HRPOL31 Attendance Management Policy and Procedure V5 by Provide Community

Attendance Management Policy and Procedure

Version: V5

Ratified by: People and Culture Steering Group

Date ratified: 14/06/2023

Job Title of author: Human Resources Business Partner

Reviewed by Committee or Expert Group Staff Partnership Forum and Policy subgroup committee

Equality Impact Assessed by: Head of People Partnering

1. Introduction

1.1

1.2

Provide aims to deliver high quality and safe services and it recognises that this commitment to quality and safety must be reflected in the work and conduct of all its employees.

Provide is committed to working jointly with the trade unions to maintain the health, safety and welfare of all its employees and through its policies and practices, to promote and encourage regular attendance.

1.3 The aim of this policy is to set out procedures for reporting sickness absence and to encourage employees to have regular attendance at work that is managed in a fair and consistent way. Provide believes that full attendance, where possible, is an important factor in ensuring that Provide can provide good quality and efficiently run services providing value for money to its customers.

1.4 Provide is an equal opportunities employer and positively encourages applications from suitably qualified and eligible candidates regardless of sex, race, disability, age, sexual orientation, gender reassignment, religion or belief, marital status, or pregnancy and maternity status. Provide is committed to treating each case on its merits and making reasonable adjustments, where necessary.

2. Scope

2.1 This procedure applies to all colleagues working for Provide Community. It excludes employees who are within their probationary period of service (refer to the Probationary Procedure).

3. Disabilities

3.1 We are aware that sickness absence may result from a disability. At each stage of the procedure, particular consideration will be given to whether there are reasonable adjustments that could be made to the requirements of a job or other aspects of working arrangements that will provide support at work and/or assist a return to work.

3.2 If an employee considers that they are affected by a disability or any medical condition which may affect their ability to undertake their work, they should inform their line manager. This should be done if known when commencing employment, or during the course of employment when a disability/health condition is diagnosed

3.3 Any information an employee provides will be handled in a confidential manner and in accordance with our Data Protection Policy.

4. KeyPrinciples

4.1 Provide has a duty of care to ensure the health & safety of employees and recognises that in addition to formal policies and procedures, there are other measures that can be taken to help reduce the levels of absence and to contribute to the health and well-being of employees.

These fall into four key areas:

• Promoting a healthy environment and healthy living, including assisting employees to identify stressors and manage the causes of absence.

• Promoting a culture that encourages attendance.

• Monitoring, measuring and understanding information about absence.

• Managing sickness absence appropriately when it happens.

5. KeyResponsibilities

5.1

5.2

Employees

Employees are expected to: -

• Act in accordance with this Policy and associated processes and procedures and as agreed with their manager/supervisor.

• Follow all notification and certification procedures.

• Make sure they clearly communicate with their manager regarding the reasons for being away from work.

• Maintain regular contact with their managers whilst absent from work as agreed with their manager, including be contactable whilst off sick and to respond to communications from the manager within the guidelines of the policy

• Participate in Return to Work meetings and any Occupational Health consultations. Attend review meetings with management when discussing periods of absence, when planning to return to work and/or when discussing reasonable adjustments or alternative employment.

• If on long term sick, an employee should still attend meetings to discuss their absence / Occupational health appointments where possible

• Ensure that their behaviour during a period of sickness absence is not inconsistent with the reason for absence or detrimental to their recovery. If such behaviour occurs, the manager/supervisor will bring it to the attention of the employee and, if appropriate action may be taken in accordance with the disciplinary policy and procedure.

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

Managers

Managers are responsible for managing absence levels within their own function ensuring that employees who are absent from work are treated in a sensitive, fair and consistent manner. Managers have a responsibility to: -

5.3

• Ensure they are familiar with the Attendance Management Policy, associated processes and procedures and their obligations in relation to the management of the policy.

• Ensure that any offer of employment is made subject to Occupational Health (OH) clearance and that any recommendations made by OH are implemented.

• Ensure that confidentiality is maintained in relation to information about sickness absence.

• Ensure employees are aware of the Attendance Management Policy & and its associated processes and procedures and their responsibilities in relation to sickness absence upon commencement of employment.

• Ensure that, for employees who have a disability, reasonable adjustments are made in line with the Equalities Act 2010 where appropriate to support & improve attendance at work.

• Manage sickness absence consistently across their areas of responsibility.

• Ensure sickness absence is reported fully & accurately and that sickness data is complete & correct.

• Regularly monitor their employees’ attendance and absence levels, utilising the management information available to them.

• Undertake Return to Work (RTW) meetings with all employees upon their return from a period of sickness absence, irrespective of the length of the absence.

• Nominate a deputy for employees reporting absence during periods of annual leave, being out of the office or non-working time and communicate this with employees affected.

• Address any issues in a timely manner when managing sickness absence at work, balancing the needs of the individual with the service requirements.

• In agreement with the employee, a manager/supervisor refer an employee to occupational health.

• Identify early warning signs at work that might prevent sickness (i.e. stress at work, incidents at work etc.).

• Attend any Provide training provided on policy updates.

• To seek advice from Human Resources where necessary and act on it as appropriate.

Senior Leadership Team

All Directors are responsible for identifying and ensuring the development of documents relevant to their area of responsibility. The Group Chief People Officer is accountable to the Group Chief Executive and the Provide Board for ensuring this policy is implemented and associated documents become active documents within Provide.

Directors will ensure that this policy is appropriately consulted upon and that all resource implications are highlighted, and funding identified. They will ensure that their Senior Managers are informed of progress.

5.4

5.5

Group Chief Executive

The Group Chief Executive Officer has overall responsibility for the strategic and operational management of Provide which includes ensuring that this policy & associated documents comply with all legal and statutory requirements.

The Provide Board

The Provide Board is responsible for setting the strategic context in which organisational documents are developed, and for ensuring the formal review and approval of documents takes place.

6. Procedure/Implementation

6.1 The procedures described in this document will be followed when an employee is unable to attend work due to sickness and/or ill-health. It covers short term, intermittent and long-term absence.

6.2 The aim of this policy is to encourage employees to have regular attendance at work and to assist managers to maintain acceptable levels of sickness absence in their teams in a fair and consistent way.

6.3 Any proven abuse of the scheme will be dealt with under the Disciplinary Policy and, in some cases could also result in pay being withheld, withdrawn or recovered. Any suspicions of fraud will be reported to the Counter Fraud team for criminal investigation, which may lead to criminal and/or disciplinary action.

6.4 Under the Equalities Act 2010, there is a legal obligation on employers to make reasonable adjustments to premises or working arrangements, etc. to facilitate access to work for anyone with a disability and to enable an employee who is diagnosed with a disability during the course of his/her employment to remain in work. Please see separate guidance - Managers Guide to Managing Attendance for further details

6.5 Special consideration needs to be given to absences related to a disability, pregnancy or long-term condition, cancer e.g. Please refer to the People Partnering Team for further advice and guidance.

6.6 Line managers are responsible for monitoring and controlling absence within their teams and must always tackle sickness absence where it occurs in their teams, fairly and consistently, using this policy and associated procedures and guidance. The People Partnering Team are to provide guidance and support to managers at any stage of the procedure.

6.7 Provide is committed to maintaining an overall sickness absence of less than 8 calendar days lost per full time equivalent employee, per year.

6 8 The opinion/advice of Occupational Health should be sought whenever appropriate. An up-to-date medical opinion must be obtained before any decision is made to alter employees’ terms and conditions of employment or dismiss an employee on the grounds of ill health.

6 9 The following rules will apply when an employee experiences both short and long-term sickness absence: -

• Where an employee experiences a mix of both long and short-term sickness absence, Provide reserves the right to commence formal management of absence if it is preventing an acceptable level of absence from being achieved, even if a formal trigger has not been reached.

• If an absence is initially managed under the short-term absence procedure and the employee reaches 4 weeks continuous absence or more, this will then be classified as long-term sickness absence and management will move to the formal long-term sickness absence process outlined this within policy and associated procedures.

• Where an employee has returned to work from absence managed under the long-term sickness process and further persistent, short-term and intermittent absence arises within the specified review period, the employee’s absence will be managed in line with the same formal stage of the sickness procedure, which they reached during the long-term process, and will transfer to the equivalent stage of the short-term absence procedure and associated triggers will then apply.

6.10 Should an employee’s sickness absence deteriorate within a 12-month period following the end of a formal monitoring period, Provide reserves the right to proceed to the stage at which the previous period of formal monitoring ceased, bypassing the informal stage, and or stages 1 and 2 (whichever is most appropriate under the circumstances). Advice should always be sought from the People Partnering Team in such cases before proceeding.

6.11 For absence identified as being due to stress (or other similar mental health reasons, including anxiety), a referral to Occupational Health should be undertaken, as soon as is practicable by the line manager. The line manager should also contact the employee at the first available opportunity either by phone or by meeting them, if agreed, to discuss the cause(s) of the stress and to seek any measures that can facilitate a return to work. A stress risk assessment should also be conducted in line with the process outlined in Provide’s Psychological Wellbeing of Staff policy.

6.12 Sick Pay Entitlement

Employees should refer to their terms and conditions of employment for their sick pay entitlements.

6.13

Reporting Absence

An employee who is absent from work due to sickness must personally notify their line manager by telephone, in accordance with the local department procedure.

Periods of sickness absence of less than seven calendar days (excluding bank holidays) must be reported using the Self Certificate Form (available on the Community Platform) and also see Appendix D

For periods of sickness of more than seven calendar days a medical certificate is required. All original certificates must be sent to their manager as soon as possible.

6.14 Unauthorised Absence

If an employee does not attend for work and does not report their absence to their line manager, it is the line manager’s responsibility to contact their employee. This initial contact should be by telephone or by letter. If there are exceptional circumstances and serious concern for the wellbeing of the employee, a visit in person may be necessary. The line manager should bear in mind personal/domestic situations and should be particularly anxious to contact those who live alone or who are known to have difficult circumstances. If the line manager is unable to contact the employee the People Partnering team should be advised.

If the employee returns from an unauthorised absence, an investigatory interview should be carried out by the line manager to establish the reason for absence. The employee may have a justifiable reason for being off without notifying their line manager and managers should take any mitigating circumstances into account when dealing with such situations. In some cases where there is no justifiable reason for the absence(s), the situation may be treated as misconduct and in cases where the unexplained absence(s) is prolonged or persistent; this may result in dismissal in line with Provides Disciplinary Policy.

Provide reserves the right to withhold/claim back pay where there is no justifiable reason and no mitigating circumstances for unauthorised absence from work.

6.15 Administration

It is the responsibility of the line manager to ensure that all absences are notified to Provide’s payroll providers This should be done either by completing a P3 form or by recording the absence on the E-Roster system, including recording an accurate reason for the absence.

Managers must ensure the absence period is closed, either by recording such on ERoster or by sending a P3 form when an employee returns to work. This part of the process is critical because accurate, timely absence information is essential for Provide to monitor & manage its absence levels and also reduces the risk of overpayment, or an employee being incorrectly paid.

Where absence is related to pregnancy, this will be ringfenced for absence trigger purposes.

Absence related to a contagious disease or workplace injury may be ringfenced for trigger purposes as set as part of the informal and formal stages of the absence procedure. In the case of absence relating to disability, reasonable adjustments may include reviewing absence triggers.

Employees with long term debilitating conditions or cancer will be managed on a case by case basis. Managers should seek advice from the People Partnering Team in these instances before taking further action.

Please note that diarrhoea and vomiting (D&V) is not in itself a notifiable disease. However, some notifiable diseases will have symptoms of D&V such as salmonella and dysentery. Recurrent episodes of diarrhoea may result in a confirmed diagnosis being gained and Occupational Health should be contacted to provide further advice.

In the case of an absence being due to an accident at work, in certain circumstances there is a legal requirement that such an absence is reported to the Health and Safety Executive. Employees should advise their line manager of any accidents in the workplace, and these should be recorded on the appropriate IT System e.g. DATIX.

An absent employee should not undertake any work, paid or otherwise during their absence unless they have discussed this with their manager and obtained Occupational Health advice as appropriate, either for Provide or for any other employer (including as a self-employed worker).

If work is recommended as part of the phased return, then attempts will be made to identify suitable duties for the employee.

6.16 Return to Work (RTW)

Any employee who has been absent due to sickness, even if only for half a day, should be contacted and where possible interviewed by his/her line manager (or delegated representative, where the line manager is not on duty), preferably on the first day back at work (and in any event within a period of not more than 5 days after their return).

At the return to work meeting the absence dates and reason for absence will be discussed and if the employee has reached the trigger point (see Appendix A) this will be recorded as an informal review meeting. The RTW and Informal Stage Meeting Form (available via the Community Platform) should be used and must be signed by both manager and employee.

Once completed, an electronic copy of the RTW and Informal Stage Meeting Form should be forwarded to the HR Department to be kept on the employee’s file.

Please note that the RTW form and E-Roster system must be completed correctly with the same absence dates; the date the sickness started and the date the period of unavailability to work finished, thus avoiding the extension of the absence over a longer period of time.

For example, if an employee works a three-day week, Monday to Wednesday and reports unwell on Monday then the employee would then need to inform the manager when the sickness ended. If this is on the Thursday, then this would be recorded as being closed on the Thursday (resulting in 3 days absence being recorded). If the next date the employee would be well enough to work is the following Monday, then this should be recorded as 7 days

6.17 Annual Leave

If a colleague is unwell or is injured before or during a period of annual leave, Provide may allow you to record this as sickness absence and use your annual leave at an agreed alternative date as long as you fulfil the requirements of the absence reporting procedure outlined within this policy and submit the appropriate certification

An employee on long term sick leave will accrue statutory annual leave and be able to carry over annual leave which they have not taken as a result of being on sick leave. Annual leave accrued during long term sickness absence may be used to support a phased return to work at the manager’s discretion.

Full details of sickness absence and annual leave can be found in the Annual Leave Policy.

6.18 Phased Returns

Upon returning from a period of absence it may be necessary for the employee to return on a phased return. A phased return will support an individual to have a gradual return to duties and hours over a set period This provides a valuable period of readjustment enabling the individual to get back to work duties and routine whilst maintaining their recovery.

A phased return will usually be deciphered by occupational health and/or via a fit note from a GP confirming an employee is ready to return to work. The duration and hours worked during a phased return will differ and be dependent on factors such as length of time absent from work and the reason for the absence etc.

6.19 Redeployment

Potential redeployment options may be explored by Provide during a formal short term or long-term sickness absence process where a manager receives confirmation following a medical assessment that an employee will not be able to carry out their current role for the foreseeable future and that redeployment should be considered, or there is an agreement between the employee and line manager that redeployment may be a beneficial reasonable adjustment to the employee’s employment contract. Any redeployment should be considered, in conjunction with the HR Department and the following steps should be followed: -

▪ A meeting should be arranged with the individual, the line manager and a member of the HR Department. The employee will also be entitled to be accompanied by a trade union representative or colleague.

▪ The medical capability of the individual should be discussed and their suitability to continue in their current role

▪ Suitable posts within Provide should be considered based on the individual’s capabilities

▪ If an alternative role is identified an assessment and advice from OH should be sought to ensure the suitability of the alternative role

If an employee is placed in a suitable alternative post, it will be subject to a trial period of at least 4 weeks to a maximum of 3 months, dependant on the circumstances of each case. Review meetings should be held on a regular basis to monitor the trial period.

If the trial period is successful in terms of attendance and performance, the employee will be formally redeployed to the new post.

If the trial period is unsuccessful the employee will return to their substantive post and continue to be managed in line with the Attendance Management Procedure at the stage they were at immediately prior to the trial. Reasonable adjustments including suitable alternative employment will continue to be explored in line with the policy for a further 4 week period.

Only a maximum of two redeployments or two trial periods will be considered before Provide consider moving to dismissal on the grounds of ill health capability.

6.20 Contagious Disease

If an employee is unable to attend work due to having a contagious disease; including but not exclusively one of the following: -

• Chicken pox

• Diphtheria

• Rubella

• Mumps

• Scarlet fever

• Whooping cough

If the absence is covered by a GP certificate, then the absence will not be taken into account when determining triggers for absence management reviews as outlined in Appendix A of this policy, although it will be recorded on the employee’s absence record. In cases of contagious disease, the absence must be reported on the P6 form as an “infection” or on E-Roster as an “infectious disease” on a separate code.

Absences for those employees working in an environment which necessitates them remaining off work when they have or have recently had an infection such as diarrhoea & vomiting (e.g. employees working in roles with direct patient contact are excluded from work if they have suffered diarrhoea & vomiting, until they have been asymptomatic for 48 hours) will be recorded in the normal way but the 48 hours period will be discounted for trigger purposes. However, in this situation employees and managers should discuss whether work can be completed at home or in another location to avoid the time being recorded as sickness absence.

Please note that diarrhoea and vomiting (D&V) is not in itself a notifiable disease. However, some notifiable diseases will have symptoms of D&V such as salmonella and dysentery. Recurrent episodes of diarrhoea will result in a confirmed diagnosis being required and Occupational Health should be contacted to provide further advice.

6.21 Hospital/Medical Appointments

Wherever possible hospital, medical and dental appointments should be arranged to ensure the least disruption to the service e.g. non-working days, the start or end of a shift, or during a scheduled break. Appointments within working hours require management approval for the planned absence. Normally time off for such absences must be made up at alternative time as per agreed between the manager and employee unless covered by a statutory entitlement.

It is recognised that employees with a disability may need time off in relation to their disability and guidance should be obtained from Occupational Health in relation to each employee case. Advice from Occupational Health may indicate that a certain number of medical appointments which the employee may require in connection with their disability could be deemed a reasonable adjustment under the Equality Act 2010.

If the hospital appointment is part of a long-term health issue, then the employee should discuss the matter with their line manager to determine whether the time will be classified as sick leave, or whether annual leave, flexi-time or other working arrangements could be used or whether the hours need to be made up.

Where an employee has to leave work to attend an emergency appointment with a doctor or dentist and is absent for the majority of a shift, this will usually be recorded as a period of sickness absence.

6.22 Confidentiality

As with other employee details, the attendance record and any information relating to health matters are confidential. Under the ‘Access to Medical Reports Act’ and ‘Data Protection’ legislation, employees have a right to see medical reports and records held relating to their attendance.

6.23 Representation

An employee is entitled to be accompanied by a trade union representative or a work colleague at meetings held under the formal stages of this procedure.

7. MonitoringandReview

7.1 This policy will be reviewed at least every 3 years in line with the Policy for the Management of Procedural Documents, or more frequently in line with any requirements relating from legislative changes.

7.2 Review will be undertaken by a member of the People Partnering Team and monitoring will be conducted in respect of policy outcomes. The need for improvement or clarification may be identified as lessons learnt, through using the process and where appropriate amendments will be made.

Appendix A: PROCEDURE FOR MANAGING PERSISTENT,

SHORTTERM&INTERIMITTENTABSENCE

1. INTRODUCTION

1.1 In essence, the procedure consists of 4 stages -

1. Informal Review

2. Formal Review (Stage 1)

3. Formal Review (Stage 2)

4. Formal Review (Stage 3 - Referral to Senior Management)

1.2 The above procedure should be initiated when an employee reaches one of the following possible triggers: –

• 10 calendar days absence in any rolling 12-month period OR

• 4 occasions of absence in any rolling 12-month period OR

• A repeated pattern of absence which is causing concern (i.e., patterns of absence on specific days of the week (Monday/Friday) or directly before or after a period of annual leave etc.)

1.3 These triggers include both medically certified and self-certified absences.

2. INFORMAL REVIEW

2.1 If an employee reaches a trigger, the line manager must then, as a matter of priority: -

• Undertake a return to work conversation, confirming that the meeting forms the Informal Review stage of Provide’s Attendance Management Policy.

• Refer the employee to Occupational Health.

Where the employee is unwell as a result of Stress related symptoms or has been injured as a result of a work related incident, the manager will also need to conduct a stress (or other) risk assessment.

During the Return to Work / Informal Review conversation, the manager should: -

• Discuss the level of absence, the reasons for absence, any patterns of absence or if there are any underlying health concerns, the standards of attendance expected, and how the procedure operates.

• Take reasonable steps to alleviate any problems which may be contributing to the absence (e.g. perhaps temporarily vary working arrangements).

• Discuss steps the employee has taken to support recovery and challenge any behaviour which may be detrimental to recovery.

• Explain to the employee that his/her attendance will be monitored and for a period of 3 months and a meeting will be held at the end of the review period.

• Explain that should the employee have any further absence during the 3-month review period, they will move to Stage 1 – Formal Review and a further meeting will be arranged.

• A copy of the RTW form should be signed by the employee and the manager. The manager will give a copy of the form to the employee, and send an electronic copy to the HR Department to record on the employee’s file

• Please note that the review period commences on the day following the employees return to work and not the day of the review meeting.

• Continue to monitor absence, including meeting to review every 3 months for the next 12 months, if appropriate.

2.2 If the employee concerned is absent during the 3-month review period, the manager does not need to wait until this period has expired to meet with the employee but should arrange a Formal Review (Stage 1) meeting to discuss the ongoing levels of poor attendance.

2.3 If the employee has no absence during the initial 3-month monitoring period, the manager will hold a further informal review meeting. At this meeting the employee will be set a target of no more than 7 days or 3 occasions of absence for the following 9 months. If the employee exceeds this target the employee will move to a Stage 1 – Formal Review and a meeting will be arranged. If the employee does not exceed the target set during the monitoring period, an informal meeting will be held to confirm the end of the monitoring period under the Attendance Management Policy.

2.4 In some exceptional circumstances, for example, where a pattern of absence has emerged (e.g. regular Mondays/Fridays, day before or after annual leave), the manager can move immediately to the next stage of the procedure and does not have to revert back to the Informal Review.

3. FORMAL REVIEW (STAGE 1)

3.1 A Stage 1 meeting will be held if following the Informal Review, an employee exceeds the set targets (or they fall under the requirements as set out in point 1.2 of this procedure above). Prior to this meeting, (if not already done so) an Occupational Health referral should be made, the report of which can be reviewed at the meeting.

3.2 A letter inviting the employee to the meeting must be sent which will give them 14 Calendar days (excluding bank holidays) notice of the meeting. The employee also has the right to be accompanied at the meeting by their trade union representative or a work colleague and a copy of their absence record should be enclosed with the letter. A HR representative may also attend, but it is not mandatory at a Formal Review (Stage 1) meeting. It is, advised, however, that managers are accompanied, either by a deputy, a supervisor, another manager etc ) to all meetings once formal stages have been met and that a record of the meeting is made.

3.3 Managers may seek advice from the HR Department before the meeting, and the following matters should be discussed at the meeting: -

• A recap of discussions at the Informal Review stage

• Number of days, occasions and reasons for absence, including any patterns

• A review and discussion of any updated Occupational Health findings and advice

• If the employee has a disability or long-term medical condition, it is important that support and/or reasonable adjustments needed are discussed and agreed.

• Whether appropriate support been given to assist the employee to sustain full attendance, including exploration of flexibility in working arrangements

• Whether all potential work-related reasons for continuing absence been addressed as far as reasonably possible

• The steps the employee has taken to support recovery and challenge any behaviour which may be detrimental to recovery

• Any relevant risk assessments.

• The effect of absence on the service and the rest of the team (morale, workload, temporary cover etc.) and ideas around how to cover the employee if future absence is anticipated

• The employee’s own views about support or assistance etc. that can be given to enable them to ensure the necessary improvement to their attendance.

• Exploration of whether job redesign or redeployment is appropriate.

• The employee’s previous attendance record should be acknowledged

• An action plan to improve attendance.

3.4 The stages of the procedure should be explained, ensuring the employee is aware of the possible consequences if regular attendance cannot be sustained. Depending on the reasons for the sickness absence these consequences may include retraining, redeployment or dismissal if the employee is incapable for health reasons of effectively carrying out the duties required of them under their contract of employment.

3.5 At the meeting, a review date should be agreed. This will be 3 months from the date of the first meeting of a formal stage and will serve as an initial monitoring period.

3.6 The manager must write to the employee confirming the absence dates being considered, and setting out the details discussed, including the length of the monitoring period, within 7 Calendar days (excluding bank holidays) of the meeting.

3.7 If the employee has no absence in the initial 3 month monitoring period, the manager will hold a review meeting with them. At this meeting they will be set the target of no more than 7 days or 3 occasions of absence for the following 9 months.

3.8 If the employee does not exceed the target set, or has no more sickness for the 9 months during the second monitoring period, they will no longer be considered under review of the Attendance Management Policy.

3.9 If the employee has had any further days of absence during the initial 3 month review period instigated at Formal Review (Stage 1), or has not met the standard of no more than 3 occasions or 7 days absence in the 9 month period after the 3 month review, then a Formal Review (Stage 2) meeting should be arranged as soon as the target is exceeded and a further Occupational Health referral made.

4. FORMAL REVIEW (STAGE 2)

4.1 This stage should follow the same process as the previous stage and the points raised at Formal Review (Stage 1) should be repeated. However, due to the progression to a stage 2 review some additional matters must now be considered: -

• Job redesign - restructuring a job by adding, changing or eliminating certain tasks or functions. Where an employee is no longer able to continue to carry out the full range of duties of their role, Occupational Health can offer advice as to what specific duties are possible when reviewing tasks and responsibilities and decisions taken on whether these adjustments are reasonable.

• Change in working arrangements – Adjustment of working hours or work pattern or change to work location or environment or to reporting lines.

• Redeployment - where an employee is no longer able to continue to carry out the full range of duties of their role. Occupational Health can offer advice as to the suitability of alternative posts etc.

4.2 In the unlikely event that the employee has not been referred to Occupational Health, a referral must be made as soon as it is evident that the employee's attendance has not met the required standard and that Formal Review at Stage 2 will need to be instigated. It will be necessary to obtain an up-to-date report where one has already been obtained earlier.

4.3 The same time scales should be set out to monitor improvement as described in Formal Review (Stage 1), although it is important to explain to the employee that any more sickness absence in the next 3 months, or failure to meet the required standard within the subsequent 9 months, could result in matters progressing to a Formal Review (Stage 3) at which dismissal is an option. This must also be confirmed in writing to the employee within 7 Calendar days (excluding bank holidays) of the meeting.

4.4 If the employee has had any further days of absence during the initial 3 month review period instigated at Formal Review (Stage 2), or has not met the standard of no more than 3 occasions or 7 days absence in the 9 month period after the 3 month review, then a Formal Review (Stage 3) meeting should be arranged as soon as the target is exceeded and a further Occupational Health referral made.

4.5 If the employee does not exceed the target set, or has no more sickness for the 9 months during the second monitoring period, they will no longer be considered under review of the Attendance Management Policy.

5. FORMAL REVIEW (STAGE 3 – REFERRAL TO SENIOR MANAGEMENT)

5.1 Where the employee has been unable to make, or sustain, an improvement to their attendance record, the manager will compile a management report, detailing all relevant information relating to the absence. This management report will be submitted to the Assistant Director or Head of Service responsible for the area the employee is employed in, or other senior manager formally nominated by an Executive Director.

5.2 Should the Assistant Director, or other senior manager, agree that a formal review meeting should be convened, they will invite the employee concerned to a Stage 3 Formal Review meeting, giving sufficient written notification of the meeting (not less than 14 Calendar days (excluding bank holidays)). The employee will be advised of their entitlement to be accompanied by a trade union representative or work colleague and a copy of the management report, including their sickness record, will be enclosed with the letter.

5.3 The Assistant Director, or other senior manager, will chair the meeting, and will form a panel. The panel will comprise of a member of the Human Resources department, and may include (an) other manager(s) as appointed at the discretion of the Chair of the Panel.

5.4 If dismissal, redeployment, loss of grade and/or loss of status is an outcome available to the panel, this must be stated in the letter inviting the employee to attend. Employees may come forward at the meeting with other options such as stepping down, part-time working, etc.

5.5 At the meeting the management report and any relevant information (e.g. letters to employee and Occupational Health reports) will be discussed with the employee to enable the Chair of the Panel to make an informed decision.

5.6 The Chair of the Panel must adjourn the meeting to fully consider whether all reasonable options to assist the employee to sustain regular attendance have been explored without success.

5.7 The chair of the panel will decide whether in the circumstances it is reasonable to give notice to the employee to terminate the contract of employment on the grounds of medical incapability i.e. that the employee is incapable of satisfactorily undertaking the duties required of them for health reasons, or has proven unable, or is deemed to be unlikely, to maintain a regular and reasonable level of attendance.

5.8 The outcome of the hearing must be confirmed in writing within 7 Calendar days (excluding bank holidays) and, if dismissal is an outcome, the letter must include the date on which employment will end and the right of appeal to an Executive Director or Head of HR. The letter should be sent by recorded delivery. The employee may appeal within 14 Calendar days (excluding bank holidays) of receiving the letter confirming the decision.

5.9 Any period of notice will be in accordance with the statutory minimum or as specified in the employee’s contract of employment, whichever is the greater and will be on full pay, less any statutory benefits payable.

5.10 Where applicable the Chair of the Panel will review any decision to terminate the contract of employment in the light of any fresh medical evidence, which becomes available before the end of the notice period, or in the course of an internal appeal against the dismissal, though this does not have to be at a formally reconvened hearing.

5.12 Where an employee is redeployed, has loss of status or reduction in grading, their absence will continue to be monitored following the principles of the Stage 2 process. If the individual exceeds the targets set out under Stage 2 the manager will move to the procedure for a formal stage 3 meeting where dismissal may be an outcome.

Appendix B: PROCEDURE FOR MANAGING LONG TERM SICKNESSABSENCE

1. INTRODUCTION

1.1 Provide recognise that the nature of long-term absence may be particularly sensitive, for example where an employee is terminally ill. Managers must take into account the individual circumstances when managing absence of this nature. Advice will be available from HR at all stages of the process, if required.

1.2 In essence, the procedure consists of 4 stages: -

1. Informal Review

2. Formal Review (Stage 1)

3. Formal Review (Stage 2)

4. Formal Review (Stage 3 – Referral to Senior Management)

1.3 This procedure should be initiated when any one occasion of absence extends beyond 4 weeks (28 calendar days) At this point (if not already done so) the individual should be referred to Occupational Health.

1 4 In addition for any absences identified as being due to stress, anxiety or other absences of a similar nature, the manager should have a discussion with the employee to understand the causes (in particular if they are work related) and to seek any measures that can facilitate an immediate or early return to work. A stress risk assessment should also be completed at the earliest opportunity and reviewed on a regular basis. Where stress is perceived to have been caused by the actions of the manager it may be appropriate for another manager/senior manager to carry out this assessment.

1 5 In the instance of musculoskeletal injuries as well as an Occupational Health referral the manager should also seek guidance from Provide’s Health & Safety Team to support a review of the individual’s workstation etc.

1.6 Where long-term sickness absence interlinks with short-term sickness absence, monitoring and review periods can be established upon return to work in line with the principles set out in point 6.10 of the Attendance Management Policy.

2. INFORMAL REVIEW

2.1 In any case of long-term absence, managers should keep in touch with the employee on a frequent basis, throughout their absence from work. The frequency of contact may vary depending on the nature of the illness and should be agreed with the employee. The suggested schedule is weekly via telephone on a specific day. The manager must keep a log of these calls and note any changes reported in the employee’s condition. Alternatively, a meeting may be arranged periodically in the workplace.

2.2 During conversations held at Informal Review, whether by telephone or face to face, managers should discuss: -

• when the employee is likely to be able to return to work;

• whether their condition is likely to affect their ability to do their job in the long term;

• any reasonable measures that could be suggested to allow an early return and enable them to sustain their attendance at work;

• the employee may wish to discuss whether they meet the criteria for early retirement on the grounds of ill-health.

2.3 This contact may sometimes, by agreement, involve a home visit or in exceptional circumstances a hospital visit.

2.4 Where it is not possible to communicate with the employee e.g. due to hospitalisation, the manager should make appropriate arrangements for contact with their nominated next of kin/family contact.

3. FORMAL REVIEW (STAGE 1)

It is expected that this review meeting will take place around the sixth week of absence. If the employee has not been able to give an indication of their return to work date at this time.

3.1 A Formal Review (Stage 1) meeting will be arranged if a return to work date cannot be agreed during the period of informal review. A letter inviting the employee to the meeting must be sent which will give them 14 Calendar days’ notice (excluding bank holidays) of the meeting. The employee should also be informed that they are entitled to be accompanied at the meeting by their trade union representative or a work colleague. An HR representative may also attend, but is not mandatory at a Formal Review (Stage 1) meeting. It is, advised, however, that managers are accompanied, either by a deputy, a supervisor, another manager etc) to all meetings once formal stages have been met and that a record of the meeting is made.

3.2 Prior to this meeting, an Occupational Health referral should be made (if not already don’t so), the report of which should be reviewed at the meeting as well as measures that might facilitate a return to work, e.g. phased return to work, redeployment, reduced duties whilst awaiting tests etc. Advice should be sought from the HR Department on this.

3.3 If the advice from Occupational Health is that there is no reasonable prospect of a return to work within the foreseeable future the manager should consider whether it is reasonable to allow a further period for recovery and how long this should be. This will depend on the circumstances of each case but as a guide if there is no prospect of the employee returning within the next 6 months the manager may wish to refer the case to an Assistant Director, or Head of Service, and progress to a Formal Review Stage 3 meeting. When making this decision it is acceptable to consider factors such as the employee’s length of service and previous attendance record.

3.4 Where the manager decides a recovery period is reasonable, a target date for return to work should be set by the manager taking into account the advice from Occupational Health and any other medical professional (i.e. GP, hospital consultant etc.). The employee must be advised of the consequences if they are unable to return by that date; i.e. that a Formal Review (Stage 2) meeting would be held and possible outcomes may include reduction in hours, redeployment or dismissal on the grounds of incapability due to ill health.

3.5 If the Occupational Health Advice is that the employee is able to return to work, the Return to Work interview can be conducted. At this meeting the manager mustreview the employees’ absence history and agree attendance targets(see 4.6), clarifying the consequence of further absence and which stage of the policy any further absence would be considered under.

3.6 If a return to work occurs, a review date should be agreed. This will be 3 months from the date of the Formal Review (Stage 1) meeting and will serve as an initial monitoring period. If the employee has no absence in the initial 3-month monitoring period, the manager will hold a review meeting with them. At this meeting they will be set the target of no more than 7 days/3 occasions of absence for the following 9 months.

3.7 If during the period of monitoring the employee exceeds the targets set the manager will move to the next stage of the formal process under short term or long-term sickness absence dependent on the length and pattern of sickness absence as detailed under (6.10) of the policy.

3.8 If the employee does not exceed targets set an informal meeting will be held to confirm the end of monitoring under the Long-Term Sickness Absence Procedure.

4. FORMAL REVIEW (STAGE 2)

It is expected that this review meeting will take place around the twelfth week of absence.

4.1 If it becomes apparent that the employee is unlikely to return on a targeted return to work date, Occupational Health advice changes or the employee does not return on a previously agreed return to work date then a Formal Review (Stage 2) meeting will be arranged This should be run along the principles of the Stage 1 meeting above.

4.2 The meeting should review the advice from Occupational Health and explore whether any reasonable adjustments could be made to the employees’ job or work environment to enable them to return. Where Occupational Health has confirmed the employee has a disability it is a requirement under the Equality Act 2010 to consider this and any reasonable adjustments that may be required to facilitate a return to work. Reasonable adjustments may include a change of work base, a change of work pattern or working hours, provision of specialist equipment, moving to the same job in a different team or seeking redeployment. When deciding what is reasonable the manager must balance the needs of the employee with the needs of the service.

4.3 If the Occupational Health advice suggests that the employee should be able to return in the near future following a slightly extended recovery (usually up to around 3 months), the manager may wish to set a new target date for return. If the employee fails to return by this new target date a Formal Review (Stage 3) meeting will be arranged.

4.4 If the updated advice from Occupational Health is that there is no reasonable prospect of a return to work within the foreseeable future, the manager should consider whether it is reasonable to allow a further period for recovery and how long this should be. When making this decision it is acceptable to take into account the length of time the employee has already been absent from work.

4.5 If it is apparent that a return to work is not possible within the foreseeable future, it is not reasonable in the circumstances to wait any longer for the employee to recover, and all options to facilitate a return to work have been explored, then a Formal Review (Stage 3) meeting should be arranged and a further Occupational Health referral made.

Permanent Incapacity

4.6 In cases where the Occupational Health Physician advises that an employee is permanently incapable of undertaking the duties of their substantive post, or any broadly comparable employment Provide is able to offer, it will be necessary to consider whether to terminate their employment on the grounds of capability due to ill-health. Where Occupational Health make this recommendation, they may also support eligible Local Government or NHS Pension Scheme Members to apply for an Ill Health Retirement pension, if they wish to do so. Application for ill health retirement is a separate process and not directly linked to the Managing Attendance Procedure.

4.7 Any decision to consider a Capability dismissal in respect of an employee due to ill-health, with or without access to immediate pension benefits, must be discussed fully with the employee concerned at Formal Review (Stage 2) and all other options must have been considered before holding a Formal Review (Stage 3) meeting to make the decision. (i.e. it must not be assumed that dismissal is inevitable in such circumstances).

4.8 There is a requirement placed on employers to take all reasonable steps in the workplace to assist an employee who is disabled within the meaning of the Equality Act 2010 to remain in their employment. Consideration must therefore be given to reasonable adjustments or redeployment in such cases before a decision to dismiss can be taken.

4.9 In cases where an employee disagrees with the Occupational Health opinion that he/she is permanently incapable of undertaking the duties of his/her employment or any comparable employment available, the employee has a right to contest the opinion and to obtain an independent medical opinion.

Note: under Pension Regulations: -

• ‘permanently’ means it is more likely than not that the employee is incapable until the normal retirement age,

• ‘comparable employment’ means employment in which, when compared to the member’s employment:

a) the contractual provisions as to capacity either are the same, or differ only to an extent that is reasonable, given the nature of the member’s ill-health or infirmity of mind or body; and

b) the contractual provisions as to place, remuneration, hours of work, holiday entitlement, sickness or injury entitlement and other material terms do not differ substantially from those of the member’s employment.

4.10 Where the Occupational Health Advisor considers that the employee is not permanently incapable, but where a period of long term absence is being considered under the formal stages of the managing long term absence process and there remains no prospect of a return to work, within the reasonably foreseeable future (as a guide between 3 and 6 months), the contract of employment can still be terminated on the grounds of capability as outlined in this.

5 FORMAL REVIEW (STAGE 3 – REFERRAL TO SENIOR MANAGEMENT)

5.1

Once an up to date Occupational Health report is obtained a Stage 3 meeting should be arranged with the employee. The manager will compile a management report, detailing all relevant information relating to the absence. This management report will be submitted to the Assistant Director or Head of Service responsible for the area the employee is employed in, or other senior manager formally nominated by an Executive Director.

5.6 The Chair of the Panel must adjourn the meeting to fully consider whether all reasonable options to assist the employee to sustain regular attendance have been explored without success.

5.7 During their considerations, the Chair of the Panel must take into account the employee’s views and an up-to-date Occupational Health opinion, and if appropriate the advice of other relevant health professionals. They will decide whether in the circumstances it is reasonable to give notice to the employee to terminate the contract of employment on the grounds of capability i.e. that the employee is incapable of satisfactorily undertaking the duties required of them for health reasons, or has proven unable, or is deemed to be unlikely, to maintain a regular and reasonable level of attendance.

5.11 It is not a requirement of the Attendance Management Policy that a person's entitlement to sickness payments must have expired before their employment can be terminated on the grounds of capability due to ill health.

5.12 Where an employee is redeployed, has a loss of status or reduction in grading, their absence will continue to be monitored following the principles of the Stage 2 process. If the individual exceeds the targets set out under Stage 2 the manager will move to the procedure for a formal Stage 3 meeting where dismissal may be an outcome.

Appendix C: ATTENDANCE MANAGEMENT APPEALS PROCEDURE

1.1 Employees have the right to appeal against the outcome of decisions made at Formal Review (Stage 3) of either the managing persistent, short-term and intermittent sickness or long-term sickness absence process.

1.2 The Appeal must be received in writing within 14 Calendar days (excluding bank holidays) of being advised in writing of the outcome of the Stage 3 meeting, and must state the employees’ grounds for appeal.

1.3 The Appeal should be in writing and addressed to the Executive Director specified in the decision letter sent to the employee following a stage 3 meeting, or Head of HR. The Director in consultation with HR will make the necessary arrangements for the appeal to be heard.

1.4 Appeals against dismissal are heard by an Employment Appeal Sub Committee. Appeals against actions other than dismissal are heard by an Appeal Panel.

The Employment Appeal Sub Committee

1.5 The Employment Appeal Sub Committee will consist of:

• a Group Chief Officer to Chair the hearing;

• Director, People Partnering.

Where appropriate, authority to chair the hearing may be delegated.

The Appeal Panel

1.6 The Appeal Panel will consist of at least two officers:

• an Assistant Director or Head of Service, who will act as Chair of the hearing;

• a Human Resources representative

Where appropriate another manager independent from the section or service concerned may also sit on the panel.

Appeal Hearing Arrangements

1.7 The arrangements for appeals are that the employee will be given at least 14 Calendar days (excluding bank holidays) written notice of the appeal hearing which should be heard as soon as possible. This will, normally be, within 28 Calendar days (excluding bank holidays) of the employee receiving the letter confirming the outcome of the Stage 3 meeting.

The letter should include as appropriate: -

a) Date, time and place of the hearing;

b) That the hearing forms part of the Managing Attendance Policy and Procedure;

c) The employee’s right to be accompanied by a Trade Union representative or work colleague (a second copy of the letter should be provided for use by the representative);

d) The names of the Panel members conducting the hearing;

e) Copies of relevant paperwork, including a copy of the Managing Attendance Policy and Procedure;

f) That the employee should confirm their availability to attend at least 5 working days prior to the hearing.

The format of the Appeals hearing will follow the format of the Formal Review (Stage 3) meetings relevant to sickness process being utilised.

1.8 Following adjournment and consideration of all the information, the Chair of the Appeal Panel/Employment Appeal Sub Committee will present the decision. This will normally be given verbally. The decision of the Panel/Sub-Committee should be confirmed in writing by no later than 7 Calendar days (excluding bank holidays) after the end of the hearing, outlining the main issues considered and the decision reached. The employee should be informed that there is no further internal right of appeal. A copy of the outcome letter will be retained on the employees’ personal file.

Appendix D: NOTIFICATION OF

ABSENCE & CONTACT DURING ABSENCE – A GUIDE FOR MANAGERS AND EMPLOYEES

1. The arrangements for notifying sickness absence should be made clear to all employees by their line manager, including that non-compliance may lead to disciplinary action being taken and an absence being deemed as unauthorised, which could lead to sickness pay being withdrawn. Instances of unauthorised working elsewhere whilst on sick leave will be referred to the Counter Fraud team for criminal investigation, as appropriate, in accordance with Provide’s Anti-Crime Policy

2. On their first day of absence, employees must telephone their line manager in line with the local departmental procedure let them know:

1) that they are unable to attend work,

2) the reason for absence

3) when they expect to be able to return and

4) to discuss whether they are able to undertake any work whilst absent.

5) when they will confirm to their manager that they are able to return to work

3. Absence must not be communicated via text message, email or via social media (including direct messages)

4. If unable to return by the date given, the employee must notify the line manager to keep him/her informed.

5. Employees should complete a self-certificate covering all absences of up to and including 7 calendar days and this must normally be submitted by the fourth day if absence extends beyond 3 days. If the employee does not have access to the self-certification form (available via the intranet) they must make arrangements with their line manager for the reasons of absence to be recorded.

7. If the absence continues for more than 7 calendar days, medical certificates from a doctor must be submitted to cover the remaining period of absence. If the employee is unable to deliver the certificate to the manager themselves, they must make alternative arrangements e.g. for a friend or relative to deliver the certificate or send it by recorded delivery post. If certificates are not received promptly the employee’s pay may be affected.

8. A ‘Fitness to Work’ certificate should normally be obtained in those cases where medical certificates or doctor’s statements for two weeks absence or more have been issued. This will not be necessary where the Occupational Health Adviser has advised that the employee is fit to return to work.

9. In exceptional circumstances (for example when there is a persistent pattern of absences for minor ailments) and following discussion with the employee concerned, a manager may require an employee to provide a medical certificate from the first day of absence. Such a requirement should be kept under regular review (not more than 3 month intervals) and removed when no longer appropriate. The cost of such a certificate will be reimbursed by Provide.

10. The line manager should maintain contact with the employee on a frequent basis throughout any period of absence. A contact log noting the dates and times and key points discussed should be maintained by the manager. Home visits may be arranged but only with the prior consent of the employee.

11. Where absence is due to stress (or a stress-related condition, such as anxiety), it is particularly important to establish and maintain frequent contact with the employee (either directly or through a work colleague) to provide support to them and where appropriate to identify and address any underlying workrelated causes, that may be preventing their return to work. Where stress is perceived to have been caused by the actions of the line manager it may be appropriate for another manager to undertake this contact. (see Provide’s Psychological Wellbeing of Staff policy (HRPOL26 for further guidance).

12. The employee needs to be aware that their contract of employment continues during their absence and therefore full co-operation is expected at all times, including full engagement with the process. This will include the employee providing a contact point during their absence and attending, when requested, an appointment with the Occupational Health or other appropriate health practitioner as appropriate.

Failure to Notify - Unauthorised Absence

13. If an employee fails without good cause to follow the notification arrangements e.g. where a medical certificate expires and a new one is not received, the absence should be treated as unauthorised. For all instances of unauthorised absence please refer to Provide’s Absent Without Leave (AWOL) Policy & Procedure (HRPOL51)

Appendix E: EQUALITY IMPACT ASSESSMENT TEMPLATE:

Stage1: ‘Screening’

Name of project/policy/strategy (hereafter referred to as “initiative”):

Attendance Management Policy & Procedure

Provide a brief summary (bullet points) of the aims of the initiative and main activities:

Outlines the policy and procedure for managing absence across the Provide Group.

Project/Policy Manager: Head of People Partnering Date: June 2023

This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.

Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.

Neutral

Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”?

Neutral, HR data is not highlighting that more colleagues from minority/underrepresented groups are having their absence managed, however we will continue to monitor.

Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.

Impact is positive, no further detailed assessment required.

Guidelines: Things to consider

Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.

The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.

Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.

Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.

Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?

It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.

It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.