Equality Impact Assessments Equality Impact Assessment Record Form Attendance and Authorised Absence Policy and Procedures (2010) North Norfolk District Council Page 1 Directorate Service Resources Human Resources/Organisational Development HR Officer Attendance and Authorised Absence Policy and Procedures Title of the policy being assessed The status of the policy 1. What are the aims, objectives and purposes of the policy? Person Date responsible for assessment the assessment completed September 2010 Revised. This document combines the two previously separate documents – (1) Attendance Policy and (2) Authorised Absence Procedures. This policy/procedure aims to be a reference point for listing the different types of absence an employee may take or book in the course of their employment. It is a source of information for employees and managers alike. Although some specific types of absence (such as maternity leave) are not covered in this policy, the appropriate reference point for this information is listed at the start of the policy. The document also sets out roles and responsibilities for employees, managers and Human Resources (HR) in relation to the policy. The Authorised Absence Policy and Procedure aims to: Recognise that employees may wish for, or require, leave from work under a variety of circumstances. Outlines a number of the types of leave available, circumstances under which they may apply, how to request/arrange the leave and where appropriate - the options available. Provide an overview of the available arrangements for when it is not possible for employees to attend work and help employees to manage work life balance. The Attendance Policy and Procedure aims to: Provide clarity and a positive, fair, sensitive and consistent framework for managing staff attendance. Give managers the tools to support employees and manage staff attendance whilst being alert to frequent short-term absence and/or high levels of sickness absence and taking prompt action as necessary. Recognise that whilst employees will at times be prevented from attending work through ill health, we have a duty to maintain service delivery and minimise disruption to both service delivery and colleagues 2 2. Does the policy support other objectives of the council? Yes, Business continuity – maintaining service delivery, planning to cover absence, and updating staff on new developments on their return. The Corporate Plan ‘Changing Gear’ – first class resource management and the corporate values of ‘Valuing Staff’ – by providing support (where appropriate) and assisting employees in managing their work life balance (e.g. through annual leave or time off for training); ‘Equality & Diversity’ – supporting people to maintain attendance if required, reasonable adjustments for those who need them, the provisions in the authorised absence section support diversity in the workforce; ‘Continuous Improvement’ – trying to improve our absence figure, which is still higher than some other local authorities and has obvious impacts on service delivery, other employees and finances. Looking after the wellbeing of our staff and supporting wellbeing initiatives/services such as ‘Fit for business’, the Employee Assistance Programme and the use of Occupational Health. Disciplinary Procedure – links to the disciplinary procedure under the health capability procedure. Frequent short term absences that have been investigated and where there is found to be no acceptable reason for them, would be dealt with under the Disciplinary Procedure (which has its own equality impact assessment). Grievance Procedure – if an employee feels they have not been treated fairly under this policy they are able to raise a grievance (this procedure has its own equality impact assessment). Health and Safety – duty of care to staff, risk assessments relating to health issues are carried out as and when appropriate. The Local Government Pension Scheme (LGPS) – Ill Health Retirement may be an option for some employees with ongoing health problems, provided that they are pension scheme members and meet the relevant criteria. This is mentioned in section 10 of the Attendance Policy. Legal compliance – for example with the Working Time Regulations 1998; Disability Discrimination Act 1995 (as amended), Sex Discrimination Act 1975; 1983 and from October 2010 - the Equality Act 2010. As well as links between the three component parts of the document - Attendance Policy, Authorised Absence Policy and Health Capability Procedure there are also links with other policies including: o Maternity Scheme o Maternity Support Scheme o Guidelines on the Flex Scheme o Pandemic Flu Policy o Equality & Diversity Policy o Flexitime Guidance 3 o o o o o 3. Who is intended to benefit from the policy, and in what way? 4. What outcomes are anticipated from the policy being in place? Jury Service Guidance Information on Statutory Adoption Pay and Leave Pension and Discretionary Benefits Policies Disciplinary Procedure Health and Safety Policy All employees – Improved information regarding all aspects of attendance and authorised absence, including a framework for managing sickness absence. Provides support and assistance where appropriate All managers – Improved information regarding all aspects of attendance and authorised absence, including a framework for managing sickness absence. Also management information is provided by ensuring that absence is recorded accurately and consistently Trade Unions – a framework on how attendance will be managed and the role of trade union representatives where appropriate, as well as information on all aspects of authorised absence and attendance All customers & service users – by maintaining service delivery and appropriately supporting the staff who provide the service ICAS (Employee Assistance Programme) – Provides the telephone advisers with contextual information on which they can base their advice, when contacted by a member of staff Human Resources – guidance for inputting and recording sickness as well as for where triggers are met and in supporting Managers who are using the policy, as well as a reference point for the team, employees and managers regarding all types of authorised absence Managers and employees having a better understanding of absence management and leave options/administration. Better work life balance through improved awareness and therefore greater use of arrangements to assist work life balance. Consistent treatment through use of an established framework. Support offered to employees where appropriate. A mechanism for handling frequent short term absences and long term absences. Managers having a better understanding of their role in managing attendance. 5. Identify and select your assessment team. Name Role HR Officer Consultees 6. What data have you Source and Responsibilities HR Officer Various Owner 4 Lead on assessment See Appendix A Findings Data Gaps gathered for this assessment? How have you analysed this data? Age of Data Sickness Absence review (SAR) data for financial years 2008 & 2009 Workforce Profile Data from Cognos (Cognos is a tool that allows us to create reports from the information held on the Human Resources computer system – ‘Resource link’) Sickness absence figures analysed by equality strand (such as gender, disability etc) – data from Cognos. Human Resources See Appendix C n/a Human Resources These reports provide data regarding the workforce on all 6 of the equality strands covered by this assessment. Relevant figures are used throughout the assessment. n/a Human Resources These figures give data for a trend analysis and showed the average day’s sickness per employee and that females employees on average have more day’s sickness absence than male employees. In general there has been a trend of reduced absence in the last few years. Analysis gives information on where disabled employees are having sickness absence, but does not show whether or not the sickness is actually related to their disability. Local Government Sickness Absence and Causes (2009) LGAAR – Local Govt Association Analysis and Research team Average sickness absence level n/a for a local authority is 9.2 days per FTE per year. (Compared to the figure for the Council which is currently 8.42 days per FTE per year.) According to the LGAAR report, sickness absence is higher amongst part time staff. The most important single cause of absence was stress, 5 Absence Management Survey (2009) CIPD - Chartered Institute of Personnel and Development Employers forum on Disability (2009) Employers forum on Disability Ill Health Retirement Figures (from a cognos leavers report) for the previous 2 financial years- 08/09 & 09/10. Age discrimination: reward policies and procedures (May 2009) Human Resources CIPD - Chartered Institute of Personnel and Development 6 depression, anxiety, mental health and fatigue. The most prevalent cause of long term sickness was stress (accounting for 29.1%) and the most prevalent cause of short term sickness was infections (accounting for 29.9%). The national average for sickness for public and private sector combined is 7.4 days (compared to 8.42 at NNDC). The average cost of absence per employee is £692 per year. ‘Disabled people in work tend to have better attendance records, stay with employers longer and have fewer accidents at work.’ Only a small number of Ill Health retirements have occurred in the last 2 years therefore a full analysis was not possible or meaningful. ‘The Age Regulations1 recognise that there may be occasions when seemingly discriminatory treatment or practice is warranted. Regulation 32 provides a complete exemption with respect to some pay and benefits and a basis for justification in respect of others as follows: It is not unlawful for an employer to award a benefit n/a n/a n/a n/a Grievance data (From the Discipline and Grievance Spreedsheet; data since April 2008) Human Resources Staff Survey 2010 – Ipsos MORI/NNDC Human Resources Intranet INTRAN pages Previous EqIA of Attendance Policy carried out in 2009 Maureen Wells Human Resources to workers based upon their length of service, where the length of service is no more than five years.’ One grievance has been taken n/a out in relation to this policy, but not relating to an equality strand. The grievance may be resolved by this policy review. Feelings of equality and n/a disadvantage by equality strand – i.e. age, gender, disability and so on Services that INTRAN can offer. n/a Previous assessment of the old attendance policy. The action plan fed into the policy review and all actions have been completed. n/a Views from employee Human Changes made following this n/a representatives Resources consultation are listed in regarding the Appendix A. assessment North Norfolk District North Norfolk Guidelines on how to make n/a Councils accessibility District Council information more accessible matters standards The average rate of sickness absence at the Council currently is 8.42 days per employee per year. This is lower than the public sector average (according to the LGAAR, 2009) which is 9.2 days. 7. Who are the main stakeholders of this policy? Community Staff/Members North Norfolk community 7 All employees All managers Members Trade union representatives Partners Occupational Health ICAS (Employee assistance programme providers) 8. Are there any concerns that the policy could have a negative impact with regard to race and ethnicity? What evidence (actual data or assumptions) do you have to support this? In line with the Council’s Diversity and Equality Policy, this policy applies equally to all employees regardless of race and ethnicity. This is reinforced by the equality statements in the documents themselves. The policy sets out frameworks for managing sickness absence and for managing authorised absences. Having this framework and reference point in place should aid managers and human resources in taking a consistent approach across all employees in the authority regardless of their race or ethnicity. UNISON will also be consulted with regarding this policy. There were X ill heath retirements in the periods 2008/9 & 2009/10. Both employees were of ‘White British’ ethnic origin, but given the ethnic make-up of the workforce at North Norfolk District Council (95.91% White British) this is neither surprising, nor deemed to be of significance. 97.20% of the SAR meetings held were with ‘White British’ employees, which is also consistent with the race/ethnicity composition of the workforce. No The staff survey asked a general question about disadvantage felt due to race/ethnicity at the Council, the result was that 0% of staff reported feeling that they had been disadvantaged a great deal or a fair amount on account of their race. Whilst this data does not relate directly to the attendance and authorised absence policy and procedures, it is a positive indication on the whole. ‘INTRAN’ services (translation) would also be available if there was a need to communicate the policy in another language, for example. This will ensure that the policy is accessible to all. There is no evidence that this policy has an adverse impact on any particular racial/ethnic group. 8 9. Are there any concerns that the policy could have a negative impact with regard to gender? What evidence (actual data or assumptions) do you have to support this? In line with the Council’s Diversity and Equality Policy, this policy applies equally to all employees regardless of gender or related protected characteristics under the Equality Act 2010 such as pregnancy, maternity or gender reassignment. This is reinforced by the equality statements in the documents themselves. The policy sets out frameworks for managing sickness absence and for managing authorised absences. Having this framework and reference point in place should aid managers and Human Resources in taking a consistent approach across all employees at the Council regardless of gender factors. UNISON will also be consulted with regarding this policy. There is a note under section 10.3 of the policy that medical procedures for gender reassignment would not be classed as ‘elective’, ensuring that there is not an adverse impact on transgender employees wishing to undergo such procedures. No The Flexible Working Survey 2008 showed that women are more likely than men to have caring responsibilities. There are provisions available for all employees with caring responsibilities under the authorised absence part of the policy - such as emergency time off for dependants (section 16), ‘stuck not sick leave’ (section 19) and an ongoing need for time off (section 20). These types of authorised absence are available in addition to the provisions whereby employees can request flexible working arrangements and the flexitime scheme (if applicable). These extra provisions may increase flexibility for employees, which would be considered positive when 42% of staff agreed that more flexible working opportunities would improve performance (Staff Survey, 2010). Analysis of our sickness absence figures show that our female employees are more likely to have time off than men – the average days sickness per female FTE is 10.64 days compared to 3.41 days per male FTE. At NNDC women are more likely to work part time (80.6% of those working part time are females) and therefore this corresponds with the LGAAR data stating that sickness absence is likely to be higher amongst part time staff. There is no clear indication from the data as to the reasons for this, therefore we will need to continue to monitor in the coming years to see if it is a prevailing trend. 9 A new edition to the attendance policy is section 13 regarding sickness absence relating to pregnancy, whether or not absence was pregnancy related would be considered prior to conducting an SAR meeting. As women are more likely to be working part time (80.6% of those working part time are women), in order to ensure that all employees receive the information on these revised version of the policies any briefing sessions would need to be timed appropriately to catch as many employees as possible – e.g. different days of the week, different times etc. The procedure should also be communicated in a number of different formats – intranet, briefing newsletter, team briefings etc. All communications should comply with the Council Accessibility Matters Standards. In addition to considering part time employees in the communication of the policy, related training and so on, there may also be another indirect effect on women. In order to ensure that a return to work meeting is carried out promptly regardless of working pattern or gender, the policy now states that the return to work meeting should be held within three of the employees’ working days. In terms of equity for part time employees, the Authorised Absence part of the document sets out how their entitlement to leave is calculated. This is done on a prorata basis and so each part time employee receives leave proportionate to that of a full time employee. There is also a provision under section 7.2 whereby part time workers can agree in advance with their managers whether they wish to work an alternative day in the week where there is a public holiday or to use some of their annual or flex leave entitlement to cover the day off instead. Whilst women are more likely to be part time, there is no indirect adverse affect in terms of leave entitlement/public holidays. There were X ill heath retirements in the periods 2008/9 & 2009/10. Both employees were X. Although there are actually more females than males in the Council’s workforce, due to the size of the sample this is not thought to be significant. Whilst more females than males have attended ‘review meetings’ under this policy (in total 121 meetings were triggered with females, compared to 45 males), it is not 10 felt to be significant as there are more women than men in the workforce (61.4% of our workforce are female). It was the finding of the Staff Survey 2010 that 3% of employees felt that they had been disadvantaged on account of their sex at the Council. However, this is not a finding which relates specifically to this policy/procedure and there is no evidence that the provisions of this document promote disadvantage, but moreover, improve the options for those with caring responsibilities, which has a positive ‘knock-on’ effect on gender. There is no evidence that this policy has an adverse impact on any particular gender group. 10.Are there any concerns that the policy could have a negative impact with regard to disability? What evidence (actual data or assumptions) do you have to support this? In line with the Council’s Diversity and Equality Policy, this policy applies equally to all employees regardless of disability status. This is reinforced by the equality statements in the documents themselves. The policy sets out frameworks for managing sickness absence and for managing authorised absences. Having this framework and reference point in place should aid managers and Human Resources in taking a consistent approach across all employees in the authority regardless of disability status. UNISON will also be consulted with regarding this policy. No In terms of SAR meetings held (meetings held under the policy where frequent short term absence is identified) these generally reflect the composition of the workforce. However, there is an over-representation in the case of disabled employees (10.24% of meetings triggered were with disabled employees, compared to 7.89% of the workforce declaring that they were disabled in 2009/10). However, this does not necessarily indicate that there is an adverse impact as the meetings are designed to highlight any underlying causes of absence and any potential ways that the Council may be able to help. For this reason SAR meetings can have a positive impact for disabled employees in helping to identify reasonable adjustments and other support which the Council may be able to offer the employees. The findings of the Staff Survey 2010 were that generally 3% of employees felt they had experienced some disadvantage on account of their disability. Whilst this finding 11 is not specific to this policy/procedure, it does indicate that there may be room for improvement on a general basis. The policy now contains an additional section on sickness absence relating to a disability. It makes reference to the disability provisions of the Equality Act 2010 and contains information on reasonable adjustments and that disabled employees should not be treated less favourably than other employees (see section 14.2). The revised version of the self certification form also contains a section for the employee to indicate where absence is related to a disability, this will allow a discussion to take place at the return to work interview regarding any help or support that the Council may be able to offer. This adjustment to the form will also mean that better monitoring of sickness absence relating to a disability can take place, particularly in relation to health capability. Going forward this should highlight if there is any specific cause for concern relating to the application of this policy/procedure more specifically. None of the people who have been ill health retired since the original version of the Attendance Policy came into place have declared themselves as disabled. This policy should be communicated in a number of different forms – e.g. intranet, team briefing & briefing newsletter. Communications would need to comply with the Council’s Accessibility Standards. ‘INTRAN’ services (translation) would also be available if there was a need to communicate the policy in sign language or Braille for example. There is no evidence that this policy has an adverse impact according to disability status. 11.Are there any concerns that the policy could have a negative impact with regard to age? What evidence (actual data or assumptions) do you have to support this? No In line with the Council’s Diversity and Equality Policy, this policy applies equally to all employees regardless of age. This is reinforced by the equality statements in the documents themselves. The policy sets out frameworks for managing sickness absence and for managing authorised absences. Having this framework and reference point in place should aid managers and Human Resources in taking a consistent approach across all employees in the authority regardless of age. UNISON will also be consulted with regarding this policy. 12 Generally speaking, 6% of our employees reported that they had felt at a disadvantage on account of their age (Staff Survey, 2010). However, this statistic does not relate specifically to this policy/procedure and age is not often a relevant factor in these policy documents. However there are a small number of areas where age may be relevant: Leave entitlements rise after 5 years under section 2 of the Authorised Absence Procedures (but this is not considered unlawful in line with Regulation 32 of the Employment Equality (Age) Regulations 2006). There were two ill heath retirements in the periods 2008/9 & 2009/10 and both of these employees were over the age of 50. This is not felt to be significant as the criteria for ill health retirement are based the likelihood of finding alternative work in a specified time period or prior to the age of 65. These are national regulations over which North Norfolk District Council does not have an influence (see section 10 of the Attendance Policy). In terms of SAR meetings these were most common in the age group 40-49 but this is the age group with the highest density of staff (nearly 33%). There is no evidence that this policy has an adverse impact on any particular age group. 12.Are there any concerns that the policy could have a negative impact with regard to religion/belief? What evidence (actual data or assumptions) do you have to support this? No In line with the Council’s Diversity and Equality Policy, this policy applies equally to all employees regardless of religion/belief. This is reinforced by the equality statements in the documents themselves. The policy sets out frameworks for managing sickness absence and for managing authorised absences. Having this framework and reference point in place should aid managers and Human Resources in taking a consistent approach across all employees in the authority regardless of religion/belief. UNISON will also be consulted with regarding this policy. The Staff Survey 2010 found that 1% of staff reported they had felt at a disadvantage whilst working at the Council on account of their religion. This finding arose from a general question rather than one specific to this policy, but none the less, there are provisions in the authorised absence section which in particular could 13 improve recognition of and adjustment according to religion of belief. The examples below should illustrate this. The authorised absence part of the policy now contains a section on time off for religious or cultural observance. This is a new addition and sets out how requests can be made and considered. It is also recognised that with different beliefs there may be different requirements at other times, for example in times of bereavement. This is referenced in section 8.3 of the authorised absence part of the document. These provisions should have a positive impact and there is no evidence that this policy has an adverse impact on any particular religious or belief group. 13.Are there any concerns that the policy could have a negative impact with regard to sexual orientation? What evidence (actual data or assumptions) do you have to support this? In line with the Council’s Diversity and Equality Policy, this policy applies equally to all employees regardless of sexual orientation. This is reinforced by the equality statements in the documents themselves. The policy sets out frameworks for managing sickness absence and for managing authorised absences. Having this framework and reference point in place should aid managers and Human Resources in taking a consistent approach across all employees in the authority regardless of sexual orientation. UNISON will also be consulted with regarding this policy. No The Staff Survey 2010 found that 1% of staff felt disadvantaged in some way at the Council on account of their sexuality. This is a general finding rather than a specific question relating to this policy/procedure, therefore it is not known whether this policy/procedure has contributed to that figure. Monitoring by sexual orientation is a very recent development at the Council and there is no established data to provide evidence either way at present, however, all provisions in this policy apply equally to people of all sexual orientations. In terms of the workforce, the proportion of employees reporting as lesbian/gay/bisexual or other is X%. Therefore it is felt that any specific analysis of this group would not be statistically significant and could compromise confidentiality. 14 A review of the policy does not reveal any areas where there is an adverse impact on any particular sexual orientation and the policy is designed to be inclusive – for example the definition of partner under the compassionate leave definition includes spouse, partner or civil partner (see section 8 of Authorised Absence Procedures). There is no evidence that this policy has an adverse impact on any particular sexual orientation group. 14.Could the negative impact you have identified in questions 8 - 13 lead to the potential for adverse impact if the policy is implemented? No Can this adverse impact be justified on the grounds of promoting equality of opportunity for one group? N/A Or any other reason? N/A Can the impact be mitigated by existing means? N/A If yes, what actions will you undertake to mitigate these impacts and revise the policy? N/A 15.Describe the arrangements for reporting and publishing For proposed improvements to this policy, please see Appendix B. This assessment will be reported to the Equality and Diversity Board and will be published on the NNDC external website (www.northnorfolk.org) 15 this assessment. Has this assessment been undertaken by a minimum of two staff? Has this assessment been scrutinised by your Directorate Steering Group? Yes If the policy is new, or requires a decision by Councillors to revise, has this Equality Impact Assessment been included with the report? Have any actions identified in this assessment been included in your service equality and diversity action plan? Completed by: HR Officer (HR Officer) Signed off by: 16 This has been scrutinised by Organisational Development Equality Impact Assessment team Yes See Appendix B Organisational Development Manager (Organisational Development Manager) Appendix A – Consultation information and Edits People involved in the assessment: HR Officer Organisational Development Manager HR Advisor HR Officer UNISON representative Community Liaison Officer Actions taken after consultation: Addition of Staff Survey data to sections 8-13 to illustrate general feelings of equality/disadvantage and give contextual information Addition of our absence figure to compare with national figure for sickness absence cited in section 6 Minor amendments to sections 1, 3 & 4 of the form Addition of ‘First Class Resource Management’ to the information on the corporate plan in section 2 of the form Addition of our absence figure to compare with Local Government figure in section 6 17 Appendix B – Action Plan Action Analysis of sickness absence gives information on where disabled employees are having sickness absence, but does not show whethere or not the sickness is actually related to their disability. Therefore including an additional field on the self certification form will allow an analysis of disability related absence. Expected Outcome Person responsible An ability to separate whether or not HR Officer absence for disabled employees is related to their disability. This will allow the Council to identify whether or not the disability in itself is contributing to absence. This information will also give the Council better information on whether or not the policy is having an adverse affect on this particular group. 18 Target date Implementation date of new self certification form Appendix C: SAR meeting data meetings by year and by equality strand 2008/9 Total 2009/10 Total Number Total M F White British White Other Chinese Irish Asian Other Other Prefer not to say <20 20-29 30-39 40-49 50-59 60-64 65+ Disabled - Y Disabled - N 59 10 49 57 1 0 0 0 0 1 0 9 17 18 12 3 0 2 57 % 100 16.95 83.05 96.61 1.69 0.00 0.00 0.00 0.00 1.69 0.00 15.25 28.81 30.51 20.34 5.08 0.00 3.39 96.61 Number 107 35 72 104 1 0 0 0 1 1 0 17 24 44 17 4 1 15 92 % 100 32.71 67.29 97.20 0.93 0.00 0.00 0.00 0.93 0.93 0.00 15.89 22.43 41.12 15.89 3.74 0.93 14.02 85.98 Cumulative Total Number % 166 100 27.11 45 72.89 121 97 161 1.2 2 0 0 0 0 0 0 0.6 1 1.2 2 0 0 15.66 26 24.70 41 37.35 62 17.47 29 4.22 7 0.6 1 10.24 17 89.76 149 This data shows that since the Attendance Policy has been in place, the groups most likely to have an SAR are – Females White British employees Employees aged 40-49 years Non-disabled employees 19 It is unsurprising that the above categories are most likely to have had an SAR meeting, as these categories represent the majority of our workforce. Although the percentages do not exactly mirror the make up of the workforce they are fairly close. There does appear to be an over-representation in terms of disabled employees having SAR meetings compared to the workforce totals. Further analysis shows that there are small numbers of employees having multiple SAR meetings, as shown below. However, these meetings are only held within policy guidelines so there is no evidence that any discrimination of disabled employees is taking place. It is also important to highlight that the emphasis in the majority of SAR meetings is around looking for supportive measures. No of SARs 1 2 3 4 5 6 TOTAL individual employees having SARs Total meetings held Total workforce TOTAL 2008/9 33 13 0 0 0 0 Frequency No of disabled TOTAL employees 2009/10 2 35 0 14 0 8 0 4 0 2 0 1 No of disabled employees 3 0 1 1 1 0 46 2 61 6 59 340 2 12 107 342 15 27 20 Equality Impact Assessments North Norfolk District Council Page 21