Managing Attendance
Line Manager’s Toolkit
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Contents
Section
1
Appendices
1
2
3
4
5
6
7
Introduction
Page
3
Leaflet for Managers to hand out to employees
Employee Assistant Programme (EAP) including staff counselling
Guidance on Non-Essential Clinical Procedures
ESR 10 Self Certification form
Process for Staff Referral to Physiotherapy
Return to Work Meeting Form
Return to Work Meeting Form (when an employee becomes absent
5
7
9
10
12
13
18
whilst on duty and is fit to work the following day or is absent for part of
their shift)
8
9
10
11
12
13
14
15
16
17
18
19
20
21
Tailored adjustment agreement – Individually tailored reasonable
adjustments
HSE Return to work following stress Questionnaire
Short-Term Sickness Absence Flowchart
Informal Counselling Flowchart
Stage 1 (Formal) Flowchart
Stage 2 (Formal) Flowchart
Stage 3 (Formal) Flowchart
Scheme of Delegation
Procedures to be used at Appeal Hearings
Acknowledgement of 100% Attendance – letter and process
Cancer and work
Mindful Employer
Musculoskeletal Disorders
Equal Opportunities Monitoring form
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21
27
30
31
32
33
34
35
37
39
41
41
42
43
INTRODUCTION
The toolkit includes a number of forms and documents to support you as a Line Manager
to manage attendance in line with the Managing Attendance Policy HRP5.
It is recommended that before you read this document you familiarise yourself with the
Policy which is available on the internet. Please click on the link below to access the
policy:
http://www.wirralct.nhs.uk/document_uploads/PoliciesHR/HRP5ManagingAttendancePolicy.pdf
The forms and documents are as follows:
Form/Document
Leaflet for Managers to handout to staff
titled ‘What to do if staff are too ill to
come to work’
Description
A template that can be used to send
out to staff providing information on
what to do if they are too ill to come to
work
Employee Assistant Programme (EAP) A free, confidential service that can be
including staff counselling
used for life management and personal
support for employees. It offers expert
advice, invaluable information and
specialist counselling and support for
all Wirral Community NHS Trust staff.
Guidance on Non Essential Clinical This relates to Section 20 relating to
Procedures
Cosmetic Surgery and provides
guidance on how to assess nonessential procedures in relation to staff
taking time off for procedures
ESR 10 Self Certification form
To be completed if the individual is
absent due to sickness/accident for
between 4-7 days
Referral to Occupational Health
Process
for
Staff
Referral
Physiotherapy
Return to Work Meeting forms
Tailored adjustment agreement
To be completed if a referral to
occupational health is required
to The pathway for referring staff into
Physiotherapy Services
Must be completed following every
occasion of sickness absence
An agreement of tailored adjustments
in the workplace for individuals with
disabilities
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HSE Return to work from Stress Return to work questionnaire focuses
Questionnaire
on the HSE Stress Indicator factors.
This can be used where an employee
has been absent from work as a result
of stress
ESR 11 Monthly Sickness Absence To be completed by managers on a
Return
monthly basis reporting sickness
absence in their department
Short
-Term
Sickness
Absence A guide for managers on dealing with
Flowchart
short-term absence
Informal Counselling Flowchart
A guide for managers when dealing
with the informal procedure
Stage 1 (Formal) Flowchart
A guide for managers when dealing
with the first formal stage of the
procedure
Stage 2 (Formal) Flowchart
A guide for managers when dealing
with the second formal stage of the
procedure
Stage 3 (Formal) Flowchart
A guide for managers when dealing
with the final formal stage of the
procedure
Scheme of Delegation
Details the appropriate levels of
authority to make a decision when
issuing a sanction and/or considering
dismissal within the policy
Procedures to be used at Appeal Information on the procedure for appeal
Hearings
hearings
100% Attendance Acknowledgement
Process and template letter
Cancer and Work
Information to support manager,
employee and carers in dealing with
cancer
Mindful Employer
Information on managing mental health
in the workplace
Musculoskeletal Disorders
NHS Employers Guidance
Equal Opportunities Monitoring form
A form on ethnicity and disability to be
completed by the Line Manager
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COMPLETE AS APPROPRIATE
DEPARTMENT CONTACT NUMBERS
Name of contact
Telephone number (s)
If you have any queries regarding the managing attendance
policy please do not hesitate to contact your Line Manager.
WHAT DO I DO IF I AM TOO ILL TO COME TO WORK
The points highlighted in this leaflet are the main aspects of the
Managing Attendance Policy. It is up to all individuals to
familiarise themselves with all relevant Trust policies. Trust
policies are available on the Trust intranet or hard copies are
kept for staff to access in the department.
Staff are able to access hard copies in their department.
COMPLETE AS APPROPRIATE DEPARTMENT
WE NEED TO KNOW!
PLEASE DO THE FOLLOWING…….
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What you should do










Ring work as soon as you know you will not be able to come
in, but definitely before the start of your shift.
Normal working day contact number(s) are on the back page
of this leaflet.
You must ask to speak to your Line Manager or the person
on duty in charge.
Please state the broad nature of your medical condition. If
you wish this information to remain confidential from the
contact person, please contact your department manager as
soon as possible to discuss this.
Always inform us if your absence is related to a road traffic
accident or an accident at work.
If you have a workplace accident or are absent
following
an incident at work you must complete an incident form at the
time and discuss it with your Line Manager.
Please agree with your line manager how frequently you
need to contact them throughout your absence
(daily/weekly/monthly).
If you do not contact your manager regularly then they will
contact you to gain an update on your progress.
It helps us if you can estimate when you are likely to return to
work to enable cover to be arranged if necessary.
If you are unable to take your holiday due to sickness and wish
to have your leave reimbursed you must inform your manager at
the time. You must have provided a doctors fit note for this to
be considered. Annual leave will not be reimbursed
retrospectively (except in exceptional circumstances).
‘MEDICAL CERTIFICATES’
 We will need a self certification note for absences of 4—7 days.
 A doctors ‘fit note’ is required from the 8th day of
absence.
 Failure to provide medical certificates may result in unauthorised
unpaid absence.
 All certificates are required to be addressed for the attention of
…….Name/Department (complete as appropriate).
 All staff have a return to work interview undertaken by their
supervisor/team leader/manager (complete as appropriate) upon
return to work.
 This leaflet should be read in conjunction with the Managing
Attendance Policy and Toolkit.

‘OCCUPATIONAL HEALTH and other support’
 OH offer confidential support to all staff. Your manager may
refer you if he/she feel it is appropriate.
 If you are off with a stress related issue or Muscularskeletal
problem, please talk to your manager about being referred
immediately to Occupational Health.
 You will also be able to access the Staff Counselling service by
accessing the following link www.pamassist.co.uk
Username: Wirral Password: Community
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Employee Assistance Programme (EAP)
The Employee Assistance Programme (EAP) is a free confidential life
management and personal support service that is available 24 hours a day, 365
days a year. Expert advice is available for life’s crisis but also offers support on
everyday issues. Various subjects are covered including tax, eldercare, debt
management, relationships, moving home and bereavement in addition to staff
counselling. This service is open to all staff in Wirral Community NHS Trust. The
service can be used for work, relationship or personal problems that may be
affecting the individual’s ability to cope with their work. All counsellors are
independent of the organisation and follow strict professional rules that safeguard
their identity and the content of the sessions.
To use the service, staff can call 0800 882 4102 (freephone) or go to the
Employee Assistance Programme (EAP) website; www.pamassist.co.uk and log
in using the following username and password:
Username: Wirral
Password: Community
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GUIDANCE ON NON ESSENTIAL CLINICAL PROCEDURES
In relation to Section 20 of the Managing Attendance Policy relating to cosmetic
surgery it states ‘Staff wishing to undertake medical treatment such as cosmetic
surgery must take annual leave to do so. This would not ordinarily include
reconstructive surgery or gastric band surgery’.
In order to assist Managers assess whether it is appropriate for staff to take
annual leave to undertake medical treatments please see links below which
provide a list of Procedures of Lower Clinical Priority. As guidance for Managers
it is recommended that any treatment not funded or commissioned by the NHS
would be classed as non-essential and therefore, staff would be expected to take
annual leave for the time that they were absent from work.
http://www.wirral.nhs.uk/document_uploads/Policies_Commissioning/CMWPLCP
A-ZListJune2011fin_ca683.doc#AZlist
http://www.wirral.nhs.uk/document_uploads/Policies_Commissioning/WirralPLCP
Policy.pdf
Further advice or guidance should be sought from your HR Business Partner.
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SELF CERTIFICATION
ESR 10
If you are absent from work due to sickness/accident for between 4 – 7 days you
should complete the details below and give to your line manager immediately.
*please delete as necessary.
Strictly Confidential
Employee to Complete
Surname:
-------------------------------
Forename(s)
--------------------------
Title (Mr/Mrs/Miss/Ms)
----------------------
Date of birth:
-----------------------
National Insurance
Number
---------------------
Payroll no.
----------------------
Address:
----------------------------------------------------------------------------------------
Doctor’s Name:
Address:
------------------------------------------------------------------I confirm that I have been absent from my place of work due to
illness/accident/incident at work/elsewhere*
My first day of illness
was
(
My last day of illness
was
D/MM/YY)
(DD/MON/YY)
(DD/MON/YY)
(Please note you may not know when your sickness will end)
I returned to work on
(DD/MON/YY)
What date did you last work
before your sickness began?
(DD/MON/YY)
The reason for absence was (please give brief description of illness/accident)*
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
I consulted my Doctor on
(DD/MON/YY)
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I understand that Wirral Community NHS Trust may wish to contact my Doctor in
respect of this absence. (This will be done via Occupational Health)
I understand that to give false information on this form will be regarded as serious
misconduct, which will result in disciplinary action being taken against me.
Signed:
---------------------------------------------------------------------------------------Date:
---------------------------------------------------------------------------------------Manager use only
I am/am not* satisfied that the absence was justified and authorise/do not
authorise* payment
Reason for absence discussed
Return to work meeting completed
(if applicable)
Yes
Yes
No
No
Action Required
 Support required from
Occupational Health
Yes
No
n/a
 Support with flexible working
Yes
No
n/a
 Support with Risk
Assessment/Health and Safety
Yes
No
n/a
 Other (please state)
--------------------------------------------------------------------Signed:
Date:
---------------------------------------------------
-----------------------------
Line Manager:
------------------------------------------------------------------------------------Once completed this form should be forwarded to the Payroll Department
immediately– Manager to Retain Copy
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Process for Staff Referral to Physiotherapy
Staff member reports muscularskeletal
problem to line manager
Line manager completes Occupational Health referral
form and sends to occupational health
Staff attends PAM for assessment
Physiotherapy referral form is completed, scanned
and emailed to Physio.wirralct@nhs.net
Staff member is contacted by
Physiotherapy Department and attends for assessment
and advice/ treatment – maximum 6 attendances.
Physio service to contact PAM
if further treatment is deemed necessary.
If a staff member fails to attend
they will be discharged straight back to their manager.
Staff member is discharged from service.
Physiotherapy report is written and sent to
referring manager with a copy to
Occupational Health
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RETURN TO WORK MEETING FORM
Meetings MUST be undertaken following EVERY occasion of sickness
absence
Name:
Department:
Job Title:
Date:
Meeting Conducted by:
Sickness Period from:
Designation:
Last day of Sickness:
No. of occasions absent within
last 12 months:
Total number of working
days absent:
Total No. of working days
absent within last 12 months:
Sickness Reason:
Sickness Absence History over last twelve months
* Please complete this section in advance of your discussions with the employee
Date From
Date to
Number of days
Reason
Please attach an additional sheet if required.
Questions
How are you feeling now?
Have you suffered from
this condition before?
Yes
□
No
□
If so, when?
Have you seen your GP/
Yes
Consultant/Dentist or
□
No
□
If yes, with whom and was treatment given?
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other?
Brief details of advice given by GP / Consultant / Dentist etc?
Please indicate/circle if sickness was:
Uncertified / Self Certified / Medical Certificate / Fit Note
Has your GP/Dentist/ Yes
Consultant
etc… □
confirmed you are fit to
return to work?
Yes
Are you fit for full duties?
□
(list any restrictions to be
considered)
Was your absence due to
an accident, injury
Yes
or incident that occurred □
at work?
No
□
If yes, have
Yes
you completed an incident □
form?
No
□
If yes, has a RIDDOR Yes
been completed?
□
No
□
Are you receiving any Yes
ongoing treatment or
□
medication (i.e. tablets,
medicine) resulting
from your condition?
Will the medication affect
Yes
your performance
□
at work, or be a safety hazard?
No
□
If yes, give details
No
□
If yes, please specify.
Is there anything the Trust
could do to support you?
i.e. the need for support
from any other source
e.g. OH/ Counselling/
Return to Work Risk
Assessment
No
□
If yes, please specify.
Yes
□
No
□
If yes, give details
No
□
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Has the employee followed the correct procedure for notifying their absence?
If No then explain the correct procedure and why it has to be followed.
YES
NO
Returning to Work from a period of Long Term Sickness (over 4 weeks)
Has a phased return to work been considered/implemented?
Yes
No
* Normally up to 2 weeks, if extension to 4 weeks is required □
□
authorisation must be sought from Director of HR & Corporate
Affairs or Head of HR
If phased return to work has been agreed, give/attach details of hours / days /pattern of hours
agreed and period after that this will be reviewed.
If reasonable adjustments e.g. to the workplace/duties are to be made, please give/attach details:
Has the member of staff missed any important information whilst he/she has been absent?
Yes/No (give details overleaf if necessary)
Additional Comments or Details of Further Action attach overleaf e.g. appointment with OH,
follow-up/review meeting, formal interview to discuss sickness absence levels, review of working
arrangement
Managers Prompt
Try to uncover any underlying health issues and ask what the employee is doing to ensure they are
fit for work in the future. Examples include wellbeing, relationships at work, motivation, issues
outside work and workload.
Discussions/Agreed Actions:
Managers Comments
Comments by Manager:
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Name:
Signature:
Department:
Date:
Employee’s Comments
Comments by Employee:
Name:
Signature
Department:
Date:
ORIGINAL TO STAY ON FILE & COPY TO BE PROVIDED TO INDIVIDUAL
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RETURN TO WORK INTERVIEW
Continuation Sheet No
Name:
Employee’s Signature:
Date:
Manager’s Signature:
Date:
ORIGINAL TO STAY ON FILE & COPY TO BE PROVIDED TO INDIVIDUAL
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RETURN TO WORK MEETING FORM
This form is for completion when an employee becomes absent whilst on duty
and is fit to work the following day or is absent for part of their shift.
Name:
Department:
Job Title:
Date:
Contract type: Permanent
Temporary
Bank
Hours/Work Pattern:
Full Time
Part Time
Term Time
Meeting Conducted by:
Date and time absence
began:
Date and time shift due
to finish:
Date and time absence ended
Provide details if relevant
(i.e. returned to ‘off duty’)
Was the employee fit to
work the following day?
Total number of working
days/hours absent:
No. of occasions absent
within last 12 months:
Total No. of work days absent
within last 12 months:
Reason for this absence:
Absence History over last twelve months – Include any occasions where the individual left part
way through their shift due to e.g. health reasons or carers responsibility, documenting the time the
work began and the time they left work (if applicable)
* Please complete this section in advance of your discussions with the employee
Date From Date to
Number of Reason
working
days/hours
Please attach an additional sheet if required.
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Any particular patterns/trends? (E.g. days/dates/reasons given)
Questions
How are you feeling now?
Have you suffered from this
condition before?
Yes
□
No
□
If so, when?
Have you seen your GP/
Consultant/Dentist or other?
Yes
□
No
□
If yes, with whom and was treatment given?
Brief details of advice given by GP / Consultant / Dentist etc?
Are you fit for full duties?
(list any restrictions to be
considered)
Yes
□
No
□
Yes
□
No
□
Yes
□
No
□
Are you receiving any ongoing Yes
treatment or
□
medication (i.e. tablets,
medicine) resulting
from your condition?
Will the medication affect
Yes
your performance
□
at work, or be a
safety hazard?
Is there anything the Trust
Yes
could do to support you?
□
i.e. the need for support from
any other source e.g. OH/
Counselling/ Return to
Work Risk Assessment/ HSE
Assessment Tailored
Adjustment toolkit
No
□
If yes, give details
No
□
If yes, please specify.
No
□
If yes, please specify.
Was your absence due to an
accident, injury
or incident that occurred at
work?
If yes, have
you completed an incident
form?
If yes, give details
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Has the employee followed the correct procedure for notifying their absence?
If No then explain the correct procedure and why it has to be followed.
Please provide details below.
YES
NO
Managers Prompt
Try to uncover any underlying health issues and ask what the employee is doing to ensure they
are fit for work in the future. Examples include wellbeing, relationships at work, motivation, issues
outside work and workload. If sickness occurs within a shift, this will not affect sick pay
entitlements. However, it will be recorded and if such absences become repetitive or follow any
particular pattern, they will require monitoring. Do they envisage any further sickness absences?
Discussions/Agreed Actions:
Managers Comments
Comments by Manager:
Name:
Signature:
Department:
Date:
Employee’s Comments
Comments by Employee:
Name:
Signature
Department:
Date:
ORIGINAL TO STAY ON FILE & COPY TO BE PROVIDED TO INDIVIDUAL
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Tailored adjustment agreement –
Individually tailored reasonable adjustments
This ‘Tailored adjustment agreement’ is a living record of reasonable adjustments
agreed between a disabled employee and their line manager.
The purpose of this agreement is to



Ensure that both parties, the individual and the employer, have an
accurate record of what has been agreed.
Minimise the need to re-negotiate reasonable adjustments every time the
employee changes jobs, is re-located or assigned a new manager within
the organisation.
Provide employees and their line managers with the basis for discussions
about reasonable adjustments at future meetings.
This is a live document and should be reviewed regularly by both the employee
and manager and amended as appropriate. Remember, however, that expert
advice from third parties, such as occupational health advisers, Access to Work
or IT specialists may be needed before changes can be agreed and
implemented. Managers who need help in deciding whether or not an adjustment
is reasonable will find it helpful to use the Reasonable Adjustment Request Form
available at: http://www.efd.org.uk/publications/line-manager-guide
or from the Disability Directions team at Employers’ Forum on Disability.
New managers of employees with such ‘Tailored adjustment agreements’ should
accept the adjustments outlined in the agreement as reasonable and ensure that
they continue to be implemented. The agreement may need to be reviewed and
amended at a later date but this should not happen until both parties have
worked together for a reasonable period of time.
The agreement allows the employee to:
•
•
•
•
•
•
•
•
Explain the impact of their disability on them at work.
Suggest adjustments that will make it easier for them to do their job.
Offer further information from their doctor, specialist or other expert.
Request an assessment by occupational health, Access to Work or another
expert.
Review the effectiveness of the adjustments agreed.
Explain any change in their circumstances.
Be reassured that their manager knows what to do if they become unwell at
work and who to contact if necessary.
Know how and when their manager will keep in touch with them if they are
absent from work because of illness or a disability related reason.
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The agreement allows the line manager to:
•
•
•
•
•
•
•
•
Understand how a particular employee’s disability affects them at work.
Explain the needs of the business or organisation.
Explain the organisation’s attendance and reasonable adjustment policy.
Recognise signs that an employee might be unwell and know what the
employee wants you to do in these circumstances including who to contact for
help.
Know how and when to stay in touch if the employee is off sick.
Consider whether or not the employee needs to be referred for an assessment
by an occupational health or another adviser to help both parties understand
what adjustments are needed.
Review the effectiveness of the adjustments already agreed.
Explain any change in the employer’s circumstances.
Tailored adjustment agreement
This is a record of the reasonable adjustments agreed between [employee’s
name] and [line manager name]
This agreement will be reviewed and amended as necessary with the agreement
of both parties:
•
•
•
•
At any regular one-to-one meeting.
At a return to work meeting following a period of sickness absence.
At six monthly and/or annual appraisals.
Before a change of job or duties or introduction of new technology or ways of
working.
• Before or after any change in circumstances for either party.
Employee - My disability in the workplace
My disability has the following impact on me at work
I need the following agreed Date budget holder Date
reasonable adjustments (refer to contacted if relevant
implemented:
Access to Work agreement if
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relevant)
Wellness at work – employees who have fluctuating mental or physical
disabilities
On a ‘good day’ my disability has the following impact on me at work
When things are breaking down, the following symptoms are indications that I am
not well.
The following are indications that I am not well enough to be at work.
Emergency contacts
If I am not well enough to be at work I am happy for my line manager to contact
any of the following emergency contacts in the order of preference indicated
below
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Please add, amend or delete types of contacts as appropriate
GP (preference X)
Care co-ordinator (preference X)
Name:
Name:
Surgery:
Telephone:
Telephone:
Mobile:
Address:
Address:
Relative (preference X)
Specialist (preference X)
Name:
Name:
Relation to me:
Telephone:
Telephone:
Mobile:
Mobile:
Address:
Address:
Friend (preference X)
Other (preference X)
Name:
Name:
Telephone:
Telephone:
Mobile:
Mobile:
Address:
Address:
I will let you know if there are changes to my condition, which have an effect on
my work and/or if the agreed adjustments are not working. We will then meet
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privately to discuss any further reasonable adjustments or changes that should
be made.
If you notice a change in my performance at work or feel these reasonable
adjustments are not working I would be happy to meet you privately to discuss
what needs to be done.
Line manager - Keeping in touch
If you are absent from work on sick leave or for a reason relating to your disability
for more than [x] days and have followed the usual procedures for notifying the
organisation of your absence I will keep in contact with you in the following way:
Who will contact whom?
How will contact be made? (telephone, letter, minicom)
How often? (daily, weekly, monthly)
When? (preferred day, preferred time)
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Conversations while you are on sick leave
These are topics we have agreed we will discuss while you are
absent, for example:
 How are you feeling.
 What I can do to help.
 Current work.
 Planned phased return to work
 Return to work date etc…
Return to work
When you are ready to return to work after a period of sickness or disability
related absence of more than [x] days we will meet to review this agreement and
make any necessary amendments.
At this return to work meeting we will also discuss:
For example:
 Current work issues.
 A phased return/back to work plan.
 What to tell the team.
 Assessments to review existing reasonable adjustments
(Access to Work, GP, occupational health) and identify new
adjustments that might be needed etc
Unauthorised absences from work
If you are absent from work and have not followed usual procedures for notifying
us that you are sick or absent for a reason relating to your disability we have
agreed that I will do the following:
For example;

Try to contact you on your mobile and/or notify your emergency contact
whose up to date details are as follows:
An up to date copy of this form will be retained by employee/line manager/HR.
A copy of this form may also be given to a new or prospective line manager with
the prior consent of the employee.
Employee signature:
Date:
Employer signature:
Date:
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HSE Return to Work following Stress Questionnaire
Return to
work
questionnaire
Question
Was it a problem for
you?
Use this space to
detail what the
problem was. If it was
not a problem leave it
blank
Cause of
stress
Demands
Did different people at work demand
things from you that were hard to
combine?
Did you have unachievable
deadlines?
Did you have to work very
intensively?
Did you have to neglect some tasks
because you had too much to do?
Were you unable to take sufficient
breaks?
Did you feel pressured to work long
hours?
Did you feel you had to work very fast?
Did you have unrealistic time
pressures?
Control
Could you decide when to take a
break?
Did you feel you had a say in your
work
speed?
Did you feel you had a choice in
deciding how you did your work?
Did you feel you had a choice in
deciding what you did at work?
Did you feel you had some say over
the
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What can be
done about it?
Can we make any
adjustments?
way you did your work?
Did you feel your time could be
flexible?
Support*
(Manager)
Did your manager give you enough
supportive feedback on the work you
did?
Did you feel you could rely on your
manager to help you with a work
problem?
Did you feel you could talk to your
manager about something that upset
or
annoyed you at work?
Did you feel your manager supported
you
through any emotionally demanding
work?
Did you feel your manager
encouraged you enough at work?
(Peers)
Did you feel your colleagues would
help
you if work became difficult?
Did you get the help and support you
needed from your colleagues?
Did you get the respect at work you
deserved from your colleagues?
Were your colleagues willing to listen
to
your work-related problems?
Relationships*
Were you clear about what was
expected of you at work?
Did you know how to go about getting
your job done?
Were you clear about what your
duties and responsibilities were?
Were you clear about the goals and
objectives for this department?
Did you understand how your work fits
into the overall aim of the
organisation?
Change
Did you have enough opportunities to
question managers about change at
work?
- 28 Managing Attendance Toolkit Version 9
Did you feel consulted about change at
work?
When changes were made at work,
were
you clear about how they would work
out
in practice?
Other issues
Is there anything else that was a
source of stress for you, at work or at
home, that may have contributed to
you
going off work with work-related
stress?
- 29 Managing Attendance Toolkit Version 9
SHORT-TERM SICKNESS ABSENCE FLOWCHART
Employee is absent from work
Manager recognises from monitoring that
employee has reached a health indicator
(10 working days or 3 occasions or 75hrs within a
12 month period) (To calculate working days:
10÷ 37.5 x contracted hours)
YES
NO
Consider whether
employee needs any
support
Consider whether
employee needs any
support
May need to refer to
other HR policies
which are available
on the intranet e.g.
HRP6 Flexible
Working Policy etc…
May need to refer to
other HR policies
which are available
on the intranet e.g.
HRP6 Flexible
Working Policy etc…
Carry out
Return to work
meeting
(Appendix 7)
Carry out a
Return to work
meeting
(Appendix 7)
If a psychological or
musculoskeletal problem
is identified, an
immediate Occupational
Health referral should be
discussed with individual
Provide an EAP staff
counselling leaflet
Refer to HRP29 Stress
Management Policy
On receipt of the OH report
and return to work, carry out
a Return to Work meeting on
return (Appendix 7)
Consider whether to
complete HSE Return to
Work Questionnaire
(Appendix 10), if appropriate
Please refer to
Informal Counselling
Flowchart and
consider any
recommendations
Refer to
Informal Counselling
Flowchart
- 30 Managing Attendance Toolkit Version 9
INFORMAL COUNSELLING FLOWCHART
Manager to fact find to establish the cause of
sickness
Review the employees’ whole sickness record within
the last 12 months
Consider whether to provide EAP staff counselling
leaflet
Manager to consider whether
it’s appopriate to refer the
employee to Occupational
Health,
YES
NO
Make referral and arrange review meeting
between Manager/individual to discuss
Occupational Health report and sickness
absence.
Counselling session and details of the
6mth review period should be recorded
(copy to employee & HR)
Monitor improvement over
next 6 months.
Discussion over significant improvement
expected over next 6 months
Counselling session and details of the 6mth
review period should be recorded on the
Return to Work meeting form (copy to
employee & HR)
NO
Has attendance significantly
improved?
YES
Is an Occupational Health
referral necessary?
NO
Acknowledge significant
improvement
Confirm in writing the outcome
of the review (copy to HR)
YES
Await Occupational Health report
before arranging Stage 1 Formal
Meeting.
Refer to Stage 1 (Formal) Flowchart
- 31 Managing Attendance Toolkit Version 9
Refer to Stage 1
(Formal) Flowchart
STAGE 1 (FORMAL) FLOWCHART
Stage 1 - First Formal
Attendance Meeting
Invite employee to a Stage 1 review meeting,
in writing, allowing representation of either a
T.U. Rep or work based colleague
Manager to have HR support
refer to refer to Scheme of
Delegation in relation
to authority levels for
Appeal process
(Appendix 13)
First Written Warning may be issued
or a further period of monitoring may be
recommended.
Outcome of meeting must be confirmed
in writing within 5 working days (copy to
HR)
Individual has right to Appeal
Continue to monitor for
significant improvement N
over next 12 months
NO
Has attendance
significantly improved?
Is an Occupational
Health referral
necessary?
YES
YES
Acknowledge significant
improvement.
Confirm in writing the
outcome of the review
(copy to HR)
NO
Arranging Stage 2 Formal Meeting and
await Occupational Health report.
Refer to Stage 2 (Formal) Flowchart
Refer to Stage 2
(Formal) Flowchart
- 32 Managing Attendance Toolkit Version 9
STAGE 2 (FORMAL) FLOWCHART
Stage 2 - Formal
Attendance Meeting
Invite employee to a Stage 2 review meeting,
allowing Representation of either a T.U. Rep or
work based colleague
Manager to have HR support
Final Written Warning may be issued or a further
period of monitoring.
refer to refer to Scheme of
Delegation in relation to
authority levels for
Appeal process
(Appendix 13)
Outcome of meeting must be confirmed in writing
within 5 working days (copy to HR)
Individual has right to Appeal
Continue to monitor for significant
improvement over next 12 months
YES
Has attendance significantly improved?
Acknowledge significant
improvement
NO
Confirm in writing the
outcome of the review
(copy to HR)
Manager MUST refer individual to Occupational
Health if not already done so at previous stages
in the procedure or consider whether an up to
date review is required.
YES
Is OH referral needed?
Arrange Stage 3 meeting and await
Occupational Health report, consider
Redeployment/Dismissal/ Conclusion of
Employment
Refer to Stage 3 (Formal) Flowchart
- 33 Managing Attendance Toolkit Version 9
NO
Refer to Stage 3
(Formal) Flowchart
STAGE 3 (FORMAL) FLOWCHART
Stage 3 Formal Meeting
Redeployment/Dismissal/
Conclusion of Employment
Invite employee to a Final review
meeting, allowing representation
of either a T.U. Rep or work
based colleague
Manager to have HR support
A decision on Redeployment/
Dismissal/Conclusion of employment
may be taken
Outcome of meeting must be
confirmed in writing within 5 working
days (copy to HR).
Individual has right to appeal
refer to Refer to Scheme
of Delegation in
relation to
authority to
dismiss and
Appeal process
Dismissal/Conclusion
of Employment
Employee should be
given notice as per
their contract of
employment
ESR forms to be
completed and sent to
HR
Redeployment
Individuals will be given a
minimum of 3 months on the
redeployment register, where
they will have access to jobs
on a restricted basis.
If at the end of the 3 months
they have not secured an
alternative post, then their
continued employment will
need to be considered.
- 34 Managing Attendance Toolkit Version 9
SCHEME OF DELEGATION
Issue of Final
Appeal to:
Written
Warning By:
Category
of Staff
Issue of First
Appeal to:
Written Warning
By:
Issue
of Appeal to:
Dismissal/Conclusion
of Employment By:
Chief
Executive
(CEO)
Chairman
Designated Non- Chairman
Executive Wirral
Community NHS
Trust member
Designated
Chairman
Non-Executive
Wirral
Community
NHS
Trust
member
Designated NonExecutive Wirral
Community NHS
Trust Member
Executive
Directors
Chief Executive
Chairman
Chief Executive
Chairman
Chief Executive
Chairman
or
Designated NonExecutive
Other staff Chief Executive
directly
responsible
to the CEO
Chairman
Chief Executive
Chairman
Chief Executive
Chairman
or
Designated NonExecutive
Medical & Head of Service
Dental staff
(i.e.
Doctors &
Dentists)
Medical Director
Head of Service
Medical
Director
Head of Service
CEO
All
other Immediate
staff
Manager
Head of Service Next
level
or
Designated Manager above
representative
Immediate
Manager
Head
of Head of Service
Service
or Designated
Designated
representative
representative
or Director
Notes
1. In the event that Chairman is not available, the role of the Chairman may be undertaken by a designated representative.
2. In all instances involving the Chairman, Chief Executive or Executive Directors, discussion will first take place with Wirral
Community NHS Trust’s Director of HR & Corporate Affairs.
- 35 Managing Attendance Toolkit Version 9
3. In relation to appeals against any dismissal/conclusion of employment, the appeal panel will be heard by 1 Non-Executive
Director and 2 other Directors, not previously involved will in the case.
- 36 Managing Attendance Toolkit Version 9
PROCEDURES TO BE USED AT MANAGING ATTENDANCE APPEAL HEARINGS
An Appeal Panel will consist of at least 3 panel members:
The Chairperson of the Panel shall:

Introduce all present

Explain that the purpose of the Appeal Hearing and decide if the original decision
should be supported, revoked or amended

Explain the format of the Appeal Hearing
1.
2.
3.
Management Presentation of Case
(a)
The manager or management representative shall state the case in the
presence of the employee and/or his or her representative
(b)
The employee or representative shall have the opportunity to question
management
(c)
The panel members shall have the opportunity to question management
Employee Presentation of Case
(a)
The employee or his or her representative shall state the case in the
presence of Management
(b)
Management shall have the opportunity to question the employee or
representative
(c)
The panel members shall have the opportunity to question the employee or
representative
Summing-Up
(a)
Management shall have the opportunity to sum up the case
(b)
The employee or representative shall have the opportunity to sum up the
case. The employee or representative shall have the right to speak last.
NB: In their summing-up neither party may introduce any new matter
- 37 Managing Attendance Toolkit Version 9
4.
The manager or management representative, employee, or representative shall
withdraw from the proceedings.
5.
The panel shall deliberate in private, only recalling both parties to clear points of
uncertainty on evidence already given.
If recall is necessary both parties shall return, notwithstanding only one is
concerned with the point giving rise to doubt.
6.
The panel shall recall both parties so that the decision can be announced.
In the case of an Appeal Hearing the panel will advise the employee that no further
internal processes are possible and the decision of the Appeal Panel is final.
The decision of the panel will be confirmed formally in writing within 5 working days
of the date of the hearing.
Exceptionally, depending on the complexity of the case, the panel may not be able
to give their decision on the day. In such cases contact will subsequently be made
with the employee or representative as soon as possible after the hearing and
certainly within 5 working days of it, or a suitable explanation will instead be given.
NB: At any point in the proceedings the panel may, at its discretion, adjourns the
proceedings where they feel this is appropriate
- 38 Managing Attendance Toolkit Version 9
Acknowledgement of 100% Attendance
Manager receives report from HR
detailing those staff achieving 100%
attendance in last twelve months.
Manager adds employee’s name to the
template letter and prints two copies.
Manager Issues letter to employee and
send other copy to HR for personal file.
Guidance
As part of our efforts to improve attendance rates throughout the Trust, we have
introduced a 100% attendance letter to acknowledge the commitment of staff with no
sickness absence in attending work and helping to deliver excellent patient care.
Each month Managers will receive a list of employees in their area who have had no
sickness absence within the last 12mths. You will need to add their name to the letter
template, print two copies, issue one copy to the staff member and send the other copy
to HR for recording on their personal file.
You will receive a new list each month but you will need to keep a record of which staff
you have issued letters to and when, to ensure they do not receive more than one letter
in any twelve month period.
- 39 Managing Attendance Toolkit Version 9
Our ref:
SG/FS/na/5154-12
Old Market House
Hamilton Street
Birkenhead
Wirral
CH41 5AL
Date
Tel: 0151 514 2888
Fax: 0151 652 2668
Name
Title
Organisation
Address 1
Address 2
Address 3
Address 4
Post code
www.wirralct.nhs.uk
Dear Name
100% Attendance – Thank you
We would like to congratulate you on achieving 100% attendance over the past 12 months.
At Wirral Community NHS Trust, we pride ourselves on delivering a high quality service to
patients and their families and your level of attendance at work demonstrates your commitment
towards your colleagues, your team and the Trust in ensuring this excellent service continues to
be delivered.
This record of attendance goes a long way in supporting the Trust in its plans to achieve
Foundation Trust status and ensuring a successful and healthy future for Wirral Community
NHS Trust, our patients and their families.
Yours sincerely
Jayne Williams
On behalf of Staff Side
Frances Street
Chairman
- 40 Managing Attendance Toolkit Version 9
Simon Gilby
Chief Executive
Useful information
Cancer and Work
A diagnosis of cancer can have a devastating effect on an individual, their family and
friends. This news needs to be handled with caution and sensitivity. MacMillan Cancer
Support has produced a series of booklets designed to support managers and
individuals at this difficult time. Click on the following links to access further information.
For Employers
Managing cancer in the workplace: An employer’s guide to supporting staff affected by cancer
http://www.macmillan.org.uk/Cancerinformation/Livingwithandaftercancer/Workandcancer/Supp
ortformanagers/Employersguide/Employersguide.aspx
Top 10 Tips for line managers
http://www.macmillan.org.uk/Documents/Cancerinfo/Toptipsforlinemanagers.pdf
For Employees
Work and Cancer; a guide for people living with cancer
http://www.macmillan.org.uk/Cancerinformation/Livingwithandaftercancer/Workandcancer/Supp
ortforemployees/Workcancer/Workcancer.aspx
Work it out; the essential questions to ask about work
http://www.macmillan.org.uk/Documents/Getinvolved/Campaigns/WorkingThroughCancer/WorkI
tOut/WorkItOut.pdf
For Carers
Work it out: essential questions for carers to ask about work
http://www.macmillan.org.uk/Documents/Cancerinfo/Livingwithandaftercancer/Ifsomeoneelseha
scancer/Workitouttoolforcarers.pdf
Working while Caring for someone with Cancer
http://www.macmillan.org.uk/Cancerinformation/Ifsomeoneelsehascancer/Workingwhilecaringfor
someone/Workingwhilecaringforsomeone.aspx
Mindful Employer
Mental health issues are a major cause of sickness absence. Mindful Employer aims to
increase awareness of mental health at work and provides on-going support for
employers in the recruitment and retention of staff with mental health problems.
The Mindful Employer website provides information for Employers, Employees and
Health services; they detail personal stories, good practice, resources and links to other
networks. For further information and advice follow the link to their website
- 41 Managing Attendance Toolkit Version 9
www.mindfulemployer.net
Musculoskeletal Disorders
NHS Employers have published a guide to support line managers with staff who have
musculoskeletal disorders. The guide provides an understanding of the key issues
managers need to be aware of when supporting a return to work or managing a staff
member’s condition while remaining in the workplace.
http://www.nhsemployers.org/HealthyWorkplaces/implementingHWB/ResourcesLineMa
nagers/Pages/ManagersGuideOnSicknessAbsence–MusculoskeletalDisorders.aspx
- 42 Managing Attendance Toolkit Version 9
EQUAL OPPORTUNITIES MONITORING
We require this information for monitoring under the Equality Act 2010 as well as other
legislation and directives covering equal opportunities and diversity. The Trust is
committed to equal opportunities and fully supports this monitoring. As a Public
Authority it is our duty under the Equality Act.
Ethnicity
Codes
White
Mixed
White British
A
White Irish
B
Any
other C
White
Other
ethnic
groups
Chinese
Any
other
ethnic group
Disability
codes
No
disabilities
Dyslexic
White
& D
black
Caribbean
White
& E
Black
African
White
& F
Asian
Any other G
mixed
background
Not stated
R
S
N
D
Blind/sight
S
impaired
Deaf/hearing H
impaired
Mobility
M
difficulties
Other
Not stated
Age
Category
Under 20
years
20-24
years
25-44
years
45+ years
Asian
Asian
British
Indian
Pakistani
or
H
Black
or
Black
British
Caribbean
M
J
African
Bangladeshi K
Any other L
Asian
background
Z
1
Gender
code
Male
M
2
Female
F
3
4
MANAGER TO FORWARD A COPY OF FORM TO HR
- 43 Managing Attendance Toolkit Version 9
N
Any other P
Black
background