DOCUMENT INFORMATION Author:
Melanie Saunders, Assistant Director HR (Operations) Reviewed HR/SS/JM
Consultation & Approval:
January 2011 Reviewed HR/SS
4 April 2011 21 days’ consultation 20 September 2011 Sign-off at JCC/PRG
This document replaces:
Managing Sickness Absence Policy 2008
Notification of Policy Release:
“All Recipients” email Staff Notice Boards Intranet
Equality Impact Assessment: March 2011
Date of Issue: September 2011
Created: Next Review: September 2013
Version: 7.3 – Final
Amendments 15/11/11 reference to declaration of secondary employment
02/12/12 flowcharts adjusted to reflect text of policy 29/12/12 minor change to wording (s21.1) following NHS
Employers’ guidance
01/02/12 clarification around discounting for notifiable illnesses (s23)
HR POLICIES & PROCEDURES
(HR/C22)
SICKNESS ABSENCE POLICY
SICKNESS ABSENCE POLICY – CONTENTS 1
SECTION PAGE
1. Introduction 1
2. Purpose 1
3. Scope 1-2
4. Definitions 2
5. Principles 2
6. Equality Statement 2-3
7. Employees’ Responsibilities 3
8. Managers’ Responsibilities 4-5
9. HR Responsibilities 5
10. Occupational Health Responsibilities 6 11. Staff Representatives’ Responsibilities 6
12. Standards of Attendance 7
13. Notification of Sickness Absence 7
14. Keeping In Touch 8
15. Certification and Payment 8-9
16. Statement on Industrial Injuries/Illnesses 9-10
17. Notifiable and Seasonal Illnesses 10
18. Third Party Claims 10
19. Sickness Due to Negligence and Working for another Employer 10
20. Sickness Absence and Overtime 10-11
21. Sickness Absence and Annual Leave 11
22. Support Mechanisms 11-12
23. Short-term Sickness: Procedural Framework 12-14
23.4 Procedure 12
23.5 Informal Review and Return to Work Interview 12
23.6 Formal Review 13
23.7 Forms of Action 14
23.8 Dismissal 15
Continued overleaf…/
SICKNESS ABSENCE POLICY – CONTENTS 2
24. Long-term Sickness – Procedural Framework 15-16
24.2 Informal Stage 15
24.3 Formal Stage 15
24.4 Dismissal 16
25. Appeals 17
26. Ill-Health Retirement 17
27. Confidentiality 17
28. Special Cases 18
29. Information & Related Policies 19
30. Monitoring 19
APPENDICES
1. Notification of Sickness Form (including Self Certificate) 2. Return to Work Interview Form
3. Phased Return Form
4. Form for Notification of Norovirus/Rotavirus 5. Form for Notification of Flu-like Illness 6. Stages of Formal Procedure - flowchart 7. (Relevant Sections of) Capability Policy 8. (Relevant Sections of) Disciplinary Policy
9. (Relevant Section of) NHS National Terms & Conditions 10. Rehabilitation & Temporary Redeployment Framework
EQUALITY IMPACT ASSESSMENT New
1. INTRODUCTION
1.1 The South Central Ambulance Service NHS Foundation Trust (“the Trust” or
“SCAS”) is committed to high quality provision of services and recognises that education, training, coaching, supervision and clear standards are essential if all employees are to perform satisfactorily and possess the appropriate skills and qualifications relevant to the requirements of their post.
1.2 Furthermore, the Trust is committed to valuing and caring for its staff and to providing procedural frameworks which ensure the compassionate, equitable and consistent treatment of members of staff who are unable to attend work due to sickness.
1.3 Most recently, in 2009, the Audit Commission identified the cost of sickness absence in the NHS to be in the region of £1.7 billion per year and operational and clinical staff were singled out as having a particularly high level of sickness – an average of 5.9%. It has also been widely reported in the press that NHS levels of sickness are considerably higher than those in the private sector.
1.4 Staff are advised that unacceptable levels of sickness absence could result in formal action being taken against them in accordance with the Capability policy and sanctions issued in accordance with the Disciplinary Policy.
2. PURPOSE
2.1 The purpose of this policy is to improve services to patients by reducing sickness absence levels which disrupt work patterns and increase demands on staff. It also exists to demonstrate that we take levels of sickness absence seriously and are doing our utmost to reduce these figures and improve our public image.
2.2 Where employees fail to meet attendance standards, this policy aims to:
• Support and encourage staff to achieve required standards;
• Maximise employees’ attendance at work;
• Support employees who are absent from work due to ill health;
• Provide a framework through which any sickness absence and ill health issues can be addressed with staff in a fair and consistent manner;
• Identify standards of attendance and serve as a guide to managers in considering employees’ attendance records;
• Define the responsibilities of, and provide guidance to, managers and staff in the management of sickness absence;
• Ensure that staff benefit from early intervention and rehabilitation programmes, where appropriate;
• Ensure the effective use of Occupational Health (OH) services;
• Ensure staff suffering long-term ill health remain in regular contact with their workplace;
2.3 The policy considers both short- and long-term sickness absences.
3. SCOPE
3.1 This policy applies to all employees of the Trust.
3.2 Procedural aspects of managing sickness absence (both informal and formal) within
the Trust will be undertaken in accordance with the Capability Policy.
3.3 Formal sanctions issued following formal reviews will be issued in accordance with the Discipline and Conduct Policy.
3.4 Absences, which constitute misconduct; eg, unauthorised absence, lateness, unreasonable failure to follow sickness absence reporting procedures etc. will be dealt in accordance with the provisions of the Discipline and Conduct Policy.
4. EQUALITY STATEMENT
4.1 The Trust is committed to promoting positive measures that eliminate all forms of unlawful or unfair discrimination on the grounds of age, marriage and civil
partnership, disability, race, gender, religion/belief, sexual orientation, gender reassignment and pregnancy/maternity or any other basis not justified by law or relevant to the requirements of the post.
4.2 By committing to a policy encouraging equality of opportunity and diversity, the Trust values differences between members of the community and within its existing workforce, and actively seeks to benefit from their differing skills, knowledge, and experiences in order to provide an exemplary healthcare service. The Trust is committed to promoting equality and diversity best practice both within the workforce and in any other area where it has influence.
4.3 The Trust will therefore take every possible step to ensure that this procedure is applied fairly to all employees regardless of race, ethnic or national origin, colour or nationality; gender (including marital status); age; disability; sexual orientation;
religion or belief; length of service, whether full or part-time or employed under a permanent or a fixed-term contract or any other irrelevant factor.
4.4 Where there are barriers to understanding; eg, an employee has difficulty in reading or writing, or where English is not their first language, additional support will be put in place wherever necessary to ensure that the process to be followed is
understood and that the employee is not disadvantaged at any stage in the
procedure. Further information on the support available can be sought from the HR Department.
5. DEFINITIONS
5.1 Sickness absence: any unplanned absence from work due to sickness/ill health which is properly reported by the employee.
5.2 An “occasion” of sickness: a period of sickness that lasts half a shift or more.
5.3 Short-term intermittent sickness: short but persistent periods of absence due to sickness, which may or may not be connected, lasting less than four weeks.
5.4 Long-term sickness: an absence in excess of four consecutive weeks. Long-term absence must be covered by medical certificates.
5.5 Rolling 12-month period: the 12 months preceding any stated calendar date; eg, on 14 April 2011, you would consider all absences in the period back to 15 April 2010 and, on 15 April 2011, back to 16 April 2010.
5.6 Reckonable Service: continuous previous service with any NHS employer counts as reckonable service in respect of NHS agreements on redundancy, maternity, sick pay and annual leave.
5.7 Phased Return: where an individual returns to work, gradually increasing their hours of attendance, and their duties, over a defined period in order to maximise their recovery (see section 5 of Rehabilitation and Redeployment Framework – appendix 10) 6. PRINCIPLES
6.1 The Trust will ensure that the provisions of this framework are supportive and that employees are given reasonable help, advice, opportunity and time to achieve acceptable standards of attendance.
6.2 Where an employee is considered to be incapable of carrying out their duties due to ill health, the matter will be considered promptly and in full before a final decision is made.
6.3 By reading and understanding this policy, staff will be informed and aware of the standards of attendance required of them.
7. EMPLOYEES’ RESPONSIBILITIES
7.1 To read and understand the contents of this policy and to comply with its requirements. You must also:
7.1.1 Attend work and undertake duties as contracted;
7.1.2 Bring to the attention of your line manager any issue(s) that you feel are having an impact on your ability to perform your duties and/or attend work; including letting your manager know if you are experiencing increased levels of pressure at work, (which may lead to stress);
7.1.3 Personally inform the Trust in line with this policy and local procedures if you are unable to attend work prior to your expected time on duty or as soon after as is reasonably practicable. Only in exceptional circumstances should a family member or friend telephone the Trust, and where this is done, you should contact your line manager as soon as possible thereafter;
7.1.4 At the same time, tell your line manager why you can’t attend work and, if possible, how long you think you will be off;
7.1.5 Give as much notice as possible of the date and time of return, and report directly to your line manager, or deputy, or notified contact, on return from sick leave;
7.1.6 Report fit as soon as fit to return to duties, even if you are not due on shift that day;
7.1.7 Provide self certificates (which should be completed as part of the return to work interview with your line manager) and GP fit notes (as appropriate) in a timely and efficient manner; within 7 calendar days, failure to do so may result in loss of pay;
• NB, Self certification forms part of the Notification of Absence form at Appendix 1 7.1.8 On returning to work, participate in return to work interviews;
7.1.9 In the case of long-term absences, meet regularly with your line manager or their deputy to review the situation and keep them apprised of your progress;
7.1.10 Comply with your line manager's request to attend any medical examinations organised by the Trust (ie, with Occupational Health) and/or consult your own doctor, and take care of your health generally. Your manager will share with you, in advance, the reasons for any OH referral, normally in writing.
NB, failure to respond to a request to arrange an OH appointment or to attend an appointment without reason, or a failure to co-operate which leads to a delay in managing your absence may be dealt with as a conduct issue;
7.1.11 Complete a timesheet every month, whether making a claim for overtime/
expenses or recording any absences, or recording nothing. This process will confirm attendance and the appropriate level of pay according to circumstances;
7.1.12 Complete an IR1 when an industrial injury or illness is sustained;
7.1.13 Report any injury or illness using the appropriate recording systems in accordance with the stress policy;
7.1.14 Participate in informal and formal reviews of individual performance and attendance in accordance with this framework and the Capability Policy.
7.1.15 Inform manager of any annual leave untaken due to long-term sickness absence so that it can be carried forward and added to annual leave allocation for the following year.
8. MANAGERS’ RESPONSIBILITIES
8.1 Managers are responsible for ensuring this policy is applied equally, fairly and consistently to all employees, by:
8.1.1 Ensuring that all staff (including new staff during their induction and probationary periods) are aware of the absence reporting system, and the requirements of this policy, particularly their own responsibilities and the sickness absence standards;
including support mechanisms such as the Employee Assistance Programme (see s22.2);
8.1.2 Beginning involvement with, and active management of, each case with the first notification of absence from a member of their staff;
8.1.3 Encouraging open communication and discussion within their teams, enabling staff to raise concerns regarding their duties and workloads without fear of reprisal;
8.1.4 Ensuring all staff receive a return to work interview on their return, irrespective of the reason for the absence and length of time off. A face-to-face meeting should take place on return to work but, at the very latest, within 7 calendar days of the employee’s return to work. Only in exceptional circumstances, and as a last resort, should such interviews be undertaken over the telephone rather than not at all;
• the Return to Work form is at Appendix 2
8.1.5 Undertaking day-to-day guidance and supervision of staff, in a manner which instils a culture of encouragement and support, identifying areas and opportunities for improvement at an early stage;
8.1.6 Seeking the advice of their HR Representative when dealing with all formal aspects of this policy, ensuring arrangements are in place for an HR
Representative to be present from the second stage for all formal meetings and/or hearings;
8.1.7 Managing absence levels within their own department/directorate and taking appropriate action to ensure that staff do not exceed the standards as set out in s12, in line with their Key Performance Indicators;
8.1.8 Undertaking the appropriate action in accordance with this policy, where sickness levels breach the policy standards;
8.1.9 Remaining in regular contact with staff who are absent from work due to ill health, ensuring appropriate certification and timesheets are received on a regular basis as appropriate;
8.1.10 Checking, signing and submitting timesheets and other documentation as appropriate, ensuring payroll departments receive timely notification;
8.1.11 Making staff groups aware of the cost of sickness absence for their own department/directorate; eg, providing data on absence over specific periods;
8.1.12 Monitoring the working environment for causative factors of sickness such as environmental conditions, stress etc. and to ensure that there is a safe working environment for staff, undertaking risk assessments as appropriate;
8.1.13 Ensuring confidentiality is maintained at all times when operating within this policy framework and that all information relating to an individual’s absence is held in accordance with the Data Protection Act;
8.1.14 Ensuring that all sickness absence data is input to the relevant data management system;
8.1.15 Ensuring that any annual leave (see s20) accrued during long-term sickness
absence, and not taken during the leave year because of that sickness absence, is added to the annual leave allowance for the following year.
8.2 Subject to the needs of the service, managers will be sympathetic to requests for paid time off to attend hospital, doctors and dental appointments during work time where these cannot be arranged outside of working hours.
9. HR RESPONSIBILITIES
9.1 The HR Department’s role is that of adviser and facilitator, to work closely with management to reduce absence in the Trust. It is specifically responsible for:
9.1.1 Providing professional and expert advice and information on the application of this policy;
9.1.2 Attending all formal stages of this policy and procedure from Stage 2, unless otherwise agreed with all parties involved.
9.1.3 Assisting in the monitoring of the effectiveness of measures taken to address sickness absence and ill health issues within the Trust by collating and analysing Trust-wide absence levels;
9.1.4 Assisting in the monitoring of absence levels within the Divisions, providing managers with information and data on absence levels within their departments and directorates to monitor trends and identify where and when action is required;
9.1.5 Providing regular information to the Executive team, Trust Board and Joint Staff Consultative Committee about sickness absence across the Trust;
9.1.6 Providing coaching, education and training for managers to carry out the procedures in this policy and management of absence in general;
9.1.7 Working with managers and OH advisers to progress individual sickness absence case management;
9.1.8 Researching, informing and implementing requirements of injury benefits and allowances (Temporary Injury Allowance; Permanent Injury Benefit) for the employee;
9.1.9 Notifying Pensions of possible ill-health retirement and requesting the necessary documentation; completing the relevant section and forwarding to OH.
10. OCCUPATIONAL HEALTH RESPONSIBILITIES
10.1 The Occupational Health providers make a major contribution to the management of sickness absence through pre-employment health checks; monitoring staff through regular assessments and recommendations and assistance with rehabilitation and redeployment. It is their responsibility to:
10.1.1 ensure all new staff complete a health questionnaire to be assessed by OH and, where appropriate, receive pre-employment health screening prior to commencing their employment with the Trust;
10.1.2 provide advice and education to prevent ill health and promote a healthy lifestyle;
10.1.3 provide impartial clinical advice to managers and staff about the fitness for work of staff, any restrictions that may need to be applied and any timescale of prognosis for these;
10.1.4 help monitor the working environment for causative factors of sickness such as environmental conditions, stress etc. and to ensure that there is a safe working environment for staff;
10.1.5 allow members of staff, who have concerns about the impact of their work or working environment on their health, to seek confidential advice and be referred to outside agencies where appropriate. [NB: such independent approaches to OH will remain confidential unless the outcome of that meeting means the individual is unfit for work – in which case OH will advise the member of staff and their line manager];
10.1.6 obtain further information from the staff’s specialist medical adviser or GP, when necessary, having first obtained the member of staff’s consent to do so;
10.1.7 facilitate referral to relevant specialists where deemed necessary;
10.1.8 promptly send all reports to the employee and the referring manager and HR;
10.1.9 complete ill-health retirement documentation where required.
11. STAFF REPRESENTATIVES’ RESPONSIBILITIES
11.1 Once they have agreed to support an employee, staff representatives are responsible for:
11.1.1 Ensuring that members are appropriately advised and supported throughout the managing sickness process;
11.1.2 Attending the formal stages of the process;
11.1.3 Ensuring that meetings and hearings can take place in a timely manner and not
causing undue delay;
11.1.4 Liaising with all relevant parties.
12. STANDARDS OF ATTENDANCE
12.1 Employees are expected to attend work in accordance with their contract and short- term absences due to sickness will be measured according to number of periods of sickness and days’ absence. In a 12-month rolling period, they are:
a) Four periods of sickness;
b) 13 working days medically certified or self-certified days of sick leave.
13. NOTIFICATION OF SICKNESS ABSENCE
13.1 All staff must notify the Trust, in the appropriate manner, of any absence due to sickness. If, due to incapacity this is not practicable, then the employee must ensure that a relative or friend does so, on their behalf.
13.1.1 Failure to report sickness absence, using the procedures below, will result in the Trust assuming that individuals are absent without leave and may result in salary being withheld as a consequence.
13.1.2 When reporting sick for duty, individuals should provide brief details of the reason for their absence to their line manager and, where possible, the expected duration.
13.2 Operational Staff
13.2.1 All Emergency Services staff must contact their Resource Department / Sickness Reporting line, prior to their expected time on duty, to advise that they are unable to attend work due to sickness and the estimated length of absence. Staff will need to provide their name, department and directorate in which they work and when they are next due to work, as well as a telephone number on which they can be contacted. No further information is required at this stage.
13.2.2 Scheduling will then log the fact the employee is sick onto Kronos and the appropriate line manager or deputy will be notified. They will then be required to complete a ‘Notification of Sickness Absence’ form and email this to Absence.
• Notification of Sickness Absence form/Self Certificate is also at Appendix 1.
13.2.3 In the event of an employee calling in out of hours, the Divisional EOC/ Sickness Reporting line should be notified.
13.2.4 All Emergency Services staff must report fit for duty as soon as is practicable by contacting their Scheduling. This will not only ensure the maintenance of accurate sickness records but will ensure that, where possible, employees’ shifts are not allocated to other staff.
13.3 All Other Staff
13.3.1 All staff must personally inform their immediate line manager or deputy prior to their expected time on duty and/or no later than one hour from the start of duty time, if they are unable to attend work unless there are extenuating circumstances which make this impossible.
14. KEEPING IN TOUCH
14.1 In all cases, employees should, as soon as possible, notify their appropriate
manager/ supervisor of their intended date and time of return to work, and establish the working arrangement which will apply.
14.2 In the event of continuing absence, individuals should keep in touch with their line manager on at least a weekly basis; and advise their manager of their progress, how much longer they expect to be absent and agree any additional support that may be required in order to facilitate a return to work.
14.3 In the event of long-term absence, Line managers will agree with the employee how often they will contact them (at least monthly). They will ensure that the employee is kept informed of all changes planned and communications circulated within SCAS.
15. CERTIFICATION AND PAYMENT 15.1 Sickness Benefits
15.1.1 These arrangements are intended to supplement Statutory Sick Pay (SSP) to provide additional payment during absence due to illness, injury or other disability.
15.1.2 NHS National Terms & Conditions (see also Appendix 9) state that the following levels of sick pay are payable (based on reckonable service):
YEAR OF SERVICE
MONTHS’
FULL PAY
MONTHS’
HALF PAY
1st 1 2
2nd 2 2
3rd 4 4
4th/5th 5 5
5th+ 6 6
15.1.3 On leaving the Trust’s employment, sick pay ceases on the last day of employment.
15.1.4 Sick pay is calculated on the basis of what the individual would have received had they been at work. This is based on the previous three months at work (or other reference period agreed locally). The definition of full pay will include regularly paid supplements including any recruitment and retention premia, payments for work outside normal working hours and high cost area supplements (see NHS National Terms & Conditions, Annex H). The following also apply:
• Full pay will be inclusive of any statutory benefits (so that sick pay is not a larger amount than normal working pay).
• Half pay plus statutory sick pay must not exceed full pay.
• Sick pay paid to an employee when added to any statutory sickness, injuries or compensation benefits, including any allowances for adult or child
dependants must not exceed full pay.
• The sick pay period and the rate of sick pay for any period of absence is calculated by deducting from the employee’s entitlement, on the first day of sickness, the aggregate periods of paid sickness absence during the 12 months immediately preceding that day.
15.2 Employers have the discretion to extend the period of sick pay on full or half pay where:
• There is an expectation of return to work in the short-term and an extension would materially support a return and/or assist recovery, or
• in any other circumstance that the employer deems reasonable and can justify.
15.3 After 12 months’ continuous sickness absence, and in the following circumstances only, sick pay for those who have exhausted sick pay entitlements should be reinstated at half pay:
• Staff with more than 5 years’ reckonable service – sick pay will be reinstated if sick pay entitlement is exhausted before a final review meeting for long-term absence has taken place.
• Staff with less than 5 years’ reckonable service – sick pay will be reinstated if sick pay entitlement is exhausted and a final review does not take place within 12 months of the start of their sickness absence.
15.3.2 Reinstatement of sick pay should continue until the final review meeting has taken place. NB, reinstatement of sick pay is not retrospective for any period of zero pay in the preceding 12 months of continuous service.
15.3.3 Further guidance on the above paragraphs is set out in s14 of the NHS Terms and Conditions Handbook (included as Appendix 9).
15.4 For absences of between ½-day and seven calendar days, the return to work interview will include self-certification.
15.5 For all periods of absence greater than seven calendar days, a medical certificate will be required for each and every consecutive day thereafter. Failure to produce one may result in Occupational and Statutory Sick Pay being withheld.
15.6 If sickness is not reported and medical certificates not properly completed, the Trust may assume that individuals were absent without leave and subsequently withhold salary payments.
15.7 Fraudulent or deliberately misleading statements made in respect of sickness absence will be deemed gross misconduct and may be considered under the Discipline & Conduct Policy and/or referred to Counter Fraud.
15.8 Staff undertaking secondary employment while absent from the Trust must ensure compliance with the Secondary Employment Policy. Undertaking secondary employment with another organisation, whilst receiving sickness payments from SCAS, may be considered fraudulent activity and could be deemed gross
misconduct. Failure to make the Trust aware of any secondary employment may be considered under the Discipline & Conduct Policy and/or referred to Counter Fraud. This may result in a legal case being pursued.
16. STATEMENT ON INDUSTRIAL INJURIES/ILLNESS
16.1 An industrial injury or illness is the result of an accident or incident sustained by employees in the actual discharge of their duties. Employees must always report an industrial injury to their Line manager or deputy as soon as is reasonably practicable and ensure that Form IR1 is completed. This will enable investigation and appropriate action to be taken to prevent the recurrence of such an incident.
16.2 To falsify an IR1 is a disciplinary offence.
16.3 Line managers must also inform HR and payroll so that employees may receive any entitlements to industrial injury for which they are eligible in accordance with the NHS Injury Benefits scheme. Further information on the scheme can be found at:
http://www.injurybenefit.nhsbsa.nhs.uk
16.4 Properly reported industrial injuries, accidents or illness, sustained through no fault of the individual (see s23.1), will ordinarily be discounted when considering
standards of attendance.
16.5 Should a manager consider that an employee appears to have had a high number of IR1s within any given timescale, he/she will review each case in consultation with HR. A number of options may be considered depending on individual
circumstances, which may include management under the Capability Policy.
17. NOTIFIABLE & SEASONAL ILLNESSES/DISEASES
17.1 From time to time, often on a seasonal basis, a clinical memo may be issued in relation to a particular illness or disease where guidance has come out from central government; in these cases, the Trust Infection Control Lead must be notified of the occurrence using the forms at appendices 4 and 5. Examples would be swine flu or norovirus, for instance.
18. THIRD PARTY CLAIMS
18.1 Where an employee is making a claim for damages from a third party in relation to an accident not attributable to Trust employment (eg, sports injuries, road traffic accidents, etc), they will not be entitled to sick pay. The Trust has discretion;
however, to make advances of pay on the understanding that such payment will be paid when the third party claim is settled.
18.2 Employees will be required to give a written undertaking to this effect. This does not apply to payments made by the Criminal Injuries Compensation Board.
19. SICKNESS DUE TO NEGLIGENCE OR WORKING FOR ANOTHER EMPLOYER 19.1 There may be circumstances where sick pay will not be paid, (see s14.14 of NHS
National Terms – attached as appendix 9); for instance:
• an accident as a result of participating in sports as a profession;
• an accident where contributory negligence is proved;
• in the event of the absence caused by the individual’s own misconduct;
• where an individual is booked off sick but carries out paid work for another employer. All staff must comply with the secondary employment policy.
Advice will be taken from counterfraud in any cases where it is deemed necessary.
This list is not exhaustive and there may be other circumstances in which sick pay will not be paid.
19.2 Staff taking part in high risk sports activities are advised to check any personal insurance requirements/recommendations prior to participating.
20. SICKNESS ABSENCE AND OVERTIME
20.1 Employees who have agreed to undertake overtime, but fall ill prior to their agreed shift, must notify the Trust of their absence in accordance with the procedures
outlined at s13 (and see Overtime Policy).
20.2 In order to maximise staff attendance and promote staff health and wellbeing, overtime following periods of sickness will be restricted as follows:
20.2.1 Staff returning to work following a period of sickness in excess of 7 calendar days will not be authorised to undertake overtime shifts for 7 calendar days following booking fit for work.
20.2.2 For employees returning to work following an extended period of absence, restrictions on overtime may be put in place for longer periods of time and Line managers must seek HR and OH advice in relation to specific cases. Employees on a phased return will not be permitted to undertake overtime.
21. SICKNESS ABSENCE AND ANNUAL LEAVE
21.1 Staff will continue to accrue annual leave at the appropriate rate whilst absent from work due to sickness. S9 of the Annual Leave Policy refers in more detail.
21.1.1 Therefore, employees are encouraged to take annual leave during a period of long-term sickness and should make such requests in accordance with the Annual Leave Policy.
21.1.2 They would receive normal pay rather than sick pay for annual leave thus booked.
21.2 If employees have been unable to take annual leave during a leave year due to long-term sickness absence, they have the right to carry the statutory element of it forward into the following leave year (even if this exceeds 5 days) and this will be added on to the following year’s entitlement.
21.3 Applications to carry forward contractual annual leave (a maximum of 5 days) will only be agreed in exceptional circumstances and following discussion with their Line manager and the Divisional HR Manager. Examples of such circumstances are:
• Where the employee is on a phased return to work and wishes to utilise annual leave in order to make up their full time hours and receive full pay in accordance with the rehabilitation policy.
• Where it is considered that their illness is of a nature where additional annual leave may assist in their recuperation, recovery and subsequent return to work 21.4 Should a staff member be unable to take annual leave due to short-term sickness,
the period of annual leave will be reinstated subject to the individual requesting this and producing a medical certificate covering the entire period. The individual will be responsible for meeting any costs incurred in procuring a medical certificate.
21.5 Employees will not be entitled to an additional day off if they are sick on a bank holiday.
22. SUPPORT MECHANISMS 22.1 Occupational Health
22.1.1 The Trust will refer employees to OH for assessment and medical advice on the employee’s fitness to undertake their contractual duties and/or suitable alternative duties.
22.1.2 The purpose of referral is to gain an understanding of the health issues affecting the employee’s ability to undertake their contractual duties and to ensure that the
Trust is offering the employee all appropriate support in this respect.
22.1.3 Employees do not need to be absent due to sickness/ill health in order to be referred to OH.
22.1.4 Employees returning to work following an injury will be referred to OH prior to commencement of duties, in particular those staff required to undertake manual handling and/or driving duties. No decision on the employee’s suitability to return to such duties will be taken until the OH assessment has been received and, where applicable, the successful completion of assessments suitable to the role.
22.1.5 Managers must discuss the reason for referral with the employee prior to the referral being made and will send them a copy of the referral prior to their OH appointment.
22.2 Employee Assistance Programme
22.2.1 In addition to the Trust’s OH providers, the Trust provides an Employee Assistance Programme (EAP). This is a prepaid 24-hour service available to all staff and their immediate family. The EAP provides a completely independent, confidential and off-site professional counselling and referral service, as well as information regarding legal, financial and Citizens Advice Bureau services.
22.2.2 Telephone the PPC free on 0800 282 193 or log on to www.ppconline.info:
Username: south; password: central.
23. SHORT-TERM INTERMITTENT SICKNESS: PROCEDURAL FRAMEWORK 23.1 The following absences, usually due entirely or largely to a ‘one-off’ event should
normally be discounted when managing an individual’s unsatisfactory sickness record:
• pregnancy-related;
• an appropriately recorded injury, accident, incident whilst on duty;
• a sudden and/or serious illness which results in the standards being breached i) this may include notifiable illnesses such as norovirus or rotavirus, which
are clearly an infection control issue, but managers should consult HR in each case; (relevant instructions are set out in individual clinical memos and see s17 and appendix 4)
• a planned medical intervention which results in the standards being breached.
23.2 The procedure relating to unsatisfactory attendance levels (see standards outlined in s12) may also be applied when an employee’s pattern of absence gives cause for concern (such as regular absences on Fridays or Mondays or a combination of odd days, longer periods and regularly booking sick before or after a period of annual leave or a pattern of sickness consisting mainly of half shifts).
23.2.1 All procedural aspects of managing sickness absence (both informal and formal) will be undertaken in accordance with the Capability Policy.
23.2.2 All procedural aspects of managing sickness absence (both informal and formal) will be undertaken in accordance with the Capability Policy and, for the formal elements, managers should seek HR advice.
23.3 Informal Review and the Return to Work Interview
23.3.1 The first step in managing employee sickness is to always use the Return to Work (RTW) interview (see Appendices 2 and 6a).
23.3.2 RTW interviews will take place in accordance with the Informal Review as outlined within the Capability Policy.
23.3.3 Managers/supervisors should contact an employee during their first shift,
preferably face-to-face; however, at the very latest, RTW interviews should happen within 7 days of return to work. If it is not possible to meet face-to-face, telephone contact is acceptable as a last resort.
23.3.4 The manager should prepare for the RTW interview by reviewing the previous 12 months’ sickness.
23.3.5 The discussion should be recorded on the RTW form.
23.3.6 The aim of the RTW is to:
• Welcome the employee back to work and enquire whether they are fully recovered;
• Establish if the sickness is likely to recur and identify what, if any, support from the Trust might help prevent recurrence;
• Communicate any changes/important information/events that have taken place whilst the employee has been absent;
• Review the employee’s absence record, identify any trends and discuss any appropriate action to improve the employee’s attendance, confirm what action may be necessary in the event of further episodes of absence;
23.3.7 Depending on the reasons for persistent absence, the manager may decide to treat the issue as a welfare one and take no immediate action. However, a date should be set for a review of the situation.
23.4 Formal Review
23.4.1 Where an individual’s attendance falls below the minimum standards required; or their attendance pattern gives cause for concern, there should be a review of the attendance and the member of staff given the opportunity to explain their case.
23.4.2 All formal reviews of an employee’s sickness absence will take place in accordance with section 9 of the Capability Policy (see appendix 7 of this policy for relevant extract), under the headings:
• First Formal Review,
• Second Formal Review and
• Final/Formal Hearing.
23.4.3 Employees are encouraged to be accompanied by a Staff Side representative or colleague at all formal meetings.
23.4.4 When considering an employee’s attendance in accordance with the formal procedure, there are three main elements:
• A fair review of the employee’s attendance record including consideration of the reasons for unsatisfactory attendance at a formal interview;
• An opportunity for the employee to make representations;
• Appropriate warning of further action and/or dismissal if attendance does not improve.
23.4.5 When reviewing an employee’s attendance under the formal procedure, the manager should:
• seek the advice of HR;
• seek the advice of OH, where there is a possibility that there may be an underlying medical condition.
23.4.6 The formal reviews should:
• Establish whether an underlying medical condition exists;
• Provide the manager with an understanding of the cause of the employee’s sickness and the effect of that illness on the employee’s capacity to fulfil their contract of employment;
• Give the employee the opportunity to explain their absences and to indicate any mitigating circumstances including establishing and/or reviewing any underlying difficulties experienced by the employee. Where absences arise or are exacerbated by temporary domestic problems, the likelihood of an
improvement in attendance should be considered in deciding what action is appropriate;
• Review the attendance record including the length of absence, the duration of periods of good health between episodes of absences, comparisons with organisation standards, comparisons with average attendance levels, OH reports if available;
• Consider any previous action taken to identify and resolve the absence problem;
• Establish treatment being received, its duration and the likelihood of it improving the attendance level. Where there is an underlying medical condition and the employee has not been seen by their GP, then they should be asked to do so. They should also be referred to OH if a referral has not already been made. The fact that an employee has not seen their GP or attended OH does not preclude the manager of appropriate status from deciding to issue a formal warning for unsatisfactory attendance;
• Identify and discuss the operational difficulties caused by the employee’s illnesses, including the effect of others within the department;
• Consider any alternatives, which might improve the situation such as a temporary reduction in hours, a reorganisation of the job for a period or a permanent change in duty where suitable alternative work is available; subject to the needs of the service.
• Consider reasonable adjustments under the Equality Act and, when appropriate, seek professional advice.
23.4.7 During the course of the formal review(s) the manager may decide that further investigation is necessary or that more time is needed to consider the matter. In such circumstances the meeting should be adjourned and reconvened at a later date.
23.4.8 In some exceptional cases of persistent short-term absences, where there is an underlying medical condition; it may be appropriate to treat the case under the procedural framework for long-term sickness, as outlined in s24.
23.4.9 Should an employee have received a formal sickness absence warning within the last 12 months, the formal process will automatically proceed to the next stage.
23.5 Forms of Action
23.5.1 Initially an action plan should be put in place giving clear guidance as to what level of absence will be tolerated within a certain time period; for instance:
• 1 period of sickness for a maximum of 4 days within 6 months or
• 2 periods of sickness of a maximum of 4 days in total within 12 months
23.5.2 Where a formal review warrants/results in a warning being issued, warnings will be issued in accordance with s12 of the Discipline and Conduct policy.
23.6 Dismissal
23.6.1 If, following reasonable warnings, the nature, duration, and frequency of the sickness absences do not show significant improvement, it may be appropriate to consider dismissal on the grounds of “capability” or “some other substantial reason to justify dismissal”, (Employment Rights Act 1996).
23.6.2 Dismissal hearings should be held in accordance with the Discipline and Conduct policy.
24. LONG-TERM SICKNESS ABSENCE: PROCEDURAL FRAMEWORK
24.1 There are three main elements to the procedures for handling prolonged periods of sickness absence:
• Medical investigations.
• Consultation with the employee to
i) consider any circumstances which may have occurred since previous discussions or correspondence on the issue and,
ii) consider the employee’s opinion of their condition, including giving them the opportunity to refute adverse medical opinion.
• Consideration of alternative employment (see appendices 8 and 10) or reasonable adjustments in line with the Equality Act 2010.
24.2 Informal Stage
24.2.1 After four weeks’ sickness, the line manager should contact the member of staff to set up an informal meeting to discuss their situation, in accordance with the Capability Policy, in particular s9.1, entitled Informal Discussion/Counselling (see Appendix 7 of this policy).
24.2.2 The meeting’s primary purpose should be welfare; although the manager should also attempt to agree a return to work date, discuss an OH referral and any other support that may be appropriate. Consideration should also be given at this stage to an appropriate Rehabilitation programme (see Appendix 10).
24.2.3 If the member of staff is too ill to attend a review meeting, a home visit will be arranged.
24.2.4 All meetings should be documented by the manager and confirmed in writing to the employee.
24.3 Formal Stage
24.3.1 In the event of an employee’s absence continuing beyond four weeks (ie, at the point where it becomes a long-term sickness absence), they should be referred to OH for a formal assessment of their fitness to undertake their contractual duties and for guidance in managing the situation.
24.3.2 On receipt of the OH report, the line manager should arrange a formal meeting with the employee, usually within 10 calendar days, to discuss the medical opinion.
The formal review meeting should be held in accordance with the Capability Policy (see Appendix 7).
24.3.3 In considering an employee’s sickness absence and OH assessment, the following factors should be taken into account:
• the prognosis based on GP and consultant reports; test results, etc
• duration of the illness and the likely future return to their contracted duties;
• the nature of their duties and how feasible it would be to arrange a temporary replacement;
• the nature, length, and effect of the illness or disabling event;
• whether salary is still being paid (NB, a reasonable period of time will be given to staff in which to recover; however, it is not a requirement that sick pay is exhausted in order for a decision to be made on an employee’s situation);
• service delivery and/or performance difficulties and cost implications caused by the absence;
• the effect of the continued absence on their team and other employees.
24.4 Termination of Contract on Grounds of Capability due to Ill Health
24.4.1 Further to formal reviews being exhausted, the employee should be called to a further final review/hearing to consider the continuation of their contract of employment. The meeting will be held in accordance with s12 of the Discipline and Conduct policy (attached as appendix 8 of this policy). The decision should be made by a manager with the authority to dismiss.
24.4.2 The purpose and significance of the meeting should be clearly identified to the member of staff in advance.
24.4.3 A decision to dismiss the employee on the grounds of incapacity due to ill health will be taken provided that:
• the points specified in paragraph 24.3.3, above, have been considered;
• the three main elements of the procedures for handling prolonged sickness absence have been followed in accordance with paragraph 24.1.
24.4.4 Contractual notice must be given to a member of staff whose contract is being terminated on the grounds of ill health.
24.5 Confirmation of Formal Review & Formal Warnings
24.5.1 The outcome of all formal reviews and/or formal warnings will be put in writing to the employee according to the Capability and/or Disciplinary policies.
25. APPEALS
25.1 Employees have one right of appeal at each formal stage of this framework in accordance with s10 of the Capability Policy
25.2 Appeal against dismissal will be in accordance with s13 of the Discipline and Conduct Policy.
26. ILL HEALTH RETIREMENT
26.1 In the event that an employee on long-term sick will not recover sufficiently to return to work, or to the specific job that they were doing, an alternative method of
terminating their contract is retirement.
26.1.1 There is a formal procedure and it is managed via the NHS Pension Scheme.
26.2 The normal review process needs to have been followed for this conclusion to have been reached.
26.2.1 Paperwork must be completed by the Trust, the employee and 2 independent doctors (usually, OH provides one of these). Once completed, this is submitted to NHS Pensions for consideration and approval.
26.3 There are two tiers of retirement:
26.3.1 Firstly, retirement from the NHS entirely;
26.3.2 Secondly, retirement only from the type of work that the employee is no longer fit enough to do but can still remain employed in the NHS on other duties.
27. CONFIDENTIALITY
27.1 When managing an employee’s absence, the need to preserve confidentiality is of paramount importance. The Data Protection Act must be followed at all times.
27.2 Discussion of any staff member’s absence record or episodes should only be undertaken in an appropriate and confidential setting.
27.3 Access to confidential information should be strictly limited to those dealing with a particular situation.
27.3.1 Confidential information, which may include medical reports, notes of meetings and letters etc. will be kept on the staff member’s file within the HR department.
27.3.2 Electronic information must be kept in a secure, passworded folder and, again, only be accessible to those dealing with the case.
27.4 Payroll providers will keep a record of all original documents relating to sickness, such as medical certificates, statutory sick pay, pension agency requirements and temporary injury allowance.
27.5 Managers may also keep information regarding their staff, such as information regarding RTW interviews but these will also be stored in a secure area in accordance with data protection requirements.
27.6 Those individuals who have access to computerised sickness records must take into consideration whether anyone can view their screen when accessing such packages. Taking such action as moving the position of the screen or blocking the screen with a screensaver when someone approaches will ensure compliance with
Data Protection.
27.7 Any instances of staff members or managers failing to comply with these standards of confidentiality will be rigorously investigated and disciplinary action may follow if appropriate.
28. SPECIAL CASES
28.1 When dealing with cases that have the potential to fall into this area, whether informal or formal action is being considered, advice must be sought from HR.
28.2 People with Disabilities
28.2.1 The Equality Act (2010) makes it unlawful to discriminate against people with disabilities by subjecting them to any detriment.
28.2.2 Absences due to a reason covered by the EA will not be automatically discounted when reviewing an employee’s sickness absence. However, where an employee is unable to achieve the required standard due to a condition recognised under the DDA, Managers must ensure, when managing sickness absence, that actions are justified and that all reasonable adjustments are considered and made in
accordance with the provisions of the ‘Act’. In such cases advice should be sought from HR.
28.3 Chronic Illnesses / Terminally Ill Staff
28.3.1 Extra sensitivity should be used when managing sickness absence for staff who are suffering from a life threatening illness and/or who are terminally ill. Sick pay should be allowed to run and employment should not be ended before it is due to expire, unless at the express wish of the individual. Advice should be sought from HR and additional advice will need to be sought from the Payroll department on pension matters where the member belongs to the NHS pension’s scheme.
28.4 Fertility treatment
28.4.1 Where a member of staff decides to undertake fertility treatment the line manager should try and be as flexible as possible. The staff member will be expected to take annual leave or use any lieu time owed. Occasionally, and depending upon the needs of the service, the manager may agree to the staff member taking unpaid leave. If the treatment results in sickness absence an appropriate certificate must be produced on each occasion and the sickness absence will be managed in accordance with this policy.
28.5 Gender reassignment
28.5.1 Where a member of staff decides to undertake gender reassignment the line manager should try and be as flexible as possible. It is unlawful to discriminate against someone if he or she:
• intends to undergo gender reassignment treatment or
• is undergoing gender reassignment treatment or
• has at some time in the past undergone gender reassignment.
28.5.2 Therefore, to avoid treating someone less favourably, it is advised that the line manager meet with the individual to discuss an action plan to manage the
transition at work. Advice should be sought from the HR department regarding this process.
