March 2013

London Borough of Havering

Managing Sickness Absence (Health & Wellbeing) Policy

and Procedure

Index

Section One Policy1 Policy statement2 Procedure overview3 Scope of this policy4 Links to other policies

Section Two Procedure1 Roles and responsibilities2 The procedure3 More information4 Policy ownership and effective dates

Section Three Supporting documents (and template letters)Appendix One Guide for Employees: Reporting Sickness Absence Appendix Two Guide for Managers: Reasonable Adjustments Appendix Three Guide for Managers: Returning to Work Appendix Four Guide for Managers: Informal Sickness Absence Meetings Appendix Five Guide for Managers: Case Conferences Appendix Six Guide for Managers: Medical Redeployment & Ill Health

Retirement Appendix Seven Guide for Managers: Occupational Health Referrals Appendix Eight Guide for Managers: First & Second Formal Sickness

Absence MeetingsAppendix Nine Guide for Managers: Third Formal Sickness Absence

MeetingAppendix Ten Guide for Managers: Appeal Process

MANAGING SICKNESS ABSENCE (HEALTH & WELLBEING) POLICY AND PROCEDURE

Section One: Policy and procedure overview

1 Policy Statement

The Council aims to balance the delivery of excellent services, with maintaining fair treatment of all employees through effective management of sickness absence, whilst at all times acting as a fair and reasonable employer.

This policy sets out a fair, consistent and sensitive framework to allow managers to manage sickness absence positively and ensure employees are properly supported throughout the process. Managers will work with employees to manage sickness absence, fairly and equitably, to achieve and maintain maximum levels of attendance.

The Council will investigate and consider positive solutions to attendance problems when appropriate. Affected employees will be given the opportunity to put forward any possible solutions for consideration. The Council recognises our employees are key to delivering excellent services as employees who are not able to attend work through sickness absence will have an impact upon the service the Council provides.

It is important for employees and managers to work together to manage individual absence cases in a fair and consistent manner. It is recognised that a certain level of sickness absence is inevitable and employees who are genuinely unwell will be managed supportively and with sensitivity.

This policy does not apply to unauthorised absence or abuse of the sick pay scheme, which will be dealt with under the Council’s Disciplinary policy.

2 Procedure Overview

The Managing Sickness Absence (Health & Wellbeing) Policy and Procedure is based on the following principles:

Employees are expected to attend work unless they are not well enough to do so

Managers and employees are jointly responsible for health and wellbeing at work

Managers will ensure they acknowledge all occasions of sickness absence and use the Managing Sickness Absence (Health & Wellbeing) Policy and Procedure to address concerns about an employee’s attendance - managers should discuss concerns informally at the earliest possible opportunity in the first instance

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The procedure should be applied consistently but with discretion, where appropriate. If an employee reaches a trigger point, a First / Second Formal Meeting will be held to discuss the employee’s attendance. However, discretion around whether to hold a Second Formal Meeting, or concerning the outcome of either of these meetings, will be exercised to take account of the circumstances of the case. Discretion can also be exercised when deciding when to convene the Third Formal Meeting. Advice and guidance should be taken from the Operational HR Team within the Internal Shared Service and from Occupational Health to help managers decide how and when to use the formal procedure to manage unsatisfactory attendance

Managers will ensure they meet the requirements of the Equality Act 2010 when managing cases of disability-related sickness absence, in particular the need to make reasonable adjustments before determining whether the level of sickness absence is not acceptable

Managers and employees will work together during periods of sickness and rehabilitation to ensure the employee returns to work as soon as possible

Employees have the right to be accompanied by a work colleague or trade union representative at all formal meetings under this procedure

Employees will not be dismissed under this procedure without prior warning that their absence is not acceptable and being given the opportunity to improve

3 Scope of this policy

This procedure applies to all employees of the Council except (a) those employed at schools (b) employees who are within their probationary period and (c) officers employed under the JNC for Chief Executives and the JNC for Chief Officers Conditions of Service.

4 Links to other policies/procedures

Disciplinary Policy Drugs & Alcohol Policy Flexible Working (Hours) Policy Leave Policy Managing Occupational Stress Policy Performance Improvement Policy

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Section Two: Procedure

1 Roles and Responsibilities

1.1 Managers are expected to: Inform employees of their duties and obligations under this policy,

working with employees and other support functions as required to maximise attendance

Understand their own responsibilities under this policy as well as understand their obligations to their employees. Keep adequate written records of informal and formal action, improvement plans, meetings, decisions and any other relevant information

Manage attendance consistently and fairly in compliance with this procedure. Ensure that all employees, including new entrants, are made aware of this policy and procedure

Make every effort to understand why an employee is absent and then provide appropriate help and support and take suitable follow up action, as necessary. Managers should approach sickness absence management on a ‘case-by-case’ basis

Maintain regular contact with absent employees, pro-actively seek to explore ‘next steps’ to a return to work, particularly where managers are aware of employees who will be off for a long period of absence due to planned medical treatment, for example

Carry out Return to Work Interviews (RTWIs) with all employees who return following each period of sickness absence and ensure documentation is accurately maintained. Hold First and Second Formal Meetings for all employees who reach a sickness absence trigger, with some discretion available at Second Formal Meeting stage

Record absence and RTWI information using Manager Self Service: (Intranet Guidance – Home / Self Service / How To Guides / How To Guides for Managers)

Be open when dealing with absence and routinely monitor absence levels, telling employees when the amount or pattern of their absence is causing concern at the earliest opportunity

Consult with Occupational Health and the Operational HR Team for support and guidance as specified and where required (and in particular during formal reviews)

Advise employees of the support which is available such as Occupational Health and the Employee Assistance Programme

Seek early advice from Occupational Health to ensure that appropriate assessments are undertaken for employees who have a disability and that reasonable adjustments are made in line with the requirements of the Equality Act 2010 where appropriate. This must be done either at the start of the employee’s employment with the Council, or when a disability is acquired/develops if this is during the course of employment. For more information see: Appendix Two – Guide for Managers: Reasonable Adjustments

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Ensure confidentiality is maintained in relation to information about sickness absence and that the workplace is safe and without risks to employee health and wellbeing, as far as is reasonably possible

1.2 Employees are expected to: Maintain regular and punctual attendance at work, and understand their

own responsibilities under this policy and procedure Safeguard their health and take appropriate action to facilitate a speedy

return to fitness when they are absent from work Notify their manager if they cannot attend work, in accordance with the

notification procedures as outlined in this policy and procedure Ensure that medical advice or treatment, where appropriate, is received

and acted upon as quickly as possible in order to improve their health and wellbeing and facilitate a return to work

Pro-actively maintain appropriate contact with work during periods of sickness absence and be contactable whilst off sick

Comply with reasonable management requests to attend meetings and work pro-actively to assist a return to work when off sick

Participate in Return to Work Interviews and be available to attend any necessary meetings or Occupational Health appointments relating to their current period of sickness absence, or sickness absence history

Where possible, arrange to attend hospital, doctor or dental appointments in their own time or at the beginning or end of a working day to cause minimum disruption. Time taken during working hours for the above appointments will be paid and the dates and times of the appointments will be recorded by the manager. When requesting the leave, provide their manager with appropriate documentation confirming the appointment. The manager will record the appointment via Manager self service

Inform their manager if they have a disability that is impacting on their ability to attend work, including the nature of the disability, how it may impact on their work and any requirements or adjustments needed to enable them to fulfil their role. This must be done either at the start of employment with the Council, or when a disability is acquired/develops, if this is during the course of employment

Report to their manager if they are taking any prescription, or over-the-counter, medicines that may cause impairment to their work performance and/or any side effects, as part of their duty of care, e.g. drugs which may affect their ability to drive or operate machinery

Report accidents at work and promptly complete Incident Reports

2 The Procedure

2.1 Definition of Sickness Absence Sickness absence occurs where an employee is not considered well enough to perform their role. If an employee is absent from work for any other reason, for example, to attend a medical appointment, bereavement, or to care for dependents, this does not fall into the category of ‘sickness absence’. If as a result of attending a medical appointment the employee is subsequently unwell and cannot return to work they should report sick at that point, in accordance

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with the notification procedures as outlined in this policy and procedure. It should be noted that home-working is not a substitute for reporting sick when an employee is unwell.

2.2 Reporting Sickness Absence If an employee is unable to attend work due to sickness, they must notify their manager by telephone as soon as practically possible, but no less than within the first working hour of their first day of absence. This will help provide managers with timely opportunity to arrange cover for the work of the employee that is absent, where necessary.

If an employee’s manager is unavailable, the employee concerned must then speak to another manager within the service to report their absence. Their manager will then contact them within one working day in order to confirm details and to check on the welfare of the employee. If there are exceptional circumstances whereby an employee cannot make personal contact initially, they should ensure a message is left and make personal contact as soon as possible thereafter. In exceptional circumstances, someone else may call on an employee’s behalf if they are too ill to do so.

Employees should tell their manager: The nature of their sickness How many days they estimate they will need to be off work due to the

sickness reported About their work commitments and any priorities on the first day of

absence that may need to be attended to by someone else About all work commitments for the foreseen duration of their absence

from work If they believe their absence may have been caused by something that

happened at work. If so, managers should arrange for an Accident/Incident Report Form to be completed

(See Appendix One – Guide for Employees: Reporting Sickness Absence)

Managers are expected to: Be sympathetic and sensitive to the employee’s position Ask if the employee has any specific concerns about their illness and if

they intend to see their doctor Identify if an early referral to Occupational Health would be of benefit,

particularly in cases of potentially stress-related absence, e.g. anxiety or depression

Provide details of the Council’s Employee Assistance Programme Agree with the employee the best way to keep in touch and set an

expectation of how often contact should be made Make an informal note of the conversation(s) with the employee Record the sickness absence by using Manager self service

NOTE: Unauthorised Absence An employee’s absence has a direct effect on the services the Council provides. For efficient service delivery to be maintained, it is essential for

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managers to know when an employee is unable to attend work due to illness or injury. Failure to comply with these reporting procedures is likely to lead to the absence from work being considered ‘unauthorised’, resulting in potential loss of pay and, in some cases, potential disciplinary action.

If an employee does not follow the notification procedures set out in this policy and procedure, and the manager has made all reasonable attempts to contact the employee but without success, the employee’s pay should be stopped until the employee officially reports their sickness absence.

The manager should send a letter to the employee, ideally by Recorded Delivery, to confirm that pay has been stopped and advising the employee on what they should do next. The employee’s pay can be reinstated at a later date, with back-pay in place, if an acceptable explanation is provided. The Operational HR Team should be contacted for further advice and guidance.

2.3 Recording Sickness Absence All sickness must be recorded by managers using the Manager Self Service facility and can be tracked in Business Intelligence (BI). Half days’ sickness absence can be recorded on the system. The system only allows for the recording of the time period of the absence using the specific hours if the sickness absence was for a half day and not a full day. There is guidance on the Intranet on how to record sickness absence for your direct reports: (Intranet Guidance – Home / Self Service / How To / How To Guides for Managers / Recording Employee Sickness Absence)

2.4 At Eight Days or More of Continuing Sickness AbsenceOn the eighth day of sickness absence, the employee must telephone their manager, repeating the reporting requirements detailed in Section 2.2. The employee must also provide a Fit Note (i.e. Statement of Fitness for Work) from their doctor. This should be promptly forwarded to their manager.

The manager should take a copy of the Fit Note and record it using Manager Self Service. There is guidance on the Intranet on how to record Fit Notes (Intranet Guidance – Home / Self Service / How To Guides / How To Guides for Managers / Recording a Fit Note). The original Fit Note should be returned to the employee and the copy sent to Internal Shared Services for inclusion on the employee’s personal file.

If absence continues further, Fit Notes should be provided and promptly forwarded by the employee to their manager. During the first six months of an employee’s sickness, the Fit Note cannot be issued for a period longer than three months. Thereafter, the Fit Note can be issued for any duration up to an indefinite period. The doctor may also state on the Fit Note whether or not they need to see the employee again when the Fit Note period has expired.

2.5 Maintaining Regular ContactWhen an employee is absent from work due to sickness, it is important that contact is maintained between the manager and the employee. The manager and employee together need to ensure that the employee does not feel

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isolated, vulnerable or ‘out of touch’. The employee and manager should maintain regular contact, by telephone if possible, during the early stages of the sickness absence period. The manager should make an informal note of any relevant conversation(s). The employee must ensure they are available for contact and this should be within working hours. Managers should agree with the employee the best way to keep in touch and set an expectation of how often contact should be made.

The Council will seek to support the employee fully around a return to work as soon as possible. The employee must, in turn, assist management by agreeing to attend meetings, attending Occupational Health appointments or complying with any other reasonable management requests. On some occasions, the appropriate method of contact may be to visit the employee at home, or arrange a meeting at another location, such as the workplace or a neutral venue, as agreed by all parties.

Meetings should be arranged with the employee at a mutually agreeable time. However, the employee needs to be reasonable in accommodating requests for meetings under the procedure. At Formal Meetings, the employee can have someone present if they wish to, who may be a work colleague or their Trade Union representative.

NOTE: Convalescent HolidaysDuring a long-term absence there may be circumstances where a holiday is taken as part of a planned convalescence programme, supported by Occupational Health or another qualified practitioner (i.e. where the period is covered by a Fit Note confirming that the employee is unfit for work). This holiday will continue to be treated as sickness absence and the employee’s remaining annual leave entitlement is unaffected.

Where this type of holiday is proposed, the employee must inform their manager before making any such arrangements and agree how contact will be managed during the holiday. If the manager has any queries about the planned ‘convalescence holiday’, advice should be sought from the Operational HR Team and/or Occupational Health.

Please note that arrangements regarding sickness during annual leave, or the carrying over of annual leave on return from long-term sickness absence, are covered under the Leave Policy.

2.6 Statement of Fitness for Work or ‘Fit Notes’Doctors will provide a Statement of Fitness for Work (‘Fit Note’) when the employee’s health condition has affected their ability to work for more than seven days. The Fit Note allows doctors to advise whether or when an employee is ‘unfit for work’, or ‘may be fit again for work’. The aim of the Fit Note is to give employees, and the Council, more useful ‘back-to-work’ advice, so there can be more flexibility in managing sickness absence cases. A doctor will also be able to suggest ways of helping an employee get back to work. This might mean discussing with the employee:

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A phased return to work Altered hours Amended duties, or Workplace adaptations

The doctor may also write on the Fit Note any comments on the above options and/or any other option that they believe may be appropriate in the circumstances, such as a recommendation that the employee is assessed by an Occupational Health specialist, for example. The Fit Note will also make it clear that the options recommended by the doctor are dependent on whether or not they are ‘available, and with the employers agreement’.

Whilst there is no legal obligation on the Council to comply with any recommendation made on a Fit Note, the Equality Act 2010 protects employees from unfavourable treatment related to a disability. Managers are under a statutory duty to make ‘reasonable adjustments’ to the employee’s working arrangements. Any refusal, without reason, to accommodate an adjustment recommended by a doctor could result in a complaint that the Council has failed in its duty to make reasonable adjustments under the Act.

2.7 Phased Return to Work after Sickness AbsenceA phased return should only be considered where there is a foreseeable return to normal hours and/or duties within a short timeframe, which will usually be within a period of between 1 week and 6 weeks. In exceptional circumstances, this can be up to a maximum of 12 weeks. Phased returns should be considered if recommended by the employee’s doctor on the Fit Note, or following an Occupational Health assessment. Where an employee’s absence is related to a disability, or where there is not a foreseeable return to normal hours and/or duties by a maximum of 12 weeks, a phased return may not be appropriate. In such circumstances, a permanent adjustment to the employee’s contract, in terms of hours and/or duties, may need to be considered instead. Managers should be aware that ongoing temporary adjustments could be later be considered as permanent if there is no subsequent change in the employee’s, or employer’s, circumstances. The Operational HR Team should be contacted for advice and guidance.

2.8 Disability Related Sickness AbsenceIt is recognised that an employee may be living with a disability, or may become disabled during the course of their employment. Where an employee’s absences are related to a disability, it should be clearly noted on the return to work form through Manager Self Service that it is ‘disability related sickness absence’. Managers must ensure that they meet the requirements of the Equality Act 2010 when managing cases of disability related sickness absence and should always seek advice from the Operational HR Team and Occupational Health first before considering taking any action under this policy and procedure.

The formal part of the procedure will still apply where absence is related to a disability. However, no formal action should be taken until advice has been

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received from Occupational Health and/or the employee’s doctor and has been discussed with the Operational HR Team. Reasonable adjustments may need to be made before determining whether or not the level of sickness absence is unacceptable.

Sickness absence trigger points will remain the same in such cases, subject to advice from Occupational Health. If the advice from Occupational Health suggests that due to the nature of the disability a higher absence level may be likely, then allowing a higher level of sickness absence before moving to the formal part of the managing attendance procedure can be considered a reasonable adjustment under the Equality Act 2010. Managers should consider reviewing the sickness absence trigger points before the formal part of the procedure is applied. This will apply to individual cases only, dependent upon the medical advice from Occupational Health. (See Appendix Two – Guide for Managers: Reasonable Adjustments)

2.9 Pregnancy Related Sickness AbsenceAny pregnancy related sickness absence that occurs during the period from the start of the pregnancy to the start of maternity leave will not be taken into account with regard to any sickness absence trigger points. Employees who are absent from work because of pregnancy related sickness absence within four weeks of their expected due date, will commence their maternity leave from the first day of the sickness absence period.

2.10 Return to Work InterviewsUpon their return to work, managers must have a return to work meeting with the employee after each occasion of absence. The return to work meeting should be carried out with the employee in private and the aim will be to have this meeting within three working days of the return to work, where possible.

Any absence which is less than eight calendar days is automatically considered to be self-certificated. Employees should be aware that to knowingly give false or misleading information regarding their absence from work is a serious disciplinary offence.

Details of the meeting will be recorded by managers using Manager Self Service, which closes the absence record. There is guidance on the Intranet on how to record a return to work: (Intranet Guidance – Home / Self Service / How To Guides / How To Guides for Managers / Recording a Return to Work).

(See Appendix Three – Guide for Managers: Returning to Work)

2.11 Informal Action Informal action should be taken when managers first have concerns about an employee’s sickness absence and prior to any formal trigger point being met. An informal meeting can be held to address concerns in relation to ongoing periods of short-term absences, ongoing periods of longer term absence or one period of long-term absence. There are no specific trigger points for an informal action meeting to take place.

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The purpose of these informal sickness absence meetings is to carry out a thorough review of the employee’s sickness absence record and, where appropriate, agree an improvement plan. There is likely to be less recourse to the formal part of the absence management procedure if concerns are discussed at the earliest possible opportunity and there is timely intervention and pro-active support given to employees.

Whilst the meeting is informal, the manager should take notes of what is said and agreed and write to the employee within three working days of the meeting, summarising the main points and including copies of the meeting notes (and the improvement plan, if applicable).

(See Appendix Four – Guide for Managers: Informal Sickness Absence Meetings and Letter 1 – Outcomes from Informal Sickness Absence Meeting)

2.12 Sickness Absence Trigger PointsIf management has provided early supportive action, and there has not been the necessary improvement in attendance, then it would be appropriate to formally warn the employee about levels of attendance. The reason for this is that, in managing sickness absence, a balance needs to be struck between meeting service delivery needs and standards, and supporting the employee.

The Council uses trigger points to highlight when employees have had certain levels or patterns of sickness absence that may need formal intervention. An employee can trigger the formal part of the procedure when they meet one, or more, of the proceeding sets of trigger points:

The Sickness Absence Trigger Points that can initiate the First Formal Meeting stage are: within a 12-month rolling period there have been 4 separate periods of

sickness absence of any length within a 6-month rolling period there have been 3 or more separate

periods of sickness absence that add up to at least 5 working days there appears to be a pattern in, or type of, sickness absence that

raises management concern – for example: periods of sickness absence that occur either side of weekends, or a noticeable pattern on days where particular shifts have been planned or peak workloads are expected

a single period of sickness absence goes beyond 28 calendar days and there is no clear indication of an early return to work, usually within two months following the commencement of absence

Where the manager considers there is still a need to deploy reasonable adjustment measures under the Equality Act 2010, or the circumstances of the attendance are such that an improvement will be imminent, a decision may be taken not to formally warn the employee but continue to monitor the employee under the ‘informal’ arrangements. It is important that managers can

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demonstrate a formal justification for this decision to evidence that they have in fact reviewed the employee’s absence.

Where there is a 12-month monitoring period in place, the Sickness Absence Trigger Points that can initiate the Second Formal Meeting stage are: further instances of sickness absences, of any length, within the 12 month

monitoring period (e.g. normally consider 2 instances as being reasonable to trigger the next stage if there is management concern)

further instances of sickness absence that appear to be a pattern or type of absence which causes concern – for example: where there is a pattern of absences on either side of the weekend, or on particular days where there are particular shifts or peak workloads

where sickness absence is over two months and there is no clear indication of an early return to work, usually within five months following the commencement of absence

These sickness absence trigger points are designed to trigger a management review of the levels of sickness absence of the employee. If an employee reaches a trigger point, they should be invited to a First or Second Formal Meeting to discuss their attendance.

It is important to be able to exercise discretion concerning the outcome(s) of the First / Second Formal Meeting to take account of the nature of the illness/condition, likelihood of recurrence, i.e. is it a one off?, the pattern of illness/period of good health in between, the impact of absence on work, the extent to which the individual has co-operated with earlier supportive management action, etc. Trigger points for Third Formal Meetings allow for a consistent approach in how cases progress to the end stage of the procedure.

Where there is a 12-month monitoring period in place, the Sickness Absence Trigger Points that can initiate the Third Formal Meeting stage are: further instances of sickness absences that management considers does

not meet the required improvement in attendance as set out following the Second Formal Meeting

further instances of sickness absence that appear to be a pattern or type of absence which causes concern – for example: where there is a pattern of absences on either side of the weekend, or on particular days where there are particular shifts or peak workloads

there is no clear indication of a return to work in the foreseeable future, as advised by Occupational Health

2.13 Ill HealthAny period of sickness of 28 calendar days or more may be treated as long-term sickness and should be reviewed using the formal stages of the procedure, subject to the relevant sickness absence trigger points. However, the Council will seek to adopt a ‘case management’ approach when dealing with employees who are considered incapable of working due to ill health.

Case conferences are integral to the approach in such cases. They should be routinely used to review an employee's absence, state of health, or fitness, to

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see whether or not there is any improvement, and if there is anything the manager can do to aid the employee's recovery and facilitate a return to work.

(See Appendix Five – Guide for Managers: Case Conferences)

For these cases, application of the formal stages of the procedure will be considered via the case conference instead, taking into account the circumstances of the case. Any decision on whether to hold the First and Second Formal Meetings will be at the manager’s discretion and will be informed by the outcomes of the initial case conference. Following these meetings, a Case Conference Formal Meeting would be scheduled if there was no return to work, or if the employee is not expected to return to work in the foreseeable future, as advised by Occupational Health.

The case conference approach should especially be used in sensitive cases where there is an increased need for sympathy, understanding and compassion, i.e. where the formal procedures in themselves could potentially have a detrimental effect on the employee’s ill health. In these extremely sensitive cases, it may be decided that First and Second Formal Meetings are not appropriate and, through the case conference, a consultative approach will be adopted, balancing the need for the work to be done against the time needed for the employee to recover. If the stage is reached when it will be impossible to continue with the employment of the employee, a Formal Meeting to discuss the employee’s ongoing employment would be arranged.

(See Letter 2 – Invitation to a Case Conference; Letter 3 – Outcome from the Case Conference; Letter 4 – Invitation to a Case Conference Formal Meeting; Letter 5 – Outcome from the Case Conference Formal Meeting)

2.14 Ill Health Retirement (Local Government Pension Scheme)Where the manager or HR Advisor considers that the employee may be eligible for Ill Health Early Retirement, the employee should be referred to Occupational Health. Occupational Health will consider the case in line with the current requirements of the pension scheme, if the employee is a member of the LGPS, and will provide a determination of whether the employee is eligible for Ill Health Retirement, and, if so, at which Tier Level.

If the employee does not accept the opinion provided by Occupational Health, they can request a further review by the Occupational Health service. If the employee is still not satisfied with the outcome from that process, a review can be requested under the Independent Resolution Procedure. In accordance with the current Teachers Pension Scheme, the Ill Health Retirement process for teachers is instigated by the teacher themselves.

(See Appendix Six – Guide for Managers: Medical Redeployment & Ill Health Retirement)

2.15 Occupational Health

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Occupational Health offers health advice to help managers determine what actions they may need to take to enable the employee to return to work as soon as possible.

Managers can approach Occupational Health for advice at any stage of an employee’s sickness absence. However, when it becomes apparent that a period of sickness absence is likely to be for a longer term (i.e. 28 calendar days or more), the manager must:

Contact the Operational HR Team to discuss the case Contact Occupational Health to agree the timing of a referral or any

other interventions Consider whether it is appropriate to organise a case conference Continue to maintain regular contact with the employee

If the employee refuses to attend an appointment with Occupational Health, it will not prevent managers from continuing to follow the procedure in that case.

(See Appendix Seven – Guide for Managers: Occupational Health Referrals)

2.16 The Formal Procedure Under the Managing Sickness Absence (Health & Wellbeing) Policy and Procedure, there are three different stages of Formal Meetings:

First Formal Meeting Second Formal Meeting Third Formal Meeting

The purpose of these meetings is to allow the manager and the employee to review and understand the reasons for the employee’s absence(s) and agree a way forward to monitor and support their attendance at work. The Manager who conducts the First / Second Formal Meeting will usually be the employee’s line manager. Subject to the circumstances of the case and the structure of the Service, it may be more appropriate for another manager to undertake the meetings. Advice should be sought from the Operational HR Team on this issue before proceeding with these Formal Meetings.

Following the First or Second Formal Meeting, an employee’s sickness absence will be monitored for 12 months. The employee will proceed through to the next Formal Meeting if their attendance does not improve and they meet further trigger points during the 12-month monitoring period. The required improvement will be an outcome from the First or Second Formal Meeting

The formal meetings will come to an end if attendance improves and further trigger points are not met during the 12-month monitoring period. The employee will then cease to be monitored under the formal arrangements. However, the formal stages may be set in place again should the employee’s sickness absence become of concern, or if they meet trigger points.

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2.17 First Formal MeetingEmployees will be given at least five working days’ notice of the First Formal Meeting and will have the opportunity to bring a work colleague or Trade Union representative with them.

(See Letter 6 – Invitation to a First Formal Sickness Absence Meeting)

The meeting will usually be conducted by the manager. An HR Advisor will not normally attend the First Formal Meeting.

The purpose of this meeting is to: review the attendance record of the employee give the employee the opportunity to discuss the reasons for their

sickness absence(s) and identify any problems which may be contributing to their ill health

to review any previous efforts to assist the employee and to discuss any further assistance that may be possible

where appropriate, to explain to the employee the effect of their sickness absence on colleagues and on the service provided, so that they can understand why the sickness absence(s) is/are a problem

notify the employee of the potential consequences if the level of sickness does not improve, i.e. that ultimately the level of their sickness may lead to a Second and then Third Formal Meeting and the possible outcomes of those meetings, which could include dismissal

The manager will write to the employee within five working days of the meeting, summarising the main points from the meeting. The employee will be advised that their sickness absence will be subject to a 12-month monitoring period.

(See Letter 7 – Formal Notification Letter (Outcome from First Formal Sickness Absence Meeting)

Following the First Formal Meeting, if there has not been a satisfactory improvement in attendance, or if the employee will not be returning to work in the foreseeable future, managers should arrange a Second Formal Meeting. Managers should contact the Operational HR Team to discuss the case before arranging the meeting and must refer the employee to Occupational Health to obtain an up-to-date medical prognosis.

2.18 Second Formal Meeting Employees will be given at least five working days’ notice of the Second Formal Meeting and will have the opportunity to bring a work colleague or Trade Union representative with them.

(See Letter 8 – Invitation to a Second Formal Sickness Absence Meeting)

The meeting will usually be conducted by the manager. This can be the same person that carried out the First Formal Meeting. An HR Advisor may attend the meeting.

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The purpose of this meeting is to: fully explain the reasons why it is considered that the employee has not

made sufficient improvement in their attendance, or, as the case may be, that their attendance is considered to still be unsatisfactory

give the employee the opportunity to further discuss the reasons for their absence(s)

to review any previous efforts to assist the employee and to discuss any further assistance that may be possible, and to review the medical advice obtained from Occupational Health

where appropriate, to explain to the employee the effect of absence on colleagues and on the service provided, so they can understand why the absence(s) are a problem

notify the employee that if there has not been a satisfactory improvement in attendance that may mean they will be required to attend a Third Formal Meeting and the possible outcomes of that meeting, which could include dismissal

The manager will write to the employee within five working days of the meeting, summarising the main points from the meeting. The employee will be advised that their absence will be subject to a further 12-month monitoring period.

(See Letter 9 – Final Notification Letter (Outcome from Second Formal Sickness Absence Meeting)

Following the Second Formal Meeting, if there has not been a satisfactory improvement in attendance, or if the employee will not be returning to work in the foreseeable future, managers should contact the Operational HR Team to arrange a Third Formal Meeting and must refer the employee to Occupational Health to obtain an up-to-date medical prognosis.

(See Appendix Eight – Guide for Managers: First & Second Formal Sickness Absence Meetings)

2.19 Third Formal Meeting An employee can be dismissed on the grounds of unsatisfactory attendance before sick pay expires if managers are able to demonstrate they have followed the Managing Sickness Absence (Health & Wellbeing) Policy and Procedure appropriately, and all reasonable adjustments have been considered.

Employees will be given at least 15 working days’ notice of the Third Formal Meeting and will have the opportunity to bring a work colleague or Trade Union representative with them. The employee will be asked to supply copies of any documentation they wish to present at least 10 working days before the meeting date. If the person accompanying the employee is unable to attend the meeting at the notified time it may be re-arranged once. These timescales can only be waived by mutual consent.

(See Letter 10 – Invitation to Third Formal Sickness Absence Meeting)

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The meeting will be chaired by an independent manager, who will be identified in following advice from the Operational HR Team. The Chair will be a Service Manager who is third tier level or above, with the delegated authority to dismiss where dismissal is being considered.

The purpose of this meeting is to decide, on the balance of the evidence: Whether it would be reasonable to conclude that the employee’s attendance

at work had failed to meet an acceptable standard during the relevant period due to sickness absence

If so, whether there are any mitigating or extenuating circumstances for the employee’s unsatisfactory attendance, and

What action, if any, should be taken

The Chair will ask both parties to outline their case, will review all the supporting information and ask questions. They will consider the case, taking all relevant factors into account, and inform both parties of their decision. An HR Advisor will attend the meeting to advise the Chair.

The Chair will confirm the decision in writing within 10 working days of the meeting. If the decision is to dismiss the employee, this will be a formal notice letter specifying the right of appeal against dismissal and the last day of service with the Council.

(See Letter 11 – Outcome from the Third Formal Sickness Absence Meeting)

(See Appendix Nine – Guide for Managers: Third Formal Sickness Absence Meetings)

2.20 The Right to Appeal The employee has a right to appeal against a decision to dismiss them within 10 working days of receiving the decision in writing. They must write to the independent manager who chaired the Third Formal Meeting, copying the letter to the Operational HR Team, outlining the reasons for their appeal.

(See Letter 12 – Invitation to an Appeal Meeting)

The appeal will be chaired by a Head of Service. If a Head of Service chaired the Third Formal Meeting, the appeal will be heard by a Group Director. The Appeal Chair will be supported by an Independent Adviser (appointed jointly by management and a Trade Union representative to undertake this role).

(See Letter 13 – Outcome from the Appeal Meeting)

(See Appendix Ten – Guide for Managers: Appeal Process)

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3 More information

For more information please contact the Internal Shared Service on shared.services@havering.gov.uk or ext. 3333.

4 Policy ownership and effective dates

Policy owner: ISS – Operational HR TeamApproving body: CMTDate approved: January 2013Effective date: March 2013Review date: March 2014, or as required by changes in

legislationVersion: 1

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Section Three: Supporting documents (and template letters)

Supporting Documents

Appendix One Guide for Employees: Reporting Sickness Absence Appendix Two Guide for Managers: Reasonable Adjustments Appendix Three Guide for Managers: Returning to Work Appendix Four Guide for Managers: Informal Sickness Absence Meetings Appendix Five Guide for Managers: Case Conferences Appendix Six Guide for Managers: Medical Redeployment & Ill Health

Retirement Appendix Seven Guide for Managers: Occupational Health Referrals Appendix Eight Guide for Managers: First & Second Formal Sickness

Absence MeetingsAppendix Nine Guide for Managers: Third Formal Sickness Absence

MeetingAppendix Ten Guide for Managers: Appeal Process

Template Letters

Letter 1 Outcomes from the Informal Sickness Absence Meeting Letter 2 Invitation to a Case Conference Letter 3 Outcome from the Case Conference Letter 4 Invitation to a Case Conference Formal Meeting Letter 5 Outcome from the Case Conference Formal Meeting Letter 6 Invitation to a First Formal Sickness Absence Meeting Letter 7 Formal Notification Letter (Outcome from the First Formal

Sickness Absence Meeting)Letter 8 Invitation to a Second Formal Sickness Absence Meeting Letter 9 Final Notification Letter (Outcome from the Second Formal

Sickness Absence Meeting)Letter 10 Invitation to a Third Formal Sickness Absence Meeting Letter 11 Outcome from the Third Formal Sickness Absence Meeting Letter 12 Invitation to an Appeal Meeting Letter 13 Outcome from the Appeal Meeting

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