ABSENCE MANAGEMENT PROCEDURE
From 1 August 2014
Originator:
Date:
Approved by:
Type:
Graham Curling
May 2010
Finance & GP
Procedure
Revised:
February 12
June 12
June 14
ABSENCE MANAGEMENT PROCEDURE
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CONTENTS
1.
Purpose
3
2.
Operating principles
3
3.
Sick pay and leave scheme
4
4.
Notification and certification of sickness absence
6
5.
Absence management procedure
7
6.
Short term absence procedure
8
7.
Long term absence procedure
14
8.
Appeals
16
Appendix 1 – General guidance
17
Appendix 2 – Self certification form
20
Appendix 3 – Manager’s guidance: Fit to Work notes
21
Appendix 4 – Return to work meeting form
27
Appendix 5 – Right to be accompanied
28
Appendix 6 – Conducting a formal meeting under the Absence Management
Procedure
30
Appendix 7 – Procedure for appeals
32
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1.
PURPOSE
1.1
This procedure applies to all employees other than “designated senior post holders” as
defined in the College’s Articles of Association.
1.2
The purpose of this procedure is to improve levels of attendance across the College through
the establishment of a framework to ensure appropriate and consistent advice, assistance,
and support is offered to all employees and, where necessary, action is taken. However, it
recognises that a certain level of absence may be necessary due to sickness, injury or
disability. It is the College's policy to offer security of employment during such periods,
subject to operational requirements and to provide financial support and assistance through its
Occupational Sick Pay Scheme.
1.3
The College has chosen to introduce an attendance management policy as it recognises that
there are potential costs that may be incurred as a result of high levels of non attendance, and where an employer takes no steps to manage attendance they are
likely to experience:


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

2.
excessive disruption to business;
de-motivated staff;
an adverse effect on customer service levels;
student dissatisfaction; and
loss of productivity.
OPERATING PRINCIPLES
2.1
The College will aim to provide a healthy working environment and demonstrate
commitment to the health, safety, and welfare of staff in order to maximise attendance.
The College will look to assist staff in achieving satisfactory levels of attendance through
health promotion and ensuring the College is a safe and enjoyable place to work.
2.2
Managers are responsible for monitoring and taking appropriate action in connection with
sickness absence. It is important that a consistent and fair approach to the management of
attendance is maintained throughout the College and for this reason Human Resources will
advise on the application of this procedure. The Equality Act places particular
responsibilities on employers and in the case of persistent absence due to an employee’s
disability advice should be sought from Human Resources. (See also Appendix 1 – Section 3)
2.3
Where an employee’s attendance record gives cause for concern due to the duration of, or
frequency of absence as identified by absence triggers, advice should be sought from Human
Resources. If appropriate, the issue should be brought to the attention of the employee –
normally through discussion with his/her line manager or supervisor.
2.4
However, in certain situations, it is recognised that there might be underlying personal or
sensitive issues that an employee is unwilling to disclose, or discuss with, his/her immediate
manager. In such situations, arrangements will be made for a member of Human Resources
to assist with the procedure through a separate meeting with the employee, and respect
his/her concern for confidentiality.
2.5
Sufficient information must be gathered about the nature and extent of any illness or
disability that may be affecting an employee’s attendance record. Any information gathered
in this way will be held in line with the Data Protection Act.
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2.6
Sickness absence is not a disciplinary matter and therefore the formal Disciplinary Procedure
should not be used in managing this however a failure of an employee to comply with these
procedures may result in action being taken under the College’s Disciplinary Procedures.
The framework detailed in this procedure will be followed in dealing with all long and shortterm absences in order to advise employees of any consequences resulting from their
absence.
Throughout the formal stages, employees may be represented by a trade union
representative or fellow employee. It is not considered appropriate to call witnesses at any
stage.
3.
2.7
The abuse of sick leave and pay regulations may be classified as misconduct or gross
misconduct and dealt with through the disciplinary procedures.
2.8
When reviewing an individual’s overall attendance at work it may be necessary to note other
types of absence, as appropriate. Generally, this will include authorised but unplanned
absence which is dealt under the College’s Authorised Absence and Special Leave Policy.
2.9
The application of this procedure will be monitored to ensure consistency of approach
across the College.
SICK PAY AND LEAVE SCHEME
3.1
All full-time staff and lecturers, whether employed on a permanent or temporary basis, are
eligible to receive the benefits described in this procedure. The entitlement for staff and
lecturers employed on a fractional basis will be calculated as a pro-rata proportion of the
entitlement for full-time employees.
3.2
The College has an obligation to pay Statutory Sick Pay (SSP) to those employees who are
eligible to receive it. This section explains regulations affecting entitlement to Occupational
Sickness benefits and the effect of SSP on these benefits.
3.3
The entitlement to Occupational Sick Pay increases according to the length of continuous
service. The date from which continuous service is calculated will be stated in the employee's
Statement of Terms and Conditions of Employment (normally referred to as the Contract).
3.4
Entitlement to paid sick leave
Subject to the provisions of this Scheme, employees will be entitled to the following periods of
paid sick leave:
Service
Sick Pay
During 1st month of service
After 1st month, during 1st year of service
During 2nd year of service
During 3rd year of service
During 4th year of service and beyond
1 week half pay.
2 weeks full pay and 2 weeks half pay.
1 month full pay and 1 months half pay.
2 months full pay and 2 months half pay
3 months full pay and 3 months half pay
Note: For the purposes of calculating entitlement to Occupational Sick Pay, ‘one month’ is
equivalent to a calendar month.
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Alternate protected arrangements remain in place for staff employed prior to 1st September
1997.
The College has the discretion to extend an employee's entitlement to paid sick leave (on
either full or half pay) in exceptional circumstances and such discretion is exercised through
the Principal or their nominee.
The entitlement to paid sick leave for a specific period of sickness absence is calculated as
follows:

by calculating the entitlement appropriate to the employee’s service on the first day of any
period of sickness absence, and

by deducting from that entitlement the aggregate of periods of sickness absence during the
twelve months immediately preceding the first day of absence
If an employee is entitled to receive SSP, or is in receipt of any other allowances or benefits
these will be offset against any entitlement to full pay.
Where the employee is entitled to receive half pay, the total sum of half pay plus SSP, if
appropriate, and any other benefits or allowances, must not exceed full pay. If necessary, the
half pay allowance will be reduced.
If a public holiday occurs during a period of sick leave, the employee will continue to receive
sick pay.
Exceptional provisions apply to an employee who is injured as a result of a crime of violence in
the course of their work for the College.
Any days of illness during a period when the College is closed will not be reckoned against the
employee's entitlement to sick leave.
The College may require an employee who is unable to work as a consequence of illness to
submit to an examination by a medical practitioner nominated by the College. In such cases,
the provisions of the Access to Medical Reports Act 1988 will apply. Any costs incurred in
connection with such an examination will be met by the College. The employee's own doctor
may be present at such an examination on the employee's request.
3.5
Absences due to injuries caused by accidents
A period of absence which, in the opinion of an approved medical practitioner, is due to injury
sustained by the employee in the actual discharge of his/her duties, and which is not
attributable to any fault of his/her own, will be entitled to receive up to six calendar months'
sick pay at a rate equivalent to full pay (subject to any offsets stated in Section 3.4). Should
the absence continue beyond four months, the case will be reviewed for a decision on any
extension of the period of sick pay. Absence resulting from such accidents will not be
reckoned against the employee's entitlement to sick leave under this Scheme.
No occupational sick pay will be payable under this Scheme in the case of accidents due to
active participation in sport as a profession, or where the absence arises from, or is
attributable to, the employee's own misconduct.
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An employee who is absent as the result of an accident will not be eligible to receive
occupational sick pay if damages might be receivable from a third party. However, the College
may pay the employee an advance, the amount of which will not exceed any entitlement under
this Scheme, subject to him/her signing an undertaking that the total amount of the advance
will be refunded, or, if the damages paid are less than this total, the actual amount of
damages received. Where such an advance is refunded in full, the absence will not be
recorded for the purposes of this Scheme. Where only part of the advance is refunded, the
College will decide the length of the period of absence which should be recorded.
3.6
Termination or suspension of sickness pay
The provisions of this Scheme will cease to apply from the date on which an employee retires,
whether by reason of permanent ill-health, infirmity of body or mind, or by reason of age.
If the College becomes aware that an employee may have failed to comply with any
requirement of the Absence Management Procedures, or that he/she is guilty of conduct which
might prejudice recovery, the payment of occupational sick pay may be suspended. In addition
the College reserves the right to withdraw OSP if absence is as a result of an investigation; or
the instigation or continuation of a procedure (e.g. disciplinary, grievance, capability) being
discussed with, or brought against, a member of staff. SSP only will be payable, if the
qualifying conditions for this are met. In such circumstances, the College will advise the
employee of the reasons for this suspension and will invite him/her to make any observations.
The employee will be given the opportunity to put his/her case before an appropriate
committee of the College. If the College decides that the employee has failed, without
reasonable excuse, to fulfil the requirements of the Scheme, or that he/she has been guilty of
conduct prejudicial to recovery, then no further payments will be made in respect of that
period of absence
4.
NOTIFICATION AND CERTIFICATION OF SICKNESS ABSENCE
4.1
If you are unable to attend work as a result of sickness you must fully comply with the
following procedures to qualify for occupational sick pay.
4.2
Employees should notify Human Resources of their absence on the first day of absence by
9.00 am if they work days or by 1pm if they work on an evening. Calls will only be accepted
from representatives in circumstances where the employee is physically unable to make the
call themselves.
Employees must ensure that they ring Human Resources on the sickness line, 01132028011. If you call another number your absence may not be recorded and therefore may
affect your pay. Human Resources will ensure any messages are passed on to the course area
on your behalf or, if preferred, your call can be transferred.
E-mail and text messaging notifications of absence to the College will NOT be accepted.
Staff with non-standard working patterns such as weekends or 6.00am start times will also be
required to contact their local line management.
4.3. On calling an employee will be required to provide the following information:
a.
b.
c.
Their name and work location
Their line manager’s name
The nature of the illness
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d.
The date on which they expect to return to work
4.3
The College will not accept notifications such as “unwell”, “confidential” or “ill” as reasons for
sickness absence.
4.4
Unless you have sent in a doctor’s Statement of Fitness for Work (Fit Note) you will be required
to phone in on each additional day of absence which the College has not been notified of in
your original call.
4.5
You should ring HR on the above number on your first day back to confirm your return.
4.6. HR will issue a self-certification form which must be completed and returned within 48 hours of
your return to work. (A sample self-certification form can be found at Appendix 2). Your
signature on this form will certify that the information you have given concerning your absence
was correct in order to claim the appropriate allowances. Failure to return this form may
result in your payment being delayed or payment not being made. Self-certification forms will
be accepted unsigned if sent from the employee’s Leeds College of Art e-mail address.
4.7
If you are absent for more than seven consecutive calendar days you must produce a doctor's
Statement of Fitness for Work (Fit Note). This should reach Human Resources on or before the
ninth day of absence, otherwise payment may be delayed or withheld. All continuation sick
notes should be sent immediately to Human Resources.
4.8
Statement of Fitness for Work which do not specify the date of return, or the period of
absence, will only be accepted as valid for seven days with the doctor's date of signing being
regarded as day one.
4.9
If you are still unfit to return to work on the expiry of the medical certificate you must inform
Human Resources by 10am on the last working day before you are due to return and arrange to
obtain a further doctor’s Statement of Fitness for Work without delay.
4.10 Where you have to submit more than one Statement of Fitness for Work, you must ensure that
you are covered for the whole period of your absence so that there is no gap between the
expiry date of one Statement and the doctor's date of signing of the next Statement. Note that
the doctor's date of signing is regarded as day one for calculating the period covered by the
statement.
4.11 If you have a Statement of Fitness for Work then you cannot return to work before the date
shown on the statement unless you obtain a return to work statement from your doctor.
4.12 If your certified absence is for more than 14 calendar days, you may be required to produce a
final certificate from your doctor which shows that you are fit to return to work on a specified
date.
4.13 Illness Which Occurs at Work
Where illness occurs whilst a member of staff is at work, either the employee or their line
manager should notify Human Resources that the employee is going home and the reason for the
absence. The absence will be recorded on the employee’s absence record as follows:Absence starts
Recorded as
before 12 noon
Full days absence
after 12 noon
Half days absence
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less than four hours* of a shift have been
Full days absence
completed
four or more hours* or more of a shift have
Half days absence
been completed
* pro rata for staff who work less than 7.25 hours per day
4.13 A failure to comply with the procedure for notifying absences and producing doctor's
medical certificates will result in any absence being treated as unauthorised absence
without pay, and may lead to disciplinary action being taken against the employee.
4.14 These absence notification procedures should be used to notify the College of other forms of
absence which have not been approved in advance (such as dependents leave) and a
subsequent request for the absence should be made through the College’s Authorised
Absence Procedures.
5.
6.
ABSENCE MANAGEMENT PROCEDURE
5.1
This procedure differentiates between short-term and long-term absence. Throughout the
procedure, there may be a role to play by Occupational Health Advisers and it is important
that, wherever possible, its advice is sought and recommendations followed. Referrals to
Occupational Health will be arranged by Human Resources.
5.2
Though Human Resources will provide guidance to managers throughout this procedure, it is
the responsibility of managers to monitor levels of absence within their own teams, and to
ensure that timely interventions take place to ensure that attendance levels are maximised.
5.3
Employees may receive a Statement of Fitness for Work from their GP, which may include
recommendations over reasonable adjustments or altered duties which will allow an
employee to return to work at an earlier date than was otherwise possible. Advice on
Statements of Fitness to Work can be found in Appendix 4 of this procedure.
SHORT-TERM ABSENCE PROCEDURE
6.1
Return to work meetings
6.1.1
As part of the normal working practices, managers should conduct a return to work
meeting to enquire of an employee’s general health and well-being after each
period of absence on the first day of their return to work
6.1.2
Return-to-work meetings are normally informal, but should be held in
private. At the meeting, the manager should:




explain to the employee that the purpose of return-to work meeting is to
manage and monitor employees' attendance so that any problem areas can
be identified and support offered where appropriate;
confirm with the employee the reason(s) for his or her absence, ensuring
that the question is asked in a supportive way;
if the reason for the absence was illness or injury, ask the employee
whether or not he or she consulted a doctor or attended hospital;
avoid asking intrusive medical questions of the employee, while at the same
time seeking to establish the basic underlying cause of the absence;
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6.2
check that the employee is well enough to attend work;
if there is any discrepancy between the employee's stated reason for the
absence and the information given when notification of absence was
originally provided, ask the employee to explain the discrepancy;
remind the employee of the College’s Absence Management Procedures and
advise them if they are approaching a trigger level for formal intervention.
If the employee has already triggered a sickness review the manager should
remind them of the outcomes of the review, and possible impact that this
further absence will have based on the outcomes of the review meeting.
Establish whether the absence is related to either pregnancy or disability
and if any reasonable adjustments are required. Advice can be sought from
HR on this point if required.
It should be noted that an employee has no right to be accompanied at a
return to work meeting.
6.1.3
The manager should make a record of each return-to-work meeting on the
College’s Return to Work meeting form. A copy of this can be found in Appendix 5
of this policy and on the intranet. This record may be used in evidence should
the employee trigger a formal sickness review. On completion this form should
be returned to Human Resources who will monitor the process to ensure that Return
to Work meetings consistently take place.
6.1.4
If following a return to work meeting a manager has any grounds on which
reasonably to conclude that the employee's absence was not genuinely for
the reason given, the manager should seek advice from Human Resources.
Triggers for sickness review
6.2.1
Whilst the College believes that sickness absence amongst its employees is genuine,
it also believes that certain levels and patterns of absence are untenable and they
mean that the employee is not in a position to fulfil their contract of employment.
There are however some absences which will usually be disregarded from the
trigger points.
These types of absence include:
 absences that are due to a pregnancy-related condition, since including
such absences would be classed as unlawful sex discrimination;
 absences resulting from accidents at work, unless the accident was caus ed
by the employee's carelessness or negligence; and
In addition some absences that are related to an employee's disability may
be discounted from the calculation as a reasonable adjustment. Advice
should be sought from Human Resources prior to any absence being
discounted.
6.2.2
The trigger points for initiating a sickness review meeting are based on the
calculation of an employee’s Bradford Factor. The ‘Bradford factor’ is an analytical
tool, designed to highlight short-term absence and assist managers in identifying
where there might be attendance issues which require consideration. The Bradford
factor is based on a formula which produces a ‘score’ based on the number of times
an employee is absent from work and the total number of working days lost as a
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result. The tool enables managers to identify where potential health issues might
exist with a view to ensuring that appropriate and timely interventions can be
made. The examples set out below illustrate how various patterns of absence are
highlighted in the points score.
Bradford Factor Formula is; (S*S)*D
S = Number of absences in 12 month period
D = Total number of days absent in the 12 month period
Examples: (All examples are based on 6 days of absence)
1 instance of 6 days absence
(1*1)*6 = 6 points
2 instances of 3 days absence
(2*2)*6 = 24 points
3 instances of 2 days absence
(3*3)*6 = 54 points
6 instances of 1 days absence
(6*6)*6 = 216 points
The College applies the Bradford Factor formula over a rolling 12 month period.
The table below demonstrates how the formula works and sets out the management
interventions expected at each stage.
A score of up to 104 points – Return to Work Meetings Only (though such meetings
continue after any absence)
A Score of 105 points to 449 points will initiate a Stage 1 Review Meeting with their
line manager
A Score of 450 points to 999 points will initiate a Stage 2 Review Meeting with a Senior
Manager
A Score of over 1000 points will initiate a Stage 3 Review Meeting with an SMT member
Occurrences of Absence
These triggers are for a full time member of staff and will be applied pro rata based
on an employee’s FTE.
Example Bradford Factor Calculations and How Trigger Levels may be
a 12 month period:
Duration of each Absence (Days)
1
2
3
4
5
6
7
8
1
1
2
3
4
5
6
7
8
2
8
16
24
32
40
48
56
64
3
27
54
81
108
135
162
189
216
4
64
128
192
256
320
384
448
512
5
125
250
375
500
625
750
875
1000
Points 
Up to
104 450 1000
6
7
8
9
10
104
449
999
+
216
432
648
864
343
686
1029 1372
512
1024 1536 2048
729
1458 2187 2916
1000
2000 3000 4000
Action
Return to work meetings only
Trigger for Stage 1 Review
Trigger for Stage 2 Review
Trigger for Stage 3 Review
1080
1715
2560
3645
5000
1296
2058
3072
4374
6000
1512
2401
3584
5103
7000
1728
2352
4096
5832
8000
implied over
9
9
72
243
576
1125
10
10
80
300
640
1250
1944
3087
4608
6561
9000
2160
3430
5120
7290
10000
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

6.3
In addition to the annual Bradford Factor triggers, a review meeting may be
triggered if a Bradford Factor score of 54 or more is met in a 2 month period
or if there is any identified unacceptable trend. An unacceptable trend may be
absences which coincide with periods of declined annual leave, or regularly
coincide with a bank holiday or other historic period
Stage 1 Review
6.3.1
Where the employee’s attendance has met one of the trigger levels, the manager
will give the employee at least 2 working days’ written notice that a Stage 1
meeting has been arranged. The format of the Stage 1 meeting will mirror that of a
Disciplinary Hearing and is outlined in Appendix 7. Any documents to be considered
(such as absence charts/return to work meeting notes) should be shared at this
point. The employee may be represented by a trade union representative or fellow
employee if he/she wishes.
6.3.2
The manager will base his/her actions on the information and evidence he/she has
access to and not on any assumptions about the genuineness of the employee’s
absence to ensure that all employees are treated consistently and fairly. The
manager will be supported by a representative of HR who will advise the manager.
6.3.3
At this meeting, the manager will wish to cover a number of issues around the
employee’s attendance:




6.3.4
Explain the concerns regarding the employee’s attendance levels;
Discuss the individual’s attendance records in detail;
Establish whether there are any work related problems;
Discuss ways in which the employee may achieve a better attendance record;
At the end of the meeting the manager will determine the options to be followed
and will send a letter to confirm the action to be taken. This may include: No further action
 Keep under review (Stage 1)
 Insisting on a doctor’s Fit Note from the first day of any further absences until
such time as an improvement is made (this option should only be used to ensure
that an employee is seeking appropriate help and support where an underlying
health problem is believed to exist)
 Deferring a decision whilst seeking medical advice from Occupational Health or
a GP report
 Applying a reasonable adjustment to trigger levels following discussion with
Human Resources where an employee’s disability or pregnancy are the
underlying causes of absence.
 Issuing a Written Warning that the employee’s level of absence is unacceptably
high and that a failure to improve their attendance will lead to a Stage 2
meeting should their Bradford Factor Score exceed 450 points.
In making their decision, the manager should take into account all the
relevant circumstances, including whether the employee has a disability or
whether the absences are absent related.
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6.3.5
Once that decision is made, written confirmation of the decision and reasons will
be sent to the employee within 5 working days, this includes where the employee
has been orally notified of the manager’s decision on the day. At this stage, the
individual will be advised of his/her right of appeal to more senior management
against any decision taken. The appeal process is outlined in Section 8 of this
policy.
6.3.6
A copy of the outcome will be placed on the employee’s Human Resources file. The
warning will be spent, and will be disregarded for purposes of this policy after 12
months, subject to the employee’s Bradford Factor score dropping below the
trigger threshold.
Follow up within Stage 1
6.4
6.3.5
One of the options open to the manager is to keep the individual under review
within Stage 1, normally for a period of up to six months. A further meeting will be
convened at this point. If, after this time, the employee’s attendance record shows
a sustained improvement towards an acceptable level (and they no longer meet a
trigger), the manager will write to notify the individual that they will be removed
from the formal Stage 1 procedures. In some cases, the ability of the employee to
maintain any improvement in attendance levels may be in doubt, in which case it
would be appropriate to extend the period of review within Stage 1.
6.3.6
If the manager considers that the employee’s attendance record has not improved,
then the manager may at this point issue a Written Warning that the employee’s
level of absence is unacceptably high and that a failure to improve their attendance
will lead to a Stage 2 meeting should their Bradford Factor Score exceed 450 points.
6.3.7
If it is evident that an employee has not met the target for improvement before the
end of the review period, the manager may call the review meeting at an earlier
stage.
Stage 2 Review
6.4.1
6.4.2
This stage will be triggered if an employee’s Bradford factor Score exceeds 450
points and they are in receipt of a Written Warning under Stage 1 of this policy.
The meeting will be chaired by a senior manager within the College who may or
may not be the employee’s line manager. The notification arrangements and format
are the same as a meeting conducted at Stage 1 of the procedure. At the end of the
meeting the manager will determine the options to be followed. This may include: No further action
 Keep under review (Stage 2)
 Insisting on a doctor’s Fit Note from the first day of any further absences until
such time as an improvement is made (this option should only be used to ensure
that an employee is seeking appropriate help and support where an underlying
health problem is believed to exist)
 Deferring a decision whilst seeking medical advice from Occupational Health or
a GP report
 Applying a reasonable adjustment to trigger levels following discussion with Human
Resources where an employee’s disability or pregnancy are the underlying causes
of absence.
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
6.5
Issuing a Final Written Warning that the employee’s level of absence is
unacceptably high and that a failure to improve their attendance will lead to a
Stage 3 Ill Health Capability Hearting should their Bradford Factor Score exceed
1000 points.
6.4.3
In making their decision, the manager should take into account all the
relevant circumstances, including the employee's total length of service and
past attendance record whether the employee has a disability or whether
the absences are related to the disability.
6.4.4
Once that decision is made, written confirmation of the decision and reasons will
be sent to the employee within 5 working days, this includes where the employee
has been orally notified of the manager’s decision on the day. The employee will
also be advised in writing that ultimately an Ill Health Capability Hearing at Stage 3
of this policy could consider their continued employment if he/she fails to sustain
an improvement in attendance. The individual has a right of appeal against this
decision (See Section 8).
6.4.5
A copy of the outcome will be placed on the employee’s Human Resources file. Any
warning will be spent, and will be disregarded for purposes of this policy after 12
months, subject to the employee’s conduct and work performance having been
satisfactory throughout that period and their Bradford Factor score dropping below
the trigger threshold.
6.4.6
If a monitoring period is set then as at Stage 1 a review meeting will be held at the
end of the monitoring period. If, after this time, the employee’s attendance record
shows a sustained improvement towards an acceptable level (and they no longer
meet a trigger), the manager will write to notify the individual that they will be
removed from the formal procedures. If the manager considers that the employee’s
attendance record has not improved, or has not improved sufficiently over the
review period, then the manager may at this point issue a Final Written Warning
that the employee’s level of absence is unacceptably high and that a failure to
improve their attendance will lead to a Stage 3 Ill Health Capability Hearing should
their Bradford Factor Score exceed 1000 points.
6.4.7
If it is evident that an employee has not met the target for improvement before the
end of the review period, the manager may call the review meeting at an earlier
stage
Stage 3 – Ill Health Capability Hearing
6.5.1 An employee will be referred to an Ill Health Capability Hearing where they have a
Bradford Factor Score in excess of 1000 points and are in receipt of a Final Written
Warning.
6.5.2 The Ill Health Capability Hearing will be chaired by a member of the College’s SMT to
whom the authority to dismiss has been delegated and the format will mirror a
meeting a Stage 1 or 2 of this policy. The employee will receive at least 5 working
days’ notice of the Ill Health Capability Hearing and will be informed that the
question of his/her continued employment is to be considered.
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6.5.3
The Chair of the meeting will receive information from the earlier stages of the
procedure. The employee will have the opportunity to present his/her case
supported by their representative. The Chair may take any decision he/she sees fit
in the light of the evidence presented, such as:
 No further action
 Keep under review
 Insisting on a doctor’s Fit Note from the first day of any further absences until
such time as an improvement is made (this option should only be used to ensure
that an employee is seeking appropriate help and support where an underlying
health problem is believed to exist)
 Deferring a decision whilst seeking medical advice
 To terminate employment on the grounds of incapacity and/or unsatisfactory
levels of attendance from the information presented.
6.5.4
7.
Once that decision is made, written confirmation of the decision and reasons will
be sent to the employee within 5 working days, this includes where the employee
has been orally notified of the manager’s decision on the day.
LONG-TERM ABSENCE PROCEDURE
7.1
Given the range and degrees of ill-health that may occur amongst staff and the differing
effects this may have on any individual, it is neither possible nor appropriate to set specific
time scales or actions when cases of ill-health which trigger long term absence. Absences of
28 calendar days or more are considered to be long term. The manager and a member of
Human Resources will arrange to meet the individual to discuss his/her state of health and
likely length of absence, with a view to either seeking a medical report from the employee’s
GP or referring the employee to the College’s Occupational Health provider, if appropriate,
to confirm the position. In certain circumstances (such as where an employee is signed off
with work related stress) contact may be made on receipt of the first medical certificate so
that prompt action can be taken to support the employee.
1-2 months
7.2
On receipt of the medical report, the manager will consider each case individually and take
into account any recommendations made by the Occupational Health Adviser/the
employee’s GP. A further meeting will be arranged with the individual, Human Resources
and the manager at which one or more of the following areas will be discussed:
•
•
Discuss the prognosis and likely date of return to work;
Any possible relationship between their illness and their job;
At this initial stage, discussion of possible redeployment, ill-health retirement or
termination of employment on the grounds of ill health/incapacity would not normally be
appropriate.
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7.3
The discussion will be confirmed in writing.
7.4
If the prognosis is uncertain and no immediate return to work is likely, the following
process should be followed. Timescales are indicative and may vary depending on the
circumstances. It is important that contact is maintained with the employee, at home if
necessary, throughout the entire period of absence.
2 – 3 months
7.5
The manager should write to the employee notifying them that in view of the prolonged
absence, the College may need to consider him/her within the formal procedure. Managers
will have some discretion at this stage, and if for example the employee has undergone an
operation which the College knows has a 12 week recovery period, such a letter would not
usually be written unless the absence extended beyond the expected recovery period. The
case will be reviewed over the next 2 months if there is no return to work and a further
meeting will take place.
4 - 5 months
7.6
The employee will be invited to a further meeting with their manager and Human Resources
to discuss his/her continued absence having regard to the medical information available at
that time. If an imminent return appears unlikely, the manager will write to the employee
and advice on the position, pointing out that a number of options may have to be
considered, including, regrettably, a review of his/her continued employment.
6-9 months
7.7
If in the light of the medical opinion received it still appears that the employee is unlikely
to return to work or has no definite return date, ill health retirement may be an option.
However, both the West Yorkshire Pension Fund and Teachers Pension Scheme have strict
criteria for Ill Health Retirement. Appendix 1 contains more detail on this, and advice
should be sought from Human Resources.
7.8
In some cases, the relevant pension’s agency and/or the College may be unable to confirm
that ill-health retirement is appropriate. Alternatively, the employee may decline to opt for
an ill health retirement that has been recommended. Regrettably, in these circumstances
the case will be considered in an Ill Health Capability Hearing chaired by a SMT member as
set out in section 6.5 of this policy and a decision taken whether or not to terminate
employment on the grounds of ill health/incapacity or unsatisfactory levels of attendance.
The individual will have the right to appeal if their employment is terminated.
7.9
Where an employee is able to return to work the College will look to support the employee
in their return. Such support may involve a temporary amendment to duties, short periods
of phased return or the agreement of reasonable adjustments. Each case will be considered
on its merits.
7.10 Where the employee does return to work the period of absence will normally be included in
their Bradford Factor Score for the 12 months unless a reasonable adjustment has been
agreed.
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8.
APPEALS
8.1
An employee who wishes to appeal against a decision under this policy must do so within 10
working days of the date of the decision. To do so, the employee should inform the Head of
Human Resources in writing, stating the grounds for appeal.
8.2
Where the appeal is against a written warning or Final written Warning, it will be heard by
manager member of SMT who has not been involved in the original Stage 1 or 2 meeting or
Ill Health Capability Hearing.
8.3
Where the appeal is against dismissal, it will be heard by either:
•
the Principal, where the decision to dismiss was made by a member of the SMT; or
•
a committee of 3 members of the Board of Governors, where the decision to dismiss
was made by the Principal. The committee shall not include the Principal, staff
members or student members.
8.4
The appeal meeting will be held as soon as reasonably practicable after the notice to appeal
has been received. The employee will be given at least five days’ notice of the meeting
date to allow him or her to prepare for the meeting.
8.5
At the appeal meeting, the employee will be given the opportunity to state his or her case
and has the right to be accompanied by a representative of a trade union or fellow worker.
8.6
If the chosen companion of the employee is unavailable on the date of the initial meeting,
the employee may delay the date of that meeting once by up to ten working days to enable
the chosen companion to attend. The location and timing of any alternative meeting should
be convenient to both the employer and the employee, but should not unduly delay the
process.
8.7
At the appeal, the penalty imposed will be reviewed, but it cannot be increased. The
appeal decision will be notified to the employee in writing within 5 working days. The
appeal decision is final.
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APPENDIX 1 – GENERAL GUIDANCE
1.
2.
3.
Medical advice
1.1
The decisions of managers under this procedure can be advised by occupational health
service practitioners who are accessed via Human Resources. The use of Occupational
Health is to help and support employees to recover and return to work after illness or
injury.
1.2
Where longer-term health problems or persistent intermittent absence have been identified
an employee may be referred to the Occupational Health or a medical report may be sought
from the employee’s GP. Employees will be asked to read the explanatory notes on “Access
to Medical Reports Act 1988”, and subsequently requested to complete the consent form for
a medical report. The College will pay for the cost of all GP/Consultant reports that it
requests.
1.3
Within the procedure, the College may require an employee who is unable to perform
his/her duties as a consequence of illness to submit to an examination by an Occupational
Health Physician. If an employee unreasonably refuses to attend Occupational Health he/she
should be mindful that the College will have to make decisions within the procedure based
on the information available at that time. HR will decide whether or not unreasonable
refusal may also disqualify him/her from contractual sick pay. The Occupational Health
Physician’s recommendations should be adopted unless there is a good reason not to do so.
Returning to work on reduced hours or range of duties
2.1
It is recognised that return to full time employment immediately after a long illness can be
extremely difficult and it may sometimes be helpful for managers to allow their staff to
return to work on a phased basis.
2.2
Employees will be permitted to return to work on a phased basis for a maximum of four
weeks on their normal rate of pay, or as recommended by the Occupational Health or as the
result of a recommendation on a Statement of Fitness to Work issued by their GP. It is
important to note that as the employee has partially returned to work, he/she will no longer
be required to submit “fit notes” to cover this period.
2.3
In some cases, the medical advice may be that an employee is fit to work full- time, but is
unable to carry out the full range of duties (e.g. heavy lifting, extensive DSE use etc.)
immediately due to the nature of their illness. The College will seek to accommodate
requests of this nature and will take into account the recommendations of the employee’s
GP or Occupational Health, subject to the working requirements in that particular area.
Equality Act
3.1
Where a person’s health is affected by a disability within the meaning of the Equality Act
2010, care must be taken to proceed in accordance with the provisions of the Act.
3.2
A disabled person is defined in Act as someone who has an impairment which has a
“substantial and long term adverse effect on his/her ability to carry out normal day to day
activities”. Impairment is considered to have a long term effect if it has lasted at least 12
months or the period for which it lasts can be reasonably expected to be at least 12 months,
although persons with a past disability are also covered. Some conditions are covered by the
Act from the point of diagnosis and advice on this can be sought from Human Resources.
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3.3
4.
5.
For employees covered by the Act the College will make reasonable adjustments to its
premises and the following options may be appropriate (not exclusive or in any order of
priority):
• re-allocation of duties
• redeployment
• alteration of hours
•
allow time off for rehabilitation
• arrange training
• provide supervision
• provide equipment/a reader or interpreter
Communication with mentally ill employees
4.1
In some cases of mental illness, it may be appropriate for dialogue with the employee to be
conducted through a nominated person of his/her choice, such as a spouse or other close
relative, trade union representative or other work colleague, in order to reduce the stress
and anxiety of the employee.
4.2
In cases where it has proved impossible to open discussions with the employee, the Head of
Human Resources may, at his/her discretion, decide to use such a third person as a means
to communicate with the individual. This would apply at informal stages only and, unless
express permission was obtained, the College would communicate directly with the
employee if formal proceedings were invoked.
Ill Health Retirement
5.1
As part of the management of Ill Health absence (and in particular long term absence it may
be appropriate to consider Ill Health Retirement of the employee. Such decisions can only
be made in accordance with the rules of the appropriate pension scheme which are
governed by statute.
West Yorkshire Pension Fund (WYPF)
5.2
If an Occupational Health Physician decides that a member of the WYPF is permanently
incapable of carrying out both the duties of his/her post and the duties of ‘comparable’
posts within the College, he/she will sign a certificate of permanent incapacity. If the
Physician decides that the member is permanently incapable of carrying out the duties of
his/her post but is capable of carrying out the duties of a comparable post, and where no
such ‘comparable’ posts are available, the member may still entitled to ill health
retirement. Providing a member has at least two years’ pensionable service, they will be
eligible to ill-health retirement benefits. Employees with less than 2 years’ pensionable
service will qualify for an ill health grant only. The Incapacity Certificate will be returned to
Human Resources who will then ensure that all relevant pension forms are completed and
will write to the employee to confirm the ill-health retirement. It is recognised that for any
of these options to be exercised, the employee must be in agreement with the
recommendation. The definitive guidance on Ill Health Retirement is always that published
by the WYPF and overrides any provisions of this policy.
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Teachers Pensions
5.3
If a lecturer is felt to be permanently incapable of carrying out his or her duties following an
assessment by Occupational Health, an application for premature retirement on health
grounds must be made to the Teachers’ Pension Scheme (TPS) by the individual. This is done
by means of Form 18PEN and Form 20PEN (a medical report from the employee’s GP).
5.4
The Teachers’ Pension Scheme will assess whether the lecturer should be allowed to retire
on health grounds and will notify the College and the individual accordingly. Once
confirmation is received from the Teachers’ Pension Scheme, Human Resources will write to
the individual to confirm his/her retirement.
5.5
The definitive guidance on Ill Health Retirement under the Teachers Pensions Scheme is
always that published by Teachers Pensions and overrides any provisions of this policy. The
current information can be found at https://www.teacherspensions.co.uk/employers/employer-guide/membermanagement/types-of-retirement/ill-health.aspx
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APPENDIX 2 – SELF CERTIFICATION FORM
SELF CERTIFICATION FORM
Name:
Area of work:
Job Title:
Payroll No:
A.
Date and time illness\absence began:
B.
Reason for absence:
Date fit to return:
C.
Did you attend hospital
YES/NO
clinic
YES/NO
your doctor
YES/NO
Please describe symptoms:
Did you receive medication either from:
(i)
your doctor
(ii)
self-prescribed from
chemist
YES/NO
Give details of accident:
(if applicable)
YES/NO
If you are still away from work due to
illness please state date you are likely to
be fit for work?
Are you claiming Industrial Injury: YES/NO
Date:
Days
Monday
Tuesday
Wednesday
Thursday Friday
Saturday
contracted to
work:
I understand that if I provide inaccurate or false information about my absence it may,
depending on the circumstances, be treated as gross misconduct and result in my
summary dismissal from the College.
Signature:
Date:
SEND THIS FORM IMMEDIATELY TO HR TO ENSURE CORRECT PAYMENT
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APPENDIX 3 - MANAGERS GUIDANCE: ‘FIT TO WORK’ NOTES
1.
Introduction
From 6 April 2010 the old style medical certificate (“sick note”) was replaced by a Statement of
Fitness to Work - a ‘fit note’
2.
The doctor has two options on the form:
a)
not fit for work means the medical opinion is that the employee should refrain from work
(just like the old sick note).
b)
to indicate if a person can do certain work under a new option that the employee ‘may be
fit for work taking account of the following advice’.
There is no requirement for an employee to get confirmation they are fit to be in the workplace
before we can accommodate their return, though where the College has a genuine concern about
the employee’s health this may be requested.
The aim of the fit note is to provide employers with greater flexibility in managing sickness
absence. The doctor can suggest changes in the workplace that could enable an earlier return to
work. These include
• a phased return to work,
• altered hours,
• amended duties and/or
• workplace adaptations
Under the College’s Absence Management Procedures these types of suggestion should be taking
place when considering an employee returning to work following a period of sickness absence.
The difference is that these discussions can now take place sooner to enable an earlier return to
work than may have previously been the case.
If it is not possible to provide the support for an employee to return to work, after consideration
of all possibilities, the statement will need to be treated as if the doctor had advised as ‘not fit to
work’. If timescales are not specified by the GP then employees should be advised to return to
their GP
A template of the note is attached below for your information.
3.
What do I do if my employee returns with a Fit Note?
You need to have a discussion with your employee once you aware of the fit note and this will
usually be supported by Human Resources. Ideally this would be prior to the employee returning
to the workplace in order that you can consider any adjustments suggested by the doctor to
facilitate the return. Alternatively you could look at the options as part of the return to work
meeting.
If an employee is returning to work earlier than expected and temporary adjustments are being
made then it may be advisable that a support plan is carried out.
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If, after possibilities have been considered, it is agreed that it is not feasible to implement the
adjustments suggested to facilitate an earlier return, a brief summary of these discussions should
be recorded on the support plan document and an agreed review date set. (For example if
adjustments are suggested by the GP for a 2 month period but this cannot be supported, it may be
appropriate to reconsider in say, one month’s time, to assess if these adjustments could be made
for a shorter period).
In all cases the manager should confirm to Human Resources, whether the employee has returned
to work or is still off sick. Human Resources will then liaise with the payroll provider to ensure the
employee is correctly paid.
4.
What adjustments am I expected to consider?
There are four ‘tick box’ options the Doctor could suggest in addition to supporting comments.
Phased return: this may be suggested if the doctor feels the employee will benefit from a gradual
increase in their duties and/or hours. E.g. an employee with a back or shoulder problem whose
job involves lifting, could gradually increase their hours or intensity helping them return to work
earlier and gradually rebuilding their capacity for physical work.
Altered Hours: A doctor may recommend this if they feel the employee will benefit from a
change to the hours they normally work, in order for them to return to work. This does not
necessarily mean fewer hours. E.g. allowing more flexible hours to support someone who is still
receiving treatment to return to work and attend treatment sessions or allowing a later start or
earlier finish for an employee experiencing fatigue related to their illness.
Amended duties: A doctor may recommend this if they feel an employee could return to work if
some temporary amendments could be made to their normal duties e.g. removing contact with
the public initially for an individual returning after an absence with anxiety or depression or
swapping some duties of the post with other team members temporarily to enable the individual
to return to work earlier
Workplace adaptations: A doctor may suggest this if they felt an earlier return to work could be
facilitated by adapting the workplace. E.g. arranging for a temporary ground floor work location
for an employee with reduced mobility post surgery.
Bear in mind that any adjustments to the employee’s substantive post to enable an earlier return
to work are usually temporary measures and it is important to try and clarify timelines –these may
be suggested by the GP on the fit note. Advice can be sought from Human Resources in
considering these options.
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Fit note template
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FAQs
Is the advice on the statement binding?
No. It is advisory and intended to give more flexibility in managing attendance. However as part
of good management practice we would expect managers to discuss the potential earlier return to
work.
What if the type of job the employee does cannot be reconfigured easily?
(For example a lecturer whose fit note suggests a return to work on condition that no teaching
duties are undertaken for a month)
Whilst we expect managers to try and facilitate an earlier return to work based on the medical
advice on the fit note, where this is not possible, the employee would be deemed as being unfit
for work. The reasons why the adjustments cannot be made should be made clear to the
employee. The employee is not required to return to their doctor to confirm this.
Should I get Occupational Health Advice in all cases?
No. In most cases we anticipate you will not require an Occupational Health referral. The fit note
may make suggestions that would enable a return to work as the employee will have already
discussed what they feel able / not able to do with their GP, and in most cases a discussion
between the manager and employee, and a revised support plan (if appropriate) will suffice to
help the employee back to work.
However managers may require Occupational Health advice if, for example, after having
returned to work with reasonable adjustments for an agreed period of time, the employee feels
they are still unable to return to their substantive duties.
What are the arrangements for sick pay if transitional arrangements are suggested by GP?
Where a doctor has advised that an employee may be fit for work but the employee remains off
work because you are not able to provide the necessary support, the advice on the statement
would be read as a ‘not fit for work’ statement. The College’s responsibilities re sick pay and SSP
remain unchanged and an extension to sickness pay will only be authorised by the Principal in
exceptional circumstances.
If someone undertakes partial duties are we assuming this is the formal return to work? If so,
impact on recording etc.?
Yes, if an employee’s earlier return to work can be facilitated then the day they start back at
work, albeit possibly on a phased or an amended basis, this is the date they are deemed as
‘returning to work’. A Return to Work meeting should be convened as soon as possible, in line
with usual procedures. It would be appropriate to plan out the return to substantive duties/hours
as part of this meeting (as you would currently for an employee returning from a period of long
term absence). Managers will record the return to work in the usual fashion.
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Should a transitional arrangement result in an exacerbation of someone’s condition/cause further
problems who would be liable?
Liability insurance should not prevent employees who ‘may be fit for work’ returning to work.
You do not need a Medical Statement stating fitness for work for an employee to return to work.
However, you are expected to manage your employees appropriately and if the employee’s health
condition, job duties and workplace environment necessitates some further exploration to ensure
a safe working arrangement then it is advised that a support plan is undertaken to identify any
potential risks during the transition period so as not to place the employee or others in any
danger.
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FIT NOTES: MANAGER’S GUIDANCE
May be fit for work?
This flow chart explains what to do when you receive a ‘may be fit for work’ statement’. (Adapted
from DWP 2010)
Consider the advice
on the statement
and how it affects
the job, the person
and the workplace
Meet with your
employee and
discuss the
advice on the
statement
Consider the functional
comments, any of the
RTW tick boxes and any
other action that could
help a return to work
If the statement advises
that the employee is
seen by Occupational
Health – discuss with HR
prior to making any
referral
Complete personal
support plan with
employee
(demonstrating
options considered)
Agree next review date
or a future RTW date.
Pay sick pay as per
contractual terms.
N
Is a
return
to work
possible
?
Discuss the options
with your employee
using the ability
assessment and
personal support plan
Y
Agree a return to work date
Agree any workplace
adjustments / altered hours /
amended duties
Monitor and review
as agreed
Agree a date to review
Complete personal support
plan with employee (if the job
or health condition indicates
this may be necessary)
If problems arise,
discuss with Human
Resources who make
seek Occupational
Health advice.
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APPENDIX 4 - RETURN TO WORK MEETING FORM
RETURN TO WORK MEETING FORM
Employee name:
Area of Work:
First date of sickness:
Date returned to work:
Total days in this period of absence:
Reason for absence:
Was GP/hospital consulted
(if yes, which one):
Medication prescribed/treatment
given:
Has self-certification form or fit note
been submitted (Y/N)?
Is the employee fully recovered (Y/N)?
Is the employee able to resume normal
duties (Y/N)?
Is further treatment necessary? If so,
please provide details:
Details of any action needed, e.g. temporary working alterations:
Other issues (e.g. was the absence related to a disability):
Manager’s comments:
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Date meeting completed:
Signed by Manager: .............................Date: ...................................
I confirm that I have been given a copy of this form and that the information provided by me
during the meeting was correct.
Signed by Employee: .....................…….
Date: ...................................
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APPENDIX 5 - RIGHT TO BE ACCOMPANIED
Employees have the statutory right to be accompanied by a fellow worker or trade union
representative, where they are required or invited by the employer to attend a formal stage of this
policy, if they make a request to be so accompanied. There is no right to be accompanied at a return to
work meeting.
The trade union representative can be an officer employed by a trade union, or a lay trade union
officer, so long as (in the latter case) they have been reasonably certified in writing by their union as
having experience of, or as having received training in, acting as an employee’s companion at
disciplinary meetings.
An employee may ask an official from any trade union to accompany them under this procedure,
regardless of whether or not he or she is a member or the union is recognised by the College.
A fellow worker or trade union representative who is to accompany the employee at a formal meeting
under this procedure should be permitted to take a reasonable amount of paid time off to fulfil this.
This should cover the meeting and it is also good practice to allow time for the companion to familiarise
themselves with the case and confer with the employee before and after the meeting. This time off
should be agreed in advance with the employee’s line manager and Human Resources.
To exercise the statutory right to be accompanied, an employee must make a request. The companion
should be allowed to address the meeting to put and sum up the employee’s case, respond on behalf of
the employee to any views expressed at the meeting and confer with the employee during the meeting.
The companion does not, however, have the right to answer questions on the employee’s behalf,
address the meeting if the employee does not wish it or prevent the employer from explaining their
case.
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APPENDIX 6 - PROCEDURE FOR CONDUCTING A MEETING UNDER THE ABSENCE MANAGEMENT
PROCEDURES
1.
During the meeting, adjournments may be requested by either party or by the manager chairing
the meeting and will not be refused unreasonably. Where such a request is denied, an
explanation will be given.
2.
The Chair should be notified prior to the meeting prior the meeting if witnesses are being called.
3.
The manager conducting the meeting will ask whether any new evidence has been made available
that could not be circulated prior to the meeting and will make a judgement as to whether an
adjournment is necessary to allow consideration of such evidence.
4.
The manager, conducting the meeting will introduce all those present, including each person’s
role in the meeting, and will explain the purpose of the meeting.
5.
It is the responsibility of the manager conducting the meeting to ensure that notes are taken of
the meeting, and that these are used to assist the decision making process. To assist this process
the manager conducting the meeting may request that a note taker be present.
6.
In normal circumstances a member of Human Resources will be present to provide procedural
support and advice to the manager chairing the meeting.
Not every meeting will be conducted in exactly the same way and will depend on the particular
circumstances. Reasonable adjustments will also be made for staff with disabilities. It is not anticipated
that meetings under this policy will involve the calling of witnesses, and, the typical format to be
followed at a meeting convened under these procedures is outlined below:
Meeting procedure
(a)
The line manager will present the details of the employees’ absence, return to work meetings and
any impacts of the absence alongside any medical evidence available. Questions may be asked on
this presentation.
(b)
The employee and/or companion will present the reasons for their absences and explain any
special circumstances which may exist including any medical evidence. Questions may be asked on
this presentation.
(c)
Where a manager has presented their outcomes from an earlier stage of this procedure and is
present in the meeting, the Chair may ask the manager if he/she has any comments on what has
been said by employee or the witnesses.
(d)
Should the manager conducting the meeting wish to clarify any issue with either the employee or
line manager they will do at this point.
(e)
The line manager will summarise the evidence of the employee’s absence and its impacts without
introducing any new factors.
(f)
The employee and/or companion will summarise their position.
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(g)
The manager chairing the meeting will adjourn the meeting and determine whether it is possible
to reach a prompt decision on the action to be taken under the procedure. Where this is possible
the employee will be invited back later in the day to orally hear the outcome of the meeting.
Where this is not possible the manager will conclude the meeting.
(h)
After the meeting, the manager will decide whether or not the level of absence is acceptable and
whether mitigating factors exist. The manager or committee members may seek guidance from a
Human Resources representative on procedural matters and other factors which may need to be
taken into account.
(i)
Once that decision is made, written confirmation of the decision and reasons will be sent to the
employee within 5 working days, this includes where the employee has been orally notified of the
manager’s decision on the day.
(j)
The employee will be advised of their right to appeal against the decision and informed who that
appeal should be lodged with and in what timescale.
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ABSENCE MANAGEMENT PROCEDURE
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APPENDIX 7 - PROCEDURE FOR APPEALS
Where the appeal is against a written warning or final written warning, it will be heard by a member of
SMT who has not been involved in the Stage1 or Stage 2 meeting under the policy.
Where the appeal is against dismissal following an Ill Health Capability Hearing it will be heard by:
i)
ii)
the Principal, where the decision to dismiss was made by a SMT member; or
a committee of the Corporation, where the decision to dismiss was made by the Principal. The
committee shall not include the Principal, staff members or student members.
It is the responsibility of the manager conducting the appeal to ensure that notes are taken of the
meeting, and that these are used to assist the decision making process. To assist this process the
manager conducting the meeting may request that a note taker be present.
In normal circumstances a member of Human Resources will be present to provide procedural support
and advice to the manager chairing the appeal.
Not every meeting will be conducted in exactly the same way and will depend on the particular
circumstances and nature of the allegations. However, a typical procedure to be followed at an appeal
meeting is outlined below:
Meeting procedure
(a)
The chair of the meeting will introduce those present, including each person’s role in the
meeting, and will explain the purpose of the meeting.
(b)
The employee or companion will state the precise nature of the appeal. He/she will then explain
his/her case and any special circumstances which may exist.
(c)
Where appropriate, the employee or companion may introduce any witnesses.
(d)
The chair of the meeting, or committee member, may question any witnesses.
(e)
Each witness will attend only for his/her own evidence and will withdraw once his/her evidence is
given.
(f)
If necessary, the chair of the meeting may call the manager who made the original decision under
the Absence Management Procedure in order to ask any relevant questions.
(g)
The employee or companion may question the manager who made the original decision under the
Absence Management Procedure.
(h)
The manager who made the original decision will withdraw.
(i)
The employee or companion to summarise the appeal, with no new factors to be introduced.
(j)
After the meeting, the chair of the meeting (or Panel) will review case before making decision.
The chair of the meeting (or Panel) to take account of the original decision and the employee’s
representations from the appeal meeting.
(k)
Once that decision is made following the meeting, written confirmation of the decision will be
sent to both parties within 5 working days.
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