attendance management policy - nhs foundation trust 16.i agreed... · 2011-10-19 · attendance...

Attendance Management Policy of 52

Ref:QSSD357 Version: 5 Status: draft

Attendance Management Policy

Document Profile Box Document Reference: QSSD 357 Version: 005 Ratified by: JCC Date ratified:

Name of originator/author: Name of responsible committee/individual: Christopher Harrison

Date issued: Review date: Target audience: All staff Document owner: Christopher Harrison Authorised signatory:



Contents Paragraph Page

1 Introduction 3

2 Policy Statement 3

3 Key Principles 4

4 Definitions 4

5 Process for Monitoring Sickness Absence 5

6 Return to Work Interviews 8

7 Short Term Sickness Absence 9

8 Short Term Sickness Absence – Capability ProcedureProcedure 10

9 Long Term Sickness Absence 13

10 Rehabilitation and Redeployment 17

11 Disability 21

12 Ill Health Retirement Pension Arrangements 21

13 Terminal Illness 21

14 Sick Pay entitlements and Temporary & Permanent Injury Allowance 22

15 Failure to comply with procedures 24

16 Equality and Diversity Statement 24

17 Related Documents 24

18 Consultation, Approval and Ratification Process 25

19 Dissemination and Implementation 25

20 Monitoring compliance with this policy 25

Appendix A Authority to Act 26 B Initial return to work procedure 27 C Stage 1 or 2 absence meeting procedure 28 D Stage 3 meeting 29

E Appeal hearing procedure 30 F Return to work form 31 G Occupational Health referral form 32 H Physio therapy referral form 35

I Template Letters 36 J Meeting Proforma 52



1. Introduction

1.1 It is widely acknowledged that the impact of ill health and sickness absence can significantly affect the cost and quality of a public service. At some time during their working life almost all employees will suffer from ill health and be unable to attend work. Whilst wishing to encourage a culture of good attendance the Trust recognises the need for a When these incidents arise the North East Ambulance Service NHSTrust (hereafter referred to as the Trust) will deal with sickness absence in asympathetic and supportive approach to its employees in the event of illnessand understanding way. In most cases this absence only lasts for a few days. If the absence is prolonged it can have a significant effect on both the quality of life of the individual and in the workplace.

1.2 1.2 The disruption of any tabsence from work causeshas an adverse effect on

the quality of service provided by the Trust. It is therefore essential that managers address sickness absence wherever possible and employees familiarize themselves with their obligations under the policy. Research has shown that the longer people are off work, the less likely it is that they will return. It is also accepted that minor and moderate conditions can develop into chronic ones if not addressed at an early stage to assess the impact of the illness on the individual’s ability to work. 1.3 1.3 The Trust is committed to providing the highest standards of patient care possible to the public it serves. In order to achieve this, the Trust recognises that the regular attendance at work of its employees is crucial. 1.4 1.4 Therefore by providing a safe and healthy workplace the Trust is doing its part in maximising attendance levels. Where non-attendance does occur, as it may with all employees at some time, the following procedures aim to maintain contact with the employee and where possible assist with a full return to work. 1.5 1.5 The Trust’s objective is always to have a healthy and productive workforce and this procedure exists to assist managers in dealing sensitively/fairly but firmly with non-attendance issues.

1.6 1.6 To achieve this, the Trust will monitor both short-term and long-term non attendance and take action appropriate to each situation. In all cases, individual circumstances will be taken into consideration.

1.7 1.7 TThis procedure is based on identified good practice for managing attendance at work and aims to ensure that employees are treated fairly, compassionately and consistently.

1.8 1.8 Where an employee’s attendance levels continually fall short of Trust standards and where there does not appear to be any underlying medical cause, then action outside the scope of this procedure may be taken under the Trust’s Disciplinary Procedure (QSSD 310)

1.9 1.9 The Trust will offer security of employment, so far as is reasonably practicable, to all employees during periods of non-attendance. Adjustments to an employee’s role, temporary alternative duties or permanent redeployment will be considered where possible. Dismissal on the grounds of unsatisfactory attendance levels or capability due to ill health will always be a last resort. 1.11 Failure to comply with any of this procedure could result in the loss of pay. Persistent breaches of the procedure may result in disciplinary action being taken.

1.10 1.12 This policy has been developed in line with the ‘Agenda for Change: NHS Terms and Conditions of Service’ handbook.

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2. Policy Statement

2.1 2.1 The aims of this policy are to improve the level of service provided by reducing absence levels, which disrupt service provision, increase demands on employees at work and result in extra cost to the Trust to maintain services. It is the intention of the Trust that wherever possible sickness absence will be dealt with in a sensitive and supportive manner to the mutual benefit of the employee and the Trust. This Trust is committed to promoting the health, safety and welfare of its employees

2.2 This policy applies to all employees of the North East Ambulance Service NHS Trust.3. Scope of the Policy

3.1 This policy has been developed in order to highlight the importance of the management of sickness absence from the first day of absence and to give guidance on how best employees can be supported during periods of absence and the assistance which can be given to them in achieving an early and safe return to work. This policy applies to all employees of the North East Ambulance Service NHS Trust.

3.4. Key Principles

43.1 The aims of the policy are :-

• To improve the level of service provided by reducing absence levels which disrupt work patterns, increase demands on employees at work and result in extra cost to the Trust to maintain services.

• To ensure that ill health absence is dealt with in a sensitive and positive manner to

the mutual benefit of employees and the Trust. • To improve welfare and morale of employees. • For those who have health problems, assist them, where appropriate, in an early

return to work. • To demonstrate that the Trust is committed to dealing with employees in a

sympathetic and understanding manner. � The Trust is committed to promoting the health, safety and welfare of its

employees. .

�Whilst the trust will make every effort to be supportive whilst an employee is unable to attend work due to sickness absence, there will be a point at which levels of attendance have an adverse effect on service provision, and action may have to be taken.

4.2 This policy has been developed to promote arrangements for managing attendance in a manner which is fair and sensitive to employees, as well as minimising the effect of absences on the operational requirements of the service.

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4.3 The aim is to manage attendance at work rather than any particular sickness because absence from work affects the quality of the services as well as the work of other colleagues. The Trust recognises the need to manage absences from work and all absences from work due to illness and disability, whether certificated or not, will be considered under the scope of this procedure.

43.42 Absences which arise due to family or caring responsibilities should be considered

in the context of the provisions of the relevant section of the Employee Friendly Policy (QSSD306). Absences which have been agreed and would normally relate to public, study leave or annual leave are regarded as authorised leave. Absences which constitute misconduct, e.g. unauthorised leave, or absences with no underlying medical reason should be dealt with under the Disciplinary Procedure. Move paragraph

All related documents and forms can be accessed via the Trusts Intranet site or

from your line manager.

This policy must be read in conjunction with the Trusts’ Manager’s guidance notes on Attendance management policy (currently called Managing sickness in the workplace procedure.)

54. Definitions

54.1 Where the word “Trust” appears in the text, it refers to the employing Trust (North East Ambulance Service).

54.2 Definitions of Sickness Absence 54.2.1 Short Term

A short term episode of sickness absence is defined as a period away from the normal working environment due to illness for a period of between one day and 28 calendar days.

54.2.2 Long Term

A long term episode of sickness absence is defined as a period away from the normal working environment due to illness for a continuous period of over 28 calendar days, or recurrent periods of time with a health problem.

565. Process for Monitoring Sickness Absence 65.1 Reporting Sickness Absence

65.1.1 Responsibility of the individual employee

If an employee is unable to attend for duty because of sickness or any other unplanned reason they must:

• Contact their department manager or other appropriate manager/ or supervisor

personally as within half an hour of the start of yourtheir shiftsoon as practicable, or wherever possible prior to commencement of duty. This will enable the manager to make any necessary arrangements for cover. All localities and departments have different arrangements in terms of reporting deadlines and it is essential that staff ensure that they are aware of the local arrangements. For instance Operational staff must not onlyfollow the provisions of GEN 228

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procedure contact their line manager but also Resource Scheduling in order that cover can be sought as quickly as possible.

• YouThe employee must be contactable and keep inensure regular contact is maintained with yourtheir Manager.

It is important to make contact at the start of sickness and as absence continues. • Give the reason for the absence (See Section**) • Wherever possible, gGive some indication of the likely duration of the period of

absence, If the absence lasts more than 2 days the employee should make further contact in line with provisions of GEN 228 procedure on Day 3 and Day 7 to provide further updates. wherever possible

• Keep the manager informed as to the continuing situation. e.g. regular contact and provision of medical certificates

• Ensure that the appropriate self-certification form (SC1) and/or medical certificates (MED4) are submitted on time to the appropriate manager.

• Ensure that all absences due to sickness are reported in line with local arrangements and deadlines as non reporting of absences may affect payment of salary

• Ensure that yourtheir Manager or HR have up to date contact details. • Advise yourtheir line manager and/or HR of any self referral made to the

Occupational Health Department. • Attend meetings to discuss and review yourtheir absence including Return to Work

Interviews. Where mitigating circumstances exist employees should discuss this with their line manager who will seek to resolve the issue.

• If youan employee has ave suffered an injury or near miss at work, youthey must report this to your line managerand ensure a NEAS 07 is completed as soon as possible. (See QSSD 822)

• Where necessaryrequested, attend Occupational Health appointments or re-arrange to a suitable time

5.1.2 Responsibilities of the Manager • Where local arrangements are in place, each manager must ensure that all staff

are aware of the arrangements for reporting unplanned absence, including reporting deadlines.

• Wherever possible make appropriate arrangements for covering the absence of staff

• Record the absence on the Absence Record Sheet (Appendix A**) stating name, date, time of telephone call, reason for absence, expected date of return and the signature of whoever took the telephone call. A copy is to be kept in the relevant department and the original placed on the individual’s personal file.

• Should the absentee not return to work on the given date, the line manager will contact him/her by telephone for an update of the situation.

• Maintain weekly reasonable regular contact with the absent employee (unless otherwise agreed with the employee) throughout the period of absence in line with the nature of the job and need for business continuity ensuring staff are appropriately supported.

• Ensure that contact is made if the employee fails to return to work as expected. • Undertake return to work interviews with each individual on the day they return to

work, or as soon as reasonably practicable. • Consider whether immediate referral is required to Occupational Health

Department, advice should be sought from HR.








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• Where an employee has been referred to Occupational Health, ensure the employee fully understands and is on board withwith the reason for their referral, showing empathy where required.

• Consider temporary redeployment in order to enhance a speedy return to work. • Consider reasonable adjustments to role where recommended by OH and

particularly if employee is protected under the Disability Discrimination Act . • In conjunction with HR seek alternative employment within the Trust, where

Occupational Health have recommended this for employees. • Ensure that in cases where the condition falls under the Disability Discrimination

Act that advice is sought from the Human Resources Department. Refer to Appendix ?Section 10 and 11 for further information and guidance on Disability Discrimination Act.

• Ensuring that their staff (including all new staff) understand the standards of attendance which the Trust expects, and the policies and procedures relating to Attendance. Addressing cases where attendance falls short of acceptable standards, and trigger points are reached.

• Maintaining adequate records of actions taken in respect of absence. • Liaise with RSD and the employee to monitor any relevant CS1 SC1 or Med34 are

received in a timely manner. • Devising and implementing clear action plans within their own area which aim to

minimise and improve absence. • Follow up and investigate any reports of injuries at work according to the GEN243

QSSD822 procedures. • Provide feedback to staff following investigations under QSSD822

proceduresGEN243. • Undertaking risk assessments in conjunction with Health & SafetyRisk and Claims

Department and ensure that any recommendations are implemented.. Refer to Section 10.3

• Complete and promptly return form BI176 to Health and SafetyRisk and Claims Department where required.

• Liaise with HR and Occupational Health at an early stage of absence.

Reporting Sickness Absence

5.1 Role of Employee

• Report absence to your line manager and control (where applicable) before the start of shift. Where this is not possible within half an hour of your shift having commenced.

• You must be contactable and keep in regular contact with your Manager. • Ensure that your Manager or HR have up to date contact details. • Advise your line manager and/or HR of any self referral made to the Occupational

Health Department. • Attend meetings to discuss and review your absence • If you have suffered an injury or near miss at work, you must report this to your line

manager. • Where necessary, attend Occupational Health appointments • Complete a self-certificate for absences of 1 – 7 days • Absence of more than 7 days, you must provide a medical certificate from the 8th

calendar day. 5.1.3 The Human Resources Department

• Will provide advice and support to Employees and Line Managers in respect of this Policy

• Monitor absence levels across the Trust. • Support Line Managers to ensure that appropriate action is taken where

attendance levels fall below an acceptable level


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• Ensure that all correspondence relating to attendance management issues is kept on the personal file

• Ensure consistency of practice across the Trust with regard to this policy through monitoring of Key Performance Indicators

• Liaise with the Occupational Health Department and Health and SafetyRisk and Claims Department

• Support the rehabilitation and redeployment of staff in conjunction with managers. • Inform the employee and line manager, when an employee enters half pay. • Liaise with Occupational Health and Payroll in applications for Ill Health

Retirement. 5.1.4 The Payroll Department

• Will notify an employee via the HR Department when an employee is about to enter half pay or no pay under the provisions of the Occupational Sick Pay scheme.

• The Pensions Officer (based at Payroll Services at Plymouth) will be available to provide employees with estimated benefits under the NHS Pension Scheme, and where appropriate will action an application for Ill Health Retirement benefits in liaison with the Occupational Health and HR Department.

5.1.5 The Occupational Health Department

• Undertake, pre-employment health screening consisting of full assessment of past and present medical and any relevant employment history.

• Maintain OH records on all employees • Pro-active health surveillance/monitoring of employees as per Health and

SafetyHealth and Safety legislation • Work actively with managers to tackle sickness absence and the health issues of

their workforce • Report on the health situation and provide a professional opinion on the

prospects/likely timescale of a return to work in respect of employees who have been referred to Occupational, making any recommendations

• Access to confidential counselling services to which staff can self refer • Health promotion programmes to assess fitness and promote healthy lifestyles

with particular reference to smoking, alcohol, diet and weight loss. • Vaccination programme • Health screening e.g vision, hearing • Self referral service for staff who wish to refer themselves for an OH appointment

5.1.6 Role of Directors

• Executive Directors are responsible for ensuring that agreed policies, procedures

and action plans are implemented within their directorates.

5.2 Recording Sickness Absence

5.2.1 Absence Between One and Seven Days

5.2.11 Absent from work for a period of between one and seven days, including days not normally worked the employee will need to complete an Employee Statement of Sickness Form and Return to Work Interview Record Form (Appendices ?, ?) as part of their return to work interview on the day they return to work or as soon as is practicable. Each line manager should have a supply of these forms on file.

5.2.12 Once this form has been completed it must be sent to the HR Department who will




place it in the personal file.

5.2.13 Please note that it is necessary for every employee on sick leave to complete an Employee’s Statement of Sickness Form. A statement of sickness form, available at all GP surgeries, will be accepted as an alternative.

5.2.2 Absence in excess of Seven Days

5.2.21 If an employee is absent for an episode of over seven consecutive days, including

days not normally worked, they should obtain a signed certificate of sickness from their GP (Fitness Certificate). This should be submitted to their line manager as soon as possible. The original should be sent to Resource Scheduling for operational staff, or for HQ staff should be retained in the employee’s personal file. If the sickness absence continues, a GP certificate or series of certificates will need to be submitted to the employee’s line manager, and retained as above. Late submission or failure to supply a GP Certificate may result in lateness or non payment of sick pay.

5.2.3 Monthly Absence Records

These will be reviewed at HR Provision meetings by each line manager in conjunction with HR every month.

6. Return to work interviews

6.1 The return to work interview must take place after each period of absence as soon as reasonably practicable following an employee's return from sick leave, regardless of the duration of the absence.

6.1.2 On return to work the employee should make contact with their line manager to

arrange a return to work interview. This interview should take place as soon as practicable after the return to work, preferably on the same day as the return to work.

6.2 The purpose of the interview will be to:

• ensure that the employee is aware that the manager is aware of the absence and

understands the reasons for it, including fitness to return to duty. • show interest and support to the person who has been absent. • provide an appropriate forum to discuss the employee’s state of health • provide an appropriate forum to review the employee's attendance record including

previous sickness absence, identifying any patterns to the absence. • provide an appropriate forum to discuss any issues that may affect the employee's

state of health in the workplace including the likelihood of re-occuraance of the absence

6.2.1 The interview should:

• be performed by the employee's recognised manager but, if this is not practicable,

it should be delegated to an appropriate deputy • be performed in a suitable environment with full consideration given to

confidentiality. • be carried out at a time and place convenient to both parties • the interviewer should ensure that the employee understands that the purpose of

the interview is to encourage future attendance through appropriate support and

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assistance. • neither be an inquisition nor a medical cross examination, but should allow the

person to give an account of the reason for absence and questions may be asked about the medical condition to consider for example, whether any reasonable adjustments are required.

• must be recorded on the Return to Work Interview Form (Appendix ?), and must be signed by both parties as an accurate account of the interview.

The Return to Work Interview Form must be retained in a secure and confidential environment in accordance with the Data Protection Act Guidelines and HSC/1999/053 “For the Record” Managing Records in NHS Trusts and Health Authorities. The employee must be made aware of this, and that it's contents can be referred to in future absence reviews. A copy of the form will be given to the employee.

6.2.2 The outcome of the interview may be:

• record the information and take no further action • to initiate a referral to occupational health • to take action where work-related issues contribute to the absence �to commence the appropriate sickness absence capability procedure �to commence disciplinary action if any abuse or misuse of the sick pay provisions has been identified. Consideration should be given to the effect their absences are having on the work that they are required to do and on other employees.

There may be exceptional circumstances where employees would prefer not to discuss the medical reason for their absence with their line manager. If this is the case, they can discuss it with an Occupational Health Representative and give them the self-certificate or medical certificate. Employees should contact their line manager before they return to work to make these alternative arrangements.

7. SHORT TERM SICKNESS ABSENCE

7.1 There are limits to the amount of absence the trust and colleagues can sustain.

Absence levels of all employees will be monitored and where required action to bring about an improvement.

7.1.2 Managers should first ensure that the sickness reporting procedures are observed

by all employees, regular contact is maintained by and with all absent employees, return-to-work meetings are carried out after all absences and the impact of absences on the workplace/team/department carried out by employees is monitored.

7.1.3 Where there is concern regarding the absence of an individual employee the

following approach should be adopted – each case should be dealt with on an individual basis. The procedures must be followed for all levels of employees to ensure fairness, consistency and to ensure that attendance is tackled with equal vigour. Unless there is firm evidence that the absences involve fraudulent statements by the employee, or there is some other form of misconduct, the Trusts Disciplinary Policy and Procedure should not be used for managing short term absence problems.

7.1.4 Short term sickness absences are repetitive, frequent absences of various lengths

that are unpredictable and often cause problems in terms of providing cover. They can be self-certified or covered by medical certificates.

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7.2 Sickness Absence Triggers 7.2.1 The Trust uses ‘trigger levels’ to identify attendance records that give cause for

concern.

7.2.2 It is important that employees understand that trigger levels are not an entitlement to sickness absence and they may be may be called to accountasked to supply information for any level of absence.

The ‘trigger levels’ are as follows:

1. Either - A Bradford Points Score of 125 or higher in any rolling 52 week period.

The Bradford Factor is calculated using the formula S x S x D where S is the number of absences recorded in Promis for the employee during the past 52 weeks, and D is the total number of working days of absence. Bradford Score Trigger points are as follows:

Stage 1 125 points Stage 2 250 points Stage 3 375 points

2. And/Or – An unacceptable level/pattern of absence – taking a holistic view of an employee’s attendance over a rolling 52 week period and may include analysing frequency, episodes of sickness absence of three or more and length of absences together with any noticeable patterns which cause concern e.g. where employees are regularly absent on a certain day, adjoining annual leave or length of time or absence due to sickness when they are rostered to work Christmas/Bank Holiday, or where employees are regularly absent due to sickness on dates when they have been refused annual leave or during school holiday periods.

7.2.3 Triggering point 1, point 2 or a combination of both points will be considered a

matter for further investigation. In many cases such absences will be genuine and unavoidable. However, in order to retain control of the amount of time away from work due to sickness absence the Trust’s Short Term Sickness Absence Capability Procedure should be followed.

7.2.4 It is important to note that action in accordance with the Capability

ProcedureProcedure for Short Term Sickness Absence, which could ultimately result in dismissal, can still occur where the sickness absences are covered by medical certificates.

7.2.5 In the final analysis, it is the amount of lost time and the impact that this has on the

Trust’s services which are the major determining factors. 7.2.6 Where absence is due to an industrial injury resulting in frequent short term

absence where the injury sustained was deemed no fault of the employee’s, it may be appropriate for a manager to use their discretion and adjust an employee’s Bradford Points Score, this should be done using letter 2b, appendix H. Should continued absence impact on the level of service a referral to occupational health to explore alternative duties or further adjustments to support an employee to improve their attendance may be appropriate.

8. SHORT TERM SICKNESS ABSENCE – CAPABILITY PROCEDURE


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8.1 All sickness absence will normally be addressed through the Trust’s sickness absence management procedures including return to work meetings. In addressing frequent short term sickness absences each case must be considered on its merits.

8.1.2 Where there is concern over the level of persistent short term absenteeism,

employees may be asked to provide a self certificate confirming incapacity on the first day of absences. It will only rarely be appropriate to apply this provision and guidance should be sought from Human Resources before doing so.

8.1.3 The short term sickness absence capability procedureprocedure must be initiated

when an employee triggers the levels identified above or a combination of these levels as illustrated in section 7.2

8.2 Attendance Review Meeting: 8.2.1 8.2.1 A formal meeting should be arranged by the Manager with the employee to

discuss their absenteeism. If required, Human Resources should be consulted for advice and attendance where necessary. This meeting should be notified to the employee in writing, giving 7 calendar days notice and stating the reason for the meeting. Employees must be informed of the right to be accompanied by a recognized trade union representative, or an appropriate work colleague throughout this procedure. It is the employee’s responsibility to arrange for appropriate representation, only one alternative date will be offered. Thereafter the meeting may go ahead in the absence of the employee or their representative.

8.2.18.2.2 Staff can be offered the opportunity to attend meetings on rest days, where

available.

Template letters can be found in Appendix H Meeting proforma can be found at Appendix I. The purpose of this document is to help the line manager follow a process during and at the end of the meeting.

8.3 The purpose of the meeting is to:

• Indicate the Manager’s concern about the level of absenteeism • Try to establish the cause of the trigger levels including frequency/pattern of the

absences and consider whether there could be an underlying health problems which are contributing to the non attendance. Review of Return to Work interviews could be discussed.

• Point out the impact that the absences are having on the employee’s work and the work of other colleagues

• Try to identify whether there are any environmental or other external factors contributing to the absences and if so what action could be taken to remedy the situation

• Explore possible solutions • Provide an opportunity for the employee to respond and comment.

8.3.1 At this stage the Manager may wish to obtain advice from the Occupational Health

Service on whether or not there may be an underlying health problem affecting the employee’s ability to attend work on a regular basis. In such cases it will be necessary to adjourn the meeting until a report is received and the meeting reconvened. However, employees should not be automatically referred for a medical assessment at this stage, particularly where the absences are attributed to minor ailments.

8.4 Possible Outcomes of Meeting

The Human Resources department must be consulted at every stage in the








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process and where meetings are being held with the employee, Trade Union or representation by a colleague must be offered.

8.4.1 Whether or not a medical assessment is sought, there are a number of possible outcomes of the meeting as follows:

• To instigate an action plan and a review period over a defined timescale during which improved attendance is expected from the employee

• To consider adaptations to working practices/conditions • To consider the use of special leave and unpaid leave arrangements • To issue a formal warning • To refer the employee to the counselling service • Redeployment • To consider a combination of the above

8.4.2 The outcome of the meeting must be confirmed in writing, detailing,

templates can be found in Appendix H, 2c or 2d:- • The situation to date including the triggers and or number and frequency of

absences • The impact of the absences on colleagues and the workplace • The agreed course of action and whether formal action has been taken at this time • The improvements that are expected • Advised of the length of the agreed action plan, no more than 6 months and the

review and monitoring periods i.e. weekly, monthly. • That a failure to improve attendance to an acceptable level could result in them

being progressed to the next level prior to the end of the review period and ultimately affect their continued employment with the trust.

8.4.3 If an Action Plan warning has been issued, this will be known as Stage 1 in the Trust’s Short Term Sickness Absence Capability ProcedureProcedure, the employee should also be notified of their right to appeal within 14 calendar days. The appeal must be in writing and state the basis upon which it is being made to the next level of the management structure.

8.4.4 Monitoring meetings should be held up to and at the end of the agreed review period, where absences continue to occur within the review period, it may be necessary to move to the next stage in the process. The triggers outlined in paragraph 7. At the final review meeting, the line manager should discuss attendance levels and confirm whether the employee has successfully completed the Action Plan.

8.4.5 It should be made clear that If the employee has a further absence within 4 weeks of the end of their action plan period, the manager has the discretion to either return to a Stage of this procedure or convene a meeting at the next stage of the Trust’s Short Term Sickness Absence Capability ProcedureProcedure as laid out in Section 8.2.1.

8.4.6 Where there has been no significant improvement based on the triggers identified in paragraph 7.2 as above, the outcome of these meetings, could be to extend the period of review or to impose a further final warningfurther action plan. Where a further warning action plan has been issued, this will be known as Stage 2 in the Trust’s Short Term Sickness Absence Capability ProcedureProcedure and the employees employment could be at risk if their employment attendance does not improve.

8.4.7 If after this warning, there is no significant improvement, the Human Resources Team must be consulted as to whether it is appropriate, at this stage, to convene a final meeting known as Stage 3, with the employee and their Trade Union

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representative or colleague to consider termination of employment. This could result in their contract of employment being terminated on the grounds of capability for failing to fulfil their contractual obligations to attend work.

8.4.8 The Human Resources department must be consulted at every stage in the process and where meetings are being held with the employee, Trade Union or representation by a colleague must be offered.

8.5 Potential Termination of Employment

8.5.1 The meeting should be chaired by the Director or nominated officer/Senior

Manager with a Human Resources Representative following the procedure highlighted in section 8.2.1 and consider the following:-

• the employee’s attendance record • details of meetings previously held • prospect of an improvement in attendance • an up to date opinion from Occupational Health must be obtained • Any relevant mitigating information from the employee and their representative

8.5.2 If no new mitigating circumstances are presented and the manager has fully

considered the employee’s length of service, attendance, the effect of their absences on the service, and possible redeployment, the employee’s contract may be terminated. A senior Human Resources representative and the Chairperson, Chief Executive or a Director must be consulted prior to confirmation of this decision being communicated to the employee.

8.5.3 The Chairperson, Chief Executive or a Director or nominated officer must give confirmation of the termination of employment in writing within 14 days of the meeting. The employee should also be notified of their right to appeal within 14 calendar days. The appeal must be in writing and state the basis upon which it is being made to the next level of the management structure.

8.5.4 If it is felt that there are new mitigating circumstances and there is a good reason why these have not been raised by the employee at an earlier stage, then consideration may be given to a further period of support and monitoring. However if there is no improvement during that period the employee will again be invited to a meeting where the Trust will again consider termination of employment due to the poor attendance record.

8.5.5 The decision to terminate may only be taken by an officer with the authority to dismiss (See Appendix A) at a formal meeting where the situation is examined thoroughly and all options fully considered as identified above.

9. LONG TERM SICKNESS ABSENCE

9.1 Long Term sickness absence from the normal working environment is defined as being absent due to sickness for a continuous period of more than 28 days or more, or for recurrent periods of time. The Trust’s approach to managing long term sickness is governed by two main factors:-

• the need to treat employees reasonably and fairly • the need to maintain service delivery over a period of time with reduced employee

levels due to absence.

9.1.2 This procedure is aimed at employees who have an underlying medical condition which is preventing them from fulfilling all of their contractual duties, perhaps

Formatted: Indent: Left: 0 cm, Firstline: 0 cm





causing them to have frequent short- term absences or, alternatively, a long-term period of absence.

9.1.3 Employees must be treated with sympathy and understanding with regard to

individual circumstances. Employees may be on long term absence for a variety of reasons e.g. an accident, an operation, a terminal illness or a long term disability. Whether or not an employee’s employment is affected by the absence will depend on the nature of the health problem and the effect on the service of continued absence.

9.2 Aims of the Long Term Procedure

9.2.1 Under the Long Term Attendance Review Procedure, the aim is to:

o keep the absence(s) under review o maintain regular contact with the employee, as and when appropriate, which may

include periodic case meetings, both to keep the Trust informed of the employee’s progress and to keep the employee informed of what has been happening at work in their absence.

o seek medical reports, which may also involve the employee attending one or more medical examinations with Occupational Health;

o where appropriate, identify and consider with the employee possible rehabilitation measures which might help them to improve their attendance record or productivity or to return to work earlier than might otherwise be possible; and/or

o keep any rehabilitation measures that we have implemented under review on an ongoing basis.

o consider any redeployment opportunities if relevant o to 1.10 Tensure the welfare of employees, the Trust will not offer overtime shifts to

any employee whilst on any agreed phased return or alternative duties due to illness/injury.

9.3 Long Term Sickness Absence Capability ProcedureProcedure 9.3.1 The issue of an employee’s capability on health grounds will normally be

considered when their future ability to carry out their duties is uncertain or where the impact of the length of absence is affecting the delivery of service.

9.3.2 There are situations when an employee’s absence appears to be of an indefinite

duration without it leading to a permanent breakdown of health. In such situations, a decision may eventually have to be taken to terminate employment. This decision has to be justifiable, possibly at an Employment Tribunal, and so it is important that this procedure is followed.

9.3.4 Weekly examination of absence reports by line managers is required. If a line

manager recognises that an employee has been absent continuously for a period of 28 days or more, or for recurrent periods of time, the line manager should telephone the employee at home, or arrange a meeting, to seek further information about the absence. This includes information on the likely duration of the absence, problems the employee may be experiencing, whether the Trust can offer help/assistance and an anticipated date of return. Subsequent action will depend on the outcome of these discussions.

9.3.5 Following this initial contact it may be necessary to request an independent

medical assessment from the Occupational Health Department. Even where employees are known to be returning to work, it is often useful to ask for an assessment, to facilitate the return to work process and to bring to light any issues that may need addressing. The employee should be informed of the reasons for

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Formatted: Bulleted + Level: 2 +Aligned at: 1.9 cm + Tab after: 2.54cm + Indent at: 2.54 cm, Tab stops:Not at 2.54 cm



the referral and given details of the appointment. 9.3.6 Managers must involve the Human Resources and Occupational Health

Department at the earliest possible opportunity so that appropriate advice and support can be made available to the employee.

9.3.7 The manager should contact the employee to arrange a meeting to discuss the

position and ascertain when (and if) a return to work can be expected. A meeting should occur every month, alternative appropriate levels of meeting can be discussed at the Manager’s discretion. An employee should be given 7 calendar days notice of the meeting, Template letter 1a, appendix H can be used. The manager should seek advice from the Human Resources Department. The employee has the right to be represented at such meetings by his/her Trade Union representative or an appropriate work colleague.

9.3.8 An HR representative may also be present. The arrangements need to be

confirmed in writing. In the event that an employee is too ill to attend this meeting, the manager could write to obtain the information or consider visiting the home of the employee. Only if an employee has failed to respond to all reasonable attempts to contact them should home visits be considered without prior arrangement.

9.4 The meeting

9.4.1 During the meeting, the following should be established:- • The broad nature of the medical condition, whilst respecting confidentiality at all

times • The support or assistance which can be offered • Whether or not it is work related • A referral to Occupational Health

9.4.2 The outcome of the meeting should be recorded in writing to the employee and

his/her representative, with a copy being sent to the Human Resources representative. Letter 2a, Appendix H can be used.

9.4.3 In reviewing an employee’s long term sickness absence, a number of general

principles must be adopted:

• To ensure that every attempt is made to investigate the nature of the illness via the Occupational Health Department and that no decision is made concerning an individual’s employment without up to date medical advice.

• In cases of long term recoverable sickness the employee should be allowed a reasonable period of time in which to achieve recovery.

• Consideration as to whether the employee’s condition is likely to fall within the Disability Discrimination Act.

9.4.4 Factors which might influence a managers handling of an employee’s absence

include:-

• The nature of the job • The nature, length and effect of the illness • The availability of alternative employment or consideration of reasonable

adjustments including a phased return to work or the possibility of certain duties being redesigned

• Service requirements of the Trust.


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9.4.5 In cases of long term irrecoverable sickness it is likely that the employee’s incapability to undertake his/her contractual duties will be apparent early on. In this situation, where it would not be in the best interests of the employee to engage in lengthy procedural action, every effort should be made to conclude matters in as effective and efficient a manner as possible.

9.4.6 During the course of the absence, managers must maintain regular contact with

the employee which can be by letter, telephone or personally. The frequency should be agreed between the manager and employee, but should normally be at least once every 2 weeks. It is important that the employee is given the opportunity to receive regular newsletters, departmental updates etc and that the employee keeps his/her manager advised as to progress on a regular basis.

9.4.7 The line manager must record details of any conversations/actions agreed with the

employee on the Non-Attendance Communication log or on PROMIS (where available).

9.4.8 Once the manager receives a report from Occupational Health Department, a

follow up meeting should be arranged to discuss the content and make appropriate plans for the management of the absence. Employees have a right to representation at any formal meeting held under this procedure and all arrangements should be confirmed in writing.

9.5 Possible outcomes of the meeting

One of the following courses of action agreed and confirmed in writing:-

• A return to work on a specified date, provided that medical evidence supports this course of action.

• A return to work at a later unspecified date following convalescence, in which case, progress should continue to be reviewed on a regular basis.

• A phased return to work on modified duties and/or reduced hours for a period of up to 4 weeks (paid as per normal salary). Continuation of this phased return is then subject to use of a combination of annual leave, special leave and flexi-time scheme where appropriate and should only be used in exceptional circumstances. The aim is that the employee will return to the full range of duties/hours following this phasing in period. The modified duties or timetable for reduced hours and the duration of the period should be clearly documented and reviewed on a weekly basis to ensure satisfactory progress.

• A return to work on a temporary redeployment basis, looking at the redeployment register.

• A return to work but redeployed in suitable alternative employment on a permanent basis, where such employment can be identified. Managers should contact the Human Resources department to discuss redeployment opportunities. However, Managers and employees should be aware that redeployment opportunities are severely limited.

• Managers may need to consider any residual temporary or permanent debility that needs to be taken into account in respect of the working environment (e.g. in the provision of equipment, furniture or accommodation) before an employee returns to work.

• Tier 1 or Tier 2 Ill health retirement in accordance with the Pension Regulations where employment is terminated on the grounds of permanent ill health. Please refer to the NHS Pensions Early Retirement – SDER document for more information (http://www.nhspa.gov.uk/nhspa_site/pdf/memberguides/sder.pdf) These options are only available where the Occupational Health Service issues a certificate of permanent incapacity and the employee is incapable of carrying out their own, and also any other





employment.

9.6 Final Review meeting 9.6.1 At some point having considered all other possible action, it may be necessary to

consider termination of employment on grounds of capability. 9.7 Referral to Occupational Health

9.7.1 An occupational health assessment may be requested at any time by a manager

where it is felt this would assist in clarifying the position, in relation to an individual’s ability to undertake the duties of their job description, and must be undertaken before considering the continued employment of an individual. The referral should be made by an employees’ line manager in writing preferably using the form at Appendix G, however additional information can be sought by way of a letter. The purpose of the consultation is to determine if there are any underlying factors which prevent regular attendance at work, together with any support and adjustments that could be considered. The manager can insist that the employee attend any such examination arranged, but if the employee fails to attend they should be informed that in the absence of a medical report, action may be taken using the information available.

9.7.2 If the employee disagrees with the occupational health report, they will be advised

to meet again with the occupational health physician to discuss this with them with a view to resolving the differences. This may involve a discussion as to whether the Occupational Health Physician will write to the treating consultant and/or GP, if they have not already done so.

9.7.3 If Occupational Health request a report from the GP and/or consultant it will be the

employee’s responsibility to liaise with their medical practitioner to ensure the report is provided within a reasonable timescale.

9.7.4 If the employee is seeking treatment from an alternative/complementary therapist

e.g. chiropractor, physiotherapist they should advise their line manager of this, and if appropriate Occupational Health, so that the Trust has a full understanding of the treatment an employee is undertaking.

10. Rehabilitation and Redeployment

10.1 The Trust’s primary aim is, wherever possible, to secure a return to work for any

employee following a period of long term sickness, or retain an employee who is diagnosed with a medical condition which may affect their ability to continue in their current role.

10.2 This section describes the steps a manager has to take when considering any of the options identified above. The recommendations from the occupational health department are advisory only, and it is always at the manager’s discretion as to whether they can be implemented, taking into account legislative obligations (following advice from the HR, OH and Health and SafetyRisk and Claims Department Departments). All decisions made must be justifiable, but managers need to take into the account the benefits to the employee when considering a rehabilitation programme.

10.3 Risk Assessment

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10.3.1 It is a requirement of both the Management of Health & Safety 1999 and the

Manual Handling Operations Regulations 1992 , and other relevant legislation to undertake risk assessments. This is particularly applicable to an individual who has been absent with a musculo skeletal condition. It is also very important where the absence is stress related.

10.3.2 The manager should carry out a risk assessment at departmental level, and refer to the Occupational Health for expert advice (they should be provided with a copy of the risk assessment and the job description). This should normally be undertaken before the employee returns to work so that any support/modifications identified can be put in place.

10.3.3 On the basis of this assessment and the medical report, recommendations regarding modification of duties or re-deployment may be made by the Occupational Health Department. It should be noted that the accommodation of the recommendations made by either the Risk Assessment or Occupational Health Department are at the manager’s discretion, bearing in mind the overall service requirements.

10.4 The Employee is to be rehabilitated into their current post.

Where recovery looks favourable and an early return looks probable the manager should keep the position under regular review.

Managers should obtain a report from occupational health and wherever possible, accommodate the recommendations of the occupational health department, during a period of rehabilitation.

Occupational Health may advise that an employee returning from long-term sickness absence should return to work on a phased return programme which may involve reduced hours. In these circumstances, the employee should receive their normal full pay for up to a maximum of four weeks following the return to work, based on contracted hours, and thereafter will be paid for the number of hours actually worked. Alternatively, annual leave may be used to reduce the working week for a further period as agreed with the manager

If a return looks likely then an employee could be offered a host of measures to help “ease” them back to work. For example:

• A midweek return – so that two or three days back at work is followed by a weekend

• Considering short term redeployment – a move to a less physical job for an interim period of time

• Modifying workload – so that being thrown in at the deep end is positively avoided. Any rehabilitation programme should be discussed and agreed between the employee and their manager. Rehabilitation periods are normally short term periods (normally up to a maximum of 4 weeks), but depending on individual circumstances can be longer, and should be both reasonable and beneficial.

During rehabilitation periods, working overtime is not permitted. Where employees are on a phased return to work programme, they should not undertake other employment outside the Trust, during their rehabilitation period.

10.5 Adjustments are recommended for return to their current post

Where the Occupational Health Report advises that an employee is fit to return to their current post if the manager is able to accommodate modifications to the post, the manager should intially consider if these are practical/possible. Where necessary a Workplace Risk Assessment should be considered. At all times

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managers need to consider the requirements of the Disability Discrimination Act (see Trust’s Disability Equality Policy).

The manager should meet with the employee to discuss the occupational health report (an HR Representative should be present at this meeting), and explore what adjustments would be practical. If modifications are possible, then these should be in place before the employee returns to work/or needs to use that particular piece of equipment. Following long term absence, a period of updating under a mentor may be required, at the discretion of the manager.

If the outcome is that it is not reasonable to accommodate the recommended adjustments, the manager should explore with the employee whether they wish to be considered for alternative employment.

10.6 The Employee is able to return to an alternative post Where the Occupational Health Report advises that an employee is unfit to return to their current post, even with reasonable adjustments, but may be able to undertake alternative duties, the manager should meet with the employee to discuss this (an HR Representative must be present at this meeting)

At the meeting the manager will:

discuss the outcome of the report with the individual and canvass his/her opinion on the advice received

• advise of any vacant suitable alternative positions (as identified by HR) • agree a time period of 12 weeks for suitable vacancies to arise .

If a suitable post is identified the prospective manager will provide a copy of the health and safetyRisk and Claims Department risk assessments relevant to the post these, with a copy of the job description will be forwarded to the Occupational Health department. The employee will be reviewed by the Occupational Health department and advice provided to the HR department on the suitability of the post for the employee seeking redeployment.

Where loss of earnings is a barrier to transferring to an alternative post, the employee may receive pay protection depending on their contractual entitlement.

Advice on whether the Disability Discrimination Act may apply and on suitability of an individual employee for redeployment should be obtained from the Occupational Health Physician.

If at the end of the agreed time period, the employee has not been successfully redeployed, consideration for ill-health retirement or termination on the grounds of incapacity will be given, following appropriate advice from the occupational health department. It should be noted that decisions on ill health retirement are made by the NHS Pensions Agency and not by the Trust.

10.7 Prior Consideration Guidelines

Prior Consideration is a process whereby suitable alternative vacancies within the Trust are identified and details of these vacancies are brought to the attention of the employee. The employee has the option as to whether or not they apply for these vacancies.

Appointment to suitable vacancies will be at the discretion of the appointing officer. The employee must be able to meet the essential requirments of the Person Specification for the vacancy. Prior Consideration is normally only applicable at the level of the employee’s existing post. In circumstances where an employee applies for a post at a lower or

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Comment [a2]: By who?

Comment [a3]: How and How do they apply?

Comment [a4]: Do they need to give reasons and what about repercussion if they don’t and it is SAE?

Comment [a5]: what records to be kept to show informal meeting has taken place – what if two prior consideration candidates apply?



higher grade it may be reasonable to consider their application under Prior Consideration, please liaise with a HR Advisor for advice.

Employees who are entitled to be considered on a Prior Consideration basis should meet with the manager for the new area, without the requirement for a formal interview/selection process. If it is decided that the applicant meets the minimum criteria for the vacancy, they will be appointed. In some circumstances it may be appropriate to offer the employee a work trial in the new role.

Where managers do not consider that a prior consideration candidate has fulfilled the person specification, they will be required to outline in writing, in detail, their reasons to a HR Services Manager.

The member of staff must be seen by the Occupational Health Physician to determine fitness for the alternative post either before or after the informal interview.

If no suitable alternative employment has been identified after a period of 2-3 months, a decision will be made on continued employment with the Trust.

11 Disability

11.1 The Disability Discrimination Act (DDA) makes it unlawful to discriminate against

disabled people, or people who have had a disability, in a number of areas including employment. The duty applies to all public authorities, including the National Health Service (NHS).

11.2 In April 2005 the Act was amended and the definition of disability extended to include conditions such as HIV, multiple sclerosis and cancer. There was also a change in the classification for mental illness, which no longer needed to be 'clinically well recognised' to e classed as an impairment.

11.3 From 5 December 2006, public authorities have had a general duty to actively promote disability equality under the terms of the Disability Equality Duty (from the amended Disability Discrimination Act). Details of how the Trust meets the requirements of the Disability Equality Duty are published in the Trust’s Single Equality Scheme (QSSD 1507), including a three year action plan addressing disability equality issues.

11.4 In seeking to manage sickness absence we all share a duty not to discriminate against disabled people and must not treat an employee less favourably on the grounds that they are disabled. For further information please refer to the Trust’s Disability Equality Policy

11.5 In such instances the Trust must consider whether all “reasonable adjustments” to the employee’s working environment, conditions and place of work have been made. Please seek advice from an HR Manager/OH/Health and SafetyRisk and Claims Department. In the event of a more complex disability issue arising, advice should be sought from the Trust’s Equality and Diversity Team. (See S16 of this policy for further information)

12 Ill health Retirement Pension Arrangements

12.1 Where an employee has contributed to the NHS Pension Scheme, they may make an application for premature retirement on the grounds of ill health. The HR Department will arrange for the forms to be completed in conjunction with the employee, Occupational Health and the Pensions Officer from the Payroll section. Employees must be made aware that the decision to grant ill-health retirement



pension benefits rests with the Medical Advisors at the NHS Pensions Agency and not the Trust or Occupational Health Department.

12.2 Where the Occupational Health physician does not support ill-health retirement, an employee can arrange for their GP or treating consultant to support their application for ill-health retirement benefits.

13 Terminal Illness

13.1 Where terminal illness is diagnosed it is essential that the manager contacts both the HR and Occupational Health Department for advice as early as possible in order to ensure that the employee has the opportunity to discuss options (including pension benefits) and access any support which they may require. The manager will discuss the options with the employee, and the outcome of this discussion will determine any future action.

14 Sick Pay Entitlement and Temporary & Permanent Injury Allowance

14.1 Sick pay entitlement is set out in the contract of employment and below.

14.2 Employees who are absent from work owing to incapacity due to sickness, accident or disablement not arising from or attributable to the employee’s own misconduct shall be entitled, subject to the conditions referred to in Section 14 of the Agenda for Change Terms & Conditions of Service Handbook, to receive payment under the Occupational Sick Pay Scheme within any period of 12 rolling calendar months in accordance with the following:

Length of Continuous NHS Service recognised by North East Ambulance Service

Full Pay Half Pay

Up to 12 months 1 month 2 months Over 1 year and up to 2 years 2 months 2 months Over 2 years and up to 3 years 4 months 4 months Over 3 years and up to 5 years 5 months 5 months Over 5 years 6 months 6 months

14.3 The rate of allowance and the period for which it will be paid will be set by the

length of the employee’s service on the first day of absence and the aggregate of periods of absence due to illness during the 12 months immediately preceding the first day of absence.

14.4 The Trust has discretion to extend the period of full sick pay or half pay beyond the

scale in exceptional circumstances. This discretion can only be exercised with the agreement of the appropriate Executive Director.

14.5 The Agenda for Change handbook (Section 14) determines that employees who

have exhausted sick pay entitlements should have those entitlements reinstated at half pay, after 12 months of continuous sickness absence, in the following circumstances:

• Staff with more than 5 years reckonable service - Sick pay may 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 may 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.

14.6 If reinstatement of sick pay occurs this should continue until the final review

meeting has taken place. Reinstatement of sick pay is not retrospective for any period of zero pay in the preceding 12 months of continuous absence.

14.7 It is vital that Line Managers contact the HR team if they have an employee absent

on sick leave who meet the circumstances outlined above. A final sick pay review meeting will have to be convened prior to sick pay being exhausted.

14.8 Payment of occupational sick pay is dependant on the employee providing the

appropriate sick certificate and following the department’s absence reporting procedure. Failure to do so could result in the sickness absence being unauthorised and therefore unpaid. (See Sections 4 and 10 regarding unauthorised absence).

14.9 When an employee is pregnant and becomes unwell, the absence should be dealt

with in the same way as normal sickness absence, although account should be taken of the pregnancy in determining the reasons for the absence. If the individual is still off sick 4 weeks prior to her expected date of confinement, her maternity leave will automatically commence at 4 weeks prior to the Expected Date of Confinement. Entitlement to Occupational Sick Pay is suspended during paid maternity leave.

14.10 Employees will not be entitled to an additional day off if sick on a statutory holiday.

14.11 Where it has been identified that an employee may have fraudulently received

Occupational sick pay then caution must exercised before a referral is made to the Counter Fraud service and advice should be sought from the HR Team.

14.12 Sick pay is not normally payable for an absence caused by an accident due to

active participation in sport as a profession. 14.13 Where an employee who is absent as a result of an accident has received

damages from a third party (e.g. from an insurance company) they will be required to repay the amount of sick pay received under this scheme. Once repayment is received the absence shall not be taken into account for the purposes of sick pay entitlement, but will still be recorded as an absence on the employee’s attendance record and will still be reckonable for the purposes of calculating trigger points.

14.14 Absence due to an accident / incident at work

Employees absent due to an accident at work should be treated no differently to employees absent due to other health problems, with the following exceptions:

14.14.1Temporary Injury Allowance (TIA) The employee may be eligible for a temporary injury allowance. The allowance can be paid whether or not superannuation contributions have been made. The Temporary Injury Allowance is paid by the Trust when sick pay reduces below the normal level of earnings because of industrial injury and is the amount by which all monies received falls short of 85% of the average remuneration of the employee over the previous 12 months preceding the accident or onset of disease.

Line managers must therefore notify Payroll when an employee is absent following an accident at work and verify/answer the following:

• the person is an employee in the NHS.



• the injury was sustained or the disease was contracted during the course of, or attributable to the duties of employment.

• the injury or disease was not the result of the employee’s negligence or misconduct.

• the employee was on sick leave with reduced or no pay.

If the answer to all these statements is “yes” then a Temporary Injury Allowance application can be made by the employee, please see TIA procedure no: GEN 299. The employee needs to complete a NEAS 087 form and submit this to their line manager for consideration.

14.14.2Permanent Injury Allowance (PIB)

Where the employment of an employee who has been receiving Temporary Injury Allowance is terminated, then an application may be made for permanent Injury Allowance. A Permanent Injury Allowance may also be paid to an employee who returns to work but suffers a permanent reduction in pay due to a change of job as a result of this injury. Applications for Permanent injury Allowance should be made by requesting the relevant form from the Payroll Department.

Consideration should be given to accrued statutory annual leave that an employee may have where they have been prevented from taking annual leave due to sickness absence for a prolonged period of time. With the agreement of an employee’s manager a maximum of 5 days annual leave can be carried over from one annual leave year to another and as such an employee may wish to be paid any additional statutory annual leave that they have accrued over and above this, this can be particularly beneficial during periods of half or nil pay. In line with the NHS employers guide to paying statutory annual leave a HR07 form will need to be completed by an employee’s Manager.

15 Failure to comply with procedures

15.1 An employee who fails to comply with the Trust’s notification procedures or abuses the Trusts rules on sickness absence e.g. falsely claiming sick pay will be dealt with under the disciplinary procedure. Should managers have reason to believe that an employee is abusing the sickness absence scheme, they should contact Human Resources to discuss whether action should be taken in accordance with the Trust’s Disciplinary Procedure. Examples might be an employee who was refused a request for annual leave and reports sick, an employee who undertakes other paid employment whilst on sick leave, or an employee whose behaviour away from work is incompatible with the reason for the absence.

15.2 Employees are contractually obliged to undergo medical examinations at any time

required. If the employee does not co-operate in assisting the employer to establish his/her true medical position, she/he should be advised that a decision on the continuation of employment may have to be made on the basis of the information otherwise available. She/he should also be warned that a refusal to attend Occupational Health for assessment may be regarded as a failure to carry out a reasonable instruction which may result in disciplinary action.

16 Equality and Diversity Statement

16.1 The Trust is committed to providing equality of opportunity, not only in its employment practices but also in the services for which it is responsible. As such, this document has been screened, and if necessary an Equality Impact Assessment has been carried out on this document, to identify any potential discriminatory impact. If relevant, recommendations from the assessment have



been incorporated into the document and have been considered by the approving committee. The Trust also values and respects the diversity of its employees and the communities it serves. In applying this policy, the Trust will have due regard for the need to: • Eliminate unlawful discrimination • Promote equality of opportunity • Provide for good relations between people of diverse groups

17 Related Documents

Disability Equality Policy (QSSD ) Employee Friendly Policy (QSSD ) Disciplinary Policy(QSSD ) Retirement Policy (QSSD ) Probationary Review Policy (QSSD )

18 Consultation, Approval and Ratification Process

Consultation Process

This policy has been discussed with the management representatives and staff side representatives during the development process.

Policy Approval Process This policy has been submitted to the Policy Review Group for approval.

Ratification Process

This policy has been approved by the Policy Review group and submitted to the Trust Board and JCC for ratification.

19 Dissemination and Implementation Dissemination

Once ratified this policy will be added to the Document Quality Control System and added to the Intranet site to which all staff have access. Earlier versions of the document will be archived in the quality system.

Implementation of Procedural Documents Information about this policy will be added to Statutory and Mandatory Training

which is delivered to all staff on an annual basis.

20 Monitoring Compliance with this policy This policy will be reviewed twelve monthly or earlier if required by The Trust Board and The Assurance Committee. The effectiveness of the policy will be monitored on regular basis via the trusts Executive Team. Key performance indicators will be monitored by analysing data received from the HR team against agreed trust/national targets.



Appendix A - Authority to Act In normal circumstances, authority to act will be as follows:-

Directorate

Stage 1 Action

Stage 2 Action

Stage 3 Action

Dismissal

Chief

Executive

Line Manager

Line Manager / Senior Manager


Senior Manager

Clinical Care and Patient

Safety

Line Manager/Assistant Control Manager



Senior Manager

Strategy &

Clinical StandardsBusi

ness Performance

Line Manager



Senior Manager

HR & OD

Line Manager



Senior Manager

Ambulance Operations

Line Assistant

Operations Manager A&E/PTSManager



Senior Manager

Managers

Senior Manager

Senior Manager

Senior Manager Senior Manager

Senior Mgrs.

Exec Dir.

Exec Dir.

Exec Dir.

Exec Dir.

Before a final written warning is issued the person with authority to dismiss the employee must be consulted.



Appendix B - Initial Return to Work procedure

Employee returns to work from sickness

related absence.

Line Manager holds RTW interview & completes (RTW)

form with Employee

Is employee fit to return to

work?

Seek advice from HR/Occ Health if the employee is able to

resume duties.

Has employee hit trigger points in 12

month period.

Advise employee that a Stage 1 Meeting to be

conducted.

Advise employee of the potential next

steps of attendance management policy.

Yes No

Yes No

Advise employee of the impact that non-attendance has on Trust / Department.

Arrange Stage 1 Meeting (See Appendix 3)

Employee advises line manager of their

expected date of return.



Appendix C - Stage 1 or 2 Absence Meeting process

Send employee invite to meeting.

Conduct Absence Meeting, identify any underlying factors.

Is there any support which can be given to the employee to

improve attendance?

Arrange for support mechanisms to be put

in place. Explain impact of non-attendance.

Advise employee of the impact that non-attendance has on Trust / Department.

Yes

No

If attendance level is unacceptable or no

acceptable improvement

achieved a warning should be issued, set up action plan

and review periods. Advise employee of appeal next stages

of policy.

Monitor and review as per action plan. If next trigger point hit during action plan period progress to

next Stage and repeat process.

Refer employee to Occupational Health

as part of support mechanism



Appendix D – Stage 3 Meeting to Discuss Potential Dismissal (on grounds of capability due to ill health)

Appendix E – Appeal Hearing Procedure

Invite employee to Stage 3 Meeting

Conduct Stage 43Meeting.

Identify any mitigating circumstances and any

further support which may be available.

Decision to terminate employee’s

employment based on grounds of capability

Yes No

Set up further action plan and review

periods of 6 months. Advise employee of

next stages of policy.

Are there any mitigating

circumstances?

Employee’s employment terminated

following statutory guidelines.

Give Employee chance to account for their

absence history

Monitor and review as per action plan. If further absence in

period continue with Stage 3

Employee is given the right of appeal against

dismissal.

Ensure redeployment has been fully explored

before termination takes place.



(a) Introductions Having outlined the purpose of the appeal hearing, the order of the agenda with those

present, the Chair of the hearing introduces all parties. (b) Nature of grounds for appeal The Chair of the appeal hearing checks that all parties have the relevant documents

and identifies the specific grounds of appeal to be considered. (c) Presentation by employee The employee concerned and/or representative presents their case. Witnesses are

called. (d) Questions by the Management Side Officer The Chair of the original meeting may question the employee (and witnesses if

applicable). (e) Questions by Chair / Panel The Chair or panel members may ask the employee any questions at this point . (f) Presentation by management The Chair of the original meeting presents the management's case justifying the

original decision and sanction. Witnesses are called if applicable. (g) Questions by the employee The employee and/or representative may question the Chair of the original meeting

and any witnesses called. (h) Questions by Chair / Panel The Chair or panel members may question the Chair of the original meeting and any

witnesses called. (i) Final statement or ‘summing up’ by employee The employee and/or representative may make a final statement.

(j) Final statement or ‘summing up’ by Investigating Officer The Chair of the original meeting may make a final statement.

The parties then withdraw to allow the Chair to consider the findings from the information presented and come to a decision. Others advising the Chair will also remain, as will any person taking a note of the hearing. The parties will usually be asked to remain available for a short time in case the Chair needs to clarify any point. The Chair considering the appeal may confirm, amend or reject the original santion. Wherever possible, the employee shall be informed verbally of the outcome of the appeal hearing at this stage. This decision should be confirmed in writing within 7 calendar days of the hearing, by the Chair, in consultation with a member of the Human Resources Team. The decision of the appeal is final and is not subject to further appeal within the terms of this procedure. Note that the procedure set out above, in so far as it exceeds any statutory requirements, does not form part of the employees’ contract of employment and may be changed by the Trust following consultation with the Joint Consultative Committee.



Appendix F – Return to work form

RETURN TO WORK INTERVIEW RECORD Name of Employee: _________ Emp. No: _________ Reason : ________ ______________________________ Industrial Injury : YES / NO NEAS07 : YES / NO

Length of Absence: Days. Y.T.D Absence: Days. No. Occasions: ___ (In last 12 months) PREPARATION NOTES : 1. The interview should be conducted on the first day back to work or as soon as possible thereafter. 2. Know the details of the employee’s sickness absence record. 3. Select an appropriate environment with privacy. 4. Ensure sickness absence has been reported in accordance with Trust procedures. 5. Interviews must be conducted for all employees on return from sickness absence, after each occasion. RTW INTERVIEW DISCUSSIONS: 1. Welcome the employee back to work showing interest and support, tell them they were missed and explain that you are not questioning the reason for absence. Explain the purpose of the interview is to discuss their attendance record and should be undertaken in a sympathetic and understanding manner. 2. Discuss their absence as notified and their overall attendance record, if appropriate outline any patterns which may be emerging, taking into account other periods of sickness. 3. Explain the Trust’s absence management policy, which is aimed at improving the levels of service provided by reducing absence levels which disrupt work patterns and increase demand on other work colleagues. Stress the importance of a good attendance level. 4. Take the opportunity to update the member of staff of any new working or procedural changes that may have taken place during their absence. If required, seek further advice from Training and Development Dept. 5. Consider BF score in line with attendance management policy, conclude by developing a joint action plan. JOINT ACTION PLAN : 1. Agree a joint action plan aimed at improving their performance, for those returning from long term sick it may incorporate the advice of occ health. The action plan will be subject to review over the initial return to work period. If applicable advise the member of staff, if a satisfactory level of attendance is not sustained further action may be necessary which could involve the use of the Trust Disciplinary Procedure. 2. If appropriate, arrange further support or a referral onto Occupational Health. 3. During review should the staff member fail to meet the agreed action plan, a referral onto the next level of Trust sickness policy must be arranged. ACTION PLAN RECORD : Employee Signature : Dated:: ________ Manager Name:_____________________________________ Sign: _________________________________________

Appendix G – Occupational health referral form

Sickness Absence Referral to Occupational Health

Formatted: Indent: Left: -1.5 cm,First line: 0 cm, Numbered + Level: 1+ Numbering Style: 1, 2, 3, … + Startat: 1 + Alignment: Left + Aligned at: 0 cm + Tab after: 0.63 cm + Indentat: 0.63 cm, Tab stops: -0.75 cm, Listtab + Not at 0.63 cm







This is to be used by HR or Managers when requesting a medical opinion for a member of staff. Please ensure all data is complete and that you have discussed this referral with the employee and they have consented to be seen. In Confidence Employee Name :____________________ Maiden name: ____________________ Date of Birth:

____/____/____

Home

Address:______________________________________________________________________________

__

_____________________________________________________________________________________

_________

Home Tel. No.: ______________________________ Mobile No.

:___________________________________

Job Title: _______________________ Location of Work: __________________ Hours of Work (Full-

time/Part-time):

Manager: _______________________________________ Tel. No:

___________________________________

(Please attach risk assessment and job description for this role in addition to employee’s sickness absence record. This will assist the occupational health professionals in having a greater understanding of the employee’s job. Please contact Occupational Health Manager on Tel 0191 430 2061 for further guidance as necessary.) Reason for Referral (please tick a box) Long-term Absence Frequent Short-term Absence Ill Health Retirement

Work Related Injury/Illness Other (please specify) Fitness to Work

Job Risk Profile (please tick all activities the individual undertakes in the course of their employment) Heavy Manual Work e.g. Patient Transfer Work with/near Machinery Lifting Light Manual Work Driving of vehicles (inc carriage of service users) Prolonged Standing Work in which colour vision is essential VDU significant work Working at heights Exposure to weather Care of others Driving HGV/PCV Contact with chemicals, solvents, dust, fumes etc. Regular contact with patients Handling patients Shift Working Night Working Radiation Food Preparation Lone Worker Fork Lift truck Driving Excessive Vibration Excessive Noise Exposure to Challenging

Behaviour/difficult situations

Resins/Glues Dealing with the public Predominantly sedentary work (i.e. mostly sitting down)

Please complete the information below:

1. First date of absence from work: ___/___/___ 2. Number of days absent to date: _______

3. Reason for absence as stated on the sick note: _____________________________________

4. Has the individual had previous absences for the same reason Yes/No (please delete as appropriate)

5. Please give details of what measures have been taken to facilitate a return to work:

_________________________________________________________________________________________

_________________________________________________________________________________________



INFORMATION REQUIRED OF OCCUPATIONAL HEALTH Below is a list of questions which you may choose to use, please tick the ones you think appropriate and please add additional questions you think are relevant. Please tick the boxes of the questions you wished to be asked

□ Is this person fit for work? If anticipated to be absent for 6 months or more please can you specify

this (this may including waiting time for operations and recovery)?

□ How long is the individual likely to remain off work?

□ To what extent does the injury, illness, condition (please circle appropriate term), from which the

individual is suffering prevent them from fulfilling their contractual duties?

□ What is the short/long term prognosis?

□ To what extent will the individual recover from the (injury, illness, condition - please specify what is

the cause of absence) which they are suffering from?

□ Would the individual be able to return to work on alternative duties/reduced hours etc? If so please

state the nature of work/hours of work the individual might be able to do?

□ If manual handling needs to be restricted please specify to what extent (i.e. avoidance of all patient

transfer until next review).

□ How long it is likely to be before the individual can resume his/her full range of duties?

□ If the persons recovery will not be in full, what continuing limitations will there be on his/her ability

to carry out their duties?

□ If the person recovers and returns to their previous job, what is the likelihood that their job will

cause a recurrence of their (injury, illness, condition - please specify what is the cause of absence)

or exacerbate?

□ (In the case of a degenerative condition) What is the likely to be the progress of the

(disease/condition) and will it impact on the person?

□ Can I expect the individual to give me regular attendance at work in the future?

□ Is there any underlying medical condition which causes this person to have regular absence from

work? If so what is it and what can be done to improve their attendance?

□ Is the individual fit to drive for the Trust?

Particular Questions for Disability Cases

□ Does the person come under the DDA?

□ If the person does come under the DDA what adjustments are necessary?

□ If you are unable to identify any reasonable adjustments, is redeployment a possibility, if so, in to

what roles?

□ If redeployment is to be considered is this to be on a temporary or permanent basis? If temporary,

please state for how long.

ADDITIONAL COMMENTS



I can confirm that this referral and the reasons behind the referral have been fully discussed with the employee and they have given consent to be seen. I also confirm that the employee is aware that they will receive a copy of the Occupational Health report and further copies will be sent to the Referrer, Senior Manager and Human Resources.

Referrer’s Name: Signature:

Position Held: Date:

Contact Number: _______________________

For HR Use Only Received by: __________________________

Position: ______________________________

Date Received: ___/___/___

Date discussed with referring manager:

___/___/___

Date forwarded to OH: ___/___/___

For OH Use OnlyReceived by: __________________________

Position: ______________________________

□ Job Description

□ Risk Assessment

□ Sickness Absence Record

□ IHR Documentation

Date Received: ___/___/___

Appointment date: ___/___/___



Appendix H Physiotherapy Referral Form.doc

Physiotherapy Referral Form Name: DOB: Address: Telephone no: Occupation/Job Title: (Work): Location: (Home): (Mobile): Referring Manager (PLEASE PRINT): Confirm employee has been informed of referral: Yes / No Symptom Area: Symptoms Present Since (date): How injury was sustained: Status (please circle): Absent from work / currently at work Current episode of sick leave to date (if applicable): Other Relevant Information: Referral Date: Signature:

Appendix I – Template letters



1a Invite to LTS

Ambulance Headquarters Bernicia House The Waterfront Goldcrest Way Newburn Riverside Newcastle upon Tyne NE15 8NY Tel: 0191 430 2000

Date Private and Confidential NAME ADDRESS Dear NAME, Re: Attendance Review Meeting – Long Term Sickness As you have been absent from work for more than 28 days, your absence is classed as long term sickness and in line with the Attendance Management Policy I write to invite you to attend a meeting with at (insert venue) on the below date and time. (insert name), HR Advisor will also be in attendance. The meeting is to discuss Choose either (select option and delete others) For first LTS meeting your recent absence and to ascertain if there is anyway that we can help. For OH report the report from your recent occupational health appointment. For a final sick pay review your ongoing absence and the action plan agreed to help you return to work. Your sick pay is due to end on (insert date) and this meeting will also include a final review of your sick pay entitlement under Agenda for Change.

Date: (insert date) Time: (insert time) Could you please contact me on (insert tel number) by (insert date) to confirm your attendance. You may be accompanied by a Trade Union representative or appropriate work colleague if you wish. Yours sincerely

(insert name) (Insert Title) CC:HR



Letter 1b Invite stage 1 2 or 3.doc

Department Address

24 May 201027 April 201015 April 2010 Tel: Private and Confidential NAME ADDRESS Dear NAME, Re : Stage (please insert stage number) Attendance Review Meeting (Please choose and intro paragraph and delete the paragraph heading) For stage 1 The Trust is committed to providing the highest standards of patient care possible to the public it serves. In order to achieve this, the Trust recognises that the regular attendance at work of its employees is crucial. Our records indicate that your absence record over the last 12 months is concerning and when scored using the Bradford Factor has triggered the above meeting under the Attendance Management Policy. For stage 2 Further to our last meeting on (insert date), we agreed that your attendance at work would be monitored over a six month period. As you have had further episodes of sickness, as detailed below, it is necessary to bring the review of the action plan forward.

Occasions Date of absence Number of calender days absent

Reason for absence

1 2 3

Score = Occasions x Occasions x total number of working days absent = (insert number) x (insert number) x (insert total) = (insert score)

You are required to attend a meeting to be held in the presence of (insert Managers name and HR reps name if HR in attendance) at (insert venue) on the following date and time: Date: (insert date) Time (insert time) Please note that the outcome of this meeting could be that you are placed on to Stage (insert stage number) of the Attendance Management Policy. Could you please contact me on (insert tel no) by (insert date) to confirm your attendance. You may be accompanied by a Trade union representative or appropriate work colleague if you wish. Yours sincerely

(insert name) (Insert Title)



CC: HR

Letter 1C Invite Letter - Action Plan review.doc


24 May 201027 April 201015 April 2010 Private and Confidential NAME ADDRESS Dear NAME, Re: Attendance Review Meeting – Action Plan Review In accordance with the Attendance Management Policy I write to invite you to attend a meeting with at (insert venue) on the below date and time. (insert name), HR Advisor will also be in attendance to review your progress with your current action plan.

Date: (insert date) Time: (insert time) Could you please contact me on (insert tel number) by (insert date) to confirm your attendance. You may be accompanied by a Trade Union representative or appropriate work colleague if you wish. Yours sincerely

(insert name) (Insert Title) CC: HR Letter 2a Outcome letter - LTS.docx

Department



Address

24 May 201027 April 201015 April 2010 Tel:

Private and Confidential NAME ADDRESS Dear NAME, Re: Attendance Review Meeting – Outcome of Long Term Sickness Thank you for attending the meeting held on (insert date) where (insert attendees and job titles) were also attendance. I write to confirm our discussion. We discussed the reasons for your absences and you provided an update since our last discussion. (INSERT DETAIL OF ANY CONVERSATION YOU HAD AT THIS POINT REGARDING THE ABOVE) Choose applicable ending paragraph(s) and delete heading If penultimate LTS review In accordance with the Trust’s procedures, we will consider Occupational Health advice and explore reasonable adjustments and any opportunities for employment in a suitable alternative role within the Trust. There are no guarantees that alternative employment will be available so we may also have to discuss the possibility that your employment may be terminated on the grounds of capability. If sickpay review was discussed We also discussed your sick pay entitlement, it was agreed this would cease on (insert date) and therefore under agenda for change we have satisfied the criteria in relation to your sick pay entitlement. If LTS meeting We agreed to meet again (insert details of follow up arrangements eg following next occ health appointment, update from GP, operation date, following the end of your action plan etc).

I hope you find this accurate reflection of our discussion, should you have any queries or concerns please do not hesitate to contact me. Yours sincerely (insert name) (Insert Title) CC: HR

Letter 2b Outcome stage 1 or 2.docx

Department Address




Private and Confidential NAME ADDRESS Dear NAME, Ref: Stage (insert number) Attendance Review Meeting – Outcome Thank you for attending the Stage (insert number) Attendance Review Meeting held on (insert date) in the presence of (insert attendees and job titles). The decision was taken to place you on to Stage (insert number) of the Short Term Attendance Review Procedure outlined in the Attendance Management Policy and put you on to a six month action plan. (please change months if shorter and deemed appropriate) You have been absence on (insert number) occasions in the last 12 months, totaling (insert number) days. When calculating your Bradford Factor score only those absences from April 09 have been included. We then discussed the reasons for your absences and whether you felt there were any underlying issues which were causing your absences and what if anything we could do to improve your attendance. Either At the meeting we discussed (insert detail of any conversation you had) OR Please find attached a copy of the notes taken at the meeting outlining the discussion that took place. (attach copy of meeting notes Proforma) The action plan agreed was a target of a Bradford Factor score of (insert Bradford factor score) or below, and (insert detail or any other applicable targets agreed, EG: occupational health referral, stress risk assessment, offered counseling service, etc). We agreed that the action plan will be initially monitored over a 3 month period and we will be meeting again to review this. There may be a requirement to meet earlier if you fail to meet this target / action plan however you will be notified if a meeting is required. I must remind you that failure to meet the action plan and the improvement in your absence level may result in further action under the Attendance Management Policy. You have the right to appeal against this decision, should you wish to execute this right, you should submit your appeal in writing to (name) Human Resources, at (address), clearly stating your grounds for appeal within 14 calender days of the date of this letter. Yours sincerely (insert name) (Insert Title) CC: HR

Letter 2c Outcome - Action Plan review.doc

Department Address



24 May 201027 April 201015 April 2010 Tel: Private and Confidential NAME ADDRESS Dear NAME, Re: Attendance Review Meeting – Action Plan Review Outcome Thank you for attending the meeting held on (insert date) where (insert attendees and job titles) were also attendance. I write to confirm our discussion. We discussed the progress you have made with your action plan (INSERT DETAIL OF ANY CONVERSATION YOU HAD AT THIS POINT REGARDING THE ABOVE) Choose applicable ending paragraph(s) and delete heading If successful in meeting action plan I would like to confirm the action plan and subsequent targets that we agreed have been successfully completed and no further action will be taken at this stage and I wish you continued success in your improved attendance.

Your absence will continue to be monitored in line with Trust policy and if there is a continued sustained improvement in your attendance no formal action will be taken. You should also be aware that if there is a deterioration in your attendance this may result in the policy being re-invoked. If unsuccessful I hope you find this accurate reflection of our discussion, should you have any queries or concerns please do not hesitate to contact me. Yours sincerely (insert name) (Insert Title) CC: HR Letter 2d Outcome - adjust BPS.doc

Department Address


Private and Confidential NAME ADDRESS Dear NAME, Ref: Stage (insert number) Attendance Review



The Trust is committed to providing the highest standards of patient care possible to the public it serves. In order to achieve this, the Trust recognises that the regular attendance at work of its employees is crucial. Our records indicate that you have been absent on (insert number) occasions in the last 12 months which is concerning and when scored using the Bradford Factor would have triggered a meeting under the Attendance Management Policy.


Reason for absence

1 2 3 When calculating your Bradford Points Score only those absences from April 09 have been included.

Score = Occasions x Occasions x total number of working days absent = (insert number) x (insert number) x (insert total) = (insert score)

Having reviewed the reasons behind your absences I have decided not to take any further action at this point due to (give reasons eg Long term sick, industrial injury) and we have discussed the circumstances around this at previous meetings. I would ask that if there is any change in your current well being or you require further support to improve your future attendance that you make me aware of this.

Your absence will continue to be monitored in line with Trust policy and if there is a continued sustained improvement in your attendance no formal action will be taken. You should also be aware that if there is a deterioration in your attendance this may result in further action under the Attendance Management Policy. Yours sincerely (insert name) (Insert Title) CC: HR

Letter 3 DNA.docx


24 May 201027 April 201015 April 2010 Private and Confidential



NAME ADDRESS Dear NAME,

I refer to my letter dated (date). There was a meeting arranged on (insert date(s)) which you did not attend. May I take this opportunity to remind you that under your terms and conditions of your employment you are obliged to attend meetings that are arranged by the Trust. If there is a problem in attending meetings could you please contact me on the number below to discuss this. Use below paragraph if 2nd time DNA May I remind you that it is a contractual obligation to attend these meetings, and under the terms and conditions of your employment failure to attend this meeting may result in disciplinary action. I have arranged a further meeting which you will be required to attend in the presence of (insert managers name and HR rep if HR in attendance) at (insert time) (insert date) 2009 at (insert venue). Please could you contact me to confirm your attendance at this meeting on (tel no) by (date). If the date or venue given is unsuitable we can arrange an alternative. You may be accompanied by a Trade Union Representative or work colleague if you wish. Yours sincerely

(insert name) (Insert Title) CC: HR

Letter 4 AWOL.doc

Department Address Tel:

24 May 201027 April 201015 April 2010 Private and Confidential NAME ADDRESS Dear NAME,



Use below if 1st time AWOL I have been made aware that you were failed to report for duty on (insert date) and that you have not contacted as per the Attendance Management Policy to advise of this absence. May I take this opportunity to remind you that under the terms and conditions of your employment you are obliged to advise of any absence from work and the reasons behind this. It is very concerning that I have not heard from you, please could you contact me on (insert number) by (insert date), failure to do this may result in your absence being classed as unauthorised and your pay may also be with held. Use below paragraph if 2nd time DNA I refer to my letter dated (insert date) asking you to contact me to advise why you have been unable to report for duty. May I remind you that it is a contractual obligation to attend work or advise of any absence via the appropriate methods under the Attendance Management Policy. As you have not done this your absence is now classed as an unauthorised absence and as such your pay has been with held from (insert date). I have arranged a meeting which you will be required to attend to discuss your non attendance, (insert name) HR Advisor will also be in attendance. Date: Time: Venue: Please could you contact me to confirm your attendance at this meeting on (tel no) by (date). If the date or venue given is unsuitable we can arrange an alternative. I must make you aware that failure to attend this meeting may result in disciplinary action.

You may be accompanied by a Trade Union Representative or work colleague if you wish. Yours sincerely


Letter 5 No medical certificate.docx

Department Address


Private and Confidential NAME ADDRESS



Dear NAME, Re: Missing Self Certificate OR Medical Certificate According to our records you the above was due by (insert date) To date we have not received this and I must inform you that if I do not receive this by (insert date – give 5 days from date of letter) your pay will be withheld. Your pay would be reinstated from the date that the certificate is received as the Trust does not accept backdated medical certificates. If you have previously submitted your certificate please contact me to advise who you submitted this to so that your records can be updated accordingly. I must remind you that under the terms and condition of your employment you are required to provide certificates in a timely manner and failure to comply with Trust policies may result in disciplinary action. Yours sincerely


Letter 6 Confirm pay withheld.docx


24 May 201027 April 201015 April 2010 Private and Confidential NAME ADDRESS Dear NAME, Re: Unauthorised Absence I wrote to you on (insert date) advising you that a medical certificate was due on (insert date) and asked that you submit this by (insert date).



Your medical certificate has not been received and this has resulted in unauthorised absence and your pay has now been withheld from (insert date). Your pay will not resume until a medical certificate is received. I must advise you that your pay will resume from the date the medical certificate is received. As you are absent without leave you are required to attend a meeting to discuss this, a meeting has been arranged on the below date and time. (insert name), HR advisor will also be in attendance. Date: (insert date) Time (insert time) I must remind you that under your terms and conditions of employment you are required to provide a medical certificate and to attend meetings arranged by the Trust, failure to comply with Trust policies may result in disciplinary action. Yours sincerely


Letter A Invite stage 3.docx

Ambulance Headquarters Bernicia House The Waterfront Goldcrest Way Newburn Riverside

24 May 201027 April 201015 April 2010 Newcastle upon Tyne NE15 8NY Tel: 0191 430 2000

Private and Confidential NAME ADDRESS Dear NAME, Re: Stage 3 Attendance Review Meeting Further to our last meeting on (insert date), we agreed that your attendance at work would be monitored over a six month period. As you have had further episodes of sickness, detailed below, it is necessary to bring the review of the action plan forward.


Reason for absence

1 2 3



Score = Occasions x Occasions x total number of working days absent

= (insert number) x (insert number) x (insert total) = (insert score) You are required to attend a meeting to be held in the presence of (insert Managers name and HR reps name) at (insert venue) on the following date and time: Date: (insert date) Time (insert time) Please note that this meeting is being held under stage 3 of the Attendance Management Policy and dismissal is an option at this stage. You may be accompanied by a Trade Union representative or appropriate work colleague if you wish. Yours sincerely (insert name) (Insert Title) CC: HR

Letter B Invite to final LTS.docx

Ambulance Headquarters Bernicia House The Waterfront Goldcrest Way Newburn Riverside

24 May 201027 April 201015 April 2010 Newcastle upon Tyne NE15 8NY Tel: 0191 430 2000 Private and Confidential NAME ADDRESS Dear NAME, Re: Attendance Review Meeting – Long Term Sickness Further to our last meeting on (insert date), you are required to attend a meeting to be held in the presence of (insert Managers name and HR reps name) at (insert venue) on the following date and time: Date: (insert date) Time (insert time) If the date or venue given is unsuitable would you please contact me on and we can arrange an alternative.



The purpose of the meeting is to discuss your current contract of employment with North East Ambulance Service NHS Trust. This meeting could result in the termination of your contract. Please note that if you do not attend and do not contact to make alternative arrangements a decision may be made in your absence. You may be accompanied by a Trade Union representative or appropriate work colleague if you wish. Yours sincerely (insert name) (Insert Title) CC: HR

Letter C Outcome stage 3.docx


24 May 201027 April 201015 April 2010 Private and Confidential NAME ADDRESS Dear NAME, Re: Stage 3 Attendance Review Meeting – Outcome Thank you for attending the Stage 3 Attendance Review Meeting held on (insert date) in the presence of (insert attendees and job titles). We discussed our previous meetings held under the Attendance Management Policy and the additional absences since your review at stage 2. I referred to the letter we received from Occupational Health following your referral and the fact that they could not identify any underlying problem with your health. (INSERT ANY FURTHER DETAIL OF ANY CONVERSATION YOU HAD AT THIS POINT REGARDING THE ABOVE) I wish to confirm that the decision was taken to terminate your contract as of (insert date) grounds of capability for failing to fulfill your contractual obligation to attend work.



In accordance with current legislation, you are entitled to (insert number) weeks pay in lieu of notice. You will be entitled to (insert number) day’s outstanding annual leave and (insert hours) time owing. I have arranged for this to be paid to you. The termination of your contract of employment is a dismissal, and you have the right of appeal to the Trust against this decision. Should you wish to execute this right, you should submit your appeal in writing to the Human Resources Department, at Ambulance Headquarters, Bernicia House, The Waterfront, Goldcrest Way, Newburn Riverside, Newcastle upon Tyne, NE15 8NY, clearly stating your grounds for appeal within 14 calender days of the date of this letter. Yours sincerely (insert name) (Insert Title) CC: HR

Letter D Outcome Final LTS - dismissal.docx


24 May 201027 April 201015 April 2010 Private and Confidential NAME ADDRESS Dear NAME, Further to the meeting held on (insert date) in the presence of (insert attendees and job titles). The meeting was arranged to discuss your continued employment and I write to confirm the outcome. Unfortunately you did not attend this meeting, and therefore, as outlined at your previous meeting held on (date, month) 2009 a decision regarding your future employment was made in your absence. (Amend above paragraph as necessary) We discussed your health at present and the information available from Occupational Health who confirmed that you are not medically fit to carry out your current duties as (insert job title). We discussed adjustments and alternative roles within the Trust but you advised that that you do not feel that there are any suitable roles which you could undertake.



(INSERT ANY FURTHER DETAIL OF ANY CONVERSATION YOU HAD AT THIS POINT REGARDING THE ABOVE) It was therefore agreed that the Trust should terminate your contract on the grounds of incapacity owing to ill health. I informed you of the Pensions ill health retirement scheme and agreed to investigate this process for you however the Trust has no influence over their final decision. We agreed at the meeting that your employment termination date would be (date of meeting) and you would be paid (insert number) weeks pay in lieu of notice together with (insert number) days annual leave and I have arranged for this to be paid to you. The termination of your contract of employment is a dismissal, and you have the right of appeal to the Trust against this decision. Should you wish to execute this right, you should submit your appeal in writing to the Human Resources Department, at Ambulance Headquarters, Bernicia House, The Waterfront, Goldcrest Way, Newburn Riverside, Newcastle upon Tyne, NE15 8NY, clearly stating your grounds for appeal within 14 calender days of the date of this letter. Yours sincerely (insert name) (Insert Title) CC: HR



Appendix J STS Meeting notes proforma Jan 10.doc

ATTENDANCE MANAGEMENT PROCEDURE - STAGE ……….. MEETING Employee Name

Representative (if none present ensure happy to proceed)

Manager

HR Representative (if present)

Date and Time of Meeting

Location of Meeting

Explain purpose and reason for meeting, ensure correspondence received and they understand the trigger points.Notes Discuss absences and the return to work interviews for the periods of absence in question. Are there any underlying health issues? Notes Explain – Not questioning the validity of absences, simply the number of absences.Explain – Meeting held in accordance with the Trust’s Attendance Management Policy in relation to managing short term attendance Determine if there are any underlying problems which may have contributed to the non attendance. EG issues inside or outside of workNotes Identify any support or adjustments which could be consideredNotes Discuss referral to Occupational Health - Especially where underlying health issues are identified. Notes Explain – The impact of work upon the service and colleagues and this level of absence cannot be accepted by the Trust Notes Adjourn meeting – Consider whether an action plan should be set. Give consideration as to what this should include and when it will bereviewed. Notes Reconvene meeting – Advise on your decision, action plan, review periods and improvement required. Together with end date and plan



continual monitoring. Notes Explain implications of further absences and next stages of the attendance management policy if there is no acceptable sustained improvement in attendance. Notes Explain that the content of the meeting will be confirmed in writing, also identifying that there is the right to appeal to the HR Departmenwithin 14 calendar days of the date of the letter, where they should clearly state their grounds of appeal Notes Note any other discussions or comments Notes

Signed: Manager ………………………………………… Date ……………… Employee …………………………………….. .. Date ………………