NEATH PORT TALBOT COUNTY BOROUGH COUNCIL
CYNOR BWRDEISTREF SIROL CASTELL-NEDD PORT TALBOT
DRAFT
MAXIMISING
ATTENDANCE AT WORK
PROCEDURE
IMPORTANT MESSAGE - This Procedure (and accompanying Policy) has been
developed, written and agreed by a Review Team comprising managers, trade union
and Human Resources representatives, using Systems Thinking principles.. This is
the first time that a core employment policy and procedure has been developed in this
way at Neath Port Talbot CBC. The Procedure (and accompanying Policy) will be
introduced on a phased basis - as a series of pilot schemes - across the Council from
November 2010 onwards. The existing Sickness Absence Policy will be phased out
over the same period. This Procedure (and accompanying Policy) will, therefore, be
regularly amended to reflect the outcome of the lessons learned and experience
gained from the pilot schemes.
NOVEMBER 2010
Maximising Attendance at Work
Procedure
Content
Section
1
2
3
4
5
6
7
8
8.1
8.2
8.3
9
9.3
9.4
9.5
9.6
9.7
Introduction
Procedure to be followed on Day 1 of all sickness absence
Ongoing Process
Equalities
Relevant Considerations
Monthly Review by Manager
Formal Sickness Stages
Formal Action Procedure
Stage 1 – Formal – First Written Warning
Stage 2 – Formal – Final Written Warning
Stage 3 – Formal – Termination of the
Employment Contract (Dismissal)
Underlying/Serious Medical Conditions Procedure
Stage 1
Stage 2
Access to Pension
Appeal Against Dismissal
Appeal Against Non Release of Pension Benefits or the
Tier Level of Pension Benefits Granted
2
MAXIMISING ATTENDANCE AT WORK
PROCEDURE
The Purpose of the Procedure is:
To Manage and Support Employees to Maximise Attendance at Work
1. Introduction
1.1 This document explains the procedure that managers and employees must follow
when absence occurs due to sickness, or if a medical condition is identified.
1.2 Regular and punctual attendance is a contractual condition for all employees.
The Council is committed to reducing absence and will manage sickness firmly but fairly.
However, nothing in this procedure will prevent or restrict the Council’s right to terminate
employment before entitlement to sick pay is exhausted.
1.3 Employees who abuse this procedure, or the provisions of the ‘Suspension of
Occupational Sick Pay Scheme’ will have their occupational sick pay withheld and/or be
subject to action under the ‘Council’s Disciplinary Policy and Procedure’.
Examples of abuse could include:
 the non reporting of sickness absence or not providing ‘fit notes’ as required;
 failing to attend meetings with management or the Occupational Health Unit (OHU);
 engaging in activities which are inconsistent with the reported illness or which may
aggravate the illness or delay recovery, such as, undertaking secondary
employment or participating in sport. The Council’s Employee Code of Conduct
applies.
Employees are also required to consider any supportive measures offered by
management or the Occupational Health Unit.
1.4 Manager will give the employee 14 calendar days written notice of the OHU
appointment. Verbal notification of the appointment will also be given by the manager
within this timescale.
Employees will be required to meet the cost of missed OHU appointments unless there
are reasonable grounds for non attendance. Employees are required to notify their
manager of the reason for non attendance at least 10 calendar days prior to the date of
the appointment.
These timescales may vary where an urgent OHU appointment is requested by the
manager and this can be accommodated by the OHU.
1.5 Employees required to attend an interview/meeting under this procedure will have the
right to be accompanied by a trade union representative or a work colleague at all formal
stages of this procedure. The non-availability of any representative will not be allowed to
unreasonably delay, any formal stage of this procedure.
Accompaniment at all other interviews/meetings arranged under this procedure is optional.
3
2. Procedure to be followed on Day 1 of all sickness absence
2.1 On the first day of absence from work, the employee must report the first day of
sickness absence to the Council’s absence telephone line on 01639 686834. This will
ensure that the employee receives pay, as per their entitlement, whilst on sickness
absence. The employee must also ring the same telephone number on the first day
of their return to work to notify of their return to close the period of sickness
absence on the Council’s records.
2.2 The employee must also telephone their line manager, on the first and last day of
sickness absence, as per the local arrangements.
3. Ongoing Process
Employee
3.1 Employee must complete a workplace Self Certification Form (SA1) for all periods of
sickness absence up to 7 calendar days.
3.2 Employee must submit ‘fit to work’ notes promptly. These are available from General
Practitioners (GP’s) from the 8th calendar day of absence onwards.
3.3 Employee should be contactable within their normal contractual hours of work to
discuss their absence with their manager. If a shift/night worker, the manager should agree
a mutually convenient time/day to make contact.
3.4 If an employee intends to take a holiday, for any duration, whilst on sick leave they
must seek prior approval from their manager.
3.5 Employee will attend appointments arranged with management or the OHU as part of
the procedure.
3.6 Employee should return to work when able to do so, including co-operating with the
manager/OHU to enable an early return to work.
3.7 If the employee wishes to be accompanied at interviews/meetings under this
procedure, it is the employee’s responsibility to arrange representation with trade unions or
accompaniment by a work colleague.
3.8 Employee should inform their manager as soon as possible of any changes in their
condition or health that affects their ability to do their job or alters the timescales of their
return to work.
Manager
3.9 Manager is to ensure that accurate data is kept and that return to work interviews are
completed for all instances on the first day of return on a ‘Return to Work Interview Form
SA2’. If it is appropriate to issue a Caution, the employee must be advised there is no time
limit to this whilst the absence continues to be unacceptable. If, before this meeting, a
Caution has already been issued and the absence remains unacceptable, the employee
must be advised that a Formal meeting under the procedure will be convened.
4
3.10 Manager should contact employees who have not reported their sickness absence
and deal with this under the ‘Council’s Disciplinary Policy & Procedure’ or ‘Suspension of
Occupational Sick Pay Scheme’. Where such situations arise the manager should seek
advice from a HR Officer.
3.11 Manager should maintain regular contact with employees on sick leave (weekly
contact is recommended under ACAS guidance).
3.12 Manager should refer employees to the OHU for a medical assessment, as
appropriate - Occupational Health Referrals.
N.B. mandatory referrals are required for:
 Work related stress;
 RIDDOR accidents – i.e. resulting in 3 or more days absence from work
3.13 Manager should deal with all employees in a firm and fair manner, offering support
when necessary.
3.14 Manager should take responsibility in ensuring that they have received appropriate
training and development in applying this procedure and raise any issues of procedure.
4. Equalities
4.1 Managers should be aware of their responsibilities under both the Equality Act 2010
and the Council’s equality policies and schemes. A summary of the Council’s current
policies and schemes, are available on the intranet.
5. Relevant Considerations
5.1 Where the employee has an underlying medical condition, the Manager, in
consultation with the employee, should give proactive consideration to job redesign,
medical redeployment, temporary adjustment to duties or workload and/or a phased return
to work, if or when advised by OHU. Where the employee is considered to have a
disability, i.e. he/she has a physical or mental impairment which has a substantial or long
term effect on his/her ability to carry out day-to-day activities, there is a legal duty to make
any adjustments which are reasonable and will help the employee to overcome the
identified disadvantage resulting from the impairment. In such circumstances, the
Manager is advised to take expert advice from the OHU and HR.
5.2 Where an employee has a terminal illness, the Manager should deal with the
circumstances in a sensitive and supportive manner.
6. Monthly Review by Manager
The Manager will be responsible for reviewing the overall absence levels in their service
area on a monthly basis to ensure that all absences are managed correctly. This will
include, (this responsibility can be delegated, as appropriate):
6.1 Ensuring appropriate contact is made with all employees with sickness absences
occurring for any duration during the preceding month. This could be a telephone
conversation or an informal meeting if the manager has not personally conducted the
Return to Work Interview. If necessary the Manager will convene a Formal Review
meeting (Section 7 of this procedure - ‘Formal Sickness Stages’).
and;
5
6.2 Ensuring appropriate reviews are undertaken for all employees who are on sick leave
or are present in work, who are known to have underlying/serious medical conditions.
(Section 9 of this procedure – ‘Underlying/Serious Medical Conditions’).
7. Formal Sickness Stages
7.1 The employee has the right to be accompanied at the formal stages of these meetings
by a trade union representative or work colleague, if they so wish.
7.2 Employees must be given 7 calendar days written notice of the Formal Review
meeting. Verbal notification of the meeting should also be given within this timescale.
7.3 A representative from HR may, if required, attend the Formal Stage 1 of this procedure
as an advisor to the manager.
7.4 A representative from HR will attend the Formal Stages 2 & 3 of this procedure as an
advisor to the manager.
7.5 At the meeting the employee’s absence history will be discussed and reviewed.
7.6 Where short-term intermittent absence is a concern, managers may require employees
to produce a fit note from their General Practitioner to cover all further periods of absence,
irrespective of duration. If this is required, the Council will reimburse the cost of the
certificate.
7.7 The manager must ensure that Cautions and Formal Written Warnings are entered on
the Sickness Absence Database and appropriate correspondence is issued.
7.8 Where the employee’s non attendance at work is deemed to be unacceptable, a
Formal Sickness Warning may be issued as follows:
8. Formal Action Procedure
8.1 Stage 1 – Formal
A formal sickness review meeting will be convened with the line manager and employee,
and Trade Union representative or work colleague, if required. A HR representative may
also attend, if required, as an advisor to the manager.
A First Written Warning will be issued if the sickness level is considered
unacceptable.
First Written Warning – to remain live on the employee record for a period of 12 months
The letter confirming the issue of a First Written Warning will normally be issued to the
employee within 7 calendar days of the meeting.
A right of appeal must be given to the employee to the next level of management. If the
employee wishes to submit an appeal an ‘Appeal Against Issue of a Formal Warning
Issued Under the Procedure Pro Forma’ is to be submitted within 7 calendar days of the
date of the letter confirming the decision to issue a First Written Warning.
6
If the attendance remains unacceptable during the First Written Warning, the manager will
conduct a review and may initiate Stage 2 of the Formal Action Procedure.
If the attendance remains unacceptable after the expiry of the First Written Warning, the
manager will conduct a review and may consider, in exceptional circumstances, initiating
Stage 2 of the Formal Action Procedure after taking appropriate advice for consistency
purposes from the HR Officer.
8.2 Stage 2 – Formal
A formal sickness review meeting will be convened with the line manager, employee and
HR representative, and Trade Union representative or work colleague, if required.
A Final Written Warning will be issued if the sickness level is considered
unacceptable.
Final Written Warning – to remain live on the employee record for a period of 12 months.
The letter confirming the issue of a Final Written Warning will normally be issued to the
employee within 7 calendar days of the meeting.
A right of appeal must be given to the employee to the next level of management. If the
employee wishes to submit an appeal an ‘Appeal Against Issue of a Formal Warning
Issued Under the Procedure Pro Forma’ is to be submitted within 7 calendar days of the
date of the letter confirming the decision to issue a Final Written Warning.
If the attendance remains unacceptable during the Final Written Warning, the manager will
conduct a review and may consider initiating Stage 3 of the Formal Action Procedure.
If the attendance remains unacceptable after the expiry of the Final Written Warning, the
manager will conduct a review and may consider, in exceptional circumstances, initiating
Stage 3 of the Formal Action Procedure after taking appropriate advice for consistency
purposes from the HR Officer.
8.3 Stage 3 – Formal
Termination of the Employment Contract (Dismissal)
8.3.1 Where the level of sickness remains unacceptable, a hearing will be arranged with
the relevant Head of Service/designated next level of management, supported by the
appropriate HR representative. The employee will have the right to be represented by a
Trade Union
Representative or work colleague and will be given the opportunity to present their case
and any mitigating circumstances. The outcome of the hearing may be:

Terminating the employment contract on the grounds of his / her inability to attend
work on a regular basis;
or, if exceptional circumstances exist:

An extension or re-introduction of the Final Written Warning for a specified period.
If this is the outcome decision the employees right of appeal will be to the next level
of management/or another Head of Service.
7
8.3.2 If the outcome decision is the termination of the employment contract, the employee
will have the right of appeal and this should be submitted in writing using the pro forma
provided to the Head of Human Resources within 7 calendar days of the date of the letter
confirming the decision to terminate the employment contract.
8.3.3 An appeal hearing will be convened as soon as is reasonably practical. The appeal
will be heard by the Council’s Staffing Appeals Committee. The employee shall be given
not less than 14 calendar days notice of the date of the appeal hearing and will be
provided with the name of the officer responsible for organising the appeal, along with
details of the timescale for the submission of relevant documentation to that officer.
9. Underlying / Serious Medical Conditions Procedure
9.1 The purpose of this procedure is to endeavour to deal with underlying / serious
medical conditions in a supportive and structured manner.
9.2 The OHU will take a proactive role in consultation with the manager to provide ongoing
support, to help to determine the likely duration of the absence or to assess whether
workplace or contractual changes will assist the employee.
Similarly, the line manager/supervisor will ensure that the employee, if away from work,
does not feel isolated or uninformed by keeping in touch with the employee once a week,
or as appropriate after taking into account the individual circumstances of the absence.
9.3 Stage 1
9.3.1 If the employee notifies the line manager that they have a serious / underlying
medical condition whilst attending work or, if the absence from work is due to a
serious/underlying medical condition, the manager will consider if a referral to the OHU is
required. The employee will be informed by the manager of the reason for the referral and
the date / time / venue of the appointment.
9.3.2 Following the appointment with the OHU and upon receipt of the report, the
employee will be required to attend a meeting, or meetings, with the manager and HR
representative. The purpose of the meeting(s) will be to ascertain the likely duration of the
absence and/or if in work, what, if any, support can be provided to the employee.
In addition, the employee will be cautioned about the likely consequences of a prolonged
period of absence.
9.3.4 The employee will be given 7 calendar days written notice of the meeting. Verbal
notification of the date, time and venue of the meeting should also be given within this
timescale by the manager. The employee may request the assistance of a trade union
representative/work colleague.
9.3.5 The employee will be informed in writing, normally within 7 calendar days of the
meeting, of the outcome of the discussions and any action agreed.
9.3.6 If the employee is hospitalised, a meeting will take place at a mutually convenient
time and location taking into account the individual circumstances.
8
9.4 Stage 2
9.4.1 If the absence or the underlying medical condition continues to affect the employee’s
ability to perform their required duties, it may be necessary to refer the employee to the
OHU for a further report.
9.4.2 On receipt of the report from the OHU, the employee will be required to attend a
further meeting with the manager and HR representative. In the interest of the employee
and the service area in which the employee works, this meeting under Stage 2 must take
place no later than six months after the start of the sickness
absence period under review, or the declaration of the employee of the serious /
underlying medical condition.
9.4.3 The employee will be given 7 calendar days written notice of the meeting. Verbal
notification of the date, time and venue of the meeting should also be given within this
timescale by the manager. The employee may request the assistance of a trade union
representative/work colleague.
9.4.5 A case conference meeting with the Occupational Health Unit may be arranged, if
appropriate. The purpose of this meeting will be to discuss all the options that may be
open to the employee to facilitate a return to, or assist with, the employees continued
attendance at work.
9.4.6 Options to be considered at this meeting include:
• A return to work at a known future date;
• A return to work under the Rehabilitation Scheme;
• A return to work or remaining in work following reasonable adjustments
under the Equality Act 2010. A grant towards any cost of such
adjustments may be available under the Access to Work Scheme;
 A return to work or remaining in work in an alternative job under the
Medical Redeployment Policy (Temporary or Permanent);
• A return to work or remaining in work with temporary or permanent
changes to the employment contract, e.g. using one of the Council’s
Work Life Policies;
• Termination and a referral for a decision for early access to a Tier of ill
health retirement benefits (if a member of the Local Government Pension
Scheme (LGPS));
• Termination of employment with or without early access to pension
benefits on the grounds of efficiency or employers consent;
• Voluntary resignation and possible access to pension (subject to LGPS
Regulations).
NB - The above options are not exclusive to this meeting. If it is feasible and
appropriate, and will facilitate an early return to work or the employee being able to
remain in work, they should be explored earlier.
The Manager will request HR Officer advice and will confirm the outcome of the
meeting and any actions agreed, normally within 7 calendar days of the meeting.
9
9.5 Access to Pension
9.5.1 If, after considering all the facts of the case, the Manager decides to dismiss the
employee on the grounds of his/her inability to attend work on a regular basis, the
employee (if he/she is a member of the LGPS) will be referred to the
independent OH Physician (approved by the Pension Fund) to determine if a Tier of ill
health retirement is applicable. If in the opinion of the OH Physician it is determined that
this is applicable, one of the following will be specified:Tier 1:
There is no reasonable prospect of the employee obtaining any gainful employment
before age 65;
Tier 2:
The employee cannot obtain gainful employment within three years of leaving
his/her employment, but it is likely that he/she will be able to obtain gainful
employment before age 65;
Tier 3
It is likely that the employee will be able to obtain gainful employment within three
years of leaving his/her employment.
9.5.2 If, in the opinion of the independent OH Physician, the employee is not permanently
incapable of carrying out his/her normal occupation, or the employee does not have a
reduced likelihood of obtaining gainful employment before age 65 or they have refused
suitable comparable employment, the employee’s contract will be terminated without
access to ill health retirement benefits.
9.5.3 If the employee is being dismissed without access to a Tier of ill health retirement
benefits, the HR Officer will advise the Manager if any other options are available whereby
the employee may possibly access his/her pension (subject to LGPS Regulations) (i.e. not
access to ill health retirement pension), so that the Manager can assess these options on
a sound basis.
9.6 Appeal against Dismissal
9.6.1 The employee will have the right of appeal and this should be submitted in writing
using the pro forma provided to the Head of Human Resources within 7 calendar days of
the date of receipt of the letter confirming the decision to terminate the
contract of employment.
An appeal hearing will be convened as soon as is reasonably practical. The appeal will be
heard by the Council’s Appeals Committee (Special). The employee shall be given not less
than 14 calendar days notice of the date of the appeal hearing and will be
provided with the name of the officer responsible for organising the appeal, along with
details of the timescale for the submission of relevant documentation to that officer.
9.7 Appeal against Non Release of Pension Benefits or the Tier Level of Pension
Benefits Granted
If the employee is not granted access to a Tier of ill health retirement benefits or they wish
to appeal against the Tier level of retirement benefits released they must be advised of
their right to appeal against the decision under the LGPS Internal Disputes Resolution
10
Procedure. This Employee Guide will be provided with the letter to the employee
confirming the termination of the employment contract.
11