We reproduce below Leicester Education Authority's current policy on sickness procedures.
February 2007
1.1 The Governors recognise that they have a committed workforce who strive to ensure that School/College objectives are achieved. Unplanned or long term absences can adversely affect service delivery and quality.
1.2 This procedure sets out the Governors' expectations of managers and employees in the management of sickness absence. The aim is to establish good management practice and provide a framework within which School/College managers can balance the needs of individual employees with the need to provide high quality education services for pupils.
1.3 In the operation of this procedure the Governors and the School/College management will show due sensitivity to issues of race, culture, gender or other individual need.
1.4 A positive policy can assist in the reduction of absence by the introduction of measures designed to identify issues and ensure appropriate actions are taken by management and individual staff. This will ensure that Head Teachers/Principals are aware of general and individual levels of employee absence.
1.5 The Governing Body is concerned for the well being of its employees and seeks to protect the health and safety of staff by creating a sound working environment free from danger. Employees will be too ill to work from time to time. The Governing Body wishes to ensure that where illness or injury occurs appropriate paid leave and support is given to employees.
1.6 In return the Governing Body expects its employees to respond in the following ways:-
1.7 Usually employees will be in attendance at their place of work during their normal working hours. At times, employees may not be available for work for good reason. When such absences occur because of sickness, the good management practices contained in this policy are aimed at ensuring that the employee receives the necessary support and advice from the Head Teacher/Principal and, where appropriate, other bodies such as the Human Resources Team.
1.8 It is important that attendance levels are maintained by employees in order for the School/College to provide a high quality of education to pupils. The procedure sets out how the sickness absence levels of employees will be monitored and how medical advice should be sought where absences continue to occur. School/College managers should always treat genuine sickness with sympathy and practical advice, but employees must be aware that extended sickness or recurrent short term absence may not be acceptable.
3.1 This procedure applies to all School/College staff, including the Headteacher/Principal.
3.2 If the Headteacher/Principal's absence is a cause for concern, or one of the trigger points is reached, then it will be the responsibility of the Chair of Governors to take appropriate action in line with this policy. Advice can also be obtained from the LA in these circumstances.
4.1 It is very important for the management of the School/College that employees telephone the required contact point at the earliest opportunity whenever they are unable to attend work through sickness absence. The School/College will make clear to all staff the reporting instructions that are relevant to their area. If a member of staff is unable to return to work on the day they previously indicated then the reporting procedure should be repeated.
4.2 When an employee does not report in as required, and has no good reason for doing so, then pay for the whole day, and for subsequent days absence not notified, will be stopped.
4.3 It is important that employees continue to maintain contact with their manager, or other appropriate designated person, during their period of absence. However, an employee should only be contacted by the School/College on a work related issue during a period of absence if this is absolutely necessary.
5.1 In order to deal with absences fairly, it is essential that accurate records for the whole of the School/College staff are available.
5.2 The School/College will keep records of all staff absence for Teaching, Management and Support staff, including number of days absence, number of occasions of absence and, wherever possible, reasons for absence.
5.3 Although a member of staff does not have to give the exact medical reason for their sickness absence when they report in sick, the presumption is that reasons will be given. This is to enable any appropriate support to be provided or preventative action to be taken and will greatly assist with the management of absence within the School/College. For absences of a week or more, the reason would be recorded on any doctor's certificate issued.
5.4 Keeping records of staff absence will help to ensure that all staff are dealt with consistently, appropriate medical advice is obtained and that any workplace trends can be established. These may be an indication of areas in which management should focus support or take other pro-active measures.
6.1 If a member of staff has been absent for between 4 and 7 days then they will be required to complete and sign a self certification form stating the reason for absence.
6.2 If the employee is absent for more than 7 days (including weekends and holidays) then a medical certificate will be required and should be forwarded to the School/College immediately.
6.3 If the medical certificate gives the date when the employee is expected to be fit to return to work but the employee is not fit on that date, then the doctor must be consulted again, another statement obtained and the School/College kept informed.
6.4 If the employee becomes fit to return to work but the medical certificate has not expired then the employee will be required to return to the doctor to be "signed off" before they return to work.
7.1 The national sickness pay provisions for school/college staff are set out in the 'Burgundy Book' for Teachers and the 'Green Book' for Support Staff.
7.2 The periods of full and half pay set out in the sick pay schemes are maximum entitlements other than in exceptional circumstances.
8.1 Upon returning to work, especially after a period of certified absence, the employee should normally meet informally with their manager for a brief Return to Work discussion. This provides an opportunity for the employee and their manager to consider the following issues, where relevant:
8.2 The discussion should be a constructive two way discussion conducted in a positive and supportive way. Wherever practicable, the manager should make available to the employee any support and/or advice they need to support their the return to work.
9.1 The majority of staff absences are infrequent and for short periods of time and, as such, are unlikely to be a cause of undue concern to the School/College.
9.2 However, it is inevitable that there will be some cases where an employee's attendance record does cause the School/College concern and it becomes necessary for further steps to be taken by management.
9.3 To ensure fairness and consistency of treatment, the LA has set 'trigger points' to determine the level of absence at which further action may be considered. These 'trigger points' will be publicised across the School/College and will be reviewed periodically.
9.4 The LA trigger points are:-
An occasion is defined as any period of absence of half a day or more.
10.2 The employee can seek advice from their own G.P. and from their Trade Union or Professional Association
11.1 When an employee's level of absence reaches one of the trigger points, the relevant manager should arrange a Sickness Consultation Meeting with the employee. (Although, in some circumstances, it may be determined that this is not appropriate (see 11.3 below)).
11.2 The purpose of the meeting is to determine and discuss the reasons for absence and what steps have been taken to address any underlying reasons for absence. Where appropriate, this will include considering ways of alleviating any contribution the employee's work environment may be making to the pattern of ill health.
11.3 There will be some circumstances where the manager does not feel it is appropriate to hold a sickness consultation meeting with an individual because the reasons for the absence(s) are known and are not a cause for concern, for example, where the reason for absence is pregnancy related or where the matter has been previously discussed in some detail. In such cases, the manager should keep a written note on file of why the meeting did not take place.
11.4 The employee should be given full details of their absences prior to attending the meeting and should also be provided with a copy of the sickness procedure. At least five working days notice will be given, in writing, before the Consultation Meeting and the employee would have the right to bring a representative or friend to this meeting if they wish.
11.5 The discussions at the Sickness Consultation Meeting might include:-
11.6 Full opportunity should be given to the employee to comment on their position and those comments should be carefully considered by the manager.
11.7 It should be made very clear that the Sickness Consultation Meeting is not a disciplinary interview. However, if the concerns are serious and on-going, then it may be necessary to inform the employee of the procedural steps that may be taken and the possibility of warnings being issued in the future if absence levels do not improve. This would usually only occur at one of the review meetings as it is unlikely that serious and on-going concerns would be identified at the very first meeting.
11.8 The content and outcome of the meeting will be noted and a copy given to the employee.
12.1.1 there are no concerns with the employees attendance. There would be no need for a review meeting in these circumstances
12.1.2 refer to Occupational Health for further medical advice (see Appendix 1 below)
12.1.3 make reasonable adjustments to the employee's working environment to meet the needs of the employee
12.1.4 carry out a risk assessment to determine either physical risks in the employee's working environment, or stressors that may be affecting their attendance.
12.2 Other than in 12.1.1 above, there should automatically be a follow-up review meeting arranged at the Sickness Consultation Meeting. If the level of absence increases then this may bring forward the review date. In normal circumstances the review meeting will be set for 3-6 months after the Consultation Meeting.
13.1 The employee should be given full details of their absences prior to attending the meeting. At least five working days notice will be given, in writing, before each Review Meeting and the employee has the right to bring a representative or friend to this meeting if they wish. As with the Sickness Consultation Meeting, notes will be kept and a copy given to the employee.
13.2 The purpose of the review meeting is to:
13.3 If absence levels are still a cause for concern then discussion may also include:
14.1 Where the level of sickness absence has been reduced and is no longer a cause of concern acknowledge this with the employee. The need for further meetings will cease.
14.2 Where the level of sickness absence is still a cause for concern:
15.1 The procedure provides for warnings to be issued to employees by the manager.
15.2 In normal circumstances, if an employee's attendance does not improve to the required standard, then they would receive a series of warnings; an oral warning, first written warning and final written warning. Warnings would only be issued by the relevant manager at a review meeting and would be confirmed in writing. An example of a letter to be used in these circumstances can be found in the Management Guidelines.
15.3 After each warning is issued, the required standards for attendance should be made clear to the employee, medical advice sought where necessary, and all relevant support given. If, at the next review meeting, attendance was still a cause for concern, then the manager may issue a further warning.
15.4 Each warning would remain on file for a period of 12 months. There is no right of appeal against either an oral or a first written warning. However, after being issued with either an oral warning or a written warning the employee has the right to raise objections in writing to their manager, who will consider these fully and respond in writing. This documentation can be carried forward and considered at any appropriate future meetings
15.5 An appeal to Governors would be possible at the final written warning stage and beyond.
15.6 If, after issuing the final written warning, attendance does not improve to the required level, then the Headteacher/Principal may take the case to a panel of Governors and recommend that the employee be dismissed. The process to be followed in these circumstances is set out in Appendix 2 of this document. If dismissal was recommended by the Governors then the employee would have a right of appeal against dismissal to a separate panel of Governors.
16.1 A long term absence may result from a long standing medical condition or be due to a sudden severe or disabling illness/injury. It may not always be clear at the outset if the initial absence will be prolonged and it is important that regular communication is established between the employee and the relevant person at the School/College.
16.2 It is expected that in the majority of cases of prolonged absence the Headteacher/Principal or other appropriate manager should be in direct contact with the employee. However, this may not always be appropriate, and in such cases a staff colleague, family member or Trade Union/Professional Association representative would be identified as a suitable link. In all cases it will be necessary for the Headteacher/Principal to be kept informed of progress and to receive the medical certificate.
16.3 Sensitivity must be shown to any employee on long term sick and, for example, no visit would be made to an employee's home if they were not happy with this. However, it is important is that the employee does not feel isolated or abandoned by the School/College if they are absent for any length of time, and that contact is maintained. Meetings should take place at an alternative agreed venue if the school/college or home is felt by the employee to be unsuitable.
16.4 When it becomes clear that an employee will be absent for a long period (6-8 weeks or more), referral to the Occupational Health Unit should take place at the earliest opportunity. This will begin any medical investigation, although a decision is unlikely to be immediately available. It is hoped that the School/College would normally have received a medical prognosis at or before 6 months' absence.
16.5 When a teacher has been absent for 3 months with any kind of mental health problem, including stress or depression, then it is a DfES requirement that this member of staff is medically suspended from duty and will be unable to return to work until appropriate medical advice has been received from the City Council's Occupational Health Unit.
16.6 The School/College will keep the employee informed of the content of any Occupational Health reports and the employee will keep the school/college informed of the progress of their case and any prognosis that they have received from their own doctor. Where appropriate the Headteacher and the employee can meet to discuss these issues, although the sensitivities with regard to contact, as outlined above, should be maintained.
17.1 Return to work
17.2 Return to 'normal' duties following therapeutic return. This is a procedure whereby an employee can undertake a phased return over a temporary period (usually half a term in length). During this period they would work reduced hours and/or reduced duties, gradually increasing their work until they were fit enough to undertake the full range of duties at their previous hours of work. Further details can be found in the Therapeutic Return Procedure document.
17.3 Temporary/permanent change in duties/hours/working environment in existing post. The School/College will carefully consider whether it is possible to make any adjustments to the employee's working hours, duties or working environment to facilitate a return to work.
17.4 Making reasonable adjustments under the DDA. This could include adjustments referred to in (17.3) above, but may also include the provision of specialist equipment and/or services to facilitate the employee's return to full duties and/or to alleviate any health problems where possible.
17.5 Ill Health Redeployment. The Occupational Health Doctor or Nurse may recommend that the employee is unfit to continue to work in their current post but may be fit to carry out lighter duties, for example a post with less stress, less responsibility or reduced physical demands.
17.5.1 The employee would have a right to a second medical opinion if they were not happy with this medical recommendation. The second medical opinion is provided by a doctor with an appropriate specialism, recommended by the City Council.
17.5.2 If the member of staff was in agreement with the recommendation to seek ill health redeployment (or if their second medical opinion still confirmed that ill health redeployment was appropriate) then a period of 3 months (which can be extended to 6 months at management discretion in the case of a disabled employee) would be set in which the School/College would attempt to find the employee alternative work elsewhere in the City Council. Employees should be made aware that these opportunities can be limited. In the case of finding work at another school/college, this would be at the discretion of the receiving Governing Body, but for non-School/college posts in the City Council, priority consideration would be given to the member of staff when considering them for an appropriate position. Further advice is available from the Human Resources Team.
17.5.3 Before the redeployee commences employment in a new position, Occupational Health will need to confirm their fitness to undertake this new role.
17.5.4 There would be a trial period in the new post of up to 2 months to ensure the redeployee is fit to undertake the duties of the post and that their medical condition has not been/will not be exacerbated. The employee would be entitled to a minimum of 3 months' protection of pay following ill health redeployment.
17.5.5 During the trial period the employee will be seconded from their School/College. If the trial period is not successful then the employee would return to the School/College and, if, at the end of the redeployment period, it had not been possible to find the employee an alternative post, then their employment with the School/College would come to an end. The procedure to be followed in these circumstances is the same as that laid out in paragraph (20.3) below. In circumstances where dismissal takes place appropriate notice payments would be made, based on full pay.
17.5.6 While the employee is awaiting redeployment they would normally remain on sick leave and would be paid the appropriate rate of sick pay. If the employee's own doctor has certified that they are fit for work (but they are unfit to return to their substantive post) then the employee would either be suspended on medical grounds or the School/College would attempt to find them alternative suitable work during the redeployment period.
18.1 If a member of Support Staff is in the Local Government Pension Scheme and is PERMANENTLY unfit for work, then ill health retirement would be recommended by the Occupational Health Doctor. If the employee disagrees then they have a right to a second medical opinion as outlined in (17.5.1) above. If, after receipt of the second medical opinion, they still disagree with the doctor's recommendation, the employee would have the right to put their case before a panel of Governors. There would then be a right of appeal to a further Governors Panel (see below).
18.2 If a Teacher is permanently unfit for work they would apply for their pension through Teachers' Pensions. If ill health retirement were granted then the employee's contract would be terminated from the date of receipt of pension. It would be in breach for the LA/School/college to continue to employ a teacher in receipt of an ill health pension and therefore no notice or dismissal proceedings would be necessary in these circumstances. If a teacher has been absent from work for a significant period and wishes to pursue ill health retirement, the Governing Body will determine whether to hold their post open for them while they pursue this option or move to termination of employment on the grounds of ill health as indicated below.
19.1 If the employee is NOT permanently unfit for work BUT is unlikely to return to their post in the foreseeable future, then termination of employment on the grounds of ill health may occur.
19.2 The length of time allowed before a return to work is required, must be reasonable. The School/College should take into account all the medical evidence they have received from Occupational Health before reaching a decision to terminate employment. However, the decision will be a management decision, and the Headteacher/Principal will need to take into account the effect of the absence on the School/College when determining the length of time it is possible to hold the employee's post open for them to return to. In normal circumstances, by the 6 month stage the School/College must be reasonably confident that the employee will return in the foreseeable future.
19.3 There may be some circumstances where an employee is absent from work for a considerable period of time, for example where they are awaiting an operation, but the prognosis is good and there is an excellent prospect of a full return to previous duties. In such circumstances, the manager may well wish to consider keeping the post open for a longer period.
20.1 The Headteacher, employee and their representative (and a Personnel Officer, if required by the School/College) will meet to discuss the contents of the medical report. The doctor will usually have advised that a 'chronic condition exists and attendance level is unlikely to improve'.
20.2 There are 3 possible outcomes:-
20.3 The employee agrees with the medical report and with the recommendation of the Headteacher/Principal to terminate employment.
20.3.1 The Headteacher/Principal will write to the member of staff confirming the outcome of the meeting. A copy of this letter should be signed by the employee to confirm that they agree with the termination of their contract.
20.3.2 When the School/College receives the signed letter they should instruct the LA to issue the letter of dismissal to the employee. The employee would be entitled to relevant contractual/statutory notice pay, which would be based on their full pay rate, even if their sick pay had ceased. This will be paid by the school/college.
20.4 The employee agrees with the medical report, in so far as they feel they can no longer continue in employment, but they wish to have access to their pension. This is outside the remit of the Governing Body and therefore it would not be appropriate to convene a Governors' hearing as outlined below.
20.4.1 If the employee is in the Local Government Pension Scheme then they would have a right of appeal to the Secretary of State. This is accessed via the Pensions Section at the County Council.
20.4.2 If the employee is in the Teachers' Pension Scheme then they would need to apply/appeal direct to Teachers Pensions.
20.4.3 As regards termination of employment, the procedure outlined in 20.3 above would apply - the recommendation to terminate employment would be confirmed in writing to the employee, they would sign and return a copy of the letter confirming their agreement with the termination of their contract and the School/College would ask the LA to terminate the employee's contract on the grounds of ill health. Appropriate notice payments would be made by the School/College.
20.5 The employee does not agree with the recommendation of the Headteacher/Principal to terminate employment.
20.5.1 If the employee wishes to challenge the medical report then they can request a second opinion from a doctor recommended by the Council.
20.5.2 If the second opinion doctor is in agreement with the City Council doctor's original prognosis (or if the employee does not wish to take up a second medical opinion) and the employee does not agree with the recommendation to terminate employment then a panel of Governors should be convened to take the final decision. The Director of Children & Young People's Services would be entitled to send a representative to attend the hearing and comment on the issues under consideration.
20.5.3 The employee would be informed that the Head will be recommending termination of employment to a panel of 3 independent Governors. The employee will have the right to make representations to these Governors as to why his/her employment should not be terminated. The process to be followed at this Governor's hearing to consider dismissal is set out in Appendix 2.
20.5.4 If the Governors' panel are of the opinion that the School/College can no longer retain the employee then the employee would be informed that they have a right of appeal to a further panel of Governors. The employee should be given 5 working days to identify whether they wish to appeal against the Governors decision. The process to be followed at the appeal hearing would be the same as that at the original hearing.
20.5.5 If the Appeal Panel support the first panel's decision (or if the employee does not wish to appeal) then the Governing Body should request that the LA terminate the individual's employment on health grounds. Appropriate notice payments would be made as outlined in 20.3 above. The reason for termination would be health reasons and NOT disciplinary reasons. The Governors' hearing would not be a disciplinary hearing but would be to "consider the continued employment of the employee".
21.1 If a school/college is in this position, the Department will allocate an appropriate person to manage this procedure.
21.3 Where the Governing Body have a role within this procedure, these functions would normally be carried out by a panel of two LA officers and a governor.
This procedure will be subject to periodic review.
In the majority cases of long term absence or persistent short term recurring absence it will become necessary at some point to refer the individual for medical advice, which is available from the City Council's Occupational Health Unit. In the case of short term recurring absence, it is unlikely that referral would be necessary at the first Consultation Meeting, but if absence continues to cause concern, then referral may become necessary. In the case of long term absence referral would normally occur at the 6-8 week stage.
At the time of referral the manager and employee should discuss the reasons for the referral and talk through the referral documentation together. It is a requirement that the employee signs the referral form and should understand fully the reasons for the referral and what the process involves.
When an employee is absent on long term sickness it is advisable that the Headteacher/Principal or other appropriate manager visits the employee at home to discuss the details of the referral. However, it is recognised that this may not always be possible or appropriate, and the School/College will deal with each case sensitively whilst ensuring that the individual is fully informed of process (see Section 16 of the procedure)
The employee has a duty to attend appointments with the Occupational Health Unit where this is required by management. If an employee refuses to see the Occupational Health Service then management will have no choice but to make decisions about the employee's position without the benefit of medical advice. It is therefore in the employee's best interest for them to see Occupational Health when requested to do so.
An employee has a right to be accompanied by a friend, family member, colleague or Union representative, at any consultation with Occupational Health and, if this is required, Occupational Health should be informed in advance of the appointment at the earliest opportunity in order that they can make the necessary arrangements.
The employee may be required to see the Nurse and/or Doctor and further information may be requested by Occupational Health from the employee's own doctor, with the consent of the employee. The employee has the right to see their medical records and should write direct to the Occupational Health Unit if they wish to pursue this.
The Occupational Health Service will send a management report to the School/College with their recommendations. No details are given about the employee's medical condition as this information is confidential. The report will confirm whether the employee is fit to carry out the duties of their post, whether any permanent or temporary adjustments need to be made to their working conditions and whether there is, in fact, an underlying medical condition affecting the employee's attendance.
The medical advice given will be used by management to inform any action that they take under the procedure. It should be noted that medical advice is only one factor to be considered by managers. Significant consideration will also be given to the effect of the employee's absence on service provision and the education of pupils within the School/College.