Sickness Absence Management Policy

1. Statement Of Intent

1.1. The University will monitor all sickness absence and support affected staff on their ill-health issues. Where appropriate the University will explore any means by which the working environment may be altered to reduce the absence.

1.2. The University will provide assistance to enable the affected member of staff to return to full health and be capable of returning to a normal working pattern at the earliest possible opportunity.

1.3. In all cases it is expected that staff also do their utmost to facilitate a speedy return to fitness and to work.

1.4. The University will address sickness absence in a supportive, equitable and sympathetic way.

 Support will be available from Managers, Human Resources, Health and Safety, Occupational Health and the University’s Counselling Service.

 Equity will be evident from adherence to the Sickness Absence Management Procedure.

 All staff whose role it is to deal with an individual’s sickness absence will be expected to adopt a sympathetic approach at all times.

 Members of staff have a contractual obligation to notify the University when they are absent from work due to sickness, and to maintain reasonable contact during periods of sickness.

1.5. All information regarding a member of staff’s sickness absence and medical conditions will be treated with the strictest confidentiality.

1.6. The Policy will apply to all Teesside University employees.

2. Aims Of The Policy

2.1. This Policy and supporting Sickness Absence Management Procedure will assist the University in its commitment to ensuring that at all times staff are supported with regard to ill-health problems.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 1 3. Key Responsibilities

3.1. Deans/Directors/Heads will be responsible for safeguarding the health and wellbeing of their staff while at work and in support of this must ensure that:

 at all times they will assist the University in fulfilling the Statement of Intent of the Sickness Absence Policy by ensuring compliance with the Sickness Absence Management Procedure;

 all absences are recorded on the sickness absence database;

 sickness absence records are monitored.

They will be supported in achieving this by Human Resources and when necessary the Occupational Health function and external Counselling Service.

3.2. Line Managers/Supervisors will ensure staff within their area of responsibility are aware of, and comply with, sickness reporting procedures by;

 Monitoring staff absence in line with the Policy and procedure, utilising the monitoring procedures that are in place;

 Maintaining contact with staff, with the assistance of the HR Manager, and keeping a record of all contact details and a written communication of all meetings;

 Carrying out Return to Work meetings;

 Identifying any work-related causes of sickness and seeking advice from Human Resources and Health and Safety when required;

 Following medical / Occupational Health advice.

3.3. Employees have a responsibility, where possible, to;

 Attend work unless unable to do so for genuine reasons of their own sickness;

 Report their absence from work in line with the agreed local reporting arrangements.

 Certify their sickness with either a Self Certificate or Doctors Certificate (Fit note) to cover all periods of sickness in accordance with the Policy;

 Maintain regular contact with the University during periods of sickness.

 Follow medical / Occupational Health advice.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 2  Allow contact from the University where the contact is required to support their eventual return to work, or enable the University to plan appropriate cover.

3.4. Human Resources will:

 Assist Managers in the monitoring of sickness absence.

 Advise on procedural compliance with the Sickness Absence Management Procedure, including attendance at formal absence review meetings where appropriate.

 Provide statistical information on local sickness levels at monthly meetings with Deans/Directors and on an annual basis at University level to the Vice Chancellor’s Executive.

3.5. Occupational Health is available for:

 Advising managers on all matters relating to health and maintaining a healthy working environment (please see Occupational Health Referral for Assessment form at Appendix 7);

 Advising employees with regard to concerns that they may have with their health status and the impact of any health issues on their role at work (please see at Appendix 8: letter of appointment with Occupational Health; and consent form for union representative / work colleague to attend consultation);

 Arranging where appropriate, for medical assessments;

 Assisting with more general health promotion campaigns to promote awareness of different health issues.

3.6. Health and Safety will:

 Monitor the working environment with Occupational Health and advise management and employees of any shortfalls that may affect the health or safety of staff and how they may be addressed.

 Offer training tailored to ensure that certain tasks that have the potential to cause injury or illness if not undertaken correctly are managed appropriately.

 Analyse all accidents at work to ensure that defects in the working environment or working practices are addressed.

3.7. Counselling Support Service is confidential and available for all staff. Up to six sessions are available free of charge.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 3 4. Training

4.1. Mandatory training will be carried out for all UCET members, and cascaded to other appropriate Line Managers and supervisors, to ensure a common understanding and application of the Policy / Procedure.

5. Review

5.1. This Policy / Procedure will be subject to review every three years.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 4 Sickness Absence Management Procedures

A. Sickness Absence Reporting, Certification, Communication and Conduct whilst on Sick Leave

B. Sickness Absence whilst on Annual Leave or Business and Planned Absences

C. Returning to Work and Return to Work Meeting

D. Phased Return to Work, Rehabilitation Treatments / Period / Restricted Duties / Possibility of Redeployment

E. Handling Excessive Short Term Sickness Absence

F. Handling Excessive Long Term Sickness Absence

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 5 Sickness Absence Reporting, Certification, Communication And Conduct Whilst On Sick Leave

1. First Day Of Sickness Absence

1.1. All staff whose absence from work arises from ill-health should notify their Line Manager/supervisor, by telephone, as soon as possible, on the first day of absence (members of UCET must notify their relevant Line Manager in the Vice Chancellor’s Executive). This notification should be made by the member of staff, unless the circumstances prevent this. A friend or relative can do this for the member of staff.

1.2. On making the call, the following information should be passed on, wherever possible:

 the reasons for absence;

 the day they became unfit for work, including holidays and weekends;

 the expected date of return to work;

 any work or meetings that will be affected by the absence.

2. Absence Certification

2.1. Self certification: A University Self Certification Form must be completed for any period of absence of 1 up to 7 calendar days and these are available from School/Department offices, from the Human Resources Department, or can be downloaded from the Human Resources intranet site. The minimum self certification is a half of one day. Attendance for any part of one half of a day does not require self certification. The completed forms should be returned to the Line Manager/supervisor on the first day of returning to work.

2.2. Medical Certification: Any absence of 8 calendar days or more must be covered by a Medical Certificate supplied by a Doctor. Failure to supply a Medical Certificate may result in loss of earnings and could lead to disciplinary action. If there are difficulties in obtaining a GP appointment, this should be explained to the Line Manager, and a medical certificate supplied within a reasonable time and not more than 2 weeks after the first 7 days of sickness.

3. Communication During Periods Of Sickness

3.1. Communication required during absences up to 4 weeks will be authorised by Human Resources.

3.2. During periods of long term absence (in excess of 4 weeks) the Line Manager, with, where necessary, support from Occupational Health or Human Resources, should contact the member of staff, either by telephone, e-mail or by letter at regular intervals. This will allow the member of staff to discuss any health issues, to be informed of any work related social events

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 6 and for the Line Manager to be informed of progress and any concerns they may have, and a possible date of return to work. Line Managers should keep a written record of all such contacts. Those contacting a member of staff (see 3.2 of Policy) must be sensitive to the nature of the illness and the prevalent domestic circumstances of the individual. It may be appropriate in the first instance to write to the member of staff to seek agreement on the best form of communication the member of staff is most comfortable with and use that as the primary way of maintaining contact.

3.3. It is essential when dealing with long term sickness absence arising from a terminal illness that the Line Manager, Human Resources and Occupational Health agree a strategy that will cause minimum distress and maximum support to the member of staff and their family.

4. Conduct While On Sick Leave

4.1. Whilst on sick leave, staff will not be expected to engage in email usage on University business, nor will staff be expected to visit University premises. If there is need for either, contact should be made with the Line Manager and agreement made. Where the University needs to access a member of staff email account on legitimate business need, the member of staff will be informed in writing. This is as required in the agreed ICT Privacy and Monitoring Policy / Procedure.

4.2. Unless a Doctor’s Certificate (Fit Note) indicates otherwise, whilst on sick leave, staff must not engage in any other paid employment, or take part in any activity, that could aggravate their condition and delay their return to work.

4.3. Any member of staff whose behaviour while on sick leave is not compatible with their reason for absence may be subject to the University's Disciplinary Procedure.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 7 Sickness Absence Whilst On Annual Leave Or Business And Planned Absences

1. Employees who fall ill while on Annual Leave will only have the right to claim retrospective entitlement if they notify their absence with a Medical Certificate supplied by a Doctor. If sickness absence occurs just before an annual leave period, then the initial absence of 7 days should be reported on a Self Certification Form and subsequently on a Medical Certificate supplied by a Doctor. Employees going away from home on holiday during a period of sickness absence must only do so with a written statement from their GP, indicating that the holiday will not hamper their recovery.

2. Employees who fall ill whilst on University business overseas, and are unable to carry out their business, should contact the University as soon as possible, and where necessary, repatriation and medical support will be arranged.

3. It may be that a member of staff will be aware that they are going to require a period of sickness absence for medical treatment, which may include medical surgery and subsequent recuperation time, and in such cases the absence should be discussed with their Line Manager, covering such issues as:

 how the work may be best covered in their absence

 how contact will be maintained during their absence

 agreement on an appropriate time to discuss returning to work.

4. There may be occasions when employees choose to have surgery or some form of medical treatment that the NHS does not offer as part of their service and is not required to improve an individual’s health. In such cases, where absence is expected following such surgery or treatment (e.g. bruising post cosmetic surgery), annual leave or flexi-time should be used. Sickness leave can only be taken, in these cases, on production of a Doctor’s medical certificate.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 8 Returning To Work And Return To Work Meeting

1. When fit to return to work, the member of staff should notify their Line Manager. If the return is from cerificated absence, the GP may, through the issue of a “fit note”, advise on appropriate adjustments to be considered.

2. Any phased return to work must be agreed by the Line Manager, Occupational Health, Human Resources and the member of staff, with a clear rationale for the phased return that will allow the University to fulfil its duty of care to the employee and their colleagues. If there are any difficulties at the end of the phased return then a referral to Occupational Health is essential.

3. It should be noted that it is good practice for Line Managers to demonstrate an interest in employee welfare and wellbeing by seeing employees, albeit briefly, for an informal talk after any sickness absence. However, it is particularly important for Line Managers to meet with all members of staff who are returning to work where the following conditions apply:

 Work related ill-health.

 An accident or illness which has had to be reported to the Health and Safety Executive.

 Where the level or pattern of absence (e.g. every Monday) is such that a meeting is necessary to establish any causation factors. Advice can be sought from Occupational Health on what is perceived to be an established pattern of absence.

(Please see Appendix 1 for guidance for managers on a return to work meeting)

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 9 Phased Return To Work, Rehabilitation Treatments / Period / Restricted Duties / Possibility Of Redeployment

1. With medical / Occupational Health advice, it may be considered appropriate to allow for a phased return to work. Where the hours of work are phased this will be allowed normally for a period of up to 4 weeks, depending upon the individual case. Where the duties of the employee are phased then this will be normally allowed for a period of up to two months. This will allow a member of staff to adjust to a normal working pattern, particularly important after long-term sickness absence, at a rate which is appropriate for them, and will also assist in restoring the level of operational capacity of the affected School or Department at the earliest opportunity. Examples of a phased return can include:

 a partial reduction in duties/responsibilities to enable the employee to return on a graduated basis to the level at which they were working before the sickness period;

 a reduction in the number of hours/days an employee works;

 a reduction in working hours to allow the employee to continue with a rehabilitation programme.

2. Employees requiring treatments (e.g. physiotherapy) to assist their recovery are allowed reasonable time off work, defined normally as up to a half day per week. This will be in line with Occupational Health recommendations. A Leave of Absence Form should be completed in these circumstances, and an appointment card produced where appropriate.

3. Each case should be considered on its merits with the Line Manager being as supportive as possible. An employee will be on full pay during a rehabilitation period which would normally be up to four weeks. If this period needs to be extended beyond the four week period, advice should be sought from HR.

4. Line Managers should note that employees should not be asked to undertake any additional duties or work overtime during a rehabilitation period, or phased return to work.

5. Occupational Health may recommend that the employee returns to work on restricted duties. An assessment should be made to see how this could be accommodated. Any proposals should be discussed with the employee and advice sought from HR. As with a phased return, restricted duties can be agreed normally over a two month period. Any extension should be discussed with HR and Occupational Health.

6. If medical advice indicates an employee is unfit to return to the current job, but would be fit to return to a different type of work, then redeployment may be considered. This could be to a post at the same level or up to one grade below substantive grade.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 10 Handling Excessive Short-Term Sickness Absence

1. Excessive short term sickness absence (Paragraph 2 below) can take the form of persistent short term absences, patterns of absence that the Manager feels should be investigated further, or reoccurring periods of absence, particularly if arising for differing reasons. While Line Managers are to monitor sickness absence, they will also be advised by Human Resources of any absences that warrant further investigation and the subsequent close involvement of Human Resources is key to managing the following processes.

2. If short term sickness absence is occurring at the following frequencies or patterns:

 six separate episodes in any six month period, or ten or more days in a rolling six month period;

 12 separate episodes in any 12 month period, or 20 or more days in any rolling 12 month period;

it will be appropriate to hold a formal sickness absence review meeting with the employee to establish on a more formal basis the reasons for the absence and to seek a mutually satisfactory outcome that will address the reasons for the levels of absence and allow the employee to re-establish a normal working pattern at the earliest opportunity. It should be noted that all meetings from this point are stages in assessing the individual’s medical capability to function effectively within their present role. Human Resources and, if necessary, Occupational Health, will provide advice throughout this process.

3. In all cases when evaluating absence from work, exception will be granted for absences with mitigating circumstances agreed with Human Resources. Absences arising from mitigating circumstances will not be counted when assessing whether a trigger point has been reached. See Appendix 4 for guidance.

4. See Appendix 3 for details of how a first formal sickness absence review meeting is to be managed.

It is important that the employee understands that both the Line Manager (see Appendix 3) and the Human Resources Manager, with support from Occupational Health, will support the employee in reducing absence, but also that there is an expectation that the employee will cooperate with all concerned to achieve a mutually satisfactory outcome. Where it is identified that a chronic health condition exists which has not been identified at a Return to Work Interview then mitigating circumstances will be taken into consideration. This will include consideration to placing the staff member on a ‘dual track’ system for sickness absence monitoring, see Appendix 4: Mitigating Circumstances, for appropriate actions. The Line Manager will write to the employee with the outcomes of the meeting and may issue a First Formal Sickness Absence Caution (Appendix 5). The employee should be instructed that future attendance will be monitored. If a further sickness absence trigger is reached it will necessitate a second formal sickness absence review meeting, and may issue a second formal sickness absence caution (see Appendix 6).

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 11 5. The Line Manager responsible for conducting the second formal sickness absence review meeting is to be a School Manager (or nominated deputy) for School support staff, for academic staff the Dean (or nominated deputy), and either the Director or Deputy / Assistant Director, or the nominated deputy for central support staff. HR will be present also. This meeting must be conducted in an identical manner to the First Formal Sickness Absence Meeting, except that the employee may be issued with a Second Formal Sickness Absence Caution (Appendix 6) which will warn that a further failure to improve their attendance within a six month period will necessitate the case being referred to a hearing, comprising an independent senior manager and the Director of HR.

6. A hearing must be held with the employee who has the right to be accompanied by a trade union representative or a friend from within the University, not acting in a professional capacity. The hearing will comprise an Independent Senior Manager and the Director of Human Resources. The hearing will be to discuss and consider the information available and to allow the employee and the employee’s trade union representative or friend to again respond. A possible outcome of the hearing is a decision to recommend to dismiss the employee on the grounds of ill-health. Other possible outcomes include consideration for redeployment and part time work. Confirmation of the outcome of the hearing will be sent to the employee by HR normally within five days of the hearing. If the outcome is to recommend dismissal, the case will then be referred to the Vice- Chancellor for a final decision. The Vice-Chancellor will consider all of the circumstances and will make a decision. This will be confirmed in writing to the employee within 10 days of the letter from HR.

7. The employee will have a right of Appeal against the decision to dismiss. The Appeal must be lodged with the Legal Services Manager, copied to the Director of Human Resources, within 10 working days of receiving the written notification. Three members of the Governing Body, one from the Employment Policy Committee as Chair, will hear the appeal, normally, within four weeks of receipt of the written appeal.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 12 Handling Long Term Sickness Absence

1. For continuous absences of 4 weeks or more, the Line Manager should consult with Human Resources and Occupational Health, and contact with the employee should be made to arrange a meeting. This could be at the University, the employee’s home, or another location mutually acceptable to all parties. The employee should be made aware who will be present (Line Manager and HR Representative). The employee is entitled to be accompanied by a trade union representative, or a friend or a member of the family.

The purpose of the meeting is to try to establish;

 The likely duration of the absence

 What problems the employee may be experiencing

 Any Occupational Health advice

 What support/assistance the University can offer

 An indication of a return to work date.

Following the meeting, the Line Manager will write to the employee to confirm the outcome. If the outcome is a return to work date, this may involve putting into place the relevant support mechanisms.

2. If the outcome is that the employee is not ready to return to work, then contact timescales should be agreed, along with further intervention/advice from Occupational Health and HR. This contact would normally be by the Line Manager, but may be, by prior agreement, the relevant HR Manager.

3. If the employee appears to be unable to return to work, and having considered all other options, it may be necessary to consider termination of the employment on the grounds of sickness capability. Such considerations will be done compassionately with all factors taken into account, including inexhausted sick pay entitlement. The University will explore with the employee options available under Occupational Pension regulations. As soon as this becomes a consideration the employee must be informed and invited to a hearing where dismissal may be considered as an option.

4. In the event that termination seems to be the appropriate course of action, a hearing must be held with the employee and the employee’s trade union representative or friend. The hearing will comprise an Independent Senior Manager and the Director of Human Resources. The hearing will be to discuss and consider the information available (including required medical opinion / advice) and to allow the employee and their trade union representative or friend to again respond. A possible outcome of the hearing is a decision to recommend to dismiss the employee on the grounds of sickness capability. Confirmation of the outcome of the hearing will be sent to the employee by HR within five days of the hearing. If the outcome of the hearing is to recommend dismissal, the case will then be referred to the Vice-Chancellor for a final decision. The Vice-Chancellor

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 13 will consider all of the circumstances and will make a decision. This will be confirmed in writing to the employee within 10 days of the letter from HR.

5. If the decision is to dismiss, the employee will have a right of Appeal. The Appeal must be lodged with the Legal Services Manager, copied to the Director of Human Resources, within 10 calendar days of receiving the written notification of the University’s intention to dismiss. Three members of the Governing Body, one from the Employment Policy Committee as Chair, will hear the appeal, normally, within four weeks of receipt of the written appeal.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 14 Appendix 1

Return To Work Meeting Guidance For Line Managers

1. It is good practice for Line Managers to demonstrate an interest in employee welfare and wellbeing by seeing employees for an informal talk after any sickness absence. This approach has the positive effect of building manager/staff relationships, while discouraging casual and unnecessary absences which staff may be then called upon to explain to their Line Manager.

2. A Return to Work meeting is necessary where the following conditions apply:

 Work related ill-health;

 An accident or illness which has had to be reported to the Health and Safety Executive under the 'RIDDOR' Regulations (clarification may sought from the Health and Safety Office);

 Where the level or pattern of absence (e.g. every Monday) is such that a meeting is necessary to establish any causation factors. Advice can be sought from Occupational Health on what can be perceived to be an established pattern of absence.

The invitation to meet with the member of staff may be informal, via e-mail or telephone and at a time and date agreeable to both, where possible on the first day the employee returns to work. Details of how this meeting should be managed most effectively may be found on page 9 of the Sickness Absence Management Procedure and an example of the formal record form for this meeting may be found in Appendix 2.

3. The meeting should be conducted in a confidential, informal and supportive manner, seeking to address any issues which are causing concern to the member of staff and to allow a return to work that is safe and acceptable to all parties. The reason for the absence should be recorded but it is an assumption of the Policy that all sickness absence is genuine and does not require justification by the employee. Any absences which are suspected as fraudulent will be investigated as Misconduct and dealt with under the University’s disciplinary procedures. Where it is identified that a chronic health condition exists then consideration will be given to transferring the member of staff onto a ‘dual track’ system for sickness absence monitoring, see Appendix 4: Mitigating Circumstances, for appropriate actions.

4. While informal, the meeting should cover the following points:

 welcoming the employee back at work and confirming that they are fully recovered;

 allowing the employee an opportunity to discuss any issues that may have contributed to their illness, particularly if there are any contributing factors in the workplace;

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 15  if there are personal issues that the Line Manager does not feel sufficiently qualified to deal with, it may be appropriate to contact Human Resources or suggest that the employee utilises the Counselling Service;

 if there are health issues that the Line Manager does not feel sufficiently qualified to deal with, it may be appropriate to suggest that the employee sees Occupational Health;

 If the absence arises from an accident at work then the causative factors should be discussed and appropriate remedial measures agreed with the Health and Safety Centre.

5. The conclusions of the meeting will be recorded on a Return to Work Meeting Form (Appendix 2), signed by the Line Manager and the member of staff. Copies to be kept by the employee and a copy sent to Human Resources to be placed on the employee's file. This is to ensure that an accurate record is kept of any agreed actions arising from the meeting.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 16 Appendix 2 Return To Work Meeting Form

Occupational Health

Name of Employee: Department/Section:

Job Title: Employee Number: (if known)

Date Absence Commenced: Date Absence ended:

Date of Return to Work:

Self Certificate received: Doctors Note Received:

Reason for absence:

Notes: Agreed Actions:

Date agreed for further review (if required):

Signed: Date: Member of staff

Signed: Date: Line Manager/Supervisor

Copies to: Member of staff File Human Resources

Formal Sickness Absence Review Meeting Guidance For Managers

1. While Return to Work Meetings with staff may be carried out by Supervisors as well as Line Managers, all Formal Sickness Absence Review Meetings must be conducted by Line Managers. For central support staff this will normally be Grade 7 or above, and for academic staff, a Deputy or Assistant Dean, depending upon the agreed management responsibilities in the particular School.

2. The Line Manager must write to the employee giving notice of the meeting at least one calendar week before the meeting. This communication must make the employee aware of the right to be accompanied by a friend or trade union representative, explain why the meeting is being held and that a Human Resources Manager will also be in attendance.

3. At the outset of the meeting, it should be explained to the employee that the meeting is to seek a mechanism to find a means for them to return to work, or if at work, to seek to reduce what appear to be excessive periods of absence. The reasons for absence should be discussed and every effort made to establish if changes to the workplace would have a beneficial impact upon reducing these periods of absence. It is important that the employee understands that both the Line Manager and the Human Resources Manager, with, where necessary, support from Occupational Health, will support the employee in reducing their absence but also that there is an expectation that the employee will cooperate with all concerned to achieve a mutually satisfactory outcome.

4. Although not limited to the topics, below, the meeting should at least explore the following:

 the reason for the meeting, prompted by one or a combination of the following;

a) length of absences

b) pattern of absences

c) frequency of absences

 any available advice from Occupational Health and the employee`s GP through the issue of a “fit note”;

 any work-related factors which may be causing or aggravating the ill-health of the employee;

 any mitigating circumstances;

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 18  are any adjustments necessary to the employee's working environment or work pattern that would assist?;

 the agreed outcomes of any Return to Work Meetings and what actions were agreed between the Manager/Supervisor and the Employee.

5. The Line Manager, in consultation with Human Resources, will write to the employee to confirm the outcomes of the meeting (Appendix 5) and, where necessary, may issue a First Formal Sickness Absence Caution. The employee should be instructed that their future attendance will be monitored for a period of three months and if a further sickness absence trigger is reached it will necessitate a Second Formal Sickness Absence Review Meeting to establish the reasons why attendance is still not up to acceptable levels.

1. Mitigating Circumstances

1.1 Sickness Absence Management allows for absence where mitigating circumstances apply, which is still recorded but does not count towards the triggers. These may be defined as follows:

a) An episode of illness which occurs no more than 2 working days after a previous episode and is the same or a related illness which may indicate that the employee returned to work too soon.

b) A reported accident at work which results in an absence from injury.

c) A planned hospital intervention to address the underlying cause of previous absences or to prevent future sickness absences.

d) Emergency admission to hospital.

e) Where the Occupational Health Service indicates that further absence should be expected before improvement can be achieved.

f) Illness arising from pregnancy.

g) Illnesses/injuries suffered as a result of being the victim of a crime (as evidenced by the production of a police crime number).

h) Any other circumstances as determined by Occupational Health.

2. Dual Track Mitigation

2.1 This will apply if a member of staff suffers from a chronic medical condition that may generate sufficiently high levels of sickness absence to trigger a management response. Where such a medical condition exists and is identified at a Return to Work Meeting or during a First or Second Formal Sickness Absence Review Meeting then it may be considered as a mitigating factor under dual track arrangements as follows:

2.2 If it is suspected that the member of staff may be suffering from an illness that is chronic and may be the cause of an ongoing absence problem, then the member of staff will be referred to Occupational Health to establish if the member of staff would qualify for a dual track system of absence management.

2.3 In the first instance the member of staff should be referred to Occupational Health for an evaluation of their medical condition. This may include, with their permission, a medical report being requested from their GP/Consultant / Specialist. Upon seeing the member of staff and examining the medical report, Occupational Health will determine whether the individual is suffering from a documented chronic medical condition, including all chronic medical conditions covered by the DDA, and should therefore be eligible for dual track.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 20 2.4 If dual track applies then Occupational Health will notify Human Resources and the Manager of the member of staff. Thereafter, absences arising from the chronic condition and other reasons for absence will not be aggregated together but treated as two separate issues and with separate trigger points. Any Return to Work Meeting will establish whether the absence relates to the chronic condition or from an unrelated illness. If reported as another episode of the chronic condition then the Line Manager will seek advice from Occupational Health.

2.5 Trigger points for absences not related to the chronic condition will be treated as all other absences. Trigger points for absences arising from the chronic condition will be subject to advice from Occupational Health and all reasonable means will be found to assist the member of staff in alleviating any symptoms arising from the condition, including, where appropriate and subject to the operational requirements of the University, changes to working hours and the working environment.

3. Reasons for absence, other than those detailed above in 1.1, may exceptionally be considered as having mitigating circumstances. If the member of staff wishes to have an absence considered as such then this should be requested at a Return to Work or Sickness Absence Review meeting and the Director of Human Resources will then decide whether the absence qualifies as having mitigating circumstances or not and write to the member of staff and the Line Manager informing them of the decision, the Director’s decision will be final.

# delete as appropriate ## insert as appropriate

Dear ##

Re: First Formal Sickness Absence Review

In line with the University’s Sickness Absence Management Procedure, I am writing to confirm the agreed outcome of our meeting held on ##.

It was explained to you that you were asked to attend because you had an absence record which met one of the following criteria:

Line Manager to choose and insert the most appropriate phrase

# Short term sickness absence occurring at the following frequencies or patterns;

 # 6 separate episodes in any 6 month period, or 10 or more days in a rolling 6 month period

 # 12 separate episodes in any 12 month period, or 20 or more days in any rolling 12 month period

 # there appears to be a pattern to the days that you have been absent

# Long term sickness absence which raised concern by meeting the following criteria;

 # 4 weeks or more of continuing absence

# The outcome was that certain absences had mitigating circumstances and that those absences would be discounted.

# The outcome was that all absences had mitigating circumstances and that no further action is required.

# The outcome was that mitigating circumstances did not apply and that the dates and reasons for absence were as follows;

# The outcome was that no absences were caused by work related issues.

# The outcome was that it will be appropriate for you to be referred to Occupational Health for a full assessment of your health in relation to your capacity to carry out your work and to recommend, where appropriate any changes which may be necessary to assist in your overall absence rate.

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 22 # The outcome was that certain absences were caused by work related issues and that I will investigate these further and, where possible, make appropriate adjustments and advise you of these changes.

# The outcome was that those absences which were without mitigating circumstances must not again reach a trigger point and that a failure to meet this target will bring about the necessity to hold a Second Formal Sickness Absence Meeting.

# The outcome was that this letter is to be regarded as your First Formal Sickness Absence Caution.

Your attendance will be monitored for a further three months and if a further sickness absence trigger point is reached, this will necessitate a second Formal Sickness Absence Review meeting.

Yours sincerely

## Name ## Title cc Human Resources

………………………………………………………………………………………

Acknowledgement Slip

I acknowledge that the contents of the letter dated (insert date) are an accurate reflection of the First Sickness Absence Review Meeting held on (insert date).

Signed ………………………………….. Date ………………………..

Name (print) …………………………….

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 23 Appendix 6 # delete as appropriate ## insert as appropriate

Dear ##

Re: Second Formal Sickness Absence Review

In line with the University’s Sickness Absence Management Procedure, I am writing to confirm the agreed outcome of our meeting held on ##.

Subsequent to the First Formal Sickness Absence Review Meeting, you failed to meet the agreed target for absence and the Second Formal Sickness Absence Review Meeting was held to establish what further action would be appropriate.

# The outcome was that certain absences had mitigating circumstances and that those absences would be discounted.

# The outcome was that all absences had mitigating circumstances and that no further action is required.

# The outcome was that mitigating circumstances did not apply and that the dates and reasons for absence were as follows;

#The outcome was that this letter is to be regarded as your Second Formal Sickness Absence Caution. Your attendance will be monitored for a further three months and if a further sickness absence trigger is reached you will be required to attend a hearing comprising an Independent Senior Manager and the Director of Human Resources, details of which can be found in the Policy.

If you acknowledge that this reflects an accurate record of our meeting, please sign and return to me the attached Acknowledgement Slip.

Yours sincerely

## Name ## Title cc Human Resources

………………………………………………………………………………………

Acknowledgement Slip

I acknowledge that the contents of the letter dated (insert date) are an accurate reflection of the Second Sickness Absence Review Meeting held on (insert date).

Signed ………………………………….. Date ……………………….. Name (print) …………………………….

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 24 Appendix 7 Occupational Health Referral for Assessment

Occupational Health

In Confidence Health & Safety Centre Foster Building Teesside University For Assessment Middlesbrough TS1 3BA Tel: 01642 342213

Employee Details

Full Name Title Home Address Telephone Numbers Home, Mobile & Work, Email Address

Job Title Date of Birth School / Department Contracted Hours Payroll Number If part-time complete below For part-time staff please provide days and hours of working to assist with booking an appointment

Is employee currently off sick? If yes, indicate date absence D D M M Y Y commenced.

Referring Manager Details Title Name School / Department Job Title Contact Number Reason for Referral Please tick as appropriate

Long-term Sickness absence Work related health enquiry

Health related which is impacting on or Returning to work following sickness could impact on performance at work absence

Short-term Sickness absence

Occupational Health

Documentation required with this referral are:  Job Description  Sickness Absence Report for the last two years (this assists the Occupational Health Adviser to gain a history of the health of the employee) Questions, please tick relevant boxes Is there an underlying medical condition affecting performance or attendance at work? Is employee currently fit to carry out duties outlined in the job description? Are there any adjustments to the work tasks or environment that would help facilitate rehabilitation or an early return to work?

Are any permanent adjustments to the work tasks or environment recommended? What is the likely time-scale for recovery and when do you anticipate a return to work? Is the health problem likely to recur and/or affect future attendance or performance? Is employee a suitable candidate for redeployment on medical grounds? In your opinion, does the health problem meet the criteria of the Equality Act 2010? Other questions – please specify

Please outline the main issues, including the effects of the health problem on the individual’s ability to undertake their duties: (Please include details of any risk assessments, alterations to existing hours and duties, new equipment, additional training, etc.)

Occupational Health I confirm this referral has been discussed with the employee and the reason for referral is understood. A copy of this referral will be sent to the employee with the appointment letter. The appointment will not take place if the employee has not been made aware. Date of Signature: Referral:

Please send to Occupational Health under confidential cover

Occupational Health Appendix 8

# Address

Private and Confidential

Date: #

Dear Mr/s $

A referral form has been sent to Occupational Health requesting that you attend an appointment. #Name, the Occupational Health Adviser will provide advice to you on health issues that may have an impact on the work you perform. A copy of this referral form is enclosed.

Please be reassured that any discussion you have with #Name will remain confidential.

Enclosed is information about your appointment, please read, sign and bring it with you, along with details of any medication you are taking.

Your appointment has been arranged for $ at $. This will be at Occupational Health, Health and Safety Centre, Foster Building. A Campus Map is enclosed which shows the Foster Building and is highlighted. Entrance to the building is from Stephenson Street. There is a telephone in the corridor entrance of the Health and Safety Centre in order for you to gain access to the department.

If you are unable to attend this appointment please telephone 01642 342213 to rearrange.

If you have any questions regarding this appointment, please contact your line manager.

Yours faithfully

#Name Health & Safety Assistant Administrator

Cc $ – Referring Manager File

Encs About Your Occupational Health Appointment Occupational Health Referral for Assessment Campus Map

Occupational Health

Occupational Health Appendix 9

Disclaimer Form

Occupational Health

To be used when a Union Representative / Work Colleague is attending an Occupational Health Assessment

Employees should provide Occupational Health written consent regarding a Union Representative or work colleague accompanying them at Occupational Health assessments and that they agree that confidential medical information may be discussed and disclosed during the meeting.

Occupational Health welcomes discussion with the above as and when necessary, however, it is important that a proper procedure is followed to ensure that client confidentiality is maintained.

I, ……………………………………. wish for …..…………………………………... to

accompany me during my appointment for an Occupational Health assessment.

I understand that access to confidential medical information may be evident

and I am in agreement with this.

Signed ………………………………………………… Date ………………………...

Occupational Health

Document Control : Sickness Absence Management Policy and Procedure Due for review by: Approved by: EPC on 16 December 2010 Author: Director of Human Resources Department: Human Resources Department

D:\Docs\2018-05-04\01a7d585ceb7710694d7e8e37c8c2c2b.doc 31