Leave should be taken and booked in line with the standard procedures for arranging Annual Leave. 7.5 Sick Pay and Annual Leave Employees can accrue statutory annual leave while they are on long-term sick leave. Further guidance is detailed in the Employee Guidelines and the Your Attendance Matters Management Guidelines. 7.6 Return to work meeting Research has consistently established that return to work meetings are effective in promoting employee health and well-being, and quickly identifying whether an employee needs further support. In addition, conducting return to work interviews as a matter of routine has been shown to be a highly effective means of deterring and reducing casual sickness absence. They communicate to employees that whilst genuine sickness will be treated sympathetically and supportively, unexplained or persistent sickness absences will not be disregarded. The manager will arrange a meeting with the employee on his/her return to work, which should be held as early as possible on the first day of the employee s return. This should be done every time an employee is absent through sickness, irrespective of the length of the employee s sickness absence. The interview should be informal, but more than just a corridor chat. It should be in private. Managers should ask employees during the return to work interview whether they have done any paid or unpaid work during the period of sick leave and record their answer on the Return to Work Form sent to payroll. The return to work meeting is important because: It confirms that the CCG takes an interest in employees health and well-being and wants to ensure that an employee who has been absent due to illness is well enough to return to work. A return to work discussion helps the manager identify if there is any specific underlying cause to the employee s sickness absence(s) that the manager may be able to help with, e.g. whether there are any problems with the employee s workload, working hours, etc. The meeting is an opportunity to discuss if any special arrangements or adjustments need to be made in the short term to support the employee (if this is the case, the manager may involve HR and/or Occupational Health). Any concerns relating to sickness absence or attendance can be openly discussed. The meeting provides an opportunity to update the employee on what has happened whilst he or she has been away. If, at a return to work meeting, the employee refuses to discuss the reason for his/her sickness absence and is not prepared to discuss the reasons with another appropriate manager (for V1.1 January 2017 16
example, the HRBP), or if the explanation given by the employee for the sickness absence is unacceptable, the manager should inform the employee that the absence will be treated as unauthorised absence and this may result in the matter being dealt with under the relevant Disciplinary Procedure. Further information on the implications of this for pay is set out in the Your Attendance Matters Employee Guidelines and the Management Guidelines. If the manager is unable to conduct a return to work meeting, for example if he or she is on holiday, then another appropriate manager will manage the meeting on his/her behalf. A record will be made of the key matters discussed at the return to work meeting using the Return to Work Form and this should be held confidentially, and in accordance with the Records Management Policy, on the employee s personal file, with a copy made available to the employee. Further guidelines on the management of confidential health information are provided in the Your Attendance Matters Management Guidelines. 8 Employee Wellbeing Meetings In order to ensure consistency across the CCG, all managers will investigate, and report upon, any employee whose absence records meets or exceeds either the following: 4 separate occasions of absence in a rolling 12month period. 14 calendar days sickness absence (unless the 14 calendar days absence relate to two periods of sickness that are specific and unrelated) in any rolling 12month period. Arrangements for part-time colleagues are addressed in paragraph 7.10. Upon an employee s return to work, their level of non-attendance will be measured against the criteria as detailed above. If the employee s absence record does meet or exceeds either of the above criteria, the employee will trigger stage one of the Wellbeing meetings. A return to work interview will form part of an employee return to work process. The absence management procedure states are as follows: Stage One: First Wellbeing Meeting Stage Two: Second Wellbeing Meeting Stage Three: Third Wellbeing Meeting Stage Four: Dismissal 8.1 Purpose of an employee Wellbeing meeting The purposes of an employee wellbeing meeting will be to review and discuss the employee s level of sickness absence, establish whether there are any underlying reasons, either medical or personal, for the current level of absence and determine what, if any, support can be provided to the employee. If the employee does not maintain their attendance for 6 months following the end of any review period they will be placed back into the procedure at the stage they were signed off in. 8.2 Right to be accompanied The employee may bring a companion to any Wellbeing Meeting or Appeal Hearing under this policy. The companion may be either a trade union representative or a colleague. They must tell the line manager and/or senior manager who their chosen companion is, 5 working days before the meeting. V1.1 January 2017 17
A companion is allowed reasonable time off from duties without loss of pay but no-one is obliged to act as a companion if they do not wish to do so. If the employee s choice of companion is unreasonable the CCG may ask them to choose someone else, for example: if in the CCG opinion their companion may have a conflict of interest or may prejudice the meeting; or if their companion is unavailable at the time a meeting is scheduled and will not be available for more than five working days afterwards. If the employee or their companion cannot attend the Meeting or Appeal Hearing they should inform the CCG immediately and the CCG will arrange an alternative time. They must make every effort to attend the meeting, and failure to attend without good reason may be treated as misconduct in itself. If they fail to attend without good reason on two or more occasions the meeting may proceed in their absence and the CCG may also take a decision in their absence based on the evidence available at the time. 8.3 Stage One - First Wellbeing Meeting The First Wellbeing meeting is a formal meeting where both the employee is entitled to have a companion and the line manager is advised to have a witness to the meeting present. The line manager will give the employee written notice of the date, time and place of the First Wellbeing meeting. The meeting will be held as soon as reasonably practicable, although the employee will be given at least 10 working days in advance of the meeting to prepare their case based on the information the line manager has given them. The manager will: Check the employee s sickness absence record to gain an accurate picture of the number of days absence the employee has had and the number of separate occasions he/she has been absent. Write to the employee to set up the meeting using the recommended letter template) enclosing a statement summarising the employee s periods of sickness absence during the relevant period and advising him/her of the right to be accompanied at the meeting. Make sure that the meeting is held in a quiet place with no interruptions or distractions. At the meeting the manager will review: The CCG s absence management procedure. The impact that absence has on the department. The periods of absence that has caused the manager to request the meeting. Possible ways for the employee and/or the CCG to assist with improvement in the employee s attendance record. The reasons provided by the employee for their absences, given the employee the opportunity to put forward any explanations and/or mitigating factors. Whether the employee should be referred to the Company s Occupational Health Provider to ascertain whether there are any underlying reasons for the periods of absence. Whether the employee has any non-work related reasons for absence, such as domestic difficulties. In this case the employee will be referred to HR Business Partner team who will advise the manager of any action(s) required. Further information is available in the Management Guidelines and the Employee Guidelines. V1.1 January 2017 18
A confidential record of this meeting will be kept in the employee s file. The formal record of the First Wellbeing meeting and any subsequent Wellbeing Meetings will be kept in the employee s file and the employee will be advised of any decisions made by letter. The letter will also include a timescale by when the line manager will implement any action points agreed during the meeting to support the employee. The manager will normally formally notify the employee that a review period of 12 weeks from the date of the last absence will be initiated. 8.3.1 Review Stage 1 Wellbeing Meeting If the employee has a further 2 periods of absence during the review period or 7 calendar days of absence, Stage Two will be triggered. For Part-Time colleagues the number of days should be pro rata d to their contractual working week eg if someone worked 18.75 hours the total days would be 3.5 calendar days. Stage 2 Wellbeing Meeting If the employee has a further 2 periods of absence during the review period or 7 calendar days of absence, Stage Three will be triggered. For Part-Time colleagues the number of days should be pro rata d to their contractual working week eg if someone worked 18.75 hours the total days would be 3.5 calendar days. Stage 3 Wellbeing Meeting If the employee has a further 2 periods of absence during the review period or 7 calendar days of absence, Stage Four will be triggered. For Part-Time colleagues the number of days should be pro rata d to their contractual working week eg if someone worked 18.75 hours the total days would be 3.5 calendar days. The employee will be advised formally that any subsequent period of absence may result in the termination of their contract. If the employee does not have any absences during the review period, the employee will be taken out of the procedure. 8.3.2 Stage Two - Second Wellbeing Meeting If the employee does not successfully complete the review period then the employee will move to a Stage Two Wellbeing meeting which will follow the process in Section 8-3 Stage One - First Wellbeing meeting 8.3.3 Stage Three - Third Wellbeing Meeting If the employee does not successfully complete the review period then the employee will move to a Stage three Wellbeing meeting which will follow the process in Section 8.3 Stage One - First Wellbeing meeting. If the employee then has any absences within the review period, the employee will be progressed to stage four. However, if the employee does not have any absences during the review period, the employee will be taken out of the procedure. 8.4 The possibility of termination of employment under the relevant policies V1.1 January 2017 19
Whilst a supportive approach will be taken with regard to isolated incidents of short-term sickness absence, frequent short-term sickness absences or absences without good reason may lead to the need to instigate formal action. It may, on occasions, become necessary to take this action if an employee s level of sickness absence remains unsatisfactory despite positive interventions and reasonable management support. Formal action may, depending on the circumstances, involve a series of Wellbeing meetings (or other agreed mechanisms as appropriate) and, if the level of sickness absence does not improve to a satisfactory level within a specified timescale, eventual termination of the employee s employment. Dismissal in these circumstances may be on the grounds of: Capability i.e. where it is clear that the employee is not capable of attending work regularly as a result of genuine ill-health. Some other substantial reason i.e. where the unsatisfactory level of attendance is the reason for dismissal (irrespective of the genuineness of the absences), or A combination of some or all of the above. If there are grounds to conclude that some (or all) of the employee s absence are not genuine or if the occasions(s) is/are not sick related then refer to the Disciplinary Policy. Termination of employment will only be an option once all other possible courses of action have been considered. This could include for example, making reasonable adjustments in an employee s current role or finding a reasonable alternative job which will allow an employee to sustain a satisfactory level of attendance. 8.5 Stage Four Termination of Employment Termination of Employment is the final stage of the Absence Management Procedure. The employee should be accompanied by a representative to a formal meeting chaired by the appropriate senior line manager who has the authority to dismiss. A member of the HR Business Partner team will normally be present. The senior manager will give the employee written notice of the date, time and place of the Stage Four meeting. The meeting will be held as soon as reasonably practicable, although the employee will be given at least 10 working days in advance of the meeting to prepare their case based on the information the senior manager has given them. The senior manager will: Check the employee s sickness absence record to gain an accurate picture of the number of days absence the employee has had and the number of separate occasions he/she has been absent. Write to the employee to set up the meeting (using the recommended letter template) enclosing a statement summarising the employee s periods of sickness absence during the relevant period and advising him/her of the right to be accompanied at the meeting. Make sure that the meeting is held in a quiet place with no interruptions or distractions. At the meeting the senior manager will review: The CCG s absence management procedure. The impact that absence has on the department. The periods of absence that has caused the senior manager to request the meeting. V1.1 January 2017 20
The records of the meetings of all the earlier stages of this procedure. Any medical evidence available. Any Human Resources evidence available. Any explanation by the employee for the absence. Further information is available in the Management Guidelines and the Employee Guidelines. A record of this meeting will be kept in the employee s file. The formal record of the Termination of Employment meeting will be kept in the employee s file recorded and the employee will also be advised of any decisions made by letter 8.6 Appeal An employee has the right to appeal at all stages of the absence management procedure. If the employee feels that the Wellbeing meeting action taken against them is wrong they may appeal in writing, stating their full grounds of appeal (enclosing any relevant documents), to a Senior Manager, in the case of dismissal within 5 working days of the date of the written decision. Except for where an Appeal is against dismissal, appeals may only be made on the basis of a failure to follow the proper procedure or where new evidence becomes available that could not reasonably have been available at the original hearing. If the employee is appealing against dismissal, the date on which dismissal takes effect will not be delayed pending the outcome of the appeal. However, if their appeal is successful they will be reinstated with no loss of continuity or pay. If the employee raises any new matters in their appeal, the CCG may need to carry out further investigation. If any new information comes to light the CCG will provide the employee with a summary including, where appropriate, copies of additional relevant information. They will have a reasonable opportunity to consider this information before the appeal hearing. The CCG will give the employee written notice of the date, time and place of the appeal hearing. This notice will normally be within 5 working days after the CCG receives the employee full grounds of appeal together with any relevant documents. Where possible, the appeal hearing will be conducted impartially by a more senior manager who has not been previously involved in the case who will be assisted by a member of the HR Business Partner Team. The CCG may adjourn the appeal hearing if there is a need to carry out any further investigations in the light of any new points the employee has raised at the hearing. They will be given a reasonable opportunity to consider any new information obtained before the hearing is reconvened. Following the appeal hearing the CCG may: confirm the original decision; revoke the original decision; or substitute a different penalty. The CCG will inform the employee in writing of the final decision within 10 working days of the appeal hearing. Where possible the CCG will also explain this to the employee in person. There will be no further right of appeal. V1.1 January 2017 21