[Short title of guideline]
Checklist
to help employers and employees
discuss sickness absence using
NICE support
guidance
Audit
Implementing NICE guidance
2009
[Year]
NICE clinical guideline XX 1
NICE public health guidance 19
This checklist accompanies the public health guidance: ‘Managing long-term
sickness absence and incapacity for work’ (available online at
www.nice.org.uk/PH19). This tool has been jointly produced with the
Chartered Institute of Personnel and Development (CIPD).
Issue date: 2009
It is not NICE guidance
Purpose of this tool
This checklist can help employers or their human resources (HR) specialists
put NICE guidance into practice in conjunction with employees, line
managers, supervisors and case workers (such as occupational health
specialists). It should be used to complement employer’s existing absence
management and health and safety policies, duties and procedures.
How to use it
The checklist is designed to aid discussion between the employer and
employee. It should be available to employees so that they are aware of the
issues that will be discussed. It includes a notes column to give either party
the option of recording the discussion, if they so wish. Used as such, it will
contain personal information and is, therefore, subject to data protection and
confidentiality rules, as laid down in the employer’s HR policies and practice.
Please note, employees are not obliged to disclose personal medical
information to their employers unless required by law. However, they can be
expected to disclose how their medical condition is likely to impact on their
functional ability to do their job, so that their absence and return to work can
be managed effectively.
The employer and employee should work together to plan and put any agreed
action into practice.
The person using this tool should have good communications skills and be
clear about the employer’s sickness absence policies, discrimination law and
relevant health and safety practice.
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Name of Employer (or logo)
STEP 1: INITIAL ENQUIRIES
Ideally, initial enquiries should take place 2–6 weeks after the first report of sickness absence, as early
intervention can often aid a timely return to work
Issues to discuss
NICE recommends
Notes (treat as confidential)
Impact of sickness on functions required
to fulfill main duties
Duties affected
Employee’s concerns – identify the real
or perceived barriers to returning to
work
Ways of achieving a return to work
Likelihood of a return to work
Expected date of return to work
Follow-up needed
STEP 2:
FOLLOW-UP (where needed)
Issues to discuss
Is there a need for a detailed
assessment?
OR Plan for returning to work
(if appropriate at this stage)
Consider, for example, financial barriers,
personal or social issues (such as
bereavement), and organisational structure
and culture (such as work relationships)
Consider ways of helping them return to
work, including workplace modifications or
the offer of a return to partial duties or
reduced hours
Usual care and treatment will often result in a
return to work with no further follow-up
required. If this isn’t the case, agree with the
employee what type of follow-up – and when
– should be undertaken
NICE recommends
If a detailed assessment is needed and
agreed, discuss the option of appointing a
trained case worker. They do not necessarily
need a clinical or occupational health
background. However, they should be
someone the employee can trust, and have
good communication skills and the
appropriate training to act impartially.
Note The need for impartiality may mean it is
not appropriate for the person’s line manager
to take on this role. If they do so (with the
employee’s agreement), they need
appropriate communication skills and the
necessary support.
When agreeing the return-to-work plan,
discuss the option of appointing a case
worker (see definition above)
OR Other arrangements agreed with
employee
Process for sharing information
Reach agreement with the employee about
what confidential information can be shared,
with whom and for what purpose.
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Notes ( treat as confidential)
STEP 3:
DELIVERY OF AGREED PLAN
Step 3a: Detailed assessment (where appropriate and agreed with the employee)
Issues to discuss
Reason for absence
NICE recommends
Consider the employee’s health, social and
employment situation. Take account of the
complexity of long-term sickness absence:
for example, the relationship between back
pain and a stress-related condition.
Notes (treat as confidential)
Consider using a screening tool to determine
the likelihood of them returning to work (see
the NICE guide to resources for further
information).
Previous episodes of absence(s)
Current and previous rehabilitation
experience
Is a combined interview and workplace
assessment needed?
If a combined interview and workplace
assessment is needed and agreed, this
should be carried out by one or more
appropriate specialists. (Examples include a
physician, nurse or another professional
specialising in occupational health, health
and safety, rehabilitation or ergonomics.) The
line manager should also be involved. (For
further information see section 3b below).
Is a return-to-work plan needed and, if
Discuss and agree if a case worker is
so, what should it involve?
required to coordinate referral for, and
delivery of, any required interventions and
services. (For further information see section
3c below).
Section 3b: Combined interview and work assessment (if needed)
Issues to discuss
NICE recommends
Employees’ concerns – identify real or
Consider, for example, financial barriers and
perceived barriers to them returning to
organisational structure and culture (such as
work
work relationships). Consider the employee’s
confidence and ability to overcome these
barriers.
Ways of facilitating a return to work
Consider the options for returning to work,
including workplace modifications, a gradual
return to the original job (or to partial duties of
that job) or temporary redeployment
The employee’s capacity to undertake
Consider, for example, the mobility, strength
current duties
and fitness required to carry out the current
role.
Modifications to the workplace or work
equipment (including ergonomic
modifications) in line with the Disability
Discrimination Act
Section 3c: Return-to-work plan
Issues to discuss
NICE recommends
The interventions and services needed
The plan could include the options for
(see recommendation 3 of guidance)
returning to work agreed – such as workplace
modifications, a gradual return to original job
or temporary or permanent redeployment.
Consider whether a referral is needed (via an
occupational health adviser or self-referral) to
another health specialist. (Examples include
a physiotherapist or GP who may help with
diagnosis, treatment or determine the need
for further tests or sick leave).
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Notes (treat as confidential)
Notes (treat as confidential)
The professional (s) who will deliver the
interventions or services
The professional delivering the interventions
or services should be someone the employee
feels they can trust. For example, if a
member of a statutory service is involved and
has a responsibility to inform state benefit
services, this may affect the employee’s
confidence in their impartiality.
Ensure the person involved in assessing the
psychological support needed is trained in
these techniques.
Level of interventions/services
Evidence suggests that ‘actively doing
something with people’ can be more effective
than simply ‘advising or encouraging them to
do something.
Offer ‘light’ interventions to those who are
likely to return to work, along with the usual
care and treatment they are receiving.
Offer people who experience significant
barriers to returning to work an ‘intensive’
programme of support.
Type and frequency of
interventions/services
Consider offering more intensive, specialist
input when there is recurring long-term
sickness absence or repeat episodes of
short-term sickness absence
Light interventions may include: tailored
information, advice and training, physical
activity and specialist referral (if needed).
Intensive interventions may include: coping
strategies, psychological therapies,
workplace modifications and specialist
referral.
Consider early intervention as this may
improve effectiveness.
Consider how long, how frequently and how
intense the interventions should be
Step 3d: Evaluation and delivery
Issues to discuss
Delivery of intervention and review of
progress made
NICE recommends
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Notes (treat as confidential)
Supporting implementation
NICE has developed other tools to help organisations implement this
guidance. These are available on our website (www.nice.org.uk/PH19).
 Costing report which assesses the resource impact of implementing this
guidance in England.
 Business case template (in Excel) to help organisations estimate the local
impact.
 Slide set highlighting key messages for discussion.
 Guide to resources which signposts to tools, resources and other national
initiatives that could support implementation of this guidance.
NICE also offers a series of ‘How to’ guides to help organisations put our
evidence-based guidance into practice. These are available from our website.
NICE would like to thank everyone who has contributed to the development of
this checklist including the Chartered Institute of Personnel and Development,
Acas (the Advisory, Conciliation and Arbitration Service), and members of the
Programme Development Group.
The guidance
You can download the guidance documents from www.nice.org.uk/PH19
For printed copies of the quick reference guide, phone NICE publications on
0845 003 7783 or email [email protected] and quote N1821.
National Institute for Health and Clinical Excellence
MidCity Place, 71 High Holborn, London WC1V 6NA; www.nice.org.uk
© National Institute for Health and Clinical Excellence, 2009. All rights reserved. This
material may be freely reproduced for educational and not-for-profit purposes. No
reproduction by or for commercial organisations, or for commercial purposes, is
allowed without the express written permission of the Institute.
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