MODEL PROCEDURE
FOR THE MANAGEMENT
OF SICKNESS
ABSENCE FOR
TEACHERS AND
SUPPORT STAFF IN
SCHOOLS
Organisational Development
Children & Young People’s Directorate
Updated: January 2007
PROCEDURE FOR THE MANAGEMENT OF SICKNESS
ABSENCE
Index
Page No.
Flowchart
4
The Model Procedure
Preamble
5
PART ONE
1
Introduction
5
2
Policy
6
3
Principles
7
4
Roles and Expectations
9
5
Recruitment and References
11
6
Management Systems
11
7
Trigger Points
12
8
The Procedure in Brief
12
PART TWO
1
Scope
13
2
Application
13
3
Legal Framework
14
PART THREE
The Management of the Absence Procedure
SECTION A
Identification, Support, Monitoring and Evaluation
17
SECTION B
Trade Union Representation
17
SECTION C
Formal Review Meetings at Stage 1 and 2 and
Composition of Panels for Formal Hearings and Appeals
18
 COPYRIGHT Children And Young People’s Human Resources
SECTION D
Appeal Rights
18
SECTION E
Records
19
SECTION F
Ill Health, Physical and/or Mental
19
SECTION G Return to Work Interviews
SECTION H
21
Management Intervention Prior to Entry into the Formal
Stages of the Procedure
22
SECTION I The Formal Stages of the Procedure, including Reviews and
Resignations
23
SECTION J
Suspension From Duty
27
SECTION K
Options Available
27
SECTION L
Sources of Assistance
28
SECTION M Redeployment
SECTION N
28
Important Notes to Consider when Planning Timetables or
Managing the Formal Stages of the Sickness Absence
Procedure
28
Appendices
Appendix 1
Managers’ Checklist - Using the Occupational Health Service
Appendix 2
Dates of all Possible Hearings and Appeals and Notice Periods for
Teachers and Headteachers
Appendix 3
Model Informal Stage Letter
Appendix 4
Model Letter to Requiring Attendance at a Formal Review Meeting
Appendix 5
Model Formal Improvement Notice Letter
Appendix 6
Model Letter to Convene a Dismissal Hearing at Stage 3
Appendix 7
Procedure for Formal Review Meetings and Dismissal Hearings at
Stage 3
Appendix 8
Procedure for a Formal Appeal
 COPYRIGHT Children And Young People’s Human Resources
MANAGEMENT OF SICKNESS ABSENCE PROCEDURE
Manager identifies a potential sickness absence or ill health
problem
TRIGGER POINTS TO
ENTER THE PROCEDURE
1) Pattern of absence causing
concern
2) 3 short term absences in a
term and/or 4 absences in 12
months
3) After 6 weeks absence or if
absence is likely to extend
beyond 6 weeks
Informal Stage
It is necessary to:
a) Investigate fully
b) Set up and confirm status of meeting
c) Specify attendance levels expected d) Offer assistance
e) Seek medical advice if appropriate f) Fix review period
g) Pursue redeployment if applicable
MONITOR
Has satisfactory improvement occurred? YES
NO
APPEALS
Set up a review meeting at first formal stage and inform employee in writing
FIRST FORMAL REVIEW MEETING
Manager shall
a) Send review statement 5 working days in advance
b) Present the review statement with advice from a Personnel Officer
c) Listen to and consider evidence by employee and representative
d) Decide whether to issue a formal improvement notice
e) Confirm decision in writing including review period, support to be provided
f) Pursue redeployment if applicable
One Governor will hear
Appeals at Stages 1 and 2
APPEAL AGAINST
DISMISSAL
An employee can appeal to a
Panel of 3 Governors and
must write to the Chair within 5
working days of receiving their
dismissal notice
MONITOR
Has satisfactory improvement occurred? YES
Continue to
Monitor
If problem reoccurs
re-enter procedure (See Note (a)
below) at appropriate level
NO
Set up and inform employees in writing of
SECOND FORMAL REVIEW MEETING
Manager shall: as first formal stage and pursue redeployment if applicable
MONITOR
YES
Has satisfactory improvement occurred?
NO
FINAL REVIEW MEETING
Set up a final review meeting and inform employee in writing
Manager Shall
a)
Listen to and consider evidence by employee and representative
b)
Share own evidence on progress
c)
Decide wither to progress to Stage 3 Dismissal Hearing
d)
Confirm decision – see below
MONITOR
Has satisfactory improvement occurred? YES
NO
Set up and inform employees in writing of
STAGE 3 DISMISSAL HEARING
Manager shall
a) send management statement of case 5 working days in advance
b) present the statement with advice from HR
Headteacher/Governors Panel shall
a) listen to and consider evidence by employee and representative
b) decide whether to uphold the recommendation to dismiss
c) if uphold recommendation to dismiss inform Executive Director CYPD
NOTES
a) Where a temporary improvement
is not sustained a manager may
re-enter the procedure at the level
previously reached
b) Employees may appeal against a
formal improvement notice by
writing to the Headteacher/Chair
of Governors
c) Employees should be advised to
seek Trade Union or other
representation at all stages
d) In exceptional circumstances,
stages may be omitted but
Occupational Health advice
should be sought
e) Under the new Education Act and
School Staffing Regulations a
Headteacher or a Panel of
Governors can hear the case for
dismissal
f)
Under the above Regulations, a
dismissal is effective from the
date of the Hearing
g) If the Appeal panel upholds the
appeal, the Chair must inform the
Executive Director CYPD in
writing in order that the dismissal
notice is withdrawn
 COPYRIGHT Children And Young People’s Human Resources
SCHOOL
MODEL PROCEDURE FOR THE MANAGEMENT OF
SICKNESS ABSENCE
PREAMBLE
All Schools should have a clear written policy for handling staff sickness absence
and for taking decisive action to reduce sickness absence levels that disrupt
children’s education. This should include clear procedures for the monitoring of
staff absences, for taking appropriate responding action, and for encouraging the
promotion of good health.
Governing Bodies and Headteachers need to be adequately informed about staff
sickness absence. Appropriate monitoring of sickness absence is of benefit to
the general well being of the School as good practice for human resource
management.
During their working lives people may develop health problems that, whilst they
continue, can reduce their effectiveness at work. It is recognised that this is one
of the most difficult areas for Managers’ and Trade Union Representatives.
When dealing with issues of sickness absence, it is important to treat individual
cases sympathetically, taking into account the circumstances of the individual at
work and, if appropriate, at home. It is equally important to consider the
potentially adverse impact (directly or indirectly) on colleagues and the standards
of education received by the pupils
PART ONE
1.
Introduction
This procedure applies to all school employees (teachers and support
staff, including Headteachers, Deputy Headteachers and Assistant
Headteachers).
This Procedure replaces the Management of Sickness Absence for
Teachers and Support Staff in Schools produced in February 2000.
References to ‘Managers’ means Managers or Headteachers as
applicable, or Chair of Governors where the employee concerned is the
Headteacher. See page 8, Roles and Expectations for a fuller explanation
The procedure deals with both the informal and the formal stages of
managing the sickness absence of an employee that could result in the
employee receiving one or more formal improvement notice or ultimately
being dismissed from their post
 COPYRIGHT Children And Young People’s Human Resources
Absence may occur for the following reasons:
a.
Short term ill health, physical and/or mental
b.
Disability
c.
Long Term Ill Health, physical or mental
If problems are identified at an early stage it will allow identification of
appropriate solutions and arrangements whether these be:




Use of this Management of Sickness Absence Procedure
Consideration of compassionate leave or flexible working
arrangements
Use of any other appropriate Policies
Making reasonable adjustments to the workplace under the
guidance of the Disability Discrimination Act (See also the Model
Disability Leave Policy circulated to Governors in January 2007)
Specific Guidance on the application of this procedure in these circumstances
is given in Part 3 of this document
The appropriate CYPS Capability Procedure should be used when dealing
with issues of job performance
The Procedure will not apply to matters relating to conduct. The
School’s Disciplinary Procedure will be used in such circumstances.
2.
Policy
2.1
The School aims to continuously improve standards of education
2.2
It is the responsibility of the managers/supervisors to set standards for
attendance
2.3
The School has an obligation to take account of the general duty of
care on employers but also to consider the effects of sickness absence
on the quality and provision of education and on employees
2.4
The School recognises that employee sickness absence may be
influenced by a number of factors. The School will offer reasonable
assistance to its employees to resolve issues of absence. A range of
appropriate options and outcomes may result from this
2.5
It may not be reasonable or feasible, however, to sustain employment
in all circumstances. Consequently, persistent unsatisfactory
attendance may, after due consideration, lead to termination of
employment
 COPYRIGHT Children And Young People’s Human Resources
3.
Principles
3.1
Managers have the right to meet with an employee when they have
concerns about sickness absence. Similarly, employees have the right
to raise with their manager concerns and problems which they believe
may affect their attendance
3.2
Managers will consider the full range of support and options available
in determining appropriate outcomes
3.3
Managers have the right to expect employees to attend a medical
and/or interview with Occupational Health Service so that information
can be gained from appropriate sources to help manage the issues of
sickness absence
3.4
The School accepts the role of Trade Union Representatives to
represent their members at all formal stages of this procedure
3.5
The School will comply with the relevant statutory requirements
including the Disability Discrimination Act; Access to Medical Reports
Act; Access to Health Records Act; Safety, Health & Welfare
Legislation, Working Time Regulations; The Education (Health
Standards) (England) Regulations 2003
3.6
The School will seek to ensure that sickness absence is not caused by
failure to properly manage health and safety risks as required by
legislation and the School’s Safety, Health & Welfare Policy
3.7
Confidentiality of information will be maintained in relation to personal
details and circumstances. Information to be shared with colleagues
and others will be agreed with the employee concerned
3.8
The School will adhere to its internal policies and procedures
3.9
As good employment practice, it is strongly advised that the manager
ensures the following have taken place:(a)
The employee has been informed of all health risks associated
with their post
(b)
The employee has received the appropriate induction to the job
(c)
The employee has been issued with an appropriate, up to date
job description
(d)
The employee has been told clearly what their roles and
responsibilities are
3.10 It should be recognised that the success of any arrangements to
improve the attendance of an employee depends on the constructive
co-operation of the employee concerned. To this end, employees will
be expected to: COPYRIGHT Children And Young People’s Human Resources

accept and act upon the advice of managers to carry out
reasonable directions which are designed to improve attendance

participate positively and constructively in discussions about
her/his sickness absence and how it can be improved
Equally the School will be committed to helping the employee to
overcome her/his problems and will be willing to make reasonable
adjustments to working arrangements if and when appropriate
3.11 Whilst it is important that these provisions are considered in order to
ensure fairness and equity in the treatment of employees, it may be
that ultimately formal action has to be taken. Therefore, the manager
will reserve the right, after having previously provided agreed support,
to consider recommending termination of employment to the
Headteacher/Governors. This will be on the grounds of incapability for
work due to the employee’s sickness absence where problems persist
and alternatives to dismissal, including early retirement on health
grounds have been considered but are inappropriate or unavailable. In
some cases it may be necessary for the Manager to move immediately
to suspension and dismissal
3.12
The procedure is designed to ensure that if an individual fails to
improve her/his attendance, any subsequent action was based upon:
structured information gathering and systematic recording which
demonstrates that an employee has an unacceptable sickness
absence record

a fair procedure used to reach this conclusion

the fact that the employee was given reasonable assistance to
overcome such failings

the employee knowing the level of seriousness of the problem,
being given clear written information on the nature of their
absence problems, and appropriate consideration and support
at the earliest possible stage

the employee being given reasonable time to improve within the
timescales given
3.13 The formal Management of Sickness Absence Procedure is described
in stages of increasing seriousness to avoid ambiguity about the
employee’s position. It must be noted however, that some
circumstances may be of such a serious nature that they will
immediately need to be considered under the second or final stage in
the formal procedure
3.14 Prior to a review meeting taking place under this procedure, an
employee should be informed in writing of the level at which the case is
 COPYRIGHT Children And Young People’s Human Resources
being considered. Where a manager departs from the usual practice of
operating the procedure sequentially, that decision must be explained
and be subject to scrutiny at the review meeting
3.15
4.
If at any stage in the procedure the employee regards the steps being
taken as unreasonable, she/he will have the opportunity to raise their
concerns during relevant meetings, hearings or appeals, and by
submitting a letter to their manager outlining their concerns. The
School’s Grievance Procedure is not appropriate in these
circumstances.
Roles And Expectations
Managers/Headteachers/Chair of Governors
Managers are expected to;

be responsible for monitoring and recording sickness absence on a
day to day basis

communicate regularly with their staff. In the normal course of their
management/supervision of staff they will be expected to identify
where a problem exists or may arise which impacts on an employee’s
attendance They should take responsibility for managing and providing
support in order to resolve the matter in the appropriate way

meet with employees to discuss issues that they feel may affect their
attendance at work as soon as these become apparent.

hold ‘return to work interviews’ in line with this Procedure

prepare “Review Statements” for Formal Review Meetings at Stage
One and Stage Two, and Appeals

prepare a ‘Statement of Case’ for Dismissal Hearings and Appeals at
Stage 3

be the manager unless responsibility has been delegated
Employees
Employees are expected to;





make their manager aware of any health issues that may affect work
comply with sickness reporting requirements
attend return to work interviews
attend Occupational Health appointments
co-operate in resolving issues
 COPYRIGHT Children And Young People’s Human Resources
Governors
Governors are expected to:

make fair and objective decisions on whether or not to dismiss
employees where the Headteacher has presented a case for dismissal,

determine whether appeals against
dismissal will be upheld.

notify the Executive Director CYPS when there is a decision to dismiss
an employee after the Hearing and before the appeal stage at Stage
Three.

notify the Executive Director: Children’s and Young People’s Services
(CYPS) in writing if the Appeal Panel upholds the Appeal against
dismissal in order that the dismissal notice can be withdrawn
Improvement
Notices
and
Occupational Health Service
Occupational Health are expected to:
 Consider Health Declaration Forms for new employees and advise on
suitability for employment or reasonable adjustments
 Review employees with health issues and offer guidance and support
 Refer individuals to agencies as appropriate eg. Access to Work,
Counselling, Cognitive Behaviour Therapy
 Provide managers with professional information regarding employees,
maintaining confidentiality
Trade Unions
Trades Unions representives are expected to:
 Represent members at all stages of the procedure
 Offer advice and support to members
Human Resources
Human Resources are expected to:
 Offer guidance and support to employees and managers
 Offer guidance and support to Governors during Hearings/Appeals
 Liaise where appropriate with Occupational Health and other agencies
 Assist with seeking redeployment where appropriate
 COPYRIGHT Children And Young People’s Human Resources
5.
Recruitment and References
Schools should ensure that guidance is provided to prospective employees at
the recruitment stage where health challenges exist in jobs so that candidates
can make an informed choice about their suitability for the post.
Schools should seek factual information about candidates’ previous sickness
absence and timekeeping. Where cause for concern is identified enquiries
should be made into the reason for poor attendance, and decisions made
about appointment in the light of such information. Managers should be
mindful of the Disability Discrimination Act.
Schools should arrange for the completion of Health checks before
employment commences. Where this is not possible, contracts of
employment should state that employment is subject to satisfactory health
checks being made. Screening and health assessment will also be carried out
where appropriate. This information will be in strict confidence and will only be
made available to the Occupational Health Nurse.
Schools should provide information to employees at induction stage about
standards, procedures and arrangements for reporting sickness absence.
6.
Management Systems
Schools should ensure they have documented and well publicised systems
for managing sickness absence which include:
Trigger points that may lead to management action

Monitoring and recording arrangements

Sickness reporting requirements

Support arrangements

Manager’s responsibilities for:
-
Monitoring and controlling sickness absence on a day to day
basis
-
Establishing the reasons for all sickness absences personally
with the employee within 2 days of return to work and
appropriate recording of information
-
Entering into the informal Management of Sickness Absence
Procedure where a trigger point has been reached
-
Managing the process thereafter
 COPYRIGHT Children And Young People’s Human Resources
7.
Trigger Points
The following trigger points may lead to a Manager taking up the matter at the
informal level of the Management of Sickness Absence Procedure. Outcomes
may vary depending on the circumstances of each case. These trigger points
should be kept under review.
(a)
Any absence, mixture or pattern of absences that give cause for
concern.
(b)
Short Term Absence (1-3 day, self-certified, or medically certified
absence up to 4 weeks)
Following the third period of absence in a term and/or any 4 absences
in the previous 12 months
(c)
Long term absence
Following 6 weeks absence or where it is apparent that absence will
extend beyond this period,
NB. See Appendix 1 - Managers’ Checklist - Using the Occupational Health
Service
8.
The Procedure In Brief
The following procedure is designed to ensure that issues of sickness
absence are dealt with by managers promptly, thoroughly and equitably in a
sensitive, constructive and understanding manner, recognising the needs of
the employee concerned and their particular circumstances.
The School will provide, as appropriate and subject to available resources, at
every stage of the procedure:-
the practical and consistent application of support, advice and
guidance to the employee by a professional approach
-
the establishment of attendance criteria and monitoring of attendance
against the criteria within pre-determined time periods.
-
provide clear written information regarding the alleged shortcomings in
the employee’s attendance
The employee will be fully involved in the process by being invited to
participate in discussions about her/his sickness absence, advised clearly on
the specific areas of concern and made fully aware of the comments being
made by those whose role it is to offer support and guidance. She/He will also
be made fully aware of the stage, which has been reached, her/his sickness
absence at each stage, the timescale by which improvement is expected and
the consequences of failure to improve to the required standards.
The detail of the procedure is contained in Part Three.
 COPYRIGHT Children And Young People’s Human Resources
PART TWO
1.
Scope
This procedure will be used where a manager has identified problems in an
employee’s attendance at work, which may be caused by:
2.
-
Physical or mental incapacity impacting on attendance
-
Disability
-
Long term ill health
-
Ill health absence
Application
2.1
This procedure will apply to all employees (including Headteachers,
Deputy Headteachers and Assistant Headteachers).
2.2
The manager taking responsibility for the case under this procedure will
continue to manage the process up to the point where dismissal is to
be considered. If the Headteacher has been given delegated
responsibility to dismiss subject to the conditions under ‘roles and
responsibilities’, then the Headteacher can make the initial decision to
dismiss (IDD) rather than a Panel of Governors. During the process
however, particular support and supervision may be delegated to an
appropriate manager.
2.3
If at any time during the procedure the employee improves her/his
attendance to the standard required, she/he should be informed of this
in writing. If a lapse does occur, the matter may be taken up again at
the same stage in the process, or a lower stage, as appropriate.
2.4
The manager will specify timescales (for review and improvement)
throughout the procedure that are relevant and appropriate to the
circumstances of the case, in order to manage the problem within a
reasonable period of time.
2.5
Employees will be advised of their right to be accompanied by a Trade
Union or other Sheffield City Council employee representative of their
choice, at all stages of the procedure. The process will not be
unreasonably delayed to accommodate representation.
2.6
Throughout the process, guidance/advice will be available to the
manager from Human Resources and Occupational Health. If a
decision is made to refer an employee to Occupational Health, they
should be advised of this and the reasons for it to avoid anxiety and to
ensure attendance.
 COPYRIGHT Children And Young People’s Human Resources
3.
2.7
In some circumstances it may be reasonable to bypass a stage or
stages in the procedure.
2.8
Formal Improvement Notices/confirmation of resolution of problems will
be stored on the employee’s file.
Legal Framework
The Employment Rights Act 1996 confirms that dismissal for ill
health/sickness is a potentially fair reason for dismissal as it relates to an
employee’s capability to do the job.
The Education (Health Standards) (England) Regulations 2003
The Conditions of Service for School Teachers in England and Wales
(Burgundy Book) lays out entitlements to sick pay allowances for teachers.
The National Joint Council for Local Government Services - National
Agreement on Pay and Conditions of Service (Green Book) lays out the
entitlements to sick pay allowances for Support Staff.
Employees will be entitled to the relevant conditions of service for their
employee group.
However, the above are maximum entitlements that do not prevent
action being taken under the Sickness Absence Management Procedure
before the expiry of these entitlements.
Long Term Sickness (a minimum of six weeks)
In long term sickness a fair procedure is crucial and should include:
-
Adequate consultation with the employee
-
Adequate medical investigation
-
Consideration, where appropriate, of alternative employment/job
adjustment
In relation to medical investigation the manager should avail him/herself of all
relevant facts that could reasonably be known at the time in order to be able
to make an informed decision.
If an employee refuses to consent to a medical referral or examination, the
manager is entitled to base their decision on the relevant facts available even
if these facts are insufficient to give the full medical position.
 COPYRIGHT Children And Young People’s Human Resources
Where an employee’s health is such that they will not be able to return to
work in the foreseeable future, consideration will be given to bypassing stages
of the procedure, and it may be reasonable to move straight to the third and
final stage.
Persistent Short Term Sickness Absences
In many cases of short term sickness absence, a formal medical investigation
may not provide conclusive information because of the transient nature of
complaints and symptoms. However a fair procedure is still important and
should take into consideration the attendance record and reasons for
absence. Any dismissal should take into account:
-
the nature of the illnesses
-
the likelihood of recurrence or other illness arising
-
the length of absences and spaces of good health between, and
indications
-
for the future
-
the impact of absence on other employees
-
the consistency of treatment of staff
The above requirements put a considerable onus on managers to
demonstrate fairness, reasonableness and to consider all the circumstances
of a case.
Disability Discrimination Act
Managers will also need to be aware of the requirements of the Disability
Discrimination Act. This Act makes it is unlawful for an employer to treat a
disabled person less favourably than someone else because of their disability.
This applies to employees who have a disability when they are appointed and
employees who develop a disability during their employment. The Act also
requires an employer to remove disabling barriers by making ‘reasonable
adjustments’ where possible.
Education Act 2002
In line with the Education Act 2002 School Staffing Regulations, the
Headteacher or other delegated manager can issue Improvement Notices to
employees at the end of First and Second stage review meetings. They can
also be given delegated responsibility to make an initial dismissal decision
(IDD) at Stage 3. However, there will be circumstances when the Governors
will make the IDD. These include: COPYRIGHT Children And Young People’s Human Resources

in a small school

where there are allegations against the Head by the employee

where the Head has had prior involvement in the case

where the Head has carried out the investigation

where the Head is unwilling to perform this function or does not have
the necessary skills or capability

where the Head is subject to an investigation
Governors are advised to make a policy decision when adopting this procedure as to
whether the Headteacher will be delegated the responsibility to make an Init6ial
Dismissal Decision
 COPYRIGHT Children And Young People’s Human Resources
PART THREE
The Management of the Sickness Absence Procedure
The procedure consists of the following sections:A
B
C
D
E
F
G
H
I
J
K
L
M
Identification, Support, Monitoring and Evaluation
Trade Union Representation
The Composition of Panels for Stage 3 Hearings and Appeals
Appeal Rights
Records
Ill Health, Physical and/or Mental
Return to Work Interviews
Management Intervention Prior to Entry into the Formal Stages of the
Procedure
The Formal Stages of the Management of Absence Procedure
Suspension from Duty
Options Available
Sources of Assistance
Important Notes to Consider when Planning Timetables for Managing
the Formal Stages of the Sickness Absence Procedure
SECTION A
Identification, Support, Monitoring and Evaluation
It is important that sickness absence problems are clearly identified and given
appropriate consideration and support at the earliest possible stage. The nature of
the problem, its level of seriousness and cause(s) must be investigated and
identified by structured information gathering and systematic recording.
Following a specified period of support, monitoring and evaluation the next decision
will be to assess the outcome. In the event that the employee has failed to satisfy
the attendance standards set it may be necessary to enter the formal stages of the
procedure.
SECTION B
Trade Union Representation
Representation by relevant, recognised Trade Unions will be encouraged. An
employee has the right to be accompanied by her/his Trade Union or other
representative of the Council, at every stage of the procedure, including the informal
stage. Each employee will be informed of this right throughout the procedure.
Details of any actions previously taken or now possible will be given in writing to the
employee’s representative if the employee so desires.
 COPYRIGHT Children And Young People’s Human Resources
No action should take place with regard to any employee who is a recognised
representative of a Trade Union until, following notification to the employee, the
circumstances of her/his case have been discussed with a full-time official or other
appropriate official of the employee’s Trade Union. Should the employee not wish
her/his Trade Union official to be involved the procedure will be followed normally.
SECTION C
Formal Review Meetings At Stage One And Two
At stages one and two in the procedure, the manager or Headteacher can issue a
warning at the end of the review meeting. See also ‘Roles and Expectations’ of
Managers/Headteachers/Governors on page 9.
The Composition of Panels for Formal Stage 3 Dismissal Hearings and
Appeals at all Stages
In accordance with the Education Act 2002, Governing Bodies of delegated
Schools must appoint two separate sub-committees of not less than three governors
each to consider cases at the third and final stage when dismissal of an employee is
being considered. Where this number is not reasonably practicable it can be
reduced to two. There should not be fewer governors on the appeal panel than were
on the original panel.
In the interests of natural justice these sub-committees must comprise different
governors. It is recommended that these are not employees of the school.
However, governors can delegate the responsibility for dismissals to the
Headteacher (see ‘Roles and Responsibilities’ – managers/Headteachers/governors
on page 9)
For appeals at Stages 1 and 2 of the procedure, normally one Governor will hear the
case.
A Human Resources Adviser will be present to advise the Panel and
manager/governor at the formal hearings and appeals.
SECTION D
APPEAL RIGHTS
Normally one Governor will hear appeals at Stages 1 and 2 of the procedure
A panel of 3 Governors will hear appeals at Stage 3 of the procedure.
It can be reduced to two where this number is not reasonably practicable or where
there were 2 on the original panel
 COPYRIGHT Children And Young People’s Human Resources
Dismissals and notice periods are effective from the initial dismissal decision (IDD)
and not from after an Appeal Hearing
In order to register an appeal the employee will need to write to the Headteacher or
Chair of Governors as appropriate within five working days of the review
meeting/hearing and will need to specify the reasons for appeal
The Executive Director CYPD must give notice of dismissal within 14 days of
receiving the IDD (initial dismissal decision)
If the panel upholds the appeal, the Chair must inform The Executive Director CYPD
in order that the dismissal notice is withdrawn
Appeals should normally be restricted to:-
the reasonableness of the decision
-
any relevant new evidence
-
procedural irregularities
An Appeal against dismissal will be a rehearing and no new evidence will be
presented unless agreed and presented in advance.
The procedure to be adopted for the above are appended at the end of this
Document.
SECTION E
RECORDS
Improvement Notices issued at formal stages of the Procedure will be recorded on
the employee’s personal file. Throughout the procedure an employee will be
supplied with copies of any reports prepared and these, with their agreement, will
also be supplied to their chosen representative. A written record should be kept of
the employee’s attendance and a copy of the record handed to the employee at the
end of the period of monitoring.
SECTION F
ILL HEALTH, PHYSICAL AND/OR MENTAL
PROLONGED ABSENCE
If an employee is absent or is likely to be absent for a prolonged period, the
Manager should make contact with the employee so that expectations for a return to
work can be assessed. This contact could be via a relevant third party if this is more
appropriate. The aim is to give support to the employee, and to gather information
about the employee’s medical situation. Any third party should pass on relevant
information to the Manager.
 COPYRIGHT Children And Young People’s Human Resources
Every attempt should be made to seek suitable arrangements with the employee to
facilitate some kind of return to work. This should be done in conjunction with advice
from Occupational Health and Human Resources, usually via a Case Conference
which will be recommended by Occupational Health.
The case should then be reviewed. In the light of information gathered, the following
options could be considered following advice received:Short Term Measures (subject to affordability and appropriateness)
1.
A phased return to work and/or temporary reduction in duties
2.
A temporary reduction in hours and/or responsibility points/grade following the
phased return to work (with a corresponding reduction in salary)
3.
Reasonable adjustments under the DDA. See also the Model Disability Leave
Policy for schools circulated in January 2007
Long Term Measures
1. Reasonable adjustments under the DDA. See also the Model Disability Leave
Policy for schools circulated in January 2007
2. Permanent reduction in hours
3. Permanent reduction in hours and ‘Stepping Down’ from a post of
responsibility (teachers) at no cost to the CYPD or school
4. Transfer to a post of less responsibility, if such a post is available (teachers)
5. Application for Ill Health retirement benefits
If the above options are not viable or have been tried but found to be unsuccessful,
then the Manager may recommend to the Headteacher/Governing Body termination
of employment with the appropriate contractual notice pay. The employee will have a
right to a Hearing and an Appeal as specified above, and a right to representation by
a Trade Union Representative or other employee of the Council at both, before a
decision to dismiss is taken.
Frequent Short Term Absences
If an employee is frequently or persistently absent for health reasons, the absences
should be investigated promptly to ascertain whether there are any underlying
medical reasons for the absences and to secure, where possible, the improvement
in attendance to the required standard. The employee should be referred to
Occupational Health Service, and this procedure used appropriately, unless there
are no underlying medical reasons for the absences, in which case the use of the
School’s Disciplinary Procedure should be considered. Alternatively, managers
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should consider the other solutions and/or arrangements suggested in the
Introduction to this document.
SECTION G
Return To Work Interviews
It is important that managers recognise the importance of ‘return to work’ interviews
in resolving problems of sickness absence from work. The degree of formality and
length of the interviews will depend on the individual circumstances. eg an employee
who is off rarely off sick, the interview will be brief and more in the nature of a
welcome back to work. If, however, the employee is returning to work after a
succession of frequent intermittent absences or after a long term absence and may
need support, the interview should be more structured. Obviously, this is a matter of
judgement by the manager.
This ‘interview’, ideally held on the day of returning to work by the manager, should
be supportive and sensitive, but should also emphasise the point that the period of
sickness absence, no matter how brief, has been noted. The ‘interview’ provides the
opportunity to discuss:a)
the reason for sickness absence and how the individual is feeling
b)
If there are any specific problems
c)
A review of the sickness absence period
d)
If the employee has followed procedures
e)
Reminder of previous sickness absence (if applicable)
f)
The importance of regular attendance at work
g)
Anything that they have missed whilst on sick leave
h)
Action, including support, and time scales (where applicable)
A written record of the meeting should be shared, including outcomes under ’h’.
 COPYRIGHT Children And Young People’s Human Resources
SECTION H
Management Intervention Prior to Entry into the Formal Stages of the
Procedure
Before entering into the formal stages of the procedure, managers have the right
and the duty to bring matters of concern to employees’ attention. When it appears
that an employee is not attending to the required standard they will be requested to
attend a meeting with the manager (See Appendix 3 for suggested format). The
objective of the meeting is to draw to the attention of the individual the way in which
their sickness absence is alleged to be deficient and to:-
Have investigated to provide information/evidence to put to the employee
-
Confirm the status of the meeting
-
Make the employee aware in specific terms of the standards expected and
the shortfall
-
Give the employee an opportunity to respond and consider the response
-
Confirm any support to assist/resolve the problem
-
Seek medical advice, via Occupational Health where a manager believes a
health issue is affecting attendance
-
Assess the seriousness of the problem which exists
-
Confirm a time period over which monitoring will take place
-
Note and confirm the discussion outcomes and the review date
Where the manager considers that the matter is resolved or can be managed within
the informal stage the manager will confirm this in writing to the employee but
continue to monitor sickness absence to avoid future problems.
An appropriate support programme shall be arranged and the employee will be
given a reasonable period of time in which to show acceptable improvement. The
period of time given to the employee to improve their sickness absence will reflect
the seriousness of the concern and in extreme cases will be short. The employee
will be informed that their subsequent sickness absence will be monitored. A date
for a review of the employee’s sickness absence will be clearly specified as part of
the programme of action determined. The employee will be notified of the period of
time in which improvement is expected and advised of the consequences of a failure
to improve.
Where improvement is not adequate at the end of the specified period the employee
will be requested in writing to attend a formal Review with the manager to discuss
 COPYRIGHT Children And Young People’s Human Resources
the case. The outcome of this meeting may be that the Manager decides to issue a
Formal Improvement Notice at Stage 1 or 2 of the Procedure.
In the case of long term ill health/sickness where it is evident that the matter cannot
be resolved by informal support the manager may move to the appropriate stage of
the Formal Procedure.
Following a failed application for ill health retirement, depending on the
circumstances of the case, and if all other options have been explored and found to
be unsuitable, then it will be appropriate to move straight to Stage 3 of the
Procedure (ie dismissal).
SECTION I
The Formal Stages of the Management of Sickness Absence Procedure
Timetable for Teachers
When a teacher has been entered into the Formal Stages of the Procedure a
timetable will need to be determined which will include the dates for all possible
Hearings, Appeals and notice periods. This is because of conditions of service
relating to resignation/termination dates. (See Appendix 3).
Timetable for Support Staff
There are no equivalent conditions of service relating to resignation/termination
dates for support staff. However, there are conditions of service relating to notice
periods. Any member of staff with more than 12 years service is entitled to 12 weeks
statutory notice.
Formal Review Meetings
The purpose of these meetings, which are pre-planned, is to assess progress
against the targets set at the informal stage of the Procedure, or following formal
Improvement Notices. The manager should share and discuss appropriate
information/evidence at these meetings. Dependent upon the circumstances the
outcome could be:

confirmation that a first/second formal Improvement Notice is to be issued

confirmation of a Stage 3 dismissal hearing with the Headteacher/Panel of
Governors

confirmation of a further monitoring period

confirmation that the matter is resolved/concluded
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First Formal Stage
Where, at the end of a formal Review meeting (normally following a period of
informal management intervention) any of the following circumstances exist:1
a failure by the employee to improve after earlier management intervention
2
continued unsatisfactory attendance
3
a level of absence which is causing such concern that the Manager assesses it
needs to be dealt with immediately within the formal Procedure
A first formal improvement notice will be issued by the manager. (see Appendix 4 for
suggested format)
At least 5 working days notice of the review meeting should be given, in writing, and
a ‘Management Review Statement’ sent to the employee. This is the evidence that
the Manager will consider at the Review meeting to support their case. This should
also be copied to the employee’s Trade Union or other Representative. The
Manager may call witnesses to support their case.
The employee will then have the opportunity to challenge facts or evidence and will
have the opportunity to submit their own facts or evidence for consideration, and to
call witnesses to support their case.
The decision will be sent to the employee in writing within 3 working days. The Stage
1 improvement notice letter will confirm:
-
the nature of the concerns over how current attendance fails to meet the
required standards, and the improvements expected
-
details of the support programme and any additional training or other support
that will be provided in order to help the employee meet the standard required
-
the time period in which to achieve the standard required, how this will be
monitored, the criteria to be used, and the date at which a review will take
place
-
the consequences of continued failure to meet the required standard
-
the employee’s appeal rights as detailed in this procedure at Section D
If the manager believes that the employee’s attendance has improved to the
required standard, they will confirm this in writing. The employee will then revert to
the monitoring to which all employees are subjected.
 COPYRIGHT Children And Young People’s Human Resources
Second Formal Stage
An employee will be required to attend a formal review meeting at the second stage
of the Procedure in any of the following circumstances:
1.
If after the defined review or monitoring period, following a Stage 1
Improvement Notice, there is a continued failure to improve attendance
2.
If a manager assesses that a case is so serious they will commence the
formal stage of the Procedure at Stage 2.
Where at the end of the Review meeting either of the above circumstances exist, a
second formal Improvement Notice will be issued by the manager. (see Appendix 4
for suggested format)
A Management Review Statement will be required in both of the above
circumstances. Please refer to the First Formal Stage above for details.
The next stages of the Procedure are as the First Formal Stage.
This further and/or Stage 2 formal Improvement Notice specifying the above will be
confirmed in writing within 3 working days of the review meeting. The employee must
also be advised at this stage in writing, that continued failure to attain the standards
expected may lead to a third and final review meeting. The outcome of this could be
that the employee will be required to attend a Hearing where the termination of the
employee’s employment will be considered.
If redeployment is agreed by Head/Governors as a possible solution, opportunities
will be actively pursued by the employee, manager and CYP Human Resources
accordingly. (see Section L)
If the Manager believes that the employee’s attendance has improved to the
required standard, he/she will confirm this in writing. The employee will then revert to
the monitoring to which all employees are subjected.
Third and Final Stage
An employee will be required to attend a formal review meeting at the third and final
stage of the Procedure in either of the following circumstances:
1.
continued unsatisfactory attendance within the time specified at Stage 2,
OR
2
a manager assessing that a case is so serious that an employee is not
capable of improving their attendance to the required standard, the dismissal
of an employee may be considered by the Headteacher/Governing Body. At
any such Hearing the Executive Director CYPD is entitled to be represented
to offer advice to the Headteacher/Governing Body,
 COPYRIGHT Children And Young People’s Human Resources
Following this final review meeting, the employee will be suspended (unless on long
term sickness absence) and a Stage 3 Hearing will be arranged by the manager to
which the employee will be invited formally in writing. The letter will advise that
dismissal is a possibility and will remind the employee of her/his right of
representation. (See Appendix 4 for suggested format)
The manager will share with the employee and Headteacher/Governors panel, 5
clear working days in advance of the Hearing, a written management case detailing
the nature of the sickness absence concerns in respect of the employee, along with
any documentary evidence to be presented at the Hearing.
Similarly, the employee (or employee’s representative) will share with the manager
and Headteacher/Governors panel, at least one working day in advance of the
Hearing, a written case along with documentary evidence to be presented at the
Hearing.
At the Hearing the manager will present the sickness absence case to the
Headteacher/Governors panel, including the detail of unsatisfactory attendance, the
evidence upon which this is based and the action taken to encourage improvement
and manage the matter, including any previous formal warnings (where relevant).
The employee will have the opportunity to challenge facts or evidence.
Following an adjournment to give full consideration of the evidence presented, the
Headteacher/Chair of the Panel will give her/his decision.
The result of a Hearing at which dismissal has been considered must be confirmed
to the employee in writing within 3 working days of date of the Hearing. If the
decision is to dismiss, the employee must be informed in writing of the right to
appeal to the Governing Body. The decision to dismiss must be communicated to
the Executive Director CYPD after the outcome of the Hearing (and not the appeal)
has been confirmed.
The Executive Director CYPD will issue the dismissal notice within 14 days of
receiving the IDD. All dismissal letters must give the employee appropriate
contractual or statutory notice (whichever is the longer), specify the reasons for
dismissal and notify the employee of her/his right of appeal to an Employment
Tribunal, mentioning the specific time limits.
Full pay in lieu of notice may be offered when an employee is dismissed on grounds
of ill health absence. Offering payment in lieu of notice to an employee will have to
be justified by the manager presenting the case. Pay in lieu is not a contractual right
and needs to be mutually agreed
If payment in lieu of notice is not agreed by all parties, an employee who is
dismissed on grounds of ill health absence will remain on suspension (if they are
suspended) from their duties whilst serving their period of notice.
Dismissal on the ground of ill health will not guarantee access to a pension.
 COPYRIGHT Children And Young People’s Human Resources
Resignations
An employee may reach a voluntary decision to resign at any stage of the
Procedure. The manager will have a duty to reflect on the circumstances under
which the employee resigned in any reference requested, including the sickness
absence record.
SECTION J
Suspension From Duty
1.
Where investigation and consideration of the evidence by a manager results
in a decision that the employee’s continued presence in the school is either a
risk to their own health and safety, or a risk to the pupil’s health and safety,
the employee may be suspended from duty on medical grounds on full pay to
allow proper consideration by the manager of how to deal with the employee.
2.
Following an agreed period of monitoring, suspension from duty will take
place where it is decided that an employee’s sickness absence is so severe
that she/he will be required to attend a Stage 3 Dismissal Hearing at the Final
stage of the Procedure.
Suspension should not take place if the employee is on long term sick leave.
SECTION K
Options Available
At any stage within the procedure, the manager managing the sickness absence of
the employee may wish to give consideration to the options available to enable them
to resolve the issues presented.
Using the information gathered, it may be appropriate in some cases to consider the
following:1.
retraining and/or help from a skilled worker
2.
medical examination
3.
any other appropriate counselling or advice
4.
job redesign or other changes to working arrangements
See also Section F - Short and Long Term Measures for prolonged sickness
absence
 COPYRIGHT Children And Young People’s Human Resources
SECTION L
Sources of Assistance
In Primary Schools the Headteacher and Deputy Headteacher will normally be
involved in the process of assistance and review. However, in the smaller Primary
School this may only be the responsibility of the Headteacher
In Secondary Schools the Headteacher, Deputy Headteacher, Assistant
Headteachers and Heads of Departments will normally have the above
responsibility.
The manager in the case of the Headteacher will be the Chair of Governors or other
appropriate member of the Governing Body.
In all cases the School may also request assistance from Human Resources and
Occupational Health.
Section M
Redeployment
Redeployment will not be used as a means of passing an employee’s sickness
absence problem from one school to another, or to another Council Directorate.
Redeployment will only be considered where the available evidence suggests an
employee’s attendance will improve to a satisfactory level if they moved to another
post.
There can be no guarantee of redeployment under this procedure. Where it is
appropriate and if suitable posts are available, redeployment to an alternative post
more suited to an employee will be considered.
SECTION N
Important Notes to Consider when Planning Timetables for Managing the
Formal Stages of the Sickness Absence Procedure
1.
Normally it is advisable to avoid arranging Hearings and Appeals for holiday
periods and it will not be possible to monitor employees during holidays.
However, depending on the circumstances of the case, it may be possible by
agreement to hold Hearings and Appeals in school holiday periods.
2.
Where there is absence due to sickness of the employee who is causing
concern, or of any relevant manager/witness, it may be necessary to
reschedule the timetable to allow for their recovery.
3.
If it is assessed that an employee should be dismissed please note carefully
the notice entitlements of these employees (see appendix 3). Any dismissal
must comply with contractual or statutory notice periods as applicable
 COPYRIGHT Children And Young People’s Human Resources
APPENDIX 1
OCCUPATIONAL HEALTH SERVICESUPPORT INFORMATION
HEADTEACHER CHECKLIST
Occupational Health Service
This checklist should be read in conjunction with the Guidance for Headteachers on
the Schoolpoint website.
Should I Make A Referral To Seek Advice From Occupational Health?
The basic rule for referral is:

Where there is a need to provide advice and assessment in order for
Headteachers to decide whether the employee is able to perform safely and
effectively in their work

If you (or the employee) think that there could be a health issue to be
considered

If you need information which Occupational Health can provide to help you
manage a capability/attendance problem or

You believe the Occupational Health Service could access other advice to
help you manage the matter (eg Access to Work Team.)
Examples of Cases to Refer are:
Delayed return to work due to physical or mental stress being questionable in
relation to job requirements ie inability to cope with present duties, multiple
diagnosis/change in health status.

Cases that continue to fail just before return to work date

Work related disabilities with a long term prognosis, which present problems
to the employee in their work and can not be resolved by the School

Employees presenting skills and/or performance problems where an
underlying problem is suspected.
Any multiple of the above factors increase the need for early intervention

Occupational Health Service has the facility through the Access to Work
Team to access external expertise when the need has been identified for
 COPYRIGHT Children And Young People’s Human Resources
work place assessment, work ability profiling and support for adjustments that
would not be considered reasonable to be made by the School

Funding will be required from the School for these specialist services.

Early specialist intervention in cases where there is a possibility of chronic
disability and intervention is paramount to the health of the individual and the
prevention of further risk
Interpreting/Using Occupational Health Information to Manage the Case

Occupational Health Service will give information and advice. The
Headteacher/manager has a duty to manage the employee and his/her
problems and make appropriate management decisions, taking into account
all of the wider circumstances. In some cases this may mean that it will not be
possible to fully implement Occupational Health advice but take another
course of action.

Issues that may need to be taken into account in managing the case in the
light of Occupational Health advice will include:-
The advice itself
-
Any prognosis/timescale given for improvement/recovery
-
The demands and pressures placed on the School caused by the
problem
-
The employee’s views and preferences
-
The impact of the problem on other staff
Possibility/appropriateness of actioning the advice or exploring a range of
other options and their practicability eg temporary/permanent staffing or other
arrangements, job redesign, adaptations, phased return to work etc. (refer to
general guidance on review meetings)

-
The need for further medical advice
-
The appropriateness of a further monitoring period
Human Resources provide guidance on interpreting the advice within the
School context and in discussing the full range of issues, the manager will
need to identify a reasonable course of action, or a range of options to be
pursued
 COPYRIGHT Children And Young People’s Human Resources
NOTICE PERIODS FOR TEACHER AND HEADTEACHERS
APPENDIX 2
DATES
HEADTEACHERS
TEACHERS
31 January
Last day for issuing notice of dismissal for
30 April dismissal
Last day for issuing notice of dismissal
for those with 12 or more years
continuous of service
February 7
Last day for issuing notice of dismissal
for 30 April dismissal for those with 11
years’ continuous service
February 14
Last day for issuing notice of dismissal
for 30 April dismissal for those with 10
years continuous service
February 21
Last day for issuing notice of dismissal
for 30 April dismissal for those with 9
years continuous service
28 February
Last day for issuing notice of dismissal
for 30 April dismissal for those with 8
years or less continuous service
30 April
Effective date of dismissal if notice issued on or
before 31 January. Last day for issuing notice of
dismissal for 31 August dismissal
Last day for issuing notice for 31
August dismissal
31 May
August
Effective date of dismissal if appropriate
statutory or contractual notice given
SCHOOLS CLOSED
SCHOOLS CLOSED
 COPYRIGHT CHILDREN AND YOUNG PEOPLE’S HUMAN RESOURCES
31 August
Effective date of dismissal if notice of dismissal
issued on or before 30 April
30 September
Last day for issuing notice for 31 December
dismissal
Effective date of dismissal if notice of
dismissal issued by 31 May
October 3
Last date for issuing notice of dismissal
for 31 December dismissal for those
with 12 years continuous service
October 10
Last date for issuing notice of dismissal
for 31 December dismissal for those
with 1 years continuous service
October 17
Last date for issuing notice of dismissal
for 31 December dismissal for those
with 10 years continuous service
October 24
Last date for issuing notice of dismissal
for 31 December dismissal for those
with 9 years continuous service
31 October
Last day for issuing notice for 31
December dismissal for those with 8
years or less continuous service
31 December
Effective date of dismissal if notice issued on or
before 30 September
Effective date of dismissal if appropriate
statutory or contractual notice given
 COPYRIGHT CHILDREN AND YOUNG PEOPLE’S HUMAN RESOURCES
APPENDIX 3
Model Informal Stage Letter – Outcome of a Meeting at the Informal
Stage of the Managing Sickness Absence Procedure
Dear ___________
Management of Sickness Absence Procedure - Informal Stage
This letter confirms the outcomes of our meeting held on ..................... at the
informal Stage of the above Procedure. At the meeting I discussed my concerns
about your sickness absence with you and your representative.
As identified at the meeting, I confirm that my specific concerns about your sickness
absence are as follows:


In determining the above I have taken account of:


A period of monitoring and support will be provided between ........and …………..
and a further review meeting will take place on ----If, at the end of the review meeting I am satisfied that the problems are resolved,
then I will confirm this to you in writing and provide ongoing support and monitoring.
If however, I feel that significant problems remain, I may have no alternative but to
progress to the appropriate formal stage of this Procedure.
Meanwhile do not hesitate to contact me if you have any further queries about this
letter, or the monitoring and support process.
Yours sincerely
cc trade union rep
Human Resources
 COPYRIGHT CHILDREN AND YOUNG PEOPLE’S HUMAN RESOURCES
Appendix 4
Model Letter requiring attendance at a Formal Review Meeting
Dear ---------------Sickness Absence Review meeting (Formal Stage One/Two/Three)
I am writing to confirm that you are required to attend a review meeting at formal
stage one/two/three of the school’s Sickness Absence Management Procedure. At
the review meeting I want to discuss the continuing concerns I have about your
attendance.
This review meeting will be held on (date) at (time) in (venue).
You are entitled to be represented at the meeting by either your trade union representative
or other Sheffield City Council employee. At the meeting the following people will be
present: (list names).
Please find attached a Management Review Statement which is the evidence that I will be
presenting.
You are entitled to present information at the meeting and you will have the opportunity to
respond to my concerns. The agenda for the meeting is as follows:
Introductions and purpose of interview.

My concerns about your sickness absence

An opportunity for you or your representative to ask me questions.

Your response to my concerns.

An opportunity for me to ask you questions.

An adjournment whilst I consider the next step(s).

My decision and the next step(s).
I must advise you that a possible outcome of this meeting is that I will issue you with a
formal stage1/formal stage 2 written Improvement Notice which will be recorded on your
personal file.
or
I must inform you that a possible outcome of this meeting will be that I will convene a
dismissal hearing.
If you do not attend this meeting, a decision may be taken in your absence.
If you have any queries please do not hesitate to contact me.
Yours sincerely
cc trade union rep/human resources
 COPYRIGHT CHILDREN AND YOUNG PEOPLE’S HUMAN RESOURCES
APPENDIX 5
Model Letter - Decision to Issue a Formal Improvement Notice Following a
Formal Review Meeting
Dear ___________
Formal Stage 1/Stage 2 Improvement Notice in accordance with the Sickness
Absence Procedure
This letter confirms the outcomes of the review meeting held on ..................... at the
end of the informal Stage/Stage 1 review period of the above Procedure. You were
present and were represented by ………..Also present at the meeting were ……(eg
HR). At the meeting I discussed my continuing concerns about your sickness
absence with you and your representative.
Following the meeting, I confirm my decision to issue you with a formal stage
1/stage 2 Improvement Notice under the Management of Sickness Absence
Procedure. This letter constitutes this Improvement Notice.
My decision takes account of:




Concerns about your sickness absence (summarise)
How your attendance does not meet the required standard
The support programme provided by the school and the CYPD (where
appropriate - summarise)
Previous Improvement Notices (specify as appropriate)
A further period of monitoring and support will be provided between --------- and ----------, with a formal/final review meeting on ----------- at --------------.
At the above review meeting, progress/new developments/evidence/information will
be discussed. If the problems are resolved and there are no longer concerns about
your sickness absence, I will confirm this to you in writing and provide ongoing
support and monitoring to avoid any future recurrence of these problems.
If however, I feel that significant problems remain, I may have no alternative but to
progress to Stage 2 of this procedure/Stage 3 of this Procedure where your
dismissal will be considered by the Headteacher/a Panel of Governors.
You have the right of appeal against this decision by writing to the
Headteacher/Chair of Governors within 5 working days of receiving this letter and
will need to specify the reasons for your appeal.
Please do not hesitate to contact me if you have any further queries about this letter,
or the support and monitoring process.
Yours sincerely
cc trade union rep/human resources
 COPYRIGHT CHILDREN AND YOUNG PEOPLE’S HUMAN RESOURCES
APPENDIX 6
Model Letter to Convene a Dismissal Hearing at Stage 3 under the
Management of Sickness Absence Procedure
This letter confirms the outcome of the review meeting held on ..................... at the
end of the formal Stage 2 review period of the above Procedure. You were present
and were represented by ……….. At the meeting I discussed my continuing
concerns about your sickness absence with you and your representative.
Following the meeting, I confirm my decision to convene a Stage 3 Hearing under
the above Procedure where your dismissal will be considered by the Headteacher/a
Panel of Governors.
My decision takes account of:




Concerns about your sickness absence (summarise)
How your attendance does not meet the required standard
The support programme provided by the school and the CYPD (where
appropriate - summarise)
Previous Improvement Notices (specify as appropriate)
At the Hearing I will be asking the Headteacher/a panel of Governors of __________
School (with advice provided by a Personnel Officer from Human Resources) to
dismiss you from your post of ______________ because of your continued failure to
reach the required standards of attendance.
The details will be contained within a statement of case which will be shared with
you 5 days in advance of the hearing.
I must advise you that should the Management case be found to be proven, you will
be dismissed from your post of ______________ at _______________ with effect
from _______________, or earlier by agreement with payment in lieu of notice. You
would have the right of appeal against a decision to dismiss you by writing to the
Chair of Governors and you will need to specify the reasons for your appeal.
I must inform you that because dismissal is a potential outcome of the Hearing, you
are suspended from duty on full pay until __________(if not on long term sickness).
May I strongly advise you of your right to be represented at the Hearing by a trade
union or other City Council employee representative. If you do not attend, a decision
may be taken in your absence.
Meanwhile do not hesitate to contact me if you have any further queries about this
letter.
Yours sincerely
cc trade union rep/human resources
 COPYRIGHT CHILDREN AND YOUNG PEOPLE’S HUMAN RESOURCES
APPENDIX 7
Procedure to be Followed at Formal Review Meetings at Stage 1
and Stage 2 and Dismissal Hearings at Stage 3
1.
Introduction
1.1
For Stages 1 and 2 the person hearing the case will either be the
Headteacher (subject to circumstances outlined in the section on ‘roles
and responsibilities) or a Governor advised by an HR Advisor
1.2
For a Stage 3 Hearing, either the Headteacher or a panel of 3
Governors will hear the case (again depending on the above
circumstances) advised by a Human Resources Advisor
Where this number is not reasonably practicable it can be reduced to
two
At Stage 3, dismissal on grounds of sickness absence is effective from
the Initial Dismissal Decision (IDD) and not after the Appeal Hearing
2.
The Purpose of Review Meetings and Stage 3 Hearings
At Stages 1 and 2
2.1
To consider whether Formal Written Improvement Notices should be
issued to employees about their need to improve the level of sickness
absence.
2.2
To consider allegations of unfair procedure and/or unreasonable
Management practice
At Stage 3
To consider whether an employee should be dismissed from their post with
contractual notice on the grounds of sickness absence.
3.
The Parties – Stage 1 and 2 Review Meetings
3.1
The Headteacher/Governor chairing the meeting will be advised by a
Human Resources Adviser. The other parties will be the employee
usually accompanied by their representative.
3.2
A witness or witnesses may be called by either side where they have a
relevant contribution to make to the consideration of the case.
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4.
5.
Stage 3 Hearings
4.1
The Headteacher/Governor chairing the meeting will be advised by a
Human Resources Adviser. The other parties will be the employee and
usually their representative and other relevant Manager (also advised
by a Human Resources Adviser if required).
4.2
A witness or witnesses may be called by either side where they have a
relevant contribution to make to the consideration of the case.
Conduct of The Meeting – Stages 1 and 2
5.1
The Headteacher introduces all parties and outlines the purpose of the
Review Meeting
5.2
The Headteacher outlines concerns about absence using information
Shared
5.3
The employee/representative asks questions
5.4
The employee has the opportunity to respond to concerns raised
5.5
The Headteacher asks questions
5.6
An adjournment to consider the next steps
5.7
The Headteacher reports their decision
Stage 3 Dismissal Hearing
5.8
The Headteacher/Chair of Panel introduces all parties and outlines the
purpose of the Hearing
5.9
The Headteacher (or CYPD representative in the case of
Headteachers) to present the case to justify why an employee should
be dismissed at Stage 3
5.10
If a witness is to be used he/she will be called by the Headteacher at
the appropriate time to give evidence. He/she may be questioned by
those present and will then withdraw.
5.11
The employee and their representative will have the opportunity to ask
questions of the Headteacher/CYPD representative and any witnesses.
5.12
The Headteacher/Governor(s) hearing the case to have the opportunity
to ask questions of the Manager/CYPD representative and any
witnesses.
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5.13
The employee and their representative will then have the opportunity to
present their case.
5.14
If a witness is to be used he/she will be called by the employee at the
appropriate time to give evidence. He/she may be questioned also by
those present and will then withdraw.
5.15
The Headteacher/CYPD representative to have the opportunity to ask
questions of the employee and any witnesses.
5.16
The Headteacher/Governors hearing the case to have the opportunity
to ask questions of the employee and any witnesses
5.17
The parties will have the opportunity of summing up following a short
adjournment if required: the Headteacher/ CYPD representative first,
followed by the employee and their representative. The parties will then
withdraw while the Manager/Governors considers the information
presented.
5.18
The parties will be called back into the meeting to hear the decision of
the Headteacher/Governors which will be confirmed in writing to the
parties within 3 working days of the meeting.
If at a Stage 3 Hearing the Headteacher/Panel decide to uphold a decision to
dismiss an employee, they will notify the Executive Director CYPD in writing at
the same time that they notify the employee of their decision as this will be
the effective date of dismissal (not after an appeal). The Executive Director
CYPD will issue the dismissal letter following receipt of this notification. Right
of appeal to an Employment Tribunal will also be confirmed in this letter.
6.
Decision Making
6.1
The Headteacher/Governors will deliberate in private with their
adviser(s). His/her decision will be based on consideration the relevant
evidence and information presented and will be reasonable given all
the circumstances of the case.
6.2
In relation to sickness absence matters there could be a range of
outcomes which may include confirming the Headteacher/Chair of
Governors action or not upholding the recommendation to dismiss.
There could also be a revision of the specific targets, timescales or
standards required, identification of other support etc with the purpose
of assisting the employee to achieve the standards required as
confirmed by the Chair of the meeting.
If points of uncertainty are identified during the
Headteachers/Governor’s deliberations or clarification is required from
the parties, both sides will be recalled.
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Appendix 8
Procedure To Be Followed At Formal Appeals
At Stage 1 And Stage 2 And Dismissal At Stage 3
1.
Introduction
Appeals against formal Improvement Notices issued at formal stages one or
two by the manager will normally be heard by an individual governor. This
governor will be advised by a different Human Resources officer from the
one advising the manager.
For a dismissal appeal a Panel comprising of three governors will hear the
appeal. These governors will not have had any prior involvement in the
procedure relating to this particular employee. Where it is not reasonably
practicable for a panel of three governors to hear the appeal, then two
governors may hear it provided there are not fewer governors involved at the
appeal stage than were involved at the dismissal hearing.
If at a dismissal appeal the staff appeal panel committee decide to uphold a
decision to dismiss an employee, they will notify in writing the Executive
Director: CYPD at the same time that they notify the employee of their
decision in writing.
2.
Purpose of the Appeal
At Stages 1 and 2
To consider appeals against the reasonableness of the decision to issue
formal written Improvement Notices
To consider allegations of unfair procedure and unreasonable management
practice.
To consider any relevant new evidence.
At Stage 3
An appeal against a dismissal will be a rehearing and no new evidence will be
submitted unless agreed and presented in advance.
To consider appeals against the reasonableness of the decision to dismiss
employee ie this is a rehearing.
To consider allegations of unfair procedure or unreasonable management
practice.
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3.
Conduct of the Appeal Hearing
Chair introduces all parties and outlines the purpose of the meeting.
The Manager or Chair of Governors (in the case of Headteachers) to present
the management case to justify either why the formal warning issued at
Stages 1 or 2 should remain in place or to justify why an employee should be
dismissed at Stage 3.
If a witness/es is to be used, they may be called by the manager at the
appropriate time to give evidence. They may be questioned by those present
and will then withdraw
The employee and their representative to have the opportunity to ask
questions of the Manager/Chair of Governors.
The Manager/Governor(s)/Adviser hearing the case to have the opportunity
to ask questions of the Manager/Chair of Governors.
The employee and their representative then have the opportunity to present
their case.
The Manager/Chair of Governors to have the opportunity to ask questions of
the employee.
The Manager/Governor(s)/Adviser hearing the case to have the opportunity
to ask questions of the employee.
The parties will have the opportunity of summing up following a short
adjournment if required: the Headteacher/ CYPD representative first,
followed by the employee and their representative.
The Manager/Chair of Governors and the employee and their representative
will withdraw to allow the Manager/Governor or panel of governors hearing
the case to deliberate.
The Manager/Governor or the Chair will announce his/her/their decision
orally and then confirm this decision in writing within three working days of
the date of the hearing.
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