Managing Attendance Policy

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Managing Attendance Policy

Version: 4.0

Policy number: ULHT-HR-MAP

Document author(s): Becky Maxwell, HR Advisor

Contributor(s): Human Resources, Managers, Staff Side

Approved by: Policy Approval Group

Date approved: 17 June 2014

Review date: 30 September 2016

Policy is: Trust-wide

Version History Log

Use this table to record the version history for this document. Detail the key changes made to each version.

Version Date Published Details of key changes

4.0 December 2014 Persistent Short Term Sickness Absence to be managed through a Capability Process.

Calendar days introduced as trigger post informal meeting.

3.0 November 2010 Following 3 month review, Bradford Factor replaced by episodes as trigger for initial absence meeting

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Summary

Managing attendance is essential to the efficiency of the organisation. The key objective of this policy is to encourage an attendance environment within the Trust, where all parties take responsibility for their attendance at work and management of attendance at work, demonstrating a clear commitment to attendance in order to maintain high standards of service.

The policy supports improvements to the health, well-being and attendance of all employees. The Trust is committed to providing a healthy and safe working

environment, and recognises that the health and well-being of our employees is a key element in the delivery of quality services, as well as in maintaining job

satisfaction and morale.

The Trust is committed to ensuring that it treats its employees fairly, equitably and reasonably; that it complies with legal requirements and that it does not discriminate against individuals or groups on the basis of their ethnic origin, physical or mental abilities, gender, trade union membership, age, religious beliefs or sexual orientation. Attendance is central to our ability to deliver a high level of service and promote good morale for all employees. The policy will aid the organisation to:

 Deliver services in a high quality and sustainable way

 Invest in our people to help them to reach their full potential

 Attract and retain the highest calibre employees.

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1. Introduction

1.1. Purpose

The Trust recognises that absence from work due to ill health is sometimes unavoidable, and this policy outlines what managers and employees should do in these circumstances. Whilst a supportive approach is encouraged, it is also recognised that excessive sickness absence has a considerable impact on the employee, their colleagues, patients, service users and the overall business of the Trust, and must therefore be reviewed and managed in a fair and consistent way. Unless there is evidence of deliberate misconduct, unacceptable levels of sickness absence will be considered as a capability matter rather than a

disciplinary one.

1.2. Context

The purpose of having ‘People Management’ policies is to provide individuals with an understanding of the organisation’s commitment and approach to a variety of people management matters.

Trust policies aim to combine integrity with good standards of people

management and provide details on how matters will be addressed. It is not possible to cover every eventuality and therefore in exceptional circumstances it might be necessary to vary from the stated policy or procedures. Such variations will be for the purpose of ensuring equity and fairness and ensuring that matters are dealt with in the most efficient/appropriate way. Any variance should be justifiable in these terms and agreed with the HR Director and Staff Side representative.

1.3. Objectives

The Trust is committed to improving the health, well-being and attendance of all employees, and the objective of this policy is to set out the Trust’s approach to managing staff attendance in a way that is both supportive to staff and

enhances the provision of the highest quality patient care.

1.4. Scope

This policy applies to all Trust employees including those seconded into the organisation

It does not apply to agency staff or other contracted ‘workers’. Where there is a concern with the attendance of an agency worker or contractor the terms of engagement should be referred to for cessation of the contract.

1.5. Compliance

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2. Roles and Responsibilities

2.1. Employee Responsibilities

 attend work regularly.

 take reasonable steps to maintain their good health and attendance at work.

 maintain contact and remain available during absence to discuss their sickness. In exceptional circumstances it may be agreed with the line manager that a family member can maintain contact on the employee’s behalf.

 to be aware of the Trust’s policy and local procedures for reporting and managing sickness absence.

 attend Occupational Health appointments as necessary. 2.2. Management Responsibilities

 ensure all staff are aware of the sickness absence reporting procedure.

 to maintain timely and accurate records of employee sickness absence.

 adhere to the requirements set out within this Policy.

 maintain a healthy and safe working environment. 2.3. Human Resources Responsibilities

 supporting managers in the implementation of this Policy through the provision of advice and training.

2.4. Occupational Health Responsibilities

 Play a key role in supporting staff to recover and return to work through a variety of initiatives as appropriate to each case including:

o Rapid access to confidential counselling, individual referral to psychological assessments or mental health support services

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3. Definitions

3.1. Absence is defined as “non-attendance at work by an employee with

attendance is expected by the employer” (Rob B. Briner, British Medical Journal 1996; 313:874-877)

3.2. Long term sickness absence is defined as any period of sickness

absence that last for 28 calendar days or more.

3.3. Short term sickness absence is defined as periodic sickness absence

of individually short durations.

3.4. Phased Return involves working less than the full duties and/or

contracted hours over an agreed period of time to facilitate an employee’s return to full duties and contracted hours of work. 3.5. Disability is defined by the Disability Discrimination regulations

contained with the Equality Act 2010 as 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’. For the purposes of the Act, long term means more than 12 months. Day to day activities include: mobility; dexterity; physical co-ordination; continence; ability to lift, carry or move everyday objects; speech; hearing or eyesight; memory or ability to concentrate, learn or understand; or perception of risk of physical danger.

3.6. An individual automatically meets the definition of disability under the Equality Act 2010 from the day they are diagnosed with HIV infection, cancer or multiple sclerosis.

3.7. An individual whose impairment is fully controlled by medication will be protected by the Act if they would be substantially impaired without their medication or aid (e.g. hearing aid). The definition of disability is very broad and will include a very wide range of physical and mental conditions and illnesses.

4. Associated documentation

 Special Leave Policy

 Disciplinary Policy and Procedure

 Flexible Working Policy

 Data Protection Policy

 Annual Leave Guidance

 Management of Stress in the Workplace

 Health and Safety at Work Policy

 Capability Policy

 Health and Wellbeing

5. General Conditions

5.1. Sickness during Annual Leave

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their manager (or deputy if not available) of the sickness 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. Providing that the employee does this and provides the required self-certificate and/or medical certificate to cover the period of sickness, this will be treated as sick leave, allowing the employee to take the annual leave at another time. Annual leave will not be ‘refunded’ where sickness is not reported until after the

employee returns to work following their annual leave, or where reporting is not supported by the required certification.

5.2. Sick Pay and Annual Leave

5.2.1. Employees can accrue statutory annual leave while they are on long-term sick leave. Contractual annual leave entitlement that is over and above the statutory amount and which cannot be taken in a leave year because of sickness absence will be lost, and cannot be carried forward to the next leave year. Where

employees have bought leave through the buying and selling of annual leave scheme this will either be carried forward to the next leave year or the financial deductions will be refunded to the employee. The manager will inform the employee which option will be applied.

5.2.2. All employees, including those on long-term sickness absence, should be encouraged to take annual leave during the holiday year in which it accrues to avoid significant amounts of holiday being carried over between holiday years.

5.2.3. In accordance with Section 14.8 of the NHS Terms and

Conditions of Service Handbook, “employees will not be entitled to an additional day off, if sick on a statutory holiday”.

5.3. Occupational Health Referrals

5.3.1. There will be cases where it is appropriate to seek medical information and/or advice, e.g. where sickness absence is likely to be long term or where an underlying medical issue is, or may be, causing persistent sickness absences.

5.3.2. It is a condition of NHS employment that employees are required to co-operate with a manager’s request to attend OH for a

medical assessment. The manager must discuss and advise the employee of the assessment and reason for it. Where an

employee fails to attend an OH appointment without prior notification and acceptable reasons, the line manager will be informed. Failure to attend a second ‘rearranged’ appointment may result in disciplinary action. Employees should be aware that if managers have made reasonable attempts to get

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advice.

5.4. Sick pay entitlement

5.4.1. Employees who are off sick may be entitled to receive sick pay. This can be:

 Statutory sick pay

 Contractual occupational sick pay, as outlined in the NHS Terms and Conditions of Service Handbook.

 Sickness or incapacity benefit

 Injury allowance

5.5. Employee conduct during sickness absence

5.5.1. If it is discovered during a period of sickness absence that an employee is behaving in a way that is inconsistent with the reasons for their absence and/or aiding their return to work, sickness payments may be withheld and the circumstances will be investigated. Where appropriate disciplinary action will be taken under the disciplinary policy.

5.6. Time off for medical appointments

5.6.1. Guidance on time off for medical appointments can be found within the Special Leave Policy. Appointments for employees with a long-term medical condition or who are covered under the Equality Act 2010 will be dealt with on an individual case-by-case basis.

5.7. Prevention of working overtime/additional hours

5.7.1. Where substantive staff have been absent due to a period of sickness, they must not undertake Excess Hours/Overtime or Bank Shift assignments for a minimum of 7 calendar days following return to the substantive post. This will be monitored and breaches will not be tolerated by the Trust. This is to ensure patient and staff safety as well as complying with our obligations under the working time directive.

5.7.2. Employees who are being managed under a formal process for sickness absence will be prevented for health and well-being reasons from carrying out bank or authorised overtime/additional hours to contracted hours, for the period of the formal review, which will then be reviewed. Consideration must be given to participation in an on-call rota in each individual case but the removal of an employee from an on-call rota may be considered. 5.7.3. Managers should not request staff to breach their prevention of

working overtime/additional hours.

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5.8. Potential False Claims of Sickness Absence

5.8.1. Whilst on sick leave, employees will be expected to behave in a manner that will assist their recovery and return to work.

Employees should not engage in any activity which is inconsistent with the nature of their illness/injury. Where the Trust has reason to believe that an employee’s conduct during sick leave has been prejudicial to their recovery, sick pay may be withheld, following an investigation into the circumstances.

5.8.2. False sickness absence and working whilst off sick are offences of fraud and cost the NHS millions of pounds every year, which directly affects patient care. Sick pay is awarded to you on the basis that you are unfit to work and therefore you are not to engage in any form of employment (paid or voluntary), including attending training/study courses, without formal prior

authorisation from your manager during a period of sickness absence from the Trust. Additionally, a GP Statement of Fitness for Work (Med 3) is an official document and any fraudulent alteration is a criminal offence. Falsely representing an illness/injury on a Trust self-certification of sickness absence documents (for periods of absence not requiring a Med 3) in order to gain sickness absence from work would also constitute fraud. All of the foregoing can lead to a combination of

disciplinary action, criminal prosecution, referral to a professional body (where applicable) and/or civil recovery proceedings. 5.8.3. Any concern that sickness absence fraud is occurring should be

referred to the Trust’s LCFS (see the Trust intranet for contact details), alternatively you can make a confidential report to the NHS Fraud & Corruption Reporting Line on 0800 0284060 or via www.reportnhsfraud.nhs.uk

5.9. Absence due to third party accident

5.9.1. An employee who is absent from work as a result of a third party accident is not entitled to sick pay if damages are received from the third party. In such cases, the Trust will pay the employee a sum equivalent to what would have been paid to them as sick pay. When the employee receives damages, they will be required to repay this sum to the Trust. Once the sum is repaid, the absence shall not be taken into account for the calculation of sick pay allowances. However the period of absence will be recorded as sick leave for monitoring and absence management purposes. Where the employee has received compensation for loss of earnings, their failure to repay sick pay to the Trust would lead to possible disciplinary action and a referral to the Local Counter Fraud Specialist (LCFS) for criminal investigation.

5.10. Suspension on Medical Grounds

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will continue to receive normal full pay for the recommended period imposed. This absence will only be recorded as sickness if the employee is unfit to work. Otherwise the absence will be recorded as authorised medical suspension.

6. Procedure for Reporting and Recording Sickness Absence

6.1. Notification of sickness absence

6.1.2 Local arrangements within departments should be made for the notification of sickness absence, and these should be

communicated clearly too all affected members of staff by the line manager. All staff are required to notify their line manager or a nominated deputy of sickness absence on the first day of absence.

6.1.3 The individual should speak to their line manager or deputy in person to report their absence. Text messages or email are not appropriate forms of notification. Family members should not normally ring on behalf of employees unless they are unable to telephone personally. Other staff members should not take messages of absence unless the line manager is unavailable, in which case a telephone number should be taken for the

manager or deputy to make contact later.

6.1.4 When notified of sickness absence, managers should seek to clarify the cause of the absence, as well as identifying any likely return date and arrangements for contact during the absence period. It is imperative that employees keep their manager informed during their period of absence of their recovery and likely return to work date.

6.2 Recording of absence

6.2.1 It is essential that accurate records are kept of all sickness, including the reason for absence and the correct start and end dates for each period of sickness absence. The start and end date should reflect the days the employee became unfit and fit for work regardless as to whether they are a normal working day. 6.2.2 Managers should accurately report an employee’s absence

records on the appropriate electronic reporting system in a timely manner to ensure accurate payment to the employee.

6.2.3 Employees who have to go home sick during a period of duty having worked half a shift or less will have that day recorded as a day’s sickness absence. If employees work more than half the shift before having to go home sick this will not be recorded electronically for sick pay purposes, but should be recorded locally by the line manager and considered when reviewing and managing sickness absence.

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line manger to confirm that they are fit to return to work, otherwise the off duty day will be counted as part of their sick leave period. The same principle applies to part time staff.

6.2.4 Managers must not allow staff to take annual leave or time in lieu as a substitute for sickness absence.

6.3 Certification of sickness absence

6.3.1 In order to receive either statutory or occupational sick pay, an employee must certify their absence from work due to sickness: 6.3.2 If an employee is absent from work due to ill health for 4 to 7

calendar days they must complete a self-certificate form. 6.3.3 Absences due to ill health of more than 7 consecutive calendar

days will require a medical certificate (‘fit note’) from their GP or other appropriate health professional to cover all absence beyond the first 7 days. These should be sent to the line manager.

6.3.4 Self-certificates and ‘fit notes’ will be retained on the employee’s personal file. Where an employee needs to retain a medical certificate for benefit purposes, they will still need to submit the original to their manager who will retain a copy for their

personnel file, returning the original to the employee. 6.3.5 If an employee does not comply with either/or the sickness

reporting procedure or submission of fit notes their absence will be regarded as unauthorised and this may be deemed a

disciplinary offence subject to the Disciplinary Procedure.

6.3.6 If an employee wishes to return to work whilst certified sick they must agree with their manager that it is appropriate for them to return to work. This agreement should be documented and a risk assessment should be completed if applicable. Where a manager does not agree it is appropriate for the employee to return to work the employee’s fit note will remain in force. 6.3.7 If an employee wilfully disregards medical advice and places

themselves and/or ULHT at risk then this may be deemed be a disciplinary offence subject to the Disciplinary Procedure. 6.3.8 Employees should be aware that they must not undertake work

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7. Returning to Work

7.1. The individual must report to their line manager or deputy on the first day of their return to work for a return to work (RTW) interview to take place. In exceptional circumstances i.e. if a manager has pan-trust

responsibilities and is located elsewhere, a telephone interview may be conducted if mutually agreed.

7.2. The line manager must complete an electronic RTW notification form to confirm that they have conducted a RTW interview and completed the pro-forma.

7.3. If at a RTW meeting the employee refuses to discuss the reasons for their sickness absence and is not prepared to discuss this with another manager or HR or OH, the conditions for eligibility for sick leave with pay will not have been met. The manager should inform the employee that the absence will be treated as unauthorised unpaid absence and that this may result in the matter being dealt with under the Disciplinary Procedure.

7.4. The suggested content of the Return to Work Interview is provided in the Absence Management Managers Guidance.

8. Representation

8.1. At informal stages of the policy the individual or line manager may wish to take advice from their respective staff side representative/ HR prior to an informal meeting. However, the informal meeting itself must be conducted on a one-to-one basis between the immediate line manager and the individual.

8.2. At all formal stages of this policy employees have the right to be represented by an accredited representative of their trade union or professional association or a colleague. An exception may be made in the case of staff with a condition or disability that means they require specific support.

8.3. In exceptional cases, and in particular where there is not an accredited representative available, Full Time Officers may fulfil this role. Where the issue relates to a staff side representative, they have the right to be represented by a Full Time Officer.

8.4. It is the responsibility of the employee to make arrangements for representation and for staff side representatives to arrange for alternative representatives to attend if they are unavailable. It is not permissible for the process to be delayed due to the request for one staff side representative, manager or human resources representative. Where the staff side representative is known prior to arrangement of the

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Informal Support Meeting

8.5. The purpose of the meeting is for the manager and individual to discuss any concerns at an early stage in a constructive and supportive manner, in an attempt to improve attendance and avoid the need for formal action. This meeting must be one on one.

8.6. The individual should be aware of the purpose of the meeting prior to the meeting taking place, and should be supplied with their current absence record in advance.

8.7. The individual or manager may wish to take advice from staff-side representatives/HR prior to this meeting.

9. Formal Meeting Notification

9.1. At all stages in the formal process, employees must be given a minimum of 5 working days written notice of a formal Management Attendance Meeting/ Hearing. However, this timescale may be reduced at the agreement of the manager and employee. The letter to the employee should be sent within 5 days and should contain the following

information:

 A written statement of the extent of continuing sickness absence / sickness absence records for the period under review.

 The documentary evidence to be referred to at the meeting/ hearing, copies of which will be sent with the letter.

 A reminder of their right to be represented.

 Advice on the possible outcome of the hearing – this is

particularly important to include if the outcome may be dismissal.

 The names and post titles of those who will be present at the meeting/ hearing including HR Support.

 The right to be supported by an accredited representative of their trade union or professional association or a colleague.

 The requirement that the employee or their representative advise management prior to the date of the hearing of any other

supporting documentation or information that they wish to submit.

 The names of any witnesses to be called at the meeting/ hearing. (NB: It will not usually be necessary for witnesses to be called in a sickness absence hearing, though this is possible especially at the more serious stages. If management witnesses are to be called, the employee needs to be notified of this within the letter. If the employee wishes to call witnesses to the hearing, the panel must be notified of this prior to the hearing).

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the meeting may be heard in their absence and/or the absence of their representative. The employee will be informed of this in writing.

10. Managing Frequent Short-Term Sickness Absence

10.1. Whilst the Trust acknowledges that there may be a certain level of short-term sickness absence amongst employees, it must also pay due regard to its operational needs. Frequent short term absence has a significant effect on productivity and/or service provision, as well as placing an additional burden of work on the employee’s colleagues. It is important to minimise this type of absence as far as possible to alleviate the detrimental effect on staff teams and patient outcomes.

10.2. Whilst a supportive approach will be taken with regard to isolated

incidents of short-term sickness absence, frequent short-term absences may lead to the need to instigate formal action. It may become

necessary for the Trust to take this action if an employee’s level of sickness absence remains unsatisfactory despite positive interventions and reasonable management support. In these cases the following process will be followed.

Level Action Review Period Forum Manageme

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period. al Health. Level 3: Formal Caution Meeting Trigger point: 2 further episodes or 8 calendar days of sickness absence during the 6 month review period. Formal Caution – on file for 12 months Further absence is reviewed for 6 months from date of Formal Caution Meeting. Formal Caution Meeting Next tier of manageme nt above line manager (or above). * Level 4: Capability Hearing Trigger point: 2 further episodes or 8 calendar days of sickness absence during the 6 month review period. Dismissal on the grounds of Capability - Capability Hearing Manager with Authority to dismiss

* Where line manager is a senior manager a manager of equivalent level not previously involved may be considered.

10.3. If at any point during the management of short-term frequent absences it becomes evident that there is an underlying medical condition or

disability that has caused the absences or majority of the absences, management will be in accordance with the process for long term

sickness absence, after the initial informal support meeting (see 8.5) and stage 1 of the process have been undertaken. Where an underlying medical condition or disability has been identified the triggers set out 10.2 may be negotiated.

10.4. If short term frequent absences appear to be linked or a manager

believes there might be an underlying condition that the employee may or may not be aware of, advice should be sought from Occupational Health. In particular dismissal should only be considered after medical advice has been obtained and this possibility has been explored.

10.5. It may be appropriate at any point in the formal management of short-term frequent absence to consider reasonable alternative options to support improved attendance which may include e.g. redeployment to another less-demanding role, changes to working hours or arrangements etc. Any such change would only be possible where this is both

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agreeing to changes to support improved attendance would not be subject to pay protection.

10.6. If during a review period an employee’s attendance is at an acceptable level there will be no further action at that time. However, where the employee has been issued with a caution it will remain on file for 12 months from the date of issue. Should attendance not be maintained during this period the matter will proceed immediately to the next stage.

11. Managing Long-Term Sickness Absence/Underlying Health

Condition

11.1. The details within this section and the associated Process also relate to the management of frequent short-term absence where it has been established that the reason for the absence is as a result of an underlying condition or disability. In such cases the process for

managing frequent short-term absence should only be used to stage 1 – informal support meeting. Further action required should then be taken in line with the process for managing long term sickness absence. However, there may be occasions where it is decided to continue with the frequent short-term absence process. For example, where staff are not taking appropriate measures to support their underlying condition or disability

Informal Management

11.2. Managers need to keep regular contact with an individual to understand the implications of their condition and to have an insight into the

projected absence and a likely return to work date.

11.3. Managers should maintain documentation of all discussions held on the employees personal file.

11.4. If a return to work is imminent the manager simply needs ensure that a return to work interview is completed, documented and reported through the electronic reporting system.

11.5. If an employee has a serious medical condition or has sustained a significant injury, this may mean that they are 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.

Formal Management

11.6. Where an employee is absent for longer than 4 weeks, or where there have been continued episodes of short term absence relating to a long term condition, the manager should meet with the employee formally to discuss their absence. The areas to be discussed at the meeting are outlined in the Managers Guidance.

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be arranged when the OH report is received to review the advice and plan ahead on the basis of this. Further action may then include:

 Further review periods (of no less than 4 weeks)/Improvement Attendance Plans

 Further advice from OH where there is a change to the condition or circumstances or other reason to request new advice

 The possibility of temporary or permanent redeployment

 Other support or adjustments to support a return to work/ remain at work – e.g. a phased return

 Consideration of the likely return to duties and associated risk to the individual, the department and other employees

 Termination of employment on the grounds of ill health

 Ill health retirement for those in the pension scheme where the employee is incapable of a return and an application for benefits on this basis is accepted as eligible for benefits by the pension scheme.

Injury Allowance

11.8. Where an employee is absent due to a work related injury, illness or other health condition and are on reduced or no pay they may be able to claim for loss of earning. Requests for Injury Allowance should be submitted to the employee’s line manager, using the form in Appendix 1 and will be considered in line with national terms and conditions.

Reasonable Adjustments

11.9. When discussing the future role for the employee the manager will need to consider whether reasonable adjustments would enable the employee to continue in their substantive role.

11.10. Under the Equality Act 2010 the Trust has an obligation to ensure that reasonable adjustments are provided for employees covered by this legislation.

11.11. If, the adjustments required to enable the employee to return/continue in their role are not reasonable redeployment should be considered.

Phased Returns

11.12. 1In accordance with the NHS Terms and Conditions of Service Handbook Annex Z, section 8 “Phased Returns should enable staff to work towards fulfilling all their duties and responsibilities within a defined and appropriate time period, through interim flexible working

arrangements, whist receiving their normal pay”.

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adjustments should be in writing so that all parties are clear as to what has been agreed and when progress will be reviewed.

11.14. A phased return will be at full pay for a maximum of 4 weeks, and will only be extended in exceptional circumstances on the advice of OH and with the agreement of the line manager.

11.15. Where a Phased Return is extended this should be supported using accrued annual leave. Accrued leave is annual leave to date plus any leave carried over from the previous year. Prospective leave entitlement cannot be used for a phased return. Such use of accrued leave must be agreed by the manager, employee and HR.

11.16. If an employee is not deemed capable of returning to their full contracted role, then a phased return would not be appropriate, and redeployment, whether temporary or permanent would need to be explored.

Temporary Redeployment

11.17. Temporary redeployment is used either:

 When the employee will be able to return to carrying out their full substantive role to the full capacity/with minor adjustments, but this will not be immediate

or

 While options for permanent redeployment are being explored 11.18. It is an interim arrangement to enable an individual to return to work in

some capacity but not yet in their substantive/redeployed role. It should be considered at the earliest opportunity. Temporary redeployment should be for a period up to 12 weeks maximum, and only extended in exceptional circumstances on OH advice. During a temporary

redeployment and employee will receive pay in line with their substantive grade and hours of work, regardless of the grade and hours of work they are carrying out.

11.19. If it is foreseen that the employee will not be able to return to their substantive post within 12 weeks then permanent redeployment would need to be considered.

Permanent Redeployment

11.20. This will be explored when an employee is no longer able to continue to work in their substantive post due to their medical condition. The OH department will provide this advice.

11.21. The Trust will actively seek permanent redeployment opportunities for a period of 12 weeks maximum, which will only be extended in exceptional circumstances. This will include:

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maintained and signed by both parties.

 Completing the Trust pro-forma (available on the intranet) in consultation with the individual and including OH advice

 Ensuring the HR are aware that redeployment is being sought, the duties the employee is capable of and that the individual is at risk of ill health termination.

 Suitable posts that become vacant can be held back from

advertising until consideration has been given to this as a possible redeployment opportunity. Where this is the case:

o the employee should be offered a preferential interview for positions at the same band and below where they meet the person specification. Or

o where the post is at a higher band, the post will be advertised and the employee will have to apply and be considered with other candidates.

 Explore the possibility at an early stage of undertaking work activities in an area/role which OH has recommended

redeployment to. This would provide the employee with an insight into the duties of a role, and the ability to demonstrate experience in the roles they are seeking redeployment to.

 Notify the individual that there is no legal right to redeployment. Where the redeployment is unsuccessful progression to

termination of employment will follow.

11.22. 12 weeks is the maximum normal period for seeking permanent redeployment, but where redeployment is unlikely to be possible

progression to ill health termination may be appropriate at an earlier point in the process.

11.23. Employees who are redeployed for ill health reasons to a post on a lower pay band/reduced hours or in a different location which involves

additional travelling costs will not be entitled to protection of pay, terms and conditions, or excess mileage. Continuous service will be retained and the terms of the new post will automatically apply. Previous warnings in relation to sickness absence will remain on file for the outstanding time of the warning.

11.24. For cases of ill health redeployment as a result of industrial injury/disease or for employees with conditions covered under the Equality Act, please contact HR for advice.

Termination of Employment

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11.26. Termination of employment on the grounds of capability due to ill health may apply where either:

 OH has advised that an employee is unable to return to their current role in the foreseeable future and redeployment is not an option or has not been successful.

Or

 An employee’s repeated absence due to an underlying health condition cannot be supported by the department and

redeployment is not an option

11.27. Termination can only be carried out by a manager authorised to dismiss (under the Capability Policy), and the manager concerned should always consult with HR before taking action, who will support them through the process.

11.28. The possibility of termination of employment should not come as a surprise to the individual and should have been discussed prior to the meeting at which the termination takes place.

11.29. Before terminating an employee on the grounds of ill health the

dismissing manager must write to the individual inviting them to a formal meeting and informing them of the purpose of the meeting, i.e. to discuss their future employment with the Trust, and also explaining that ill health termination may be an outcome of the meeting. The letter should also confirm the employees right to representation at the meeting, and that HR will also be present in an advisory capacity.

11.30. The employee required to attend the meeting will be given at least 10 working days’ notice.

11.31. All documentation intended to be referred to in the hearing should be provided to the hearing panel and to each other a minimum of 5 working days in advance. Where the individual’s representative is known by management, the documentation will be sent direct to that

representative.

11.32. Should the employee wish to refer to additional documentation not included in that described above, this should be provided to the hearing manager in reasonable time for the panel to read it before the meeting. 11.33. If the employee is unable to attend the scheduled Capability Hearing

date, another hearing date will be arranged within a maximum of 28 days of the original date. No more than two revised dates will be reasonable. 11.34. At the formal meeting the following must be discussed:

 The nature of the individual’s medical condition and its impact on the employees capability to carry out their substantive role

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should be reconvened at an early opportunity for the additional medical evidence to be considered.

 The attempts made to redeploy the employee into a role

recommended by OH and/or why redeployment has not proved successful

 Confirmation of termination of employment where it is clear that all other alternatives have been considered and a return is still not imminent

 An explanation of the right to appeal against the decision to terminate employment, and the process to be followed for this. 11.35. This meeting must be followed up in writing to the employee as soon as

possible, and an HR representative must check this letter before it is sent out to the individual.

12. Appeals

12.1. Employees have the right of appeal against any decision at the formal stages of this Policy. Appeals should be submitted in writing to the appropriate manager, as advised in the decision letter. In the case of appeal against dismissal, the appeal should be submitted to the Director of Human Resources. The appeal letter should set out the grounds for appeal.

12.2. All appeals must be submitted, in writing, within 10 working days from receipt of

12.3. the written notification of the original decision and should state clearly the specific grounds for appeal. Simply disagreeing with the decision made is not sufficient grounds on which to appeal. The employee must believe that they can demonstrate that the decision has not taken sufficient (or has taken undue) account of particular evidence, that the penalty awarded was inappropriate, or that the process followed was incorrect. The Trust reserves the right to refuse to accept an appeal if the grounds are inadequate or if it is lodged out of time.

12.4. The lodging of an appeal will be acknowledged within 5 working days of receipt.

12.5. The acknowledgement letter will provide details of how the hearing will be convened and conducted. The appeal hearing itself will then be convened as soon as is reasonably practicable, but within a maximum of 6 weeks from the acknowledgement letter. Appeal panels will be

constituted in accordance with schedule of authority (see capability policy).

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following the hearing.

12.7. The appeal manager/panel may uphold the appeal, confirm the original decision and sanction or substitute a lesser or more sever sanction. 12.8. The decision of the appeal will be confirmed in writing within 10 working

days of the appeal hearing.

12.9. The decision of the appeal panel is final and no further correspondence will be entered into.

13. Implementation, Monitoring and Review

13.1. This policy will be reviewed every two years, or sooner if appropriate in response to exceptional circumstances or relevant changes in legislation or guidance. This policy is owned by the Director of HR and OD, who will ensure a review of this policy, is undertaken.

Monitoring Compliance

Minimum requirement to be monitored –monitoring against standards set out in policy Process for monitoring e.g. audit Responsible individuals/ group/ committee Frequency of monitoring/ audit/ reporting Responsible individuals/ group/ committee for review of results and determining actions required

Review after initial 6 months of the policies launch

Application of Policy Human Resources, HR Policy

Development Group.

On-going HR Senior Management Team, HR & OD Committee, ER Lead.

Formal review every two years, monitoring against legislative changes on – going.

Application of Policy Human Resources, HR Policy

Development Group.

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Appendix 1: Injury Allowance Claim Form

To be completed and forwarded to payroll.

NAME ADDRESS DATE OF BIRTH DIRECTORATE JOB TITLE BAND

SUMMARY OF ABSENCE FROM WARD/LINE MANAGER & HR ADVISOR INCLUDING DATES

OCCUPATIONAL HEALTH LETTERS ATTACHED YES / NO

INCIDENT REPORT ATTACHED YES / NO

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ANY OTHER RELEVANT INFORMATION

Claim approved by:

Signature:

Name:

Designation:

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Equality Analysis

Introduction

The general equality duty that is set out in the Equality Act 2010 requires public authorities, in the exercise of their functions, to have due regard to the need to:

 Eliminate unlawful discrimination, harassment and victimisation and other conduct prohibited by the Act.

 Advance equality of opportunity between people who share a protected characteristic and those who do not.

 Foster good relations between people who share a protected characteristic and those who do not.

The general equality duty does not specify how public authorities should analyse the effect of their existing and new policies and practices on equality, but doing so is an important part of complying with the general equality duty. It is up to each

organisation to choose the most effective approach for them. This standard template is designed to help LCHS staff members to comply with the general duty.

Please complete the template by following the instructions in each box. Should you have any queries or suggestions on this template, please contact Qurban Hussain (Kirby) Equality and Human Rights Lead.

Name of Policy/Procedure/Function* Managing Attendance

Equality Analysis Carried out by: Becky Maxwell

Date: 6th June 2014

Equality & Human rights Lead: Qurban Hussain

Date: 6th June 2014

Director\General Manager: Ian Warren

Date: 6th June 2014

Date Passed To Policy Group: 6th June 2014

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Section 1

– to be completed for all policies

The above named policy has been considered and does not require a full equality analysis

Equality Analysis Carried out by: Becky Maxwell

Date: 6th June 2014

The Equality and Human Rights Lead must agree that the policy does not require a full equality analysis. Their approval must appear in the signature sheet.

A. Briefly give an outline of the key objectives of the policy; what it’s intended outcome is and who the intended beneficiaries are expected to be

To encourage an attendance environment within the Trust to reduce sickness absence and improve patient care.

B. Does the policy have an impact on patients, carers or staff, or the wider community that we have links with?

Please give details

Direct impact on staff through

reducing absence which will indirectly impact on patients, carers and the wider community.

C. Is there is any evidence that the policy\service relates to an area with known inequalities? Please give details

No.

D. Will/Does the implementation of the policy\service result in different impacts for protected? No. Yes No Disability X Sexual Orientation X Sex X Gender Reassignment X Race X Marriage/Civil Partnership X Maternity/Pregnancy X Age X Religion or Belief X Carers X

If you have answered ‘Yes’ to any of the questions then you are required to carry out a

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1. Equality Act 2010

2. Employment Rights Act 1998 3. Data Protection Act 1998

4. Access to Medical Reports Act 1998 5. Employment Act 2008.

6. ACAS Health, Work and Well-being: www.acas.og.uk 7. ACAS Stress at Work: www.acas.org.uk

8. Health and Safety Executive (HSE) ‘Tackling Work-related Stress, a manager’s guide to improving and maintaining employee health and well-being’: www.hse.gov.uk

9. The NHS Terms and Conditions of Service Handbook Department of Health, DH Publications, Section 14 & Annex Z

10. The NHS Constitution, Department of Health, DH Publications, Chapter 23 Chartered Institute of Personnel and Development (CIPD) Annual Survey report on absence management published annually: available online at www.cipd.co.uk

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Signature Sheet

Names of people consulted about this policy:

Name Job title Department

Policy Development Group Executive Partnership Forum

Equality Analysis Approval Approved on

Equality and Diversity Manager - Qurban Hussain 6th June 2014

Name of General Manager/Director

Ian Warren 6th June 2014

Names of committees which have approved the policy Approved on

Policy Development Group 26 June 2014

Executive Partnership Forum 17 July 2014

Managing Attendance Policy