Sickness Absence
Management
Procedure for
Employees
September 2012
This is a Royal Borough of Greenwich policy document
which the Governing Body has adopted.
CONTENTS
1
Introduction
7
1.1
Policy
7
1.2
Aim
7
1.3
Prevention
7
1.4
Application and scope
8
1.5
Statutory Regulations
8
1.6
Confidentiality
9
1.7
Disabled Employees
9
1.8
Role of Council’s Medical Adviser
10
1.9
Misconduct
10
1.10
Trade Union Officials
10
2
Standards expected
11
2.1
Responsibilities of Employees
11
2.2
Rights of Employees
11
2.3
Responsibilities of the Royal Borough
12
2.4
Rights of the Royal Borough
13
2.5
Responsibilities of Headteachers/Managers/Governors
13
2.6
Rights of Headteachers/Managers/Governors
14
2.7
Responsibilities of the Governing Body
14
2.8
Rights of the Governing Body
15
3
Reporting and monitoring of sickness absence
16
3.1
Reporting Sickness Absence
16
4
Sickness absence
17
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5
Informal sickness absence
19
5.1
Return-to-Work Contact
19
5.2
Informal Review
20
5.3
Informal to Formal Procedure
21
6
Formal sickness absence
22
6.1
Introduction
22
6.1.2
Part-time Employees
22
6.2
Stage 1: Intermittent Absence caused by unconnected
22
Illnesses
6.3
Stage 2: Intermittent Absences caused by unconnected
24
illnesses
6.4
Stage 3: Intermittent Absences caused by unconnected
26
illnesses
6.5
Chronic/Long-Term Sickness or Intermittent Absences
26
caused by an underlying medical condition
7
Other related issues
29
7.1
Sick Pay
29
7.2
Ill Health Retirement/ Redeployment/ Pension
29
7.3
Absence Due to Pregnancy
29
7.4
Industrial Injury
29
7.5
Probationers/ Other Employees with less than 26 Weeks service
30
7.6
Employees who in the School’s opinion are unfit to work
30
due to sickness
7.7
Absence for Medical/Dental and Cancer Screening
31
Appointments
7.8
Dealing with Specific Situations
32
7.8.1
Low volume Sickness in Association with Domestic or
32
Behavioural Problems
7.8.2
Absence due to Alcohol or Drug Misuse
33
7.8.3
Absence as a Consequence of the Working Environment
33
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Appendices
1
Delegation to Headteacher to staff appointments and
A1
dismissals
2
Informal Sickness Absence Monitoring Form
A2
3
Dealing with Absence Due to an Employee’s Disability
A3
4
Referrals to the Royal Borough’s Medical Adviser/ Conflict
A4
of Opinion
5
Setting Targets
A5
6
Appeal against Decision to Set Targets
A6
7
Appeal against Decision to Advise Employee that
A7
Employment is At Risk on Absence Grounds
8
Formal Meeting to Consider Dismissal on Sickness
A8
Absence Grounds
9
Appeal against Decision to Dismiss Employee on Sickness
A9
Absence Grounds
10
Phased Return Following Extended Sickness Absence
A10
11
Terminal Illnesses
A11
12
Ill Health Retirement
A12
13
Flow chart for Formal Absence Procedure
A13
Model Letters
1
Instruction to attend Stage 1 – Formal Review
2
Letter confirming decision to set an improvement target/Monitor
3
Letter confirming improvement over 3 month monitoring period
4
Letter confirming stage 1 outcome – chronic absence
5
Instruction to attend Stage 2 – Formal Review
6
Letter confirming Employment at Risk – Intermittent absences
7
Letter confirming Employment at Risk- Chronic Cases
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8
Instruction to attend Stage 3 – Formal Review
9
Letter confirming Dismissal – following EAR for intermittent absences
10
Letter confirming Dismissal - following EAR for chronic cases
11
Letter confirming ill-health Retirement
(where employee concurs with the medical Advisers conclusion that they are
permanently incapable of undertaking the duties of their current post
but are able to undertake the duties of a comparable post)
12
Letter confirming dismissal by reason of permanent ill health
(where employee concurs with the medical Advisers conclusion
that they are permanently incapable of undertaking any employment with the
Royal Borough)
13
Letter confirming dismissal by reason of permanent ill- health
(where the employee does not concur with the Medical
Advisers conclusion)
14
Referral to Occupational Health
15
Suspension from Duty on Medical Grounds
16
Notice to Attend Appeal Hearing
17
Confirmation of the Outcome of an Appeal Hearing
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Sickness Absence Procedure
1.0
Introduction
1.1
Policy
Schools have a responsibility to manage sickness absence in a way which safeguards
the interests of the pupils and other staff whilst at the same time showing
understanding to the individual. The School aims to achieve this by providing a
healthy and safe working environment and by keeping avoidable absence to an
absolute minimum.
The Royal Borough of Greenwich, as a good employer, does not wish its employees to
attend for work when they are too sick, but does expect its employees to take personal
responsibility for their attendance and to meet their contractual obligations to work.
Frequent or extended absence, even though genuine, can significantly impair the
quality of the service that the school provides and affects the continuity of pupil’s
education.
The procedure sets out guidance to Headteachers, Managers and Governors in the
understanding, monitoring and reducing of sickness absence and the investigations
and actions that should be taken.
1.2
Aim
The aim of this procedure is to provide a framework to effectively and consistently
manage sickness absence, while ensuring that all staff are treated with respect,
understanding, compassion, fairly, according to their particular circumstances, and
with full regard to all the School’s policies and the Royal Borough’s duty of care and
welfare to its employees.
1.3
Prevention
The primary objective of effective sickness absence management is to prevent
sickness absence. Headteachers and governing bodies share a responsibility for the
welfare of the individual and it should be borne in mind that sickness absence may be
an indicator of organisational factors, e.g. low morale, low motivation, as much as
reflecting the predisposition to sickness amongst staff.
Unnecessary absences occur less frequently when staff have the benefit of:
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
Effective recruitment and selection procedures

Good induction and training

Training for those with supervisory responsibility

Job satisfaction (morale and motivation)

Clear allocation of responsibility

Positive management attitudes

Opportunities to discuss problems, issues and concerns with managers

Good physical working conditions
Proper attention to managing sickness absence can help reduce absence rates;
lessen the impact on the other staff; maintain continuity of teaching; and assist those
who are off sick make a successful return to work.
1.4
Application and Scope
This procedure applies to all staff but does not apply:

During a probationary period (in these circumstances managers should refer to
the probation procedure)

During or at the end of a fixed term contract of less than 26 weeks’ duration

To temporary employees with less than 26 weeks’ service

To absences due to pregnancy up to the end of the approved maternity leave
period

To absences caused by an exclusion from work due to contact with an infectious
disease

1.5
To agency staff
Statutory Regulations
This procedure takes account of all the relevant statutory requirements in the
following ways:
Under the Dispute Resolution Regulations introduced in 2004 dismissals must be
actioned using the minimum 3-step procedure as set out below.
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1.
Write to the employee informing that their level of absence has triggered
formal action and invite them to a meeting to discuss the matter.
2.
Hold a meeting to discuss the level of absence – at which the employee has
the right to be accompanied – and notify the employee of the decision.
3.
If the employee wishes to appeal, hold an appeal meeting at which the
employee has the right to be accompanied – and inform the employee of the
final decision.
Dismissal and notice periods are effective from the date of the IDD with
reinstatement should the appeal be successful
There will be a right of appeal against any formal action taken.
The Director of Children’s Services (in practice, The Schools’ HR Team) must be
informed of any proceedings that may lead to an employee's dismissal. The Director
is entitled, and will in most cases wish, to be represented at such a hearing. The
Director must also be informed immediately of the suspension of any member of
staff.
Following a decision to dismiss an employee the school should formally notify the
Director of Children’s Services in writing, outlining the reasons, who will issue the
formal notice to dismiss.
1.6
Confidentiality
Throughout the application of this procedure Headteachers/Managers/Governors
may become aware of medical or other personal information concerning individual
employees. Headteachers/Managers/Governors must take care to ensure that
confidentiality is maintained throughout and that information is only disclosed to
those persons who are authorised to receive it. It is essential that confidential
documentary information is kept in a secure place. All employees should be aware
that any breach of confidentially will render them liable to disciplinary action.
1.7
Disabled Employees
The Royal Borough is committed to the employment of people with disabilities. It is
essential that Headteachers/Managers/Governors ensure staff with disabilities are
not unlawfully discriminated against for a reason which relates to their disability.
Headteachers/Managers/Governors must take account of this when dealing with any
absence due to an employee’s disability (see Appendix 3).
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1.8
Role of the Royal Borough’s Medical Adviser
Control of sickness absence is a management issue and referral to the Medical
Adviser should not be used as a substitute for such action.
The Medical Adviser should be consulted in all sickness-related cases, which could
lead to dismissal (see Appendix 4).
Referral should not be automatic, but should happen where there appears to be an
underlying medical reason for the absence or where there is some other good reason
for seeking medical advice.
Where there are undue delays in obtaining information from the Medical Adviser or
where the Medical Adviser wishes to review the case at some future date and such a
delay is considered unacceptable by management, advice will be provided by Human
Resources.
If at any time the Royal Borough’s Medical Adviser recommends redeployment,
then this will be handled in accordance with the Royal Borough’s Redeployment
Procedure. If at any time the advice of the Royal Borough’s Medical Adviser
conflicts significantly with the opinion of the employee’s own medical adviser then
the employee should be interviewed or where appropriate examined by an
independent medical referee (see Appendix 4).
1.9
Misconduct
Disciplinary action will be taken where:

The employee’s reported absence is proven to be not genuine.

The employee engages in conduct that the School considers prejudicial to their
recovery unless the employee’s medical advice states otherwise.

An employee unreasonably refuses to attend a meeting with the Royal Borough’s
Medical Adviser or be examined by that Adviser. Employees must realise that any
such refusal may result in decisions being made on the facts available at the time.
1.10
Trade Union Officials
In the case of Trade Union Officials who are absent due to sickness, no action should
be taken beyond Stage 1 until the circumstances of the case have been fully discussed
with a full-time official of the Union concerned and the Human Resources
representative.
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2.0
Standards expected
Headteachers, governing bodies, the Royal Borough and the individual employees all
have a part to play in the management of sickness absence.
2.1
Responsibilities of Employees
Employees have the following responsibilities:

To maintain a high level of attendance at work and meet their contractual
obligations to work.

To only report sick when genuinely unfit to attend, or remain at work.

To notify the school, maintain contact and comply with the School’s Sickness
Reporting Procedure.

To be responsible for supplying valid medical certificates and ensuring that there
are no gaps in any absence requiring certification.

To attend any medical interview or examination with the Royal Borough's Medical
Adviser if required in accordance with this procedure.

To attend Return-to-Work (RTW) contacts with their
Manager/Headteacher/Governors, and any other meetings required in accordance
with this procedure.

To discuss any disability they may have with their
Manager/Headteacher/Governors if they wish to have that disability taken into
account in relation to their job.

To refrain from engaging in any conduct that will be prejudicial to their recovery
during any period of sickness absence.

To seek appropriate medical advice about the effect of any conduct on their
future recovery.
2.2
Rights of Employees
Employees have the following rights:

To be treated with respect, understanding and compassion.
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
To have their case dealt with fairly and to be made aware of their rights
under this procedure.
 To be given an opportunity to discuss the matter with the appropriate Manager,
Headteacher or Governors before any decision is made and to be given an
opportunity to respond.
 To have access to their medical information and to receive copies of their medical
reports when requested, subject to the provisions of the Access to Medical Records
Act 1988.
 To have access to trade union representation, or any other representation, at all
formal stages of this procedure, if requested.
 To be advised of the implications of unsatisfactory attendance and to be
given an opportunity to improve (through the setting of clearly established
targets).
 To be advised where they can obtain/access a copy of this procedure.
 To have their case treated in a confidential manner.
 To be given reasonable advance warning of when their sick pay is about to be
stopped or reduced.
 To be treated in accordance with the Royal Borough's/School’s Equal Opportunities
Policy.
 To appeal against any decision to dismiss on the grounds of sickness absence.
2.3
Responsibilities of the Royal Borough
The Royal Borough will assist schools in managing levels of absence by:
 Ensuring that appropriate procedures on the management of sickness
absence are recommended for adoption by schools.
 To ensure Managers/Headteachers/Governors are aware of the Royal Borough’s
approach in dealing with sickness absence and the procedures to be applied
when action becomes necessary
 To terminate an employee’s service where the level of absence is no longer
acceptable.
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2.4
Rights of the Royal Borough
The Royal Borough has the following rights:
 To be present at hearings which could result in dismissal.
2.5
Responsibilities of Headteachers/Managers/Governors (where
appropriate)
Headteachers/Managers/Governors have the following responsibilities:
 To maintain an awareness of sickness levels, thoroughly review the circumstances
relevant to each individual case, apply formal procedures only where necessary
and apply the appropriate procedures.
 To communicate with employees and maintain an awareness of their general
welfare.
 To regularly monitor and review levels of sickness absence of any employee they
manage and provide sickness absence details to the Royal Borough.
 To keep avoidable absence to an absolute minimum.
 To carry out Return-to-Work contacts or interviews as necessary.
 To make sure employees are aware of the School’s reporting procedures for
sickness absence.
 To attempt to maintain contact with those on long-term sick leave, for example by
regular telephone contact, by writing to the employee, or with the employee’s
prior agreement by visiting the employee at home.
 To give written notice of all formal review meetings and to confirm any decisions in
writing setting out the reasons for the decision (and any targets which have been
set and the likely consequences of failing to meet the targets, for example
moving to the next stage of the sickness absence procedure, if relevant).
 To determine that the level of sickness absence is unsatisfactory (and set
targets for improvement).
 To deal fairly but firmly with an employee whose level of sickness absence is
unsatisfactory.
 To treat any information obtained as a consequence of applying this procedure
confidentially.
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 To consider terminating an employee’s service prior to an employee exhausting
their entitlements under the sickness scheme.
 To work in accordance with the Royal Borough’s/School’s Equal Opportunities
Policy at all times.
 To ensure that the Royal Borough/School carries out its obligations in relation to
the
 Disability Discrimination Act 1995 (see Appendix 2).
 To apply this procedure fairly.
 To consider the advice of the Royal Borough.
 To lead in determining initial dismissal decisions (IDD) as appropriate.
 To hear appeals against dismissals as appropriate.
2.6
Rights of Headteachers/Managers/Governors
Headteachers/Managers/Governors have the following rights:
 To refer an employee to the Royal Borough's Medical Adviser for assessment.
 In appropriate cases to make contact in writing with the employee at home, or by
regular telephone contact while observing the Human Rights Act 1998. In
particular the provisions relating to respect for family life, home life and private life.
 To initiate procedures for the termination of service where the level of sickness
absence is no longer acceptable.
 To institute action under the School's disciplinary procedure where evidence
indicates that the provisions in relation to sick leave are being abused.
 To medically suspend an employee where it is believed they are unfit to work.
2. 7
Responsibilities of the Governing Body
 The Governing Body have the following responsibilities:
 To adopt a sickness management procedure and regularly review this.
 To ensure that the Headteacher carries out his/her responsibilities as outlined
in the procedure.
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 To monitor the absence of the Headteacher and ensure appropriate
procedures are applied.
 To determine the appropriate course of action when a Headteacher refers a case
when all actions taken by the Headteacher have failed to remedy the situation.
 To take account of the health of the school staff and to provide support consistent
with their medical condition and contractual entitlements and to make
reasonable adjustments where disabled (see Appendix 3).
 To take appropriate action to maintain services when absence levels become
excessive.
 To strike a balance between the School’s need for the work to be done and the
employee's need for time to recover to full health.
 To provide a healthy and safe working environment.
 To effectively control and manage the School's services through the proper
management of sickness absence.
 To consider the advice of the Royal Borough.
2.8
Rights of the Governing Body
The Governing Body have the following rights:
 To require an employee to undergo an interview or examination by the Royal
Borough’sMedical Adviser.
 To terminate an employee’s service where the level of absence is no longer
acceptable.
 To expect Headteachers/Managers to properly apply the sickness absence
procedure and to effectively manage sickness absence.
 To consider terminating an employee’s service prior to an employee
exhausting their entitlements under the sickness scheme.
 To medically suspend an employee where it is believed they are unfit to work.
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3.0
Reporting and monitoring of sickness absence
3.1.
Reporting sickness absence
Due to the unplanned nature of sickness absence it is important that
Headteachers/Managers are able to plan workloads and continue to deliver an
effective service. It is vital that absence is reported promptly so that appropriate
arrangements can be made regarding an employee’s duties.
All staff must report sickness absences in accordance with the School’s procedures for
reporting such absences. It must be remembered that if an employee fails to adhere
to the reporting instructions without adequate explanation, it could result in forfeiture
of their pay during the absence and/or disciplinary action.
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4.0
Sickness absence
4.1 Broadly speaking patterns of sickness absence usually occur in one of two
ways, namely:
 Persistent short-term absences; or
 Long periods of continuous absence.
Of course not all patterns of sickness absence fall neatly into one of these
groups. The appropriate course of action will depend on the circumstances of the
case and some flexibility of approach may be needed.
4.2 Persistent short-term sickness absence is characterised by:
 Frequent periods of intermittent absence where no underlying medical condition
has been diagnosed; or
 Frequent periods of intermittent absence caused by a number of unconnected
illnesses.
4.3 Intermittent absences caused by a number of unconnected illnesses should
be managed in accordance with the Informal Procedure and paragraphs 6.2, 6.3
and 6.4 of the Formal Procedure.
4.4 Chronic/ Long-term sickness absence is characterised by, either:
 A long period of continuous sickness, or
 Frequent periods of intermittent absence caused by an underlying medical
condition.
4.5 Absences for chronic/long-term sickness, which may include absences due to
disability (see Appendix 3), are an issue of capability. They should be managed in
accordance with the Informal Procedure and paragraph 6.5 of the Formal Procedure.
4.6Sickness absence may also occur in specific circumstances, which may
require
Managers to seek further advice from Human Resources, for example:
 In association with domestic or behavioural problems.
 As a consequence of domestic violence.
 Due to alcohol/drug misuse.
 As a consequence of the working environment.
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 Due to terminal Illness (see Appendix 11)
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5.0
INFORMAL SICKNESS ABSENCE PROCEDURE
5.1
Return-to-Work Contact
The Headteacher/Manager will, as part of their everyday supervisory responsibilities,
communicate with employees and maintain an awareness of their general welfare. In
this way sickness absence problems will be identified early and resolved in the course
of the day-to- day relationship.
When an employee returns to work the Headteacher/Manager will make contact
with the employee on their first day back, or as soon as practicable.
Irrespective of the duration of the absence, the purpose of the contact is to create an
opportunity for the Headteacher/Manager to cover the following:
 Welcome the employee back to work.
 Ensure the employee has completed a self-certification form or where appropriate,
provide a medical certificate or fit to return certificate.
 Clarify the reason for the absence and discuss any problems and/or health
concerns.
 Try and establish whether the absence is related to a disability or impairment and
discuss whether any reasonable adjustments are required.
 Try and find out if the illness is likely to recur and if further time-off will be
necessary(e.g. for treatment).
 Give the employee the opportunity to raise any other concerns relevant to their
return to work.
 Advise the employee, if relevant, of any problems arising from the absence and any
changes that may have occurred.
 Advise the employee of the School’s sickness absence and reporting procedures.
In some cases it will not be necessary to cover all the points listed above; the
Headteacher/Manager will make a sensible judgment on what points to cover.
In all cases the Headteacher/Manager will keep a record of the contact (Appendix 2 Informal Sickness Absence Monitoring form). A copy of this must be given to the
employee and the original retained on the employee’s file.
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5.2
Informal Review
Where the Headteacher/Manager believes that an employee's pattern of sickness
absence gives rise to managerial concern or, in any event, when there has been 6
working days (see clause 6.1.2 for part-time employees) sickness absence (continuous
or cumulative) in a 12- month period an informal review will be held with the
employee, normally within 2 weeks. In some cases it will not be appropriate to
conduct an informal review within these timescales for medical reasons, but in all
cases the Headteacher/Manager should provide the employee with an opportunity to
informally discuss their absence before moving to the formal stages of the
procedure.
The reference to a 12-month period does not mean that the Headteacher/Manager
has to wait twelve months before taking action.
The purpose of the informal review is to create an opportunity for the
Headteacher/Manager to:
 Discuss the reasons for the absence and any problems or health
concerns.
 Try and establish whether the absence is related to a disability or impairment and
discuss whether any reasonable adjustments are required.
 Try and find out if the illness is likely to recur and if further time-off will be
necessary(e.g. for treatment).
 Discuss any patterns of sickness absence that may have been identified.
 Discuss and identify any work or other (see clause 4.6) issues that may be
contributing to the sickness absence.
 Bring to the employee's attention the effect their absence is having on colleagues
and service delivery.
 Advise the employee of any problems arising from the absence and any changes
that may have occurred.
 Give the employee the opportunity to raise any other worries or concerns relevant
to their return to work.
 Consider whether any advice or support could be made available to assist the
employee.
 Explore and identify potential solutions.
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 Consider whether alternative options in relation to hours or working practices
would be appropriate bearing in mind the needs of the service.
 Advise the employee of their total absence due to sickness in the previous 12
months.
 Inform the employee about their sickness absence and advise them of how they
will trigger the School’s Formal Sickness Absence Procedure.
 Agree any action plan for improving attendance.
 In certain circumstances it may be appropriate to refer the employee to the
Royal Borough’s Medical Adviser.
In all cases the Headteacher/Manager will keep a record of the informal review
(Appendix 1 - Informal Sickness Absence Monitoring form). A copy of this must be given
to the employee and the original placed on the employee's personnel file.
5.3
Informal/ Formal
All cases must first be considered in accordance with the informal sickness absence
procedure prior to moving to the formal procedure below. This is so even where an
employee’s first period of sickness absence reaches 9 days in a 12-month period and
their absence would normally be reviewed in accordance with Stage 1. In such
cases Stage 1 should be carried out at an appropriate time, but normally within 6
weeks.
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6.0 Formal Sickness Absence Procedure
6.1 Introduction
The Formal Sickness Absence procedure is triggered where the Headteacher/Manager
believes that an employee’s level of sickness absence gives rise to managerial concern
or, in any event, when the employee's level of sickness absence reaches 9 working
days sickness absence (continuous or cumulative), or 4 periods of absence total more
than 6 working days, in a 12-month period.
Triggering the Formal Procedure occurs automatically, but the decision following the
review will depend on the individual circumstances and merits of the case.
In exceptional circumstances it may not be appropriate to conduct a formal
review. For example, where an employee suffers a heart attack or is undergoing an
operation and it is certified that they will be coming back to work following a
reasonable period of absence for recovery.
6.1.2 Part-time employees
Any trigger points or targets set for improvement in accordance with this procedure
shall apply equally to part-time employees. For example, a part-time employee who
works an average 2.5 hours each day over a 5-day week would have the triggers
applied for cases of chronic sickness when their absence has reached 20 days of 2.5
hours. Similarly, where a part-time employee works 3 days a week at any number
of hours each day, the trigger would be applied when their absence has reached 12
days (the actual number of hours worked in this case is irrelevant).
6.2 Stage 1:
Intermittent Absences caused by unconnected illnesses
Where the Headteacher/Manager believes that an employee’s level of sickness
absence gives rise to managerial concern or, in any event, when an employee's level
of sickness absence reaches 9 working days’ (see clause 6.1.2 for part-time
employees) sickness absence (continuous or cumulative), or 4 periods of absence
total more than 6 working days, in a 12 month period, then a meeting will be arranged
with the employee as soon as practicable.
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A trade union representative or work colleague may attend if the employee wishes.
Five working days’ notice of the meeting will be given. If the representative is not
available on the given date of the hearing the employee is entitled to propose a
reasonable alternative date, which may be up to 5 working days after the original
date. Reasonable efforts will be made to accommodate the availability of both the
representative and the manager. After this period the School is entitled to hold
the meeting irrespective of whether or not the employee attends.
The purpose of the meeting will be for the Headteacher/Manager to:
 Review the sickness absence record and previous efforts to assist the
employee.
 Consider any relevant medical information that is available and obtain further
medical information if deemed necessary by referral to the Royal Borough’s
Medical Adviser.
 Identify the impact the absence is having on the service and on colleagues.
 Discuss the reasons for absence and any information the employee has to offer (e.g.
personal, domestic, welfare issues, that the absence was connected to a disability).
 Consider the employee's explanation.
 Consider, with the employee, whether reasonable adjustments are required, which
may assist them in reducing their sickness absences (e.g. change in hours, working
arrangements, alternative or temporary duties or redeployment bearing in mind
the needs of the service).
At the meeting the potential for chronic/ long-term sickness may well be discussed. If
this is the case then the matter should be handled in accordance with clause 6.5 below.
Care should be taken to ensure that the meeting is not conducted in an adversarial
manner; this is not a disciplinary issue.
If the Headteacher/Manager decides that it is not necessary at this time to set targets
for improvement this will be confirmed in writing to the employee and they will be
advised that their attendance will continue to be monitored.
If the Headteacher/Manager decides the level of sickness absence is unsatisfactory,
and that targets are necessary, they will advise the employee:
 That they need to improve.
 The timescale during which sickness absence levels must reduce.
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 The consequences of failure to reduce their level of sickness absence i.e. a further
monitoring period will be set at Stage 2 of the procedure.
Details of setting targets for improvement are at Appendix 5.
At the end of the monitoring period the Headteacher/Manager will review the level
of sickness absence. If it is satisfactory the employee will be advised in writing and
reminded of the need to sustain their level of improvement. If it is not
satisfactory Stage 2 will be reached.
In all cases the Headteacher/Manager will keep a record of the Stage 1 Review and
a copy will be placed on the employee's personnel file. This will remain on file but
will be disregarded for the purposes of this procedure after a satisfactory period of
attendance, which will not exceed one year.
There is a right of appeal against the decision to set targets at this stage (see
Appendix6).
6.3
Stage 2:
Intermittent Absences caused by unconnected illnesses
Stage 2 is reached in the following circumstances, either:
 The sickness absence has exceeded the targets set at Stage 1,
Or
 The initial improvement achieved at the end of the monitoring period at Stage 1
has not been sustained.
A further meeting will be arranged by the Headteacher/Manager to review the
employee’s sickness absence record. The purpose is outlined at Stage 1.
Rights in relation to representation are set out in Stage 1.
If the Headteacher/Manager decides that it is not necessary at this time to set targets
for improvement this will be confirmed in writing to the employee and they will be
advised that their attendance will continue to be monitored.
If the Headteacher/Manager considers the level of sickness absence to be
unacceptable:
 A further monitoring period will be set (normally 2-3 months, but can be extended
depending on the circumstances).
 Targets for improved attendance will be set (see Appendix 5).
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
The employee will be advised that their employment is at risk (“EAR”) and failure
to reduce their level of sickness absence will result in them moving to Stage 3 of the
procedure where the decision to dismiss may be made.
In all cases the Headteacher/Manager will keep a record of the Stage 2 Review. A copy
will be placed on the employee's personnel file, but will be disregarded for the
purposes of this procedure after satisfactory attendance, which will not exceed one
year.
If the level of sickness absence is satisfactory at the end of the Stage 2 monitoring
period the employee will be advised in writing and reminded of the need to sustain
their level of improvement and that their attendance will continue to be monitored.
If it is not satisfactory Stage 3 will be reached.
There is a right of appeal against the decision to advise employees that their
employment is at risk at this stage (see Appendix 7).
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6.4
Stage 3:
Intermittent Absences caused by unconnected illnesses
Stage 3 is reached when:
 The employee's sickness absence level fails to improve to meet the targets set at
Stage 2.
Or
 The initial improvement achieved at the end of the monitoring period at Stage 2
has not been sustained.
In these circumstances the employee must be referred to the Medical Adviser for a
report to be provided to the Headteacher/Manager (see Appendix 4).
In the light of the medical report, which should normally be no more than 6 weeks old,
a decision will be made on how to proceed. Options may include:
 Consideration of any recommendations the Medical Adviser may make in relation
to reasonable adjustments, redeployment or ill health retirement
 No further action at this time, but continued monitoring of attendance levels.
 A further meeting being arranged by the Headteacher/Governors, at an appropriate
time(normally within 2-3 months), to consider dismissal on absence grounds (see
Appendix 8).
The meeting at Stage 3 can be chaired by the Headteacher, if they have delegated
responsibility to dismiss. Where the Headteacher does not have delegated
responsibility to dismiss the meeting will be chaired by a Panel of Governors
(Appendix 1).
If dismissed an employee’s appeal rights will be in accordance with Appendix 9.
6.5
Chronic/ Long-Term Sickness or Intermittent Absences caused by an
underlying medical condition
The case of an employee on continuous chronic/long-term sickness absence should be
regularly reviewed and be approached in a sensitive yet practical way. Absences for
chronic/long-term sickness may be due to a disability and will require special
consideration (see Appendix 3).
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The potential for chronic/ long-term sickness absence may well be identified at Stage 1
when the case is reviewed after 9 working days’ continuous sickness absence having
occurred. Where an employee’s sickness absence has reached 20 working days (see
clause 6.1.2 for part-time employees) in a 12 month period then at an appropriate
stage, but normally within
2-3 months, the Headteacher/Manager shall make an assessment of the position
based on the following factors:
 The nature of the illness and any medical information available.
 The likely length of the continuing absence.
 The need for the employee to carry out their work, for which they are engaged.
 Any other relevant circumstances, e.g. domestic violence must be treated with
appropriate sensitivity.
 Whether the School/Department can continue to cope with the employee’s
absence and, if so, for how much longer?
In order to come to a reasonable decision on the merits of the case the
Headteacher/Manager will need to have information about the medical prognosis.
This will require the employee to be referred to the Royal Borough’s Medical Adviser
for assessment.
On receipt of the medical assessment a copy will be sent to the employee. The case
will then be reviewed in light of the medical information, the ongoing impact on
service delivery and other factors set out above. The employee will be required to
meet with the Headteacher/Manager to discuss the situation and any options that may
be available, for example:
 Any adjustments that can be made to job duties/hours/etc., or other support if the
employee can return to work.
 Any recommendation from the Royal Borough’s Medical Adviser of redeployment.
 Any recommendation from the Royal Borough’s Medical Adviser of ill-health
retirement.
 Any phased return (see Appendix 10) to work where this is supported by medical
advice or is appropriate in the Headteacher’s/Manager’s opinion for a substantial
reason.
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It is important at this stage that the employee understands the serious concern, which
exists about the length of sickness absence and is given reasonable opportunity to
discuss with the Headteacher/Manager any factors or personal circumstances, which
they would like taken into account in the overall assessment.
If the Headteacher/Manager decides, in light of all the information, that it is not
reasonably practicable to wait any longer for the employee to return, a letter will be
sent advising the employee that their employment is at risk and failure to reduce their
level of sickness absence will result in the decision to dismiss being considered at a
formal meeting.
The EAR letter will be placed on the employee’s file, but will be disregarded for the
purposes of this procedure after a satisfactory period of attendance, which will not
exceed 3 years.
There is a right of appeal against the decision to advise employees that their
employment is at risk at this stage (see Appendix 7).
The Headteacher/Governors will arrange a further meeting at an appropriate time
(normally within 2-3 months), to consider dismissal on absence grounds (see Appendix
8).
The meeting at Stage 3 can be chaired by the Headteacher, if they have delegated
responsibility to dismiss. Where the Headteacher does not have delegated
responsibility to dismiss the meeting will be chaired by a Panel of Governors.
If dismissed an employee’s appeal rights will be in accordance with Appendix 9.
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7.0 Other related issues
7.1
Sick Pay
The Royal Borough operates a sick pay scheme in accordance with the provisions
of the National Agreements.
Nothing in that scheme prevents the School/Royal Borough from considering
terminating an employee’s service due to sickness absence prior to an employee
exhausting their entitlements. Any decision to terminate an employee’s service prior
to sick pay entitlements being exhausted will need to take into account the overall
fairness.
7.2
Ill Health Retirement/Redeployment/Pension
The action to be taken in the event that medical advice recommends ill health
retirement, or redeployment, is set out at Appendix 12 together with the employee’s
entitlements in these circumstances.
7.3
Absence due to Pregnancy
This procedure does not apply to sickness absence as a consequence of pregnancy,
from the time of conception up to the conclusion of the statutory/contractual
maternity leave period.
Sickness absence that occurs after that period is covered by this procedure and should
be managed accordingly.
Employees are entitled to paid time off for antenatal care.
7.4
Industrial Injury
The Royal Borough operates a separate Industrial Injury Scheme. Where the
Headteacher/Manager believes that an employee's level of industrial injury absence
gives rise to managerial concern action should be taken in accordance with the
principles of this procedure.
Absences due to sickness and industrial injury are separate for pay purposes. They
must be recorded as one or the other and the employee will be entitled to
either sick pay or industrial injury pay, not both.
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7.5
Probationers/ Other Employees with less than 26 Weeks’ Service
During the period of probation an employee’s work performance and conduct are
assessed, in order that a decision may be taken concerning the employee’s suitability
for permanent employment. One of these considerations is the employee’s
attendance record, and it should be clearly understood that there is nothing
improper about terminating an employee during his/her probationary period because
of unsatisfactory attendance record.
Equally it should be appreciated that there is nothing unlawful in terminating an
employee’s employment whilst he/ she is on sick leave.
Obviously the Headteacher/Manager must ensure that the dismissal is ‘fair’ and that all
of the procedures for probationary periods have been observed.
Similarly, the
Headteacher/Manager must examine each case ‘in the round’ and ensure that they
are not being excessively harsh.
In particular, the manager will have regard to the nature and frequency of the
illness. The Headteacher/Manager, where appropriate, should consult Schools’ HR
where dismissal is being considered.
7.6
Employees who in the School’s opinion are unfit to work due to sickness
The School has a duty under Health and Safety legislation to take appropriate action
where there is a belief that an employee is unfit to work.
If the Headteacher/Manager believes that an employee is unfit to work they will first
discuss the matter with the employee and encourage them to absent themselves on
the grounds of sickness and to seek medical advice if appropriate.
If an employee refuses then they should be placed on medical suspension and
arrangements should be made for the employee to be interviewed or examined
urgently by the Royal Borough’s Medical Adviser. If the Medical Adviser, or the
employee’s own Medical Adviser confirms that the employee is unfit then the period
of absence will be treated as sickness.
If the advice of the Royal Borough’s Medical Adviser conflicts significantly with the
opinion of the employee’s own Medical Adviser then the employee should be
interviewed or examined by an independent Medical Referee (see Appendix 4).
If the Royal Borough’s Medical Adviser does not confirm that the employee is unfit
then the period of absence will be regarded as special leave.
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7.7
Absence for Medical/Dental and Cancer Screening appointments
Time off for Medical/Dental and Cancer screening appointments
Staff attending medical appointments (doctor, dentist, optician, hospital etc) should
normally do so in their own time.
In some cases, it is difficult to arrange appointments outside normal working hours
and is therefore reasonable in such cases to allow time off work, subject to service
considerations. Where possible, staff should make appointments at times that
minimises disruption to service delivery e.g. taking time off at either the beginning
or end of your normal working day or during the lunch period, using flexi-leave, TOIL
or annual leave. In exceptional circumstances where an employee requires urgent
treatment and has no choice about when an appointment can be made, paid time off
may be given and this will be recorded as medical appointment under the sickness
absence reporting arrangements.
Staff requesting time off may be required by their manager to produce an
appointment document confirming details of the appointment.
Pregnant employees have the right to paid time off for antenatal care appointments;
see maternity policy for further information.
Treatment for Underlying Medical Conditions
For staff who need to undergo regular treatment for an underlying medical condition,
appointments during working hours should be accounted for as above (see below for
employees with disabilities). In some cases a temporary adjustment of the
employee’s contractual hours may be appropriate. Each case will be treated on its
merits and much will depend on the individual circumstances and the nature of the
treatment. Arrangements should be discussed and agreed, in advance between the
individual and his/her line manager.
Cancer Screening
Employees are entitled to paid time off for cancer screening. In the event that
cancer is diagnosed absence will be monitored in accordance with the sickness
procedure.
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Employees with Disabilities
Same rules apply as above however, as defined by the Equality Act 2010 paid time off
for medical appointments linked to their disability will be treated as a reasonable
adjustment and monitored in accordance with the sickness procedure. This may be
taken into consideration when taking action, if appointments are frequent, ongoing
and /or are having an impact on the service.
Accurate recording and monitoring record as medical appointments where paid time
off is granted is essential not only in terms of good management practice but also in
demonstrating reasonable adjustments taken in respect of disabled employees.
7.8
Dealing with Specific Situations
7.8.1 Low Volume Sickness in Association with Domestic or Behavioural Problems
When the Headteacher/Manager becomes aware that an individual is experiencing
particular domestic or behavioural problems, consideration should be given to
whether any assistance can be offered to the employee. For example, a person’s
domestic problems may be alleviated by a temporary (or permanent) adjustment
to working hours, temporary relocation etc where this is practicable and possible.
Behavioural problems at work may include poor performance, changes in personality,
irritability, slurred speech, impaired concentration and memory, deterioration in
personal hygiene, anxiety and depression. These may be indicative that the
employee has a special health problem (such as those possibly associated with
alcohol, drug abuse or mental illness), and consideration should be given to
introducing measure to help the employees and encourage them to seek treatment.
The Headteacher/Manager may wish to discuss the details of the case with Schools’
HR Team before taking action.
Where a Headteacher/Manager thinks that sickness absence may be due to the
employee experiencing domestic violence it is essential that the issue is treated with
sensitivity.
The Headteacher/Manager should be aware of the sources of advice and support
available to people experiencing domestic violence and should give the employee the
opportunity of talking with someone who is able to provide specialist support and
provide details of the Royal Borough’s Employment Assistant Programme.
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7.8.2
Absence due to Alcohol or Drug Abuse
Where a Headteacher/Manager thinks that sickness absence may be due to alcohol
or drug related problems, it is essential that the issue is tackled in a sensitive and
supportive way.
The Headteacher/Manager may wish to consult Schools’ HR Team before an
approach is made to the employee and there may be a need to liaise with the Royal
Borough’s Medical Adviser to seek advice about expert counselling.
Attention is drawn to the Royal Borough’s “Workplace Alcohol Policy” which can be
provided by Human Resources.
7.8.3
Absence as a Consequence of the Working Environment
Where a Headteacher/Manager believes that employee absence is related to the
working environment then he/she may wish to discuss, where appropriate, the issue
with Schools’ HR Team in the first instance and seek assistance from the Medical
Adviser if appropriate. This includes absences related to changes at work, volume,
changes to responsibilities, working practices etc.
The control of work related ill-health is an essential part of sickness absence
management and the provision of a healthy and safe working environment is not only
necessary to comply with the law but is also essential in contributing to an efficient
and economic workforce by ensuring their health and safety (refer to paragraph 1.3
about prevention).
The working environment should not only be considered in terms of physical
aspects but also in terms of organisational influences as well.
Factors such as poor management, role ambiguity, work overload and unsatisfactory
arrangements for hours of work and shifts can all be detrimental to the health of the
workforce and will therefore have an adverse effect on efficiency.
It is essential that any evidence of work-related ill-health is investigated fully and that
any necessary remedial action is taken. Failure to do so could lead to School/Royal
Borough and individual employees (including managers) being prosecuted under the
Health and Safety at Work Act.
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Appendix 1 (A1)
School Staffing Regulations 2003
Delegation to Headteacher of staff appointments and dismissals
1.1
The governing body has the overall responsibility for all staff
appointments and dismissals in its school. With the exception of the
appointment of heads and deputies and the dismissal of heads, where
different arrangements apply (see section 2 below), it may delegate these
responsibilities to the Headteacher, an individual governor, or a group of
governors with or without the Headteacher.
1.2
Headteachers will normally be expected to lead in determining staff
appointments outside the leadership group and all initial staff dismissal
decisions (with the exception of the head teacher). Appeals against dismissal
should be heard by governors. Therefore, other than in exceptional
circumstances (outlined below in 1.3), the governing body should delegate the
responsibility for these matters to the Headteacher. The Headteacher may
involve other governors in selection or dismissal processes, for example in
interviewing candidates and consulting on their suitability or in hearing
representations at a dismissal hearing, but the final decision should be the
Headteacher’s. No governors involved in a dismissal process should be used to
hear the appeal against that dismissal.
1.3
In certain circumstances, outlined below, the governing body may consider
applying alternative arrangements, which may include decisions being made
by an individual governor or a group of governors with or without the
Headteacher. If an alternative arrangement is decided, the Headteacher has a
right to attend to offer advice. The circumstances are as follows:
 A Headteacher who is unwilling to perform these functions and whose previous
history of service at the school did not include any such responsibilities. This gives
an existing Headteacher the option of preserving their current working
arrangements, but when the governing body considers a new appointment for the
Headteacher post the normal expectation for the Headteacher to undertake these
responsibilities should apply.
 Where the Headteacher has been directly involved in sickness procedures leading
to dismissal, has instigated a proposal to dismiss, or is a witness of particular
conduct giving grounds for the dismissal in question. The arrangements for
delegating initial dismissal decisions will therefore need to be considered on a case
by case basis in the light of circumstances.
 Where the governing body of a school with a religious character has agreed
staffing policies which provide for governor involvement in the interests of
preserving the school’s religious character.
 Appointments of support staff outside the leadership group who are required to
act in a senior management capacity. This ensures that the governing body may
also lead in the appointment of support staff with senior management
responsibilities.
 Where the LA has made representations to the chair of the governing body
on grounds of serious concerns about the performance of the Headteacher.
 Where the Headteacher has failed to abide by financial limits agreed by the
governing body for any school purpose.
1.4
The governing body should review, at least annually or otherwise where
necessary, the continuation of any circumstances where the Headteacher
does not lead on these staffing matters because of concerns about their
conduct or performance (i.e. the final three indents above). Where a
Headteacher is on long-term sick leave, secondment or some other long-term
absence, the governing body should consider whether it is appropriate to pass
delegated responsibility to the person acting in the Headteacher’s place. The
Head should have an opportunity to make representations on any decisions to
discontinue or continue delegated responsibility.
1.5
Where the Headteacher is exercising delegated responsibility, this cannot be
delegated on to another person by the Headteacher.
Recording Form Appendix 2
Royal Borough of Greenwich
Return to Work/Informal Sickness Absence Monitoring Form
Confidential
Section I: Employee Details
Name of Employee
Payroll No
Job Title
School
Section 2: Details of Review
Headteacher/Manager Conducting Review:
Please indicate the type of review by ticking the
appropriate box below:
Return to Work Contact
(see section 3) θ
Informal Review
(see section 4) θ
Section 3: Return to Work Contact
Please indicate in the following:
- Beginning and end of sickness dates
- Number of days absent from work
- Reason of Absence
Section 4: Informal Reviews
Please indicate the following:
- Number of Sickness Days over last year
- Number of Occurrences over last year
- Reasons for absence over last year
Section 5: Notes of Discussion & Expectations
Did you remember to:
• State the purpose &
importance of
discussion
• Identify impact of
situation (effect on
department, service
users, etc.)
• Focus on needed
outcomes (action plan)
• Uncover causes,
concerns
Explore needed
resources/support
Please note: If there is not enough space available please continue on reverse of form
Outcome/Action Required:
Signature of Headteacher/Manager
Date
Signature of Employee
Once complete, please send a copy to the Schools’ HR Team
Appendix 3 (A3)
DEALING WITH ABSENCE DUE TO AN EMPLOYEE’S DISABILITY
1.0
Introduction
Employees with disabilities may be reluctant to inform their Headteacher/Manager of
their disability. Where the Headteacher/Manager is aware that an employee may
have a disability they should make every effort to overcome this reluctance and
demonstrate to the employee that they will be treated in accordance with the
legislation, which has been introduced to protect their interests.
The Headteacher/Manager can only be expected to deal with issues relating to a
disability if they are aware of the nature and extent of that disability.
If the employee wishes to discuss their disability initially with someone other
than theHeadteacher/Manager, they may be referred to the School’s HR Officer.
It is also important that the Headteacher/Manager recognises the need to
discuss such matters with their HR Adviser or other specialist adviser in appropriate
cases.
2.0
The Law
 The Disability Discrimination Act 1995, gives rights to disabled employees:
 The right not to be unjustifiably discriminated against, and
 The right to have reasonable adjustments made in the work place.
 An employer discriminates against a disabled person if:
 For a reason which relates to the person’s disability, he treats them less favourably
than he treats, or would treat, others to whom that reason does not or would not
apply, or
 For a reason that relates to a person’s disability, the employer fails to make
reasonable adjustments to the job when dealing with matters relating to the
person’s employment.
Disability is defined as “a physical or mental impairment, which has a substantial
and long- term adverse effect on his or her ability to carry out normal day-to-day
activities”.
Physical impairments include sensory impairment. Mental illnesses will be covered,
provided that they are clinically well recognised.
There are certain exclusions, including:
 Drug, alcohol, smoking addictions;
 Personality disorders;
 Hay fever;
 Deliberately acquired disfigurements;Appendix 3 (A3)
“Long-term” means that the effect has lasted or is likely to last at least 12 months or
for the rest of the person’s life, if shorter. Progressive conditions are covered provided
that they do have an adverse effect on the person’s ability to carry out normal day-today activities, even if this adverse effect is not substantial.
The Act lists the normal day-to-day activities, which are covered:
 Mobility;
 Manual dexterity;
 Physical co-ordination;
 Continence;
 Ability to lift, carry or otherwise move every day objects;
 Speech, hearing or eyesight;
 Memory or ability to concentrate, learn or understand;
 Perception of the risk of physical danger
3.0
The Employer’s Obligations
The Employer is under an obligation to make arrangements for a disabled person if a
physical feature of the Employer’s premises, or any arrangements made by or on
behalf of the Employer, place the disabled person concerned at a substantial
disadvantage in comparison with persons who are not disabled. It is a duty of the
Employer to take such steps as are reasonable, in all the circumstances of the case,
in order to prevent the arrangement or feature having that effect.
Considerations for the determining what adjustments would be reasonable include
the:
 Extent to which taking the step would prevent the effect in question;
 Extent to which it is practical for the Employer to take the steps;
 Financial and other costs which have been incurred by the Employer in taking the
steps;
 Extent to which taking the step would disrupt any of the Employer’s activities;
 Extent of the Employer’s financial and other resources;
 Availability to the Employer of financial or other assistance in respect of taking the
steps. Examples of steps the Employer may have to take:
 Adjustment to premises;
 Allocating some duties to another person;
 Transferring to an existing vacancy;
 Altering working hours;
 Assigning to a different place of work;
 Allowing absences during working hours for rehabilitation, assessment or 
treatment;
 Training a disabled person;
 Acquiring or modifying equipment;
 Providing a reader or interpreter.
Appendix 3 (A3)
A person with a disability will not necessarily have a higher level of sickness absence
than an able-bodied employee. The Headteacher/Manager should not assume that
disabled employees would be absent more often than other employees. However,
some of the absence experienced by disabled employees may be associated with
rehabilitation, assessment or treatment of the disability (e.g. regular hospital
treatment) or training in matters related to the disability (e.g. use of special aids).
Such absences should be recorded as sickness and monitored.
All of this absence is to be treated as a reasonable adjustment where associated with
rehabilitation, assessment or treatment provided that the level of absence is
commensurate with the nature of, and directly related to, the disability and
reasonable in relation to the financial cost, effect on service and proper
arrangements being made to accommodate it as far as is reasonable. Such allowed
absence should be disregarded when consideration is given to taking action under this
procedure.
Appendix 4 (A4)
Referrals to the Royal Borough’s Medical Adviser/Conflict of Opinion
Referrals
1. All employees must be informed if a decision is made to refer them to the
Royal Borough’s Medical Adviser, preferably in person followed by a letter. A copy of
the referral letter should be given to the employee.
2. When referring an employee to the Royal Borough's Medical Adviser the following
information should be provided (at least on the first occasion) on the Occupational
Health Referral Form
(i) Date of birth.
(ii) Name.
(iii) Home address.
(iv) The employing department.
(v) Post designation (enclose Job Description and Person Specification where
applicable).
3. Depending on the circumstances the following information should be included under
the heading‘Headteacher/Managers concern’:
(i) Absence record (and reasons) for at least the previous 12 months.
(ii) Details of relevant features of work e.g. heavy lifting, shift work. (iii) Details of
behaviour/work performance.
4. The Medical Adviser should be asked specific questions, for example:
(i)The likely return to work date or any other alternative employment?
(ii) The likelihood of fulfilling the duties and responsibilities of the post in the future?
(iii) Whether there is an underlying medical condition, and whether this is likely to lead
to a high level of sickness?
(iv) Whether the employee is permanently unfit to undertake the duties of their post or
any other comparable post?
(v) If the employee is permanently unfit to undertake the duties of their current post or
any other comparable employment what other duties if any can they undertake
commensurate with their medical condition (please specify the nature of the other
duties)?
(vi) Whether the employee is disabled within the provisions of the Disability
Discrimination Act 1995?
vii) What is the likelihood of the effect of the impairment on normal day-to-day
activities continuing and for how long?
(viii) What reasonable adjustments should be considered to facilitate their return to work?
Appendix 4 (A4)
(ix) Whether a change of job should be considered, whether it should be on a
temporary or permanent basis and what reasonable adjustments should be
considered?
5. The Medical Adviser should also be informed if the matter has reached the stage
immediately prior to terminating an employee’s service on absence grounds.
6. The Medical Adviser's report (a copy of which shall be given to the
employee) will normally indicate one of the following:
(i)
There is no obvious underlying medical condition and the case should be
dealt with by 'management action'.
(ii)
There is an underlying medical condition:
a) Which will improve at some future point in time.
b).Which leads the Medical Adviser to recommend that the School consider
amending the duties of the post to 'light' duties, or temporary/permanent
redeployment.
c) Which makes the employee permanently incapable of carrying out the
duties of their current post.
d) Which makes the employee permanently incapable of carrying out the
duties of their current post but where the Medical Adviser considers
redeployment to a post commensurate with their medical condition would
offer comparable employment.
e) Which makes the employee permanently unfit to undertake any job in the
School and should therefore be retired on the grounds of ill health.
f) Which is a disability within the meaning of the Disability Discrimination Act
1995 and indicating such reasonable adjustments to the job considered
appropriate.
(iii)
In the case of 5ii(a) and (b) the Medical Adviser may recommend no action
being taken at that point in time and that they wish to review the case in say 3
or 4 months time.
7. Where termination of service on the grounds of absence is considered the
Medical Adviser’s report should normally be no more than six weeks old.
8. The key elements of the Medical Adviser's advice will be, firstly, whether there is a
serious underlying medical condition, which explains absences from, and/or behaviour
at work; secondly, what the future prospects are for improvement. The Medical
Adviser will give a view based very much on individual circumstances and a
judgement and action to follow will need to be made by the Headteacher/Manager
based on that advice.
Appendix 4 (A4)
CONFLICT BETWEEN THE ROYAL BOROUGH’S MEDICAL ADVISER AND
EMPLOYEE’S GP
9. Where there is a clear conflict of medical opinion between the Royal Borough’s
Medical Adviser and the employee's own doctor, an independent medical opinion
will be sought. Agreement should be reached between the School and the employee
(or their representative) as to the person to be appointed as an independent Medical
Referee.
10. The Royal Borough’s Medical Adviser will put forward the names of two(where
possible) Physicians from the ‘Handbook of the Society of Occupational Medicine’
who have the appropriate qualifications and experience. This will take into account,
where appropriate, the need to use a Medical Referee who has particular
experience in dealing with certain medical issues.
11. If the employee proposes the use of a different Medical Referee, the department
should seek the advice of the Royal Borough’s Medical Adviser on the
appropriateness of the person suggested.
12. The School should obtain written agreement from the employee on the Medical
Referee to be used prior to referring the matter. The employee should be invited to
submit his or her own medical reports for consideration by the Medical Referee.
13. If agreement has not been reached between the School and the employee (or their
representative) as to the person to be appointed as a Referee a second opinion
will be sought from one of the Physicians recommended by the Royal Borough’s
Medical Adviser.
14. A copy of the Independent Medical Referee’s report shall be given to the
employee unless the Royal Borough’s Medical Adviser advises otherwise.
15. The Independent Medical Referee’s opinion is binding on both parties.
16. The cost of referring a case to an Independent Medical Referee will be met
by the School.
Appendix 5 (A5)
SETTING TARGETS
1.0
Introduction
The aim of setting targets is to focus an employee’s mind. They should be achievable
and linked to any support and assistance offered to the employee and should reflect
the employee’s personal circumstances. By setting targets it is hoped that there will
be an improvement in employee’s sickness absence levels as employees take personal
responsibility for their attendance.
2.0
Targets
Each case will be judged according to the particular circumstances, but normally it
will be considered against the following targets:
 The employee should have no more than 4 working days sickness absence during
the initial 3-month monitoring period, and
 The employee should have an acceptable level of attendance for each consecutive 3
month monitoring period.
Where there is a sound reason for doing so the Headteacher/Manager may set a
different target after consulting with their HR Adviser and such decision should take
account of relevant factors, which may include:
 The reason for the sickness.
 The volume of the sickness.
 Any previous action or targets set.
 The length of service of the employee.
 The employee’s sickness record during previous years.
 Other relevant absence.
 Whether an employee has a disability and whether reasonable adjustments have
been made or are to be made.
 The needs of the School to be able to deliver an effective and efficient service.
It is important to stress that two employees with similar levels of absence may not
necessarily receive the same targets for improvement. Obviously there may be
circumstances which persuade management to deviate from the set targets, or
which will dictate a certain type of target being set. The fairness in this procedure is
that management must examine each case against the same criteria when applying
decisions or taking action.
Appendix 6 (A6)
APPEAL AGAINST DECISION TO SET TARGETS
All employees who have been set targets, in accordance with these procedures
have the right of appeal against the decision. If the targets are given by the
Headteacher the employee has the right of appeal to a Governing Body Appeals
Committee. If the targets are given by a Manager, who is not the Headteacher, the
employee has the right of appeal to the Headteacher.
Right of Appeal
1. There is a right of appeal to the Headteacher/Governing Body Appeals
Committee against any decision by the Headteacher/Manager to set targets for
improvement.
2. Appeals must be lodged within 10 working days of the date of the decision to set
targets for improvement.
3. The reason for appealing must be explained in writing and must relate to one of the
following grounds:
(i)
Unreasonable decision to set targets.
(ii)
Unreasonable decision to set targets in light of relevant medical information.
(ii)
Unreasonable decision in light of the personal information provided by the
employee.
4. Medical information from the employee’s Medical Adviser simply stating the
employee is too sick to work, or similarly vague medical opinions, will not be
considered relevant medical information and therefore are not an allowable ground
for appeal.
5. The appeal will normally be heard within 20 working days of it being lodged, but in
any event as soon as is reasonably practicable.
6. HR may attend all appeals to assist the Headteacher/Governing Body Appeals
Committee in the conduct of the proceedings and to provide them with
independent advice in their deliberations.
7. The employee will be given at least 5 working days’ notice in writing of the hearing
and will also be advised of the date, time and place, and of their right to be
accompanied by a trade union representative, or a work colleague, and to call
witnesses.
8. It is not intended that the appeal will constitute a re-hearing of the case and the
concept of an adversarial hearing at this stage should be avoided: this is not a
disciplinary issue. However the appeal does need to be structured in order that
management can set out all the relevant information and the employee has a full
opportunity to put forward their case. Appendix 6 (A6)
Procedure at hearing
9. The hearing of the appeal will proceed as follows:
a. The Headteacher/Governing Body Appeals Committee will establish that the
employee is aware of their rights to representation and to call witnesses if desired.
b. If the employee is a trade union official, the Headteacher/Governing Body Appeals
Committee will also establish whether the circumstances of the case have been
discussed with a full time official of the Union concerned and HR.
c. The employee will submit their case in the presence of the Headteacher/Manager
and call any witnesses to give evidence and/or produce any necessary documentary
evidence in support of the case.
d. The Headteacher/Manager shall be given the opportunity to ask questions of the
employee and witnesses.
e. The Headteacher/Governing Body Appeals Committee and HR may ask questions
of the employee and witnesses.
f. Any witnesses shall withdraw after giving evidence and answering any questions
put to them.
g. The Headteacher/Manager will submit their case in the presence of the employee
and shall call any witnesses to give evidence and/or produce any necessary
documentary evidence in support of the case.
h. The employee shall be given the opportunity to ask questions of the
Headteacher/Manager and witnesses.
i. The Headteacher/Governing Body Appeals Committee and HR may ask questions
of the Headteacher/Manager and witnesses.
j. Any witnesses shall withdraw after giving evidence and answering any questions
put to them.
k. The Headteacher/Manager and the employee may sum up their cases if they so
wish. The employee has the right to sum up last.
l. The Headteacher/Manager and the employee may be asked to withdraw whilst the
Headteacher/Governing Body Appeals Committee considers the case. If any recall is
desired to clarify points of uncertainty, both parties will be asked to return.
m. Headteacher/Governing Body Appeals Committee may, decide:
(i) That the appeal is not upheld, and the Headteacher/Manager's decision be
confirmed.Appendix 6 (A6)
(ii) That the appeal is upheld. In these circumstances the Headteacher/Governing
Body Appeals Committee will decide on the course of action to be taken by the
Headteacher/Manager.
n. Where appropriate both parties shall be recalled and notified of
the Headteacher/Governing Body Appeals Committee’s decision.
o. The decision of the Headteacher/Governing Body Appeals Committee, which shall
be final, shall be conveyed to both parties in writing by the School.
Appendix 7 (A7)
APPEAL AGAINST DECISION TO ADVISE EMPLOYEE THAT EMPLOYMENT IS
AT RISK ON ABSENCE GROUNDS
Note: Any reference to Headteacher, Manager, HR or employee in the procedures
below shall be construed as relating equally to other persons authorised to act on their
behalf.
All employees who have been issued with an Employment at Risk, in accordance with
these procedures have the right of appeal against the decision. If the Employment at
Risk is given by the Headteacher the employee has the right of appeal to a Governing
Body Appeals Committee. If the Employment at Risk is given by a Manager, who is
not the Headteacher the employee has the right of appeal to the Headteacher.
Right of Appeal
1. There is a right of appeal to an Appeals Committee against any decision by a
Headteacher/ Manager to advise an employee that their employment is at risk on
absence grounds.
2. Appeals must be lodged within 10 working days of the date of the decision.
3. The reason for appealing must be explained in writing and must relate to one of the
following grounds:
(i)
Unreasonable decision in the light of relevant medical information.
(ii)
Unreasonable decision in the light of personal information provided
the employee.
4. Medical information from the employee’s Medical Adviser simply stating that the
employee is too sick to work, or similarly vague opinions, will not be considered
relevant medical information and therefore are not an allowable ground for appeal.
5. The appeal will normally be heard within 30 working days of it being lodged, but in
any event as soon as is reasonably practicable.
6. Arrangements for the appeal will be made by the School.
7. HR will attend all appeals to assist the Appeals Committee in the conduct of the
proceedings and to provide them with independent advice in their deliberations.
8. The employee will be given at least 5 working days’ notice in writing of the
hearing and will also be advised of the date, time and place, and of their right to be
accompanied by a trade union representative, or a work colleague, to call witnesses.
9. It is not intended that the appeal will constitute a re-hearing of the case and the
concept of an adversarial hearing at this stage should be avoided: this is not a
disciplinary issue. However the appeal does need to be structured in order that
management can set out all the relevant information and the employee has a full
opportunity to put forward their case.
Procedure at hearing
11. The hearing of the appeal will proceed as follows:
(a) The Appeals Committee will establish that the employee is aware of their rights to
representation and to call witnesses if desired.
(b) If the employee is a trade union official, the Appeals Committee will also
establish whether the circumstances of the case have been discussed with a full time
official of the Union concerned and HR.
(c) The employee will submit their case in the presence of the Headteacher/Manager
and call any witnesses to give evidence and/or produce any necessary documentary
evidence in support of the case.
(d) The Headteacher/Manager shall be given the opportunity to ask questions of
the employee and witnesses.
(e) The Appeals Committee and HR may ask questions of the employee and witnesses.
(f) Any witnesses shall withdraw after giving evidence and answering any questions
put to them.
(g) The Headteacher/Manager will submit their case in the presence of the
employee and shall call any witnesses to give evidence and/or produce any
necessary documentary evidence in support of the case.
(h) The employee shall be given the opportunity to ask questions of
the Headteacher/Manager and witnesses.
(i) The Appeals Committee and HR may ask questions of the
Headteacher/Manager and witnesses.
(j) Any witnesses shall withdraw after giving evidence and answering any questions
put to them.
(k) The Headteacher/Manager and the employee may sum up their cases if they so
wish. The employee has the right to sum up last.
(l) The Headteacher/Manager and the employee will be asked to withdraw
whilst the Appeals Committee considers the case. If any recall is desired to clarify
points of uncertainty, both parties will be asked to return.
(m) The Appeals Committee may, decide:
(i) That the appeal is not upheld, and the Headteacher/Manager's decision be
confirmed.
(ii) That the appeal is upheld. In these circumstances the Appeals
Committee will decide on the course of action to be taken by the
Headteacher/Manager.
(n)Where appropriate both parties shall be recalled and notified of the Appeals
Committee's decision.
(o) The decision of the Appeals Committee, which shall be final, shall be conveyed
to both parties in writing by the School.
Appendix 8 (A8)
FORMAL MEETING TO CONSIDER DISMISSAL ON SICKNESS ABSENCE
GROUNDS
1. The purpose of this meeting is to consider the inability or failure of the employee to
undertake the duties of the post by virtue of prolonged or repeated absence,
certified or self-certified as sickness absence.
The procedure set out in Appendix 8 will also be used as a guide for meetings where
the dismissal is being considered following advice from the Royal Borough’s Medical
Adviser that the employee is permanently unfit. Under the Dispute Resolution
Regulations introduced in 2004 all employees are now required to be dealt with under
the minimum 3-step procedure as set out below.
In all cases the School must follow the” 3 step procedure” as set out under legislation
. The “3 step procedures” are:
 Step 1: A letter is written to the employee setting out the grounds of action and an
invitation to a meeting
 Step 2: A meeting held with reasonable warning and time to prepare, which
the employee must take reasonable steps to attend; after the meeting a decision
must be given and the employee given the right to appeal
 Step 3: The employee must inform the employer if he/she wishes to appeal
against the decision to dismiss in which case a more senior manager should hear
the appeal and inform the employee of the decision.
2. The employee will be advised in writing, giving 5 working days notice, of:
(i) The date, time and place of the meeting and of their right to be accompanied by a
trade union representative or a work colleague.
(ii) The reasons for the meeting (to consider dismissal on absence grounds).
(iii) Any previous action taken at earlier stages of the procedure to assist the
employee in reducing their level of sickness absence.
(iv) The impact their absence is having on their work, their colleagues and the service.
(v) The current medical report from the Royal Borough's Medical Adviser.
(vi)Their right to submit their own medical report, which will be provided in advance
of the meeting.
3. If the employee chooses not to attend, or is unable to attend they may, in advance,
submit written representations (or rely on representation by a trade union
representative or a work colleague) in response to the information provided by
management.
4. The concept of an adversarial hearing at this stage should be avoided: this is not a
disciplinary issue. However, the meeting does need to be structured in order that
management can set out all the relevant information and the employee/
representative has a full opportunity to respond and set out the information they wish
taken into account in the final decision.
5. The Headteacher/Manager should discuss the absences and attempt to identify
any particular problems or difficulties, which the employee might be experiencing. In
the case of disabled employees the Headteacher/Manager should give particular
consideration to whether reasonable adjustments have or can be made to reduce
the level of absence or whether any of the absence is in itself a reasonable
adjustment.
6. The Headteacher/Manager must also consider relevant factors:
 The nature of the illness giving rise to the latest absence;
 The likelihood of it recurring or some other illness arising;
 The length of the various absences and the spaces of good health in between;
 The employer’s need for the work to be done by the particular employee;
 The impact of the absences on others who work with the employee;
 The extent to which the sickness absence procedure has been complied with;
 The employee’s attendance history and length of service;
 Whether the employee has exhausted their entitlements;
 The extent to which the difficulty of the situation and the position of the School has
been made clear to the employee so that the employee realises that the point
of no return has been reached; and
 In the case of the Royal Borough’s Medical Adviser’s recommendation that the
employee is permanently unfit, whether redeployment is available (if appropriate).
7. At the conclusion of the meeting the Headteacher/Manager, in conjunction with
Human Resources will consider all the circumstances of the case and decide on
an appropriate course of action, which may include:
 No action being taken and the case will kept under review for a set period of time.
 The matter is referred back to the Royal Borough's Medical Adviser.Appendix 8 (A8)
 The employee is encouraged to seek medical advice/specialist assistance.
 Assistance is provided to the employee by way of changing
hours/duties/location/working environment/volume or nature of work etc.
 The employee is dismissed (with appropriate notice) from the Royal Borough's
service.
8. If the Headteacher/Manager decides, in conjunction with HR that the employee
should be dismissed then the employee should be advised at the conclusion of the
meeting. A letter should later be sent to confirming the decision and advising the
employee of their rights of appeal
Appendix 9 (A9)
APPEAL AGAINST DECISION TO DISMISS EMPLOYEE ON SICKNESS ABSENCE
GROUNDS
Right of Appeal
1. There is a right of appeal to the Governing Body against the decision of the
Headteacher/Governors to dismiss an employee on sickness absence grounds.
2. All employees who have been dismissed on sickness absence, in accordance with
these procedures have the right of appeal against the decision to the Governing
Body Appeals Committee.
3. The reason for appealing must be explained in writing and must relate to one of the
following grounds:
(i)
Unreasonable decision in the light of relevant medical information.
(ii)
Unreasonable decision in the light of personal information provided
by the employee.
(iii)
The Royal Borough’s Medical Adviser has recommended that the
employee is permanently unfit and this has led to the decision to
dismiss.
4. Medical information from the employee’s Medical Adviser simply stating that the
employee is too sick to work, or similarly vague medical opinions, will not be
considered relevant medical information and therefore are not an allowable ground for
appeal.
5. The appeal will normally be heard within 30 working days of it being lodged, but in
any event as soon as is reasonably practicable.
6. The School will make arrangements for the appeal and will attend all appeals to
assist in the conduct of the proceedings and to provide advice.
7. The decision of the Headteacher/Governors to dismiss the appellant shall be
effective from the date and time determined by the Headteacher/Governors, unless
amended or overturned by the Governing Body Appeals Committee.
8. The appellant will be advised in writing of the date, time and place of the hearing
and of their right to be accompanied by a trade union representative, or a work
colleague, and to call witnesses.
9. It is not intended that the appeal will constitute a re-hearing of the case and the
concept of an adversarial hearing at this stage should be avoided: this is not a
disciplinary issue. However the appeal does need to be structured in order that
management can set out all the relevant information and the employee and trade
union representative have a full opportunity to put forward their case.
Procedure at hearing
10. The hearing of the appeal will proceed as follows:a. The Committee Chair shall satisfy her/himself that the appellant is aware of
her/his rights to be accompanied by her/his trade union representative or a work
colleague, and to call witnesses if desired.
b. The appellant shall submit the case in the presence of the Headteacher/appropriate
governor, and shall call upon any witnesses to give evidence and/or produce any
necessary documentary evidence in support of her/his case.
c. The Headteacher/appropriate governor shall be given the opportunity to ask
questions of the appellant and witnesses.
d. The Committee and HR may ask questions of the appellant and witnesses.
e. Each of the witnesses shall withdraw after giving evidence and answering any
questions put to them.
f. The Headteacher/appropriate governor shall submit her/his case in the presence
of the appellant, and shall call upon any witnesses to give evidence and/or produce
any necessary documentary evidence in support of the case.
g. The Appellant shall be given the opportunity to ask questions of the
Headteacher/appropriate governor and witnesses.
h. The Committee and HR may ask questions for the Headteacher/appropriate
governor and witnesses.
i. Each of the witnesses shall withdraw after giving evidence and answering any
questions put to them.
j. The Headteacher/ appropriate governor and the appellant may sum up their cases
if they so wish.
k. The Headteacher/ appropriate governor and the appellant shall withdraw whilst the
Committee deliberates the case. If any recall is necessary, to clarify points of
uncertainty, both parties are to return.
l. The Appeals Committee may decide:(i) That the appeal is not upheld, and the Headteacher/appropriate governor’s
decision be confirmed.
(ii) That the appeal is upheld and a more appropriate decision is substituted.
(iii) That the appeal is upheld, no action is warranted and that the reference to the
dismissal is expunged from the employee’s personnel file.
n. Where appropriate both parties shall be recalled and notified of the Appeals
Committee’s decision.
o. The decision of the Personnel Appeals Committee shall be final and will be
conveyed to both parties in writing by the School.
Appendix 10 (A10)
PHASED RETURN FOLLOWING EXTENDED SICKNESS ABSENCE
1. It is in the interests of both the employee and the School for an employee to return
to work on reduced hours rather than remain off sick until they are able to return full
time. Subject to any practical constraints, the School encourages such arrangements.
2. Each case must be considered on its merits and the following factors applied when
considering whether an employee should return to work on reduced hours:
 There should be a recommendation from the employee’s GP that such a course of
action is desirable.
 The arrangement must be compatible with the operation and needs of the service.

Advice should be sought from the Royal Borough’s Medical Adviser as to the duties
to be undertaken, the hours to be worked and the duration of the arrangement.
 The arrangement should not normally exceed four (4) weeks.
 Payment during the period will be at full pay where the employee works. For
periods that are not worked then it should be treated as period of absences due to
sickness and monitored in accordance with this procedure. Payment should be
made in accordance with the employee’s sick pay entitlements. Alternatively if
appropriate an employee may wish to use accrued annual leave or where applicable
sabbatical leave.
 An employee’s fitness to return to work full time should be supported by a medical
certificate from the employee’s GP and/or the Royal Borough’s Medical Adviser.
 If the employee’s GP confirms that they are fully fit to return to work and undertake
the duties of their post, but the employee wishes to return on a phased basis, and
their manager agrees, then the periods of absence should be taken as annual leave
or where applicable or sabbatical leave.
Appendix 11 (A11)
TERMINAL ILLNESS
1.0
Introduction
Where a Headteacher/Manager becomes aware that they are dealing with absence
due to terminal illness, advice should be sought from Schools’ HR Team, who, where
appropriate, will liaise with the Royal Borough's Medical Adviser.
2.0
Issues to be taken into account
Where the School becomes aware that an employee is suffering from a terminal
illness, and this is causing the employee to be absent from work, the following issues
need to be taken into account:
 The employee may not be aware that they have a terminal illness, or of the exact
nature of their illness. This situation may occur if the Medical practitioner decides
that it is not in the employee's interests to be advised of their condition.
 The benefits available for the employee's relatives, on the event of their death, may
be substantially more if the employee remains employed by the Royal Borough at
the time of their death than would have been had the employee’s service been
terminated.
 People are affected differently by illness, terminal or otherwise. For some
employees attendance at work may be relatively unaffected and they may be keen
to continue working, but others may find it impossible to work. The time period will
also vary depending on the employee's condition. Consideration should be given to
making reasonable adjustments to allow the employee to remain at work for as
long as they want to.
 A sympathetic approach to the employee's situation and every effort will be made
to deal with such cases on an individual basis. The Headteacher/Manager must also
be mindful of the effect that the employee’s inability to carry out their duties is
having on service provision.
 The Headteacher/Manager will be mindful of the pension benefits that can accrue,
and the length of service qualifications that apply to those benefits. Where
possible, decisions about retirement will aim to provide the employee with the
most financially beneficial result.
Appendix 12 (A12)
ILL HEALTH RETIREMENT
1. There may be three medical professionals involved in the decision-making process
relating to ill-health retirement, as follows:
a. The Royal Borough’s Medical Adviser who provides the School with an initial opinion
as to whether an employee is or is not permanently incapable on medical grounds of
carrying out their contracted job or any comparable job.
b. The Medical Referee who acts as arbitrator when there is a difference of opinion
between the Royal Borough’s Medical Advisor and the employee’s GP or
treating consultant in relation to the employee’s health.
c. The Independent Registered Medical Practitioner who determines whether or not
he/she agrees with the initial opinion of the Royal Borough’s Medical Adviser when ill
health retirement is recommended. This person’s role is relevant only where the
employee is eligible to receive a pension or gratuity from the Royal Borough.
2. Medical conclusion that the employee is NOT permanently unfit
Where the Royal Borough’s Medical Adviser concludes that the employee is not
permanently incapable of undertaking their contracted post, this conclusion will stand
unless the employee provides medical evidence to challenge it. If the employee
provides an opposing medical view, the matter will be referred to a medical referee in
accordance with Appendix 4. The opinion of the medical referee is final and binding
on both the employee and the Royal Borough except that in relation to the payment
of a pension, a certificate is required from the Independent Registered Medical
Practitioner before payment can be authorised. If the employee does not provide an
opposing medical view the matter will be dealt with as a capability issue.
3. Medical conclusion that the employee IS permanently unfit
Where the Royal Borough’s Medical Adviser initially concludes that the employee is
permanently incapable of undertaking any employment and that consequently the
employee should be retired on medical grounds, such conclusion must be supported
by a certificate signed by the Independent Registered Medical Practitioner in order for
the employee to be released with a pension or gratuity (if eligible).
The employee may provide medical evidence to challenge the Medical Adviser’s initial
conclusion that they be medically retired. If the employee does not provide such
evidence a meeting will be arranged to consider dismissal on the grounds of
retirement due to ill health. Under the Dispute Resolution Regulations introduced
in 2004 all employees are now required to be dealt with under the minimum 3-step
procedure If dismissed, the employee will have appeal rights. Appendix 8 will be used
to guide the meeting and appeal rights will be in accordance with Appendix
4. Employee AGREES that they should be medically retired
Where an employee agrees with the Independent Registered Medical Practitioner
that they be retired. Under the Dispute Resolution Regulations introduced in 2004 all
employees are now required to be dealt with under the minimum 3-step procedure. If
dismissed, the employee will have appeal rights. Appendix 8 will be used to guide the
meeting and appeal rights will be in accordance with Appendix 9.
5. Employee DISAGREES with the Medical Adviser’s initial conclusion that they are
permanently unfit
Where the employee disagrees with the Medical Adviser’s initial conclusion that
they are permanently unfit (whether in relation to their contracted post or any
comparable employment), they may challenge such conclusion by providing
medical evidence to show that they are not permanently unfit. If they provide
evidence, the Medical Adviser will be asked to arrange for a report from a mutually
acceptable Medical Referee in accordance with Appendix 4.
If the Medical Referee’s conclusion supports retirement the matter will be referred
to the Independent Registered Medical Practitioner for a decision for pension
purposes (see Para 8). The medical advice will be shared with the employee. The
matter will then either be handled as a capability issue or as a medical retirement
depending on the content of the certificate. Appendix 8 will guide any dismissal. Any
dismissal would be with notice and the employee would have appeal rights in
accordance with Appendix 9.
REDEPLOYMENT
If the conclusion of the Medical Adviser or (where applicable) the Medical Referee
supports redeployment to comparable employment (because the employee is
permanently unfit to undertake their contracted post) and a certificate from the
Independent Registered Medical Practitioner supports this, this information will be
shared with the employee.
Any redeployment opportunity that arises will be discussed with the Royal
Borough’s Medical Adviser to establish whether it constitutes suitable comparable
employment and it will also be discussed with the employee. If no suitable
comparable employment is available for the employee, a formal meeting will be
arranged to consider dismissal on the grounds that the employee is permanently
incapable of undertaking their contracted post. The hearing will be held in
accordance with Appendix 8. Any dismissal will be with notice and the employee will
have appeal rights in accordance with Appendix 9.
If the conclusion of the Independent Registered Medical Practitioner is that the
employee is permanently unfit for their contracted post and should be offered other
comparable employment (i.e. redeployment) but the employee rejects such offer, this
would be regarded as the employee’s agreement to dismissal by reason of being
permanently incapable of undertaking their contracted post. In these circumstances
the employee will forfeit any rights to enhanced benefits and the basic pension or
gratuity only would be payable (if eligible) – see Para 8. The employee will be issued
with notice of dismissal and will have appeal rights in accordance with Appendix 9.
7. RELATED MATTERS
In relation to retirement or redeployment, the employee should be informed about
the financial implications (e.g. estimate of any financial benefits, the pay attached to a
comparable job etc.).
Employees dismissed by reason of permanent ill health are entitled to notice in
accordance with their terms and conditions of service. Any such period of statutory
notice should be on full pay.
8. PENSION
For Members of the Local Government Pension Scheme (LGPS)
The Royal Borough’s Medical Adviser will be asked to provide an opinion as to
whether or not an employee fulfils the definition in the LGPS of permanent
incapacity. The Royal Borough’s Medical Adviser will then seek a certificate from an
IRMP where, in his opinion, the employee is permanently incapacitated.
Before making a decision as to whether or not an employee is entitled to an
immediately payable pension following cessation of employment on health grounds,
the Royal Borough, as the employing authority, must obtain a certificate from an
Independent Registered Medical Practitioner as to whether in their opinion the
scheme member is:
“Permanently incapable of discharging efficiently the duties of the relevantlocal
government employment because of ill-health or infirmity of mind or body.”
The IRMP must be qualified in occupational health medicine and be in a position to
certify that:
(a) They have not previously advised, or given an opinion on, or otherwise been
involved in the particular case for which the certificate has been requested; and
(b) They are not acting, and have not at any time acted, as the representative of the
member, the Scheme employer or any other party in relation to the same case.
The new regulations for employees in the Local Government Pension scheme are as
follows: This is regulation 20 of the Benefit, Membership and Contribution Regulations
2007
— (1) if an employing authority determines, in the case of a member who has at least
two year's total membership—
(a) to terminate his local government employment on the grounds that his illhealth or infirmity of mind or body renders him permanently incapable of discharging
efficiently the duties of his current employment; and
(b) that he has a reduced likelihood of obtaining gainful employment (whether in
local government or otherwise)before his normal retirement age they shall pay him
benefits under this regulation.
(2) If the authority determine that there is no reasonable prospect of his obtaining
gainful employment before his normal retirement age, his benefits are increased—
(a) as if the date on which he left local government employment were his normal
retirement age; and
(b) by adding to his total membership at that date the whole of the period
between that date and his actual normal retirement age.
(3) If the authority determine that, although he cannot obtain gainful employment
within a reasonable period of leaving local government employment, it is likely that he
will be able to obtain gainful employment before his normal retirement age, his
benefits are increased—
(a) as if the date on which he left local government employment were his normal
retirement age; and
(b) by adding to his total membership at that date 25% of the period between that
date and his actual normal retirement age.
(4) In the case of a member in part-time service, the period to be added under
paragraph (2)(b) or (3)(b), as the case may be, is calculated in accordance with
regulation 7(3) as if he had remained in such part-time service until his actual normal
retirement age.
(5) But if, in the case of a person who is a member before 1st April 2008, and—
(a) has attained the age of 50 before that date, or
(b) became a member of the 1997 Scheme having—
(i) attained the age of 45 before that date and
(ii) not received a transfer for any other scheme,
the period to be added under paragraph (3)(b) is less than the period that would
have been added had regulation 28 of the 1997 Regulations applied, then his benefits
are increased by adding the latter period.
(6) Before making a determination under this regulation, an authority must obtain a
certificate from an independent registered medical practitioner qualified in
occupational health medicine as to whether in his opinion the member is
permanently incapable of discharging efficiently the duties of the relevant local
government employment because of
ill-health or infirmity of mind or body and, if so, as to the likelihood of the member
being able to obtain other gainful employment within a reasonable time of leaving
local government employment or, as the case may be, before reaching his normal
retirement age.
(7)In this regulation,” qualified in occupational health medicine “means—
(a) holding a diploma in occupational medicine (D Occ Med) or an equivalent
qualification issued by a competent authority in an EEA State; and for
the purposes of this definition, "competent authority" has the meaning given
by the General and Specialist Medical Practice (Education, Training and
Qualification) Order 2003[5];or
(b) being an Associate, a Member or a Fellow of the Faculty of
Occupational Medicine or an equivalent institution of an EEA State.
(8) In this regulation, "gainful employment" means paid employment for not less
than 30 hours in each week for a period of not less than 12 months.
The Local Government Pension Scheme Regulations require a decision on
entitlement to benefit under the scheme to be made as soon as reasonably
practicable after the employment ends. A notification of a decision must contain a
statement giving the address from which further information about the decision can
be obtained. The notification must also state that the member may refer a
disagreement between the member and the employer about a matter in relation to
the scheme to a person specified under the LGPS (i.e. Corporate Finance).
For members of the Teacher’s Pensions Scheme (TPS)
Ill-health benefits may be paid if you have to retire before Normal Pension Age
(NPA)because you are permanently incapable of teaching due to illness or injury.
What are the different levels of benefits?
Total Incapacity Benefits (TIB) and
Partial Incapacity Benefits (PIB).
What is the difference between TIB and PIB?
TIB would be awarded if you are assessed as being permanently unable to teach and
unable to undertake any other gainful employment.
PIB would be awarded if you were assessed as being permanently unable to teach but
able to do other work.
If you receive TIB, your service will be enhanced, but if you receive PIB, it will be based
on your accrued benefits. If your service is enhanced, this means that it will be
increased to more than you have completed when your application is accepted.
An application for TIB can be considered provided the member left service on
grounds of incapacity and the member applies within 6 months of leaving
either pensionable employment or ceasing the payment of combined contributions or
reservist contributions
An application for TIB can also be considered if the member applies for benefits
whilst on sick leave, maternity leave, paternity or adoption leave, or a career break
which immediately followed a period of pensionable employment.
If you are not in pensionable employment and you do not meet the above criteria,
only PIB can be awarded and your service will not be enhanced. For this to happen,
you must also meet the criteria for TIB.
Who will decide if I can receive ill-health benefits?
The medical advisers contracted by the Department for Children, Schools and Families
will consider your application. The Secretary of State will then decide if you can
receive benefits based upon the medical advisers’ recommendation.
Your degree of incapacity will determine whether you are entitled to TIB or PIB.
How much enhancement can be given?
The total amount of enhancement is half the service you could have completed
before NPA For TIB.
There is no enhancement for PIB.
What if my life expectancy is less than one year?
If you are terminally ill, you may be able to convert your pension into a lump sum.
You must request this when you apply for ill-health benefits, as it cannot be made
after you receive an ill-health pension.
This does not affect any survivors’ pensions paid after you die.
For further information please visit the Teacher’s Pensions website
http://www.teacherspensions.co.uk/resources/leaflet2.htm
Appendix (A13)
SHORT TERM ABSENCES (STA)
LONG TERM ABSENCES (LTA)
Persistent/ Intermittent/Short Term Absence caused
by unconnected illnesses
Chronic/Long-Term/Continuous or Cumulative
Intermittent Absences caused by underlying medical
condition
Informal Review must be first undertaken before moving to the Formal Stage
INFORMAL PROCEDURE
Trigger for informal Review
- 6 days absence – in 12-month period.
- For continuous or cumulative absence when
employee returns to work or by home visit or
representation.
FORMAL PROCEDURE Trigger
for Formal review – Stage 1
9 days absence or total of 6 days in 4 separate periods
over 12 months monitoring period or 20
working days in a 12 month period for
LTA.
STAGE 1 –Review & Outcome For
STA
STAGE 1 – Review & Outcome For
LTA
- Referral to OHA
- Obtain OHA opinion re DDA Status
& reasonable adjustments.
- Monitor
- Set Target of 4 days & Monitor
Appeal Rights
STAGE 2 – Review & Outcome
- Employment at Risk
- Monitor
Referral to OHA - & obtain recent OHA opinion
STAGE 3 – Outcome for STA
Dismissal
Appeals Rights
STAGE 3 Outcome for LTA
Dismissal - Appeal Rights
- Redeployment and /or other Adjustment ill
Health Retirement
MODEL LETTER 1
Instructions to attend Stage 1 Formal
Private & Confidential
Dear
Stage 1 - Formal Sickness Absence Review
As part of the School’s procedure for managing sickness absences, I am writing to
inform you that a meeting has been arranged to discuss your absences, which you are
required to attend. The review will take place on (date) at (time) at (location address).
The purpose of the review will be to:
1
Review your sickness absence record and the impact that your absence is
having on your employment and the service.
2
Discuss the reasons for your absence and consider any relevant information
you have to offer and would like to be considered,
3
Consider any relevant medical information that is available, and
4
Consider any action that would assist in reducing your sickness absence.
In the matter under discussion you are entitled to be represented by a person who is
not otherwise involved. That person may be a trade union representative or a work
colleague. Should your chosen representative be unavailable on the date given
for this review you would be entitled to propose a reasonable alternative date which
may be up to five working days after the given date. If either you or your chosen
representative are unable to attend the new agreed date for the meeting, I reserve
the right to proceed with the review in the absence of yourself and/or your chosen
representative.
If you require any further information, please do not hesitate to contact me or
XXXxxxxxx on extension XXXX.
Yours sincerely,
Headteacher/Manager
MODEL LETTER 2
Stage 1 Outcome - Setting Targets
Private & Confidential
Dear
Stage 1 - Formal Sickness Absence
Further to the meeting which took place on (date) in the presence of
.......XXXX... to discuss your attendance record, I now write to confirm the main
points which were discussed. You chose to be accompanied by (name) at the
interview.
I explained the purpose of the interview and discussed with you your absences, and
sought to identify any particular problems or difficulties, which you might be
experiencing.
During the 12 month monitoring period you have had (insert number of days)
absence due to sickness.
As you are aware, this level of absence fails to reach the standards required as stated
in theSchool’s Managing Sickness Absence Procedure.
At our meeting, an improvement target was therefore set for a maximum of four
days absence in the next three months commencing (date) and ending on (date)
with an immediate and sustained improvement expected in your absence levelsIf an
improvement in your attendance record has not been achieved in the three
month period as detailed above, and you have exceed four days absence, your case
will be considered under Stage 2 of the School’s Managing Sickness Absence
Procedure. Where you have met the above target but proceed to have a further nine
days absence or more in the proceeding 12 months, your case will also be
considered under Stage 2 of the Procedure. The target set for your improved
attendance will be placed on your personal file, and if there is an improvement in
your attendance record it will be disregarded for further action after a period of 1
year’s satisfactory attendance. However if after this period you do not sustain an
improved attendance record you should be aware that it will be reviewed under the
School’s Sickness Absence Procedure again. I enclose a copy of this letter for your
representative.
If you wish to exercise this right, you must submit your appeal in writing to (name) at
(address) no later than (insert date) within 10 working days of the date of this letter,
clearly stating your grounds for appeal.
The reason for appealing must be specifically explained in writing and must relate to
one of the following grounds:
(i) Unreasonable decision to set targets.
(ii) Unreasonable decision to set targets in light of relevant medical information.
(iii) Unreasonable decision in light of the personal information provided by the
employee at the meeting.
Medical information from your GP/Medical adviser stating that you are too sick to
work or similar medical opinions will not be considered relevant medical information
and therefore are not an allowable ground for appeal. Any appeal should be sent to
(insert name)– at the following address: (insert location address)
If you have any queries regarding the above or require any further information, please
do not hesitate to contact me on extension (Ext number)
Yours sincerely,
Headteacher/Manager
MODEL LETTER 3
Confirming improvement - 3 month Monitoring
Private & Confidential
Dear
Formal Sickness Absence Procedure - Stage 1
Further to my letter (insert Date), I write to confirm the improvement in your
attendance record during a 3 month monitoring period, which ended on (insert date),
set under Stage (X) of the School’s Sickness Absence Procedure.
During the 3 month monitoring period you have been absent for (Insert number of
working days) and this meets the target set in my letter dated .................
The improvement must be maintained and your attendance will continue to be
monitored over a 12-month period commencing (insert date).
However, you should be aware that in future if you are absent for a total of 9
days in a rolling year (including any absence taken within the 12 month
monitoring period commencing (Insert date) then your absence will be reviewed
under the School’s Sickness Absence Procedure again. I have attached a copy of this
letter for your representative.
I hope the recent improvement in your attendance can be maintained.
If you have any queries regarding the above or require any further information, please
do not hesitate to contact me on extension (Ext number)
Yours sincerely,
Headteacher/Manager
MODEL LETTER 4
Stage 1 Outcome Letter -Chronic
Dear
Stage 1 - Formal Sickness Absence
Further to the meeting which took place on (date) in the presence of xxxxx to discuss
your attendance record, I now write to confirm the main points which were discussed.
You chose to be accompanied by (name) at the review.
I explained the purpose of the interview and discussed with you your absences, and
sought to identify any particular problems or difficulties, which you might be
experiencing. During the 12 month monitoring period you have had (insert number of
days) absence due to sickness.
As you are aware, this level of absence fails to reach the standards required as stated in
theCouncil’s Managing Sickness Absence Procedure.
* (you can write what was discussed at the meeting)
You will continue to be monitored and if an improvement in your attendance record is
not achieved your case may be considered under Stage 2 of the Council’s Sickness
Absence Procedure.
I attach a copy of this letter for your representative.
If you have any queries regarding the above or require any further information, please
do not hesitate to contact me on extension xxxxx.
Yours sincerely,
Headteacher
MODEL LETTER 5
Instruction to attend Stage 2 Formal Review
(Date)
Private & Confidential
Dear
Formal Sickness Absence Review – Stage 2
I wrote to you on (date) following a Formal Review at Stage 1of the Procedure which
had taken place to consider your unsatisfactory sickness record. My letter confirmed
that ...
A target of (four days) had been set to enable you to improve your attendance record
and you were informed this would be monitored over a period of 3 months, and
that if there was not a marked improvement in your attendance record, this would
put your future employment with the Royal Borough at risk and a further review
would be arranged to consider your absences under Stage 2 of the School’s Sickness
Absence Procedure.
I attach a copy of your sickness absence record for the monitoring period (date) to
(date). Which shows that
Your sickness absence has exceed the target of X days set at Stage 1 or
The initial improvement achieved at the end of the (3 month) monitoring period has
not been sustained.
I am now writing to you to inform you that a meeting has been arranged to
discuss your absences, which you are required to attend on (date) at (time and
location)
The purpose of the review will be to:
1. Review your sickness absence record and the impact that your absence is having
on your employment and the service.
2. Discuss the reasons for your absence and consider any relevant information you
have to offer and would like to be considered,
3. Consider any relevant medical information that is available, and
4. Consider any action that would assist in reducing your sickness absence
In the matter under discussion you are entitled to be represented by a person who is
not otherwise involved. That person may be a trade union representative or a
work college. Should your chosen representative be unavailable on the date given
for this review you would be entitled to propose a reasonable alternative date which
may be up to five working days after the given date. If either you or your chosen
representative are unable to attend the new agreed date for the meeting, I reserve
the right to proceed with the review in the absence of yourself and/or your chosen
representative.
I would advise you that if you are unable to attend the meeting a decision will be taken
based on the available information. It is therefore in your interest to attend the
review on ............ Alternatively, you may send a representative to speak on your
behalf and/or make a written submission for consideration (which must be received
by........... no later than ..............)
If you require any further information, please do not hesitate to contact me or
XXXxxxxxx on extension XXXX.
Yours sincerely,
Headteacher/Manager
MODEL LETTER 6
Confirming Employment at Risk for intermittent absences
Private & Confidential
Dear
Formal Sickness Absence - Stage 2
Employment at Risk
Further to the meeting which took place on (date) in the presence of
.......XXXX... to discuss your attendance record, I now write to confirm the main
points which were discussed. You chose to be accompanied by (name).
I explained the purpose of the review and discussed with you your pattern of
absences, and explained that your absence record was continuing to give concern,
also its effect upon your work, your colleagues and delivery to services.
During the 12-month monitoring period you have had (insert number of days)
absence due to sickness. A further copy of your attendance record is attached for
information. As you are aware, this level of absence fails to reach the standards
required as stated in the School’s Managing Sickness Absence Procedure.
I advised you that arrangements would be made for your case to be referred to the
Royal Borough’s Medical Advisor for her/his advice, and that you may/will be
required to attend for interview with him/her.
I advised you that your attendance record was not satisfactory and reminded you that
your attendance had been discussed with your previously on (date) and you failed to
meet/sustain the target set.
I now confirm the decision issued to you at the meeting: (select option)
 That in consideration of your explanation of your particular circumstances, no
targets for improvement will be set at this time but your attendance will continue
to be monitored.
 That a further monitoring period or 2-3 months (or X months) will be set
 That your absence has placed your Employment at Risk and if there is no
improvement then a further meeting will be arranged to consider your attendance
record under Stage 3 of the School’s Sickness Absence Procedure where a decision
will be made about your continued employment with the Royal Borough.
A record of this decision will be place in your personnel file and will be disregarded
for the purposes of this procedure after 1 year’s satisfactory attendance.
I attach a copy of this letter for your representative.
You have the right to appeal against my decision. If you wish to exercise this right,
you must submit your appeal in writing to (name & address) no later than (insert
deadline) within 10 working days of the date of the decision, clearly stating your
grounds for appeal.
The reason for appealing must be specifically explained in writing and must relate to
one of the following grounds:
(i) Unreasonable decision in the light of relevant medical information.
(ii) Unreasonable decision in the light of personal information provided by the
employee.
Medical information from your GP/Medical Adviser stating that you are too sick to
work, will not be considered relevant medical information and therefore are not an
allowable ground for appeal.
Any appeal should be sent to (insert address)
If you have any queries regarding the above or require any further information, please
do not hesitate to contact me on extension (Ext number)
Yours sincerely,
Headteacher/Manager
MODEL LETTER 7
Confirming Employment at Risk for Chronic cases
Private & Confidential
Dear
Formal Sickness Absence - Stage 2 Employment at Risk
Further to the meeting which took place on (date) in the presence of
.......XXXX... to discuss your attendance record, I now write to confirm the main
points which were discussed. You chose to be accompanied by (name).
I explained the purpose of the review and discussed with you your pattern of
absences, and explained that your absence record was continuing to give concern,
also its effect upon your work, your colleagues and delivery to services. Your record
was discussed and a further copy is attached for information. (Consideration was also
given to current medical advice).
During the 12-month monitoring period you have had a total of (insert number of
days) absence due to sickness. A further copy of your attendance record is attached
for information. As you are aware, this level of absence fails to reach the standards
required as stated in the School’s Managing Sickness Absence Procedure.
I advised you that arrangements would be made for your case to be referred to the
Royal Borough’s Medical Advisor for her/his advice, and that you may/will be
required to attend for interview with him/her.
You were advised that you have the right to seek your own medical report and submit
it to the School. In the event of a significant dispute between your medical report and
that of the Royal Borough’s Medical Adviser, then the matter will, in appropriate
circumstances be referred to an independent medical referee.
I also considered the advice obtained from the Occupational Health Adviser,
(and in particular the advice concerning reasonable adjustments. List any reasonable
adjustments recommended by the OHA)
and was satisfied that these
 -had been implemented or were in the process of being implemented or
 -were in the process of bring implemented or
 -did not consider such adjustments to be reasonable/appropriate (Delete as
appropriate)
Having considered all the circumstances put forward at the meeting, I now confirm
the decision issued to you at the meeting: (select option)
 That your level of absence needs to be addressed and it is my decision that you
are issued with an Employment at Risk letter.
 If you have not returned to work on or before (date), a further review will take place
at which a decision will be taken on an appropriate course of action. This
may include termination of your employment with the Royal Borough.
 If you do return to work on or before (date), I must now formally advise you that
your future attendance record will be monitored, and if it is unsatisfactory, a
further review will take place at which a decision will be taken on an appropriate
course of action. This may include termination of your employment with the
Royal Borough.
Needless to say, I sincerely hope that any further action will not become necessary,
and I hope that your health will improve. If you need any advice or assistance, or if
there are any particular matters which you would like to discuss, please do not
hesitate to contact either myself, or the School’s HR Officer.
A record of this decision will be place in your personnel file and will be disregarded
for the purposes of this procedure after 3 year’s satisfactory attendance.
I attach a copy of this letter for your representative.
You have the right to appeal against my decision. If you wish to exercise this right,
you must submit your appeal in writing to (name & address) no later than (insert
deadline) within 10 working days of the date of the decision, clearly stating your
grounds for appeal.
The reason for appealing must be specifically explained in writing and must relate to
one of the following grounds:
(i) Unreasonable decision in the light of relevant medical information.
(ii) Unreasonable decision in the light of personal information provided by the
employee.
Medical information from your GP/Medical Adviser stating that you are too sick to
work will not be considered relevant medical information and therefore are not an
allowable ground for appeal.
Any appeal should be sent to (insert address)
Yours sincerely,
Headteacher/Manager
MODEL LETTER 8
Instruction to attend Stage 3 Review following EAR
Private & Confidential
Dear
Formal Sickness Absence Review – Stage 3
I wrote to you on (date) following a Formal Review at Stage 2 of the Procedure which
had taken place to consider your unsatisfactory sickness record. My letter confirmed
that your level of absence needed to be addressed and that you were issued with an
Employment at Risk letter, and that,
(a) If you had not returned on or before (date) a further review would take place at
which a decision would be taken on an appropriate course of action. This might
include termination of your employment with the Royal Borough;
(b) If you did return to work on or before (date) you were formally advised that your
future attendance record would be monitored and if unsatisfactory, a further review
would take place at which a decision would be taken on an appropriate course of
action. This might include termination of your employment with the Royal
Borough.
Your attendance has continued to be unsatisfactory (or) you did not return to work
on or before (date). You are therefore required to attend a formal review of your
attendance record. This will take place at (time, date, and venue)
I attach a copy of your sickness absence record for the period (date) to (date) and a
chronology of action taken which may be referred to at the review.
The purpose of the review will be to:
1. Review your sickness absence record and the impact that your absence is having
on your employment and the service.
2. Discuss the reasons for your absence and consider any relevant information you
have to offer and would like to be considered,
3. Consider any relevant medical information that is available. (if you have any
medical information that you wish to be considered this should be submitted to me
well in advance of the meeting).
4. Consider any action that would assist in reducing your sickness absence.
I have attached a copy of the Royal Borough’s Medical Adviser’s most recent report.
You have the right to submit to me a medical report from your own doctor but if you
wish to do so I must receive it in advance of the sickness review.
At the conclusion of this review a decision will be made about your continued
employment with the Royal Borough.
In the matter under discussion you are entitled to be represented by a person who is
not otherwise involved. That person may be a trade union representative or a work
colleague. Should your chosen representative be unavailable on the date given
for this review you would be entitled to propose a reasonable alternative date which
may be up to five working days after the given date. If either you or your chosen
representative are unable to attend the new agreed date for the meeting, I reserve
the right to proceed with the review in the absence of yourself and/or your chosen
representative.
I would advise you that if you are unable to attend the meeting a decision will be taken
based on the available information. It is therefore in your interest to attend the
review on ............ Alternatively, you may send a representative to speak on your
behalf and/or make a written submission for consideration (which must be received
by........... no later than ..............)
If you require any further information, please do not hesitate to contact me or
XXXxxxxxx on extension XXXX.
Yours sincerely,
Headteacher/Manager
MODEL LETTER 9
Confirming Dismissal following EAR for intermittent absences.
Not ill-health Retirement
Private & Confidential
Dear
Formal Sickness Absence - Stage 3
Dismissal
Further to the meeting which took place on (date) in the presence of
.......XXXX... to discuss your attendance record, I now write to confirm the main
points which were discussed. You chose to be accompanied by (name).
I explained the purpose of the meeting and discussed with you your absences. I
explained that your absence record was continuing to give concern, and was having a
detrimental effect upon your work, your colleagues and delivery of services. Your
record was discussed and a further copy is attached for information.
I advised you that your attendance record was of serious concern and reminded you
that your attendance record had been discussed with you previously on (dates). You
were also reminded that you had been issued with an Employment at Risk Decision
on (date) that (quote from the letter confirming previous decision)
I now confirm the decision, by agreement of the Director of Children’s Services, which
was conveyed to you at the conclusion of the hearing, that you are dismissed from
the Royal Borough’s service, on capability grounds, the cause of which is your
current ill health, and that your last day of service with the School and the Royal
Borough will be recorded as
You may be eligible for a gratuity payment details of which will be notified to you as
soon as possible.
You will receive full pay (less the amount of any benefits payable under the
National Insurance Regulations) for the xx weeks until retirement. Any absence
due to sickness during this period should be covered by a Doctor's certificate.
I should like to take this opportunity to convey to you the school's appreciation of
your service and contribution during the time that you have been employed (and to
express the hope that with rest and medical treatment your health will improve).
You have the right to appeal against my decision. If you wish to exercise this right,
you must submit your appeal in writing to (insert name and date), no later than
(insert deadline) within 10 working days of the date of this decision, clearly stating
your grounds for appeal.
The reason for appealing must be specifically explained in writing and must relate to
one of the following grounds:
(i)
Unreasonable decision in the light of relevant medical information.
(ii) Unreasonable decision in the light of personal information provided by the
employee.
(iii) The Royal Borough’s Medical Adviser has recommended that the
employee is permanently unfit and this has led to the decision to dismiss, but the
appellant does not concur.
Medical information from your GP/Medical Adviser stating that you are too sick to
work, will not be considered relevant medical information and therefore are not an
allowable ground for appeal.
Yours sincerely,
Headteacher/ Chair of Governors Panel
MODEL LETTER 10
Confirming Dismissal following EAR Chronic Cases
Not ill-health Retirement
Private & Confidential
Dear
Formal Sickness Absence - Stage 3
Dismissal
Further to the meeting which took place on (date) in the presence of
.......XXXX... to discuss your attendance record, I now write to confirm the main
points which were discussed. You chose to be accompanied by (name).
I explained the purpose of the meeting and discussed with you your absences. I
explained that your absence record was continuing to give concern, and was having a
detrimental effect upon your work, your colleagues and delivery of services. Your
record was discussed and a further copy is attached for information. Consideration
was also given to current medical advice which is that the illness leading to your
present, prolonged, incapacity cannot be determined as permanent although
incapacity from this condition is likely to continue into the reasonably foreseeable
future.
I considered the advice obtained from the Occupational Health Adviser ................
and in particular the advice concerning reasonable adjustment. List any reasonable
adjustments recommended by the OHA and was satisfied that (these had been
implemented) or (did not consider such adjustments to be reasonable or
appropriate).
I sought to identify any particular problems or difficulties, which you might be
experiencing. You indicated that...........
I advised you that your attendance record was of serious concern and reminded you
that your attendance record had been discussed with you previously on (dates). You
were also reminded that you had been issued with an Employment at Risk Decision
on (date) that (quote from the letter confirming previous decision).
I now confirm the decision, by agreement of the Director of Children’s Services, which
was conveyed to you at the conclusion of the hearing, that you are dismissed from
the Royal Borough’s service, on capability grounds, the cause of which is your
current ill health and that your last day of service with the School and the Royal
Borough will be recorded as
You may be eligible for a gratuity payment details of which will be notified to you as
soon as possible.
You will receive full pay (less the amount of any benefits payable under the
National Insurance Regulations) for the xx weeks until retirement. Any absence
due to sickness during this period should be covered by a Doctor's certificate.
I should like to take this opportunity to convey to you the school's appreciation of
your service and contribution during the time that you have been employed (and to
express the hope that with rest and medical treatment your health will improve).
You have the right to appeal against my decision. If you wish to exercise this right,
you must submit your appeal in writing to (insert name and date), no later than (insert
deadline) within
10 working days of the date of this decision, clearly stating your grounds for appeal.
The reason for appealing must be specifically explained in writing and must relate to
one of the following grounds:
(i)
Unreasonable decision in the light of relevant medical information.
(ii) Unreasonable decision in the light of personal information provided by the
employee.
(iii) The Royal Borough’s Medical Adviser has recommended that the employee is
permanently unfit and this has led to the decision to dismiss, but the appellant does
not concur.
Medical information from your GP/Medical Adviser stating that you are too sick to
work, will not be considered relevant medical information and therefore are not an
allowable ground for appeal.
Yours sincerely,
Headteacher/ Chair of Governors PanelModel Letter 11
Model Letter 11
MODEL LETTER CONFIRMING DISMISSAL BY REASON OF PERMANENT ILLHEALTH (WHERE THE EMPLOYEE CONCURS WITH THE MEDICAL ADVISER'S
CONCLUSION THAT THEY ARE PERMANENTLY INCAPABLE OF UNDERTAKING
THE DUTIES OF THEIR CURRENT POST BUT ARE ABLE TO UNDERTAKE THE
DUTIES OF A COMPARABLE POST)
Dear
Dismissal by reason of permanent ill-health
Further to the meeting which took place on (date) between yourself and
(Headteacher/Manager), in the presence of (Human Resources), I now write to
confirm the main points which were discussed. You chose to be accompanied
by........................
Initially, (Headteacher/Manager) confirmed that you had previously discussed the
medical position fully with the Royal Borough’s Medical Adviser and that you
concurred with her/his opinion that you are permanently incapable of carrying out
the duties of your current post of........................................ You also agreed that
you are capable of undertaking comparable alternative duties. You have signed a
consent form to this effect.
You then indicated that you accepted the decision that you be retired on medical
grounds. Consequently I now confirm the decision, by agreement of the Director of
Children’s Services, which was conveyed to you at the conclusion of the hearing, that
you are dismissed from the Royal Borough’s service, on capability grounds, by reason
of permanent ill-health and that your last day of service with the School and the
Royal Borough will be recorded as
ADD THE FOLLOWING AS APPROPRIATE
You were informed at the meeting that the Royal Borough is required under the
terms of the Local Government Pension Scheme Regulations to consider whether
there is comparable employment available which you are fit to undertake. No
comparable employment exists at the present time; however, the Royal Borough will
continue to seek such employment for you during your notice period. If a suitable
post is identified, you will be considered for the post, as a medical redeployee, and if
successful, your notice will be withdrawn. Should you unreasonably refuse an offer of
comparable employment, you will still be dismissed on the grounds of permanent ill
health but you will lose your right to receive enhanced benefits. You will be entitled
to appeal against a decision to withhold enhanced pension benefits. [This paragraph is
only relevant to employees with more than 5 years LGPS service].
You will receive appropriate pension benefits, details of which and payments will be
sent to you as soon as possible after your last day of service.
or
An application has been made to Teachers’ Pensions for ill-health
retirement. You will be advised of their decision in due course.
or
You may claim a refund of pension contributions or leave your
contributions in abeyance, and should complete the appropriate form which can be
obtained from the Chief Executive’s Pension Section.
or
You may be eligible for a gratuity payment details of which will be notified to
you as soon as possible.
or
I regret that you are not entitled to any monies from the Royal Borough's
Pension Scheme but you may be entitled to benefits from your own private pension
scheme if you have one.
You will receive full pay (less the amount of any benefits payable under the National
Insurance Regulations) for the xx weeks until retirement. Any absence due to
sickness during this period should be covered by a Doctor's certificate.
I should like to take this opportunity to convey to you the school's appreciation of
your service and contribution during the time that you have been employed [and to
express the hope that with rest and medical treatment your health will improve].
If you have any queries regarding your retirement from the Royal Borough's service
please contact................... on extension.............
Yours sincerely,
Headteacher/ Chair of Governors PanelModel Letter 12
Model Letter 12
MODEL LETTER CONFIRMING DISMISSAL BY REASON OF PERMANENT ILLHEALTH (WHERE THE EMPLOYEE CONCURS WITH THE MEDICAL ADVISER'S
CONCLUSION THAT THEY ARE PERMANENTLY INCAPABLE OF UNDERTAKING
ANY EMPLOYMENT WITH THE ROYAL BOROUGH)
Dear
Dismissal by reason of permanent ill-health
Further to the meeting which took place on (date) between yourself and
(Headteacher/Manager), in the presence of (Human Resources), I now write to
confirm the main points which were discussed. You chose to be accompanied
by........................
Initially, (Headteacher/Manager) confirmed that you had previously discussed the
medical position fully with the Royal Borough’s Medical Adviser and that you
concurred with her/his opinion that you are permanently incapable of carrying out
the duties of your current post. You also agreed that you are incapable of
undertaking any other employment with the Royal Borough. You have signed a
consent form to this effect.
You then indicated that you accepted the decision that you be retired on medical
grounds. Consequently, I now confirm the decision, by agreement of the Director of
Children’s Services, which was conveyed to you at the conclusion of the hearing, that
you are dismissed from the Royal Borough’s service, on capability grounds, by reason
of permanent ill-health and that your last day of service with the School and the
Royal Borough will be recorded as
ADD ONE OF THE FOLLOWING AS APPROPRIATE
You will receive appropriate pension benefits, details of which and payments will be
sent to you as soon as possible after your last day of service.
or
An application has been made to Teachers’ Pensions for ill-health
retirement. You will be advised of their decision in due course.
or
You may claim a refund of pension contributions or leave your
contributions in abeyance, and should complete the appropriate form which can be
obtained from the Chief Executive’s Pension Section.
or
You may be eligible for a gratuity payment details of which will be notified to
you as soon as possible.
or
I regret that you are not entitled to any monies from the Royal Borough's
Pension Scheme but you may be entitled to benefits from your own private pension
scheme if you have one.You will receive full pay (less the amount of any benefits
payable under the National Insurance Regulations) for the xx weeks until
retirement. Any absence due to sickness during this period should be covered by a
Doctor's certificate.
I should like to take this opportunity to convey to you the school's appreciation of
your service and contribution during the time that you have been employed [and to
express the hope that with rest and medical treatment your health will improve].
If you have any queries regarding your retirement from the Royal Borough's service
please contact................... on extension.............
Yours sincerely,
Headteacher /Chair of Governors Panel
Model Letter 13
MODEL LETTER CONFIRMING DISMISSAL BY REASON OF PERMANENT ILLHEALTH (WHERE THE EMPLOYEE DOES NOT CONCUR WITH THE MEDICAL
ADVISER'S CONCLUSION)
Dear
Dismissal by Reason of Permanent Ill-Health
Further to the meeting which took place on (date) between yourself and
(Headteacher/Manager), in the presence of (Human Resources), I now write to
confirm the main points which were discussed. You chose to be accompanied
by..........
EITHER
Initially (Headteacher/Manager) confirmed that you had previously discussed the
medical position fully with the Royal Borough's Medical Adviser. You had indicated
that you did not agree with the Medical Adviser's opinion that you are permanently
incapable of carrying out the duties of your current post. You also did not agree that
you are incapable of undertaking the duties of any other post within the Royal
Borough. [I would remind you that the Royal Borough has engaged the services of a
jointly agreed independent Doctor who has confirmed the Royal Borough's Medical
Adviser's opinion].
OR
Initially (Headteacher/Manager) confirmed that you had previously discussed the
medical position fully with the Royal Borough’s Medical Adviser. You indicated that
you accepted the Medical Adviser’s conclusion that you are permanently incapable of
carrying out the duties of your current post. You did not agree with the view that
you are capable of undertaking other duties within the Royal Borough’s Service. [I
would remind you that the Royal Borough has engaged the services of a jointly
agreed independent Doctor who has confirmed the Royal Borough’s Medical
Adviser’s opinion].
In the circumstances, I am now giving you formal notice, by agreement of the
Director of Children’s Services, which was conveyed to you at the conclusion of the
hearing, that you are dismissed from the Royal Borough’s service, on capability
grounds, by reason of permanent ill-health and that your last day of service with the
School and the Royal Borough will be recorded as
ADD THE FOLLOWING AS APPROPRIATE
You were informed at the meeting that the Royal Borough is required under the
terms of the Local Government Pension Scheme Regulations to consider whether
there is comparable employment available which you are fit to undertake. No
comparable employment exists at the present time; however, the Royal Borough
willcontinue to seek such employment for you during your notice period. If a
suitable post is identified, you will be considered for the post, as a medical
redeployee, and if successful, your notice will be withdrawn. Should you unreasonably
refuse an offer of comparable employment, you will still be dismissed on the grounds
of permanent ill health but you will lose your right to receive enhanced benefits. You
will be entitled to appeal against a decision to withhold enhanced pension benefits.
[This paragraph is only relevant to employees with more than 5 years LGPS service].
You will receive appropriate pension benefits, details of which and payments will be
sent to you as soon as possible after your last day of service.
or
An application has been made to Teachers’ Pensions for ill-health
retirement. You will be advised of their decision in due course.
or
You may claim a refund of pension contributions or leave your
contributions in abeyance, and should complete the appropriate form which can be
obtained from the Corporate Finance's Superannuation Section.
or
You may be eligible for a gratuity payment details of which will be notified to
you as soon as possible.
or
I regret that you are not entitled to any monies from the Royal Borough's
Pension Scheme but you may be entitled to benefits from your own private pension
scheme if you have one.
You have the right of appeal against this decision to the (insert name).
If you wish
to exercise this right you must do so in writing setting out the grounds for the appeal
(no later than (insert date) within 10 working days of the date of this letter.
Professional medical matters are not an allowable ground for appeal. Any appeal
should be sent to (insert name and address).
In the event of a significant dispute between your doctor and the Royal Borough’s
Medical Adviser the matter will, in appropriate cases, be referred to an independent
medical referee. If you wish to follow his course of action you should notify me no
later than (insert date) (within 10 working days of the date of this letter).
You may also have appeal rights to an Employment Tribunal. Any such appeal must
be made within 3 months of the effective date of your dismissal. An Employment
Tribunal should be told about any new appeal. Further information regarding your
rights of appeal to an Employment Tribunal may be obtained from the Employment
Services Job Centre.
You will receive full pay (less the amount of any benefits payable under the National
Insurance Regulations) for the xx weeks until retirement. Any absence due to
sickness during this period should be covered by a Doctor's certificate.
I should like to take this opportunity to convey to you the school's appreciation of
your service and contribution during the time that you have been employed (and to
express the hope that with rest and medical treatment your health will improve).
If you have any queries regarding your retirement from the Royal Borough's service
please contact.............. on extension..............
Yours sincerely,
Headteacher/ Chair of Governors Panel
Model Letter 14
Referral to Occupational Health
Dear,
RE: REFERRAL TO OCCUPATIONAL HEALTH
Further to our meeting/discussion regarding your sickness absence, I am arranging for
you to be referred to the Council’s Occupational Health Service as a supportive
measure and to try and establish more information regarding your sickness absence. I
would like to remind you that it is a requirement of your contract of employment
that you must attend an Occupational Health referral and that a failure to attend
without reasonable justification or failure to try and re-schedule the appointment, will
result in suspension and possible loss of sick pay and or disciplinary action.
It is important as part of your recovery and improved attendance that you attend your
appointment. Occupational Health are able to offer you advice, and in cases of
long-term sickness absence, advise you in planning your return to work.
If you have any queries regarding the above, please do not hesitate to contact me.
Yours sincerely
Headteacher
Model Letter 15
Suspension from duty on medical grounds
Dear
RE: Suspension from Duty on Medical Grounds
Further to our meeting which took place on (date)…………at …..am/pm at the
Woolwich Centre, I now write to confirm my actions in suspending you from
duty due to our concerns for your health and our duty of care to you and others as
employers.
During the period of your suspension you will receive sick pay in accordance with the
occupational sick pay scheme.
The purpose of the suspension on medical grounds is to arrange for further advice to
be sought from the Occupational Health Service and your GP, and a further
appointment will be made for you to attend Occupational Health, which you must
attend.
I shall write to you again soon as I have further information. In the meantime f you
require any further clarification on the above, please do not hesitate to contact me.
Yours sincerely
Headteacher
Model Letter 16 - Notice to attend an appeal hearing
APPEAL HEARING
I am writing to you concerning the appeal you have made against the decision to issue
you with (a Target of (4) days in 3 months / Employment at Risk Notice or dismiss you
from the School/The Royal Borough’s services on*) ……………date.
* delete as appropriate
You are required to attend an appeal hearing. The details of the hearing are as
follows: Date: (minimum 5 days notice must be given)
Time:
Location:
At the hearing the grounds for your appeal will be considered. These are:
1. ………….
2. …………..
Your appeal will be heard by ……………………….. (name of appeal hearing officer).
Presenting management’s response will be …………… (name of presenting manager),
who will be presenting the following documentary evidence:
1. ………………...
2. …………………
Please provide me with copies of any documentary evidence you wish to present at
least 2 days prior to the hearing date.
It is not intended that the appeal hearing will constitute a re-hearing of the case,
therefore, it would be inappropriate to accept any new evidence in relation to the
original action taken, in the form of documents or witnesses, unless either party did
not have, nor could reasonably be expected to have, been aware of such evidence at
the original disciplinary hearing.
If you wish to call any witnesses who are employees of the school, please contact
………….. (name) who will make the necessary arrangements for their release from
duty.
You are entitled to be accompanied by a union representative or work colleague who
is not otherwise involved. It is your responsibility to arrange your own
representation. Should your chosen representative be unavailable on the date given
for this hearing you would be entitled to propose a reasonable alternative date which
may be up to 5 working days after the given date.
If you do not attend the hearing at the time specified in this letter and fail to give an
explanation, which the hearing officer considers adequate and satisfactory, the
hearing may proceed in your absence. If, therefore, you are not able to attend the
hearing you must notify me in writing, stating your reasons and giving as much notice
as possible.
You have already been sent a copy of the Managing Sickness Absence procedure,
which includes the procedure for appeals, should you wish to have another copy
please contact me and I will organise for one to be sent to you.
Yours sincerely,
(Chair of the Appeal Panel)
Model Letter 17 – Confirmation of the outcome of an appeal hearing
(Date)
Dear ………………………(name)
APPEAL HEARING
I am writing to confirm the outcome of the appeal hearing which took place on
…….(date). I conducted the hearing in the presence of ………(other panel members).
You were accompanied at the hearing by ………………. (name and in what capacity,
e.g. union representative).
The purpose of the appeal hearing was to consider the (Target of (4) days in 3
months/ Employment at Risk Notice/ Dismissal from the School’s/Royal Borough’s
service*) issued to you on ………………..(date).
* delete as appropriate
Your grounds for appeal as set out in the letter to you dated …………….(date).
Specifically that:
1. …………………….
2. …………………….
In response to your grounds for appeal ……………..(name of presenting manager)
stated that…………………..
The Panel considered the advice obtained from the Occupational Health Adviser,
(and in particular the advice concerning reasonable adjustments. List any reasonable
adjustments recommended by the OHA) and was satisfied that these
-
had/had not been implemented *or
-
were in the process of bring implemented* or
-
did not consider such adjustments to be reasonable/appropriate*
After careful consideration of all the evidence put forward I confirm the decision to
(insert one of the following statements as appropriate)
•
Uphold the decision to (issue you with a target/ Employment at Risk Notice/
Dismissal*) on ……………(date)
•
Overturn the decision to issue you with a (target of X days in 3 months/
Employment at Risk Notice/ Dismissal*) on ……………(date). Therefore, the action
has been removed from your personal record.
•
Reduce the decision to issue you with a (increase the target to x days in 3
months commencing on (date) and end on (date)/ extend the Employment at Risk
Notice for you to return to work on or before (date)*)
* delete as appropriate
The appeal panel’s decision is final.
Yours sincerely,
(Chair of the Appeal Panel)