Document name:
Sickness Absence Policy
Guidance for Managers
Document type:
Human Resources Guidance
Staff group to whom it
applies:
All staff within the Trust
Distribution:
The whole of the Trust
How to access:
Intranet and internet / ward folder
Issue date:
February 2013
Next review:
July 2017
Approved by:
Director of Human Resources and
Workforce Development
Developed by:
Employment Policy Group which
includes Staff Side Managers and
Human Resources representation
Director lead:
Director of Human Resources and
Workforce Development
Contact for advice:
An appropriate Human Resources
Adviser
INDEX
Page Number
1. INTRODUCTION
1
2. THE KEY BASICS IN MANAGING SICKNESS ABSENCE
1
3. SHORT TERM ABSENCE REVIEW PROCESS
5
4. RETURN TO WORK MEETING AND DOCUMENTATION
5
5. ‘AT A GLANCE’ GUIDE TO THE STAGES OF THE SHORT
TERM ABSENCE PROCESS
8
6. MODEL LETTERS FOR SHORT TERM ABSENCE
9
7. LONG-TERM ABSENCE REVIEW
9
8. RETIREMENT ON ILL HEALTH GROUNDS
9
9. DISMISSAL ON ILL HEALTH GROUNDS
9
APPENDICES
Staff Sickness Absence Notification Procedure
APPENDIX 1
Flow Chart Showing the Process to follow if a
Member of Staff is Sick
APPENDIX 2
Staff Reporting Sickness/Absence (via the phone)
APPENDIX 3
Sickness Absence Notification (San) Form
APPENDIX 4
Summary of the Short Term Sickness Absence Process
APPENDIX 5
Manager’s Aide Memoire for the Successful Management
of Sickness Absence
APPENDIX 6
Return to Work Interview - Checklist
APPENDIX 7
At and Glance Summary Guide Showing Letters/Forms to use
During the Short Term Absence Process
APPENDIX 8
Informal Short Term Sickness Meeting Form (Stage 1)
APPENDIX 9
Model Letter Outlining the Actions of the First Informal Meeting
(Stage 1)
APPENDIX 10
Letter Outlining the Invitation to Attend the First Formal
Meeting (Stage 2)
APPENDIX 11
Letter Outlining the Outcome Of The First Formal (Stage 2)
APPENDIX 12
Invite Letter to Second Formal (Stage 3) Following
Concerns Raised at The Scheduled 3 To 4 Monthly Meeting,
or Where a Trigger Point Has Been Exceeded
APPENDIX 13
Outcome Letter from the Senior Manager (Stage 3)
APPENDIX 14
Letter Following Concerns Raised at the Scheduled 3
to 4 Monthly Meeting, or Where A Trigger Point
Has Been Exceeded
APPENDIX 15
Letter Following Confirming Dismissal on
The Grounds of Capability (Stage 4)
APPENDIX 16
Letter Acknowledging receipt of Fit Note and keeping
in touch with their Employee
APPENDIX 17
Arranging to Meet regarding Long Term Sickness Absence
APPENDIX 18
Long Term Sickness Progress Letter
APPENDIX 19
Ill Health Resignation Letter
APPENDIX 20
Letter Terminating an Employee’s Employment on
the Grounds of their Incapacity
APPENDIX 21
1. INTRODUCTION
The Sickness Absence Policy is a comprehensive document and covers the process of
managing sickness absence in some detail.
There are changes to the way sickness absence is reported to Payroll. From January
2013 onwards managers will need to report sickness absence using either e-rostering (or
the EASY system where e-rostering is not appropriate).
This Guidance has been complied to accompany the revised Sickness Absence Policy.
The Guidance supplements the Policy by providing further clarification of aspects of the
Policy as well as including checklists, flow charts and model letters for managers to
adapt and use.
The Guidance covers both long and short term sickness absence and should enable
sickness absence to be managed in a fair and consistent way.
Short term absence is covered in the first part of the guidance and long term absence in
the second part.
The circumstances surrounding each individual case will vary and if you are in any doubt
how best to manage an individual, a Human Resources Adviser is available to advise.
Occupational Health also has a crucial role in ensuring appropriate advice and support is
given to both you and your staff.
It is important to appreciate that the underlying expectation is that staff will be fit and
healthy and the policy aims to support staff should they become unwell. There is also
the expectation that where staff are unable to undertake their usual duties at work, that
where their condition allows, they will make themselves available for other work in the
Trust. This is in line with the philosophy of GP ‘fit notes’ which focus on what individuals
are able to do, rather than what they are unable to do.
Once employees are on a warning due to their level of sickness absence, they should
appreciate that the policy has a cumulative effect; where more serious warnings can
quickly follow if absence levels do not get better. An individual’s sickness record will be
taken over a period of time and there is the real possibility of them being dismissed if
their sickness absence does not improve.
2. KEY BASICS IN MANAGING SICKNESS ABSENCE
2.1
Ensure staff are aware of their local sickness absence notification
procedure
All staff need to be aware of (and preferable have a copy of) the local reporting
procedure to follow when they are unable to attend work because of sickness. It should
be in writing and well known to staff. It will help staff management if your team are clear
what they should do if they are sick. Where a department does not have their own
procedure they should follow the model at Appendix 1 adapted to local circumstances.
1
2.2
Staff responsibility regarding sickness absence
Members of staff can learn more about the importance the Trust attaches to Wellbeing
and maintaining low levels of sickness absence, by visiting the Trust’s intranet:
http://nww.swyt.nhs.uk/wellbeing/Pages/default.aspx
http://nww.swyt.nhs.uk/hr/Pages/Sickness-absence.aspx
Please ensure that all your staff are aware of this document; particularly as part of their
induction.
Staff should be aware of their own responsibilities and the importance of regular
attendance at work. Excessive sickness absence can lead to their contract of
employment being terminated,
2.3
Appropriate Action when an Employee is Absent from Work
On first day of absence
The employee must try to speak to you directly as their manager, to report their
sickness. In some cases a nominated person, as agreed by you, may take the call, when
you are not available. See flow chart at Appendix 2 which outlines the process to follow
when a member of staff is sick.
Staff E-mailing and Text messaging their absence is not acceptable, as it avoids direct
contact with you their manager, as do messages if left with their colleagues. Without this
contact it is likely to be difficult to pick up on any welfare issues and to manage absence
effectively. If messages are left, this reduces the effectiveness of the procedure and so
they should only be left in exceptional circumstances.
The employee must telephone in by the agreed time stipulated in the department’s
procedure. The manager or the nominated person, must establish:






The date they became unfit for work (even if on a day off)
The last day they worked
The nature of the illness
The anticipated length of absence and
When they will return (or when they will contact you again to update you on their
condition)
NB It is expected that where their absence is due to stress, mental health or
musculoskeletal issues they are immediately referred to Occupational Health by the
manager.
See the form at Appendix 3 which managers can use when recording the information
above from a member of staff when they ring in sick.
Where a member of staff is likely to be sick for 1 to 7 days, the manager part
completes a Sickness Absence Notification (SAN) form. Then immediately on their return
to work, the individual completes and signs the SAN and the manager sends it to Payroll,
retaining a copy.
2
Where the member of staff will be off for more than 7 days the manager part completes
the SAN and forwards it immediately to Payroll, retaining a copy. When the individual
does return to work they must complete and sign the copy SAN and the manager sends
it to Payroll, again retaining a copy. See Appendix 4
NB Over 2013 Payroll will be phasing in a revised electronic method of recording
absence using the EASY electronic system.
Until managers are contacted by Payroll they should continue to use their existing
systems of notifying payroll of absences. (IE using a SAN in Barnsley BDU, or
SC2/e-rostering in the rest of the Trust).
2.4
Withholding Sick Pay
If there is no reason given for the sickness absence then it may be appropriate to
withhold sick pay, as outlined below.
Managers must establish a reason for the absence, as this enables both support to be
given to the individual and builds up a statistical picture of absences for the Trust, so that
specific measures can be planned to address particular absences (Eg Occupational
Health now have individual programmes to help staff with stress and musculoskeletal
conditions). If an individual does not comply with the reporting procedure, all sick pay will
be stopped. SSP will then be paid once a fit note has been received. Where there is an
unauthorised absence it is discretionary whether Occupational Sick pay is paid or not – it
will not usually be paid where there is a reoccurrence of this issue.
Regarding sickness absence, you should always be satisfied with the explanation
given. If you are not then the following should be considered:


Should the employee’s pay be stopped?
Should disciplinary action be taken under the Disciplinary Procedure?
The appropriate procedure for reporting absence should be followed. The reasons for
the absence should also be given.
Where the manager is concerned at the actions of a member of their staff they must
discuss the issues with a Human Resources Adviser/Payroll as appropriate.
2.5
On the 8th day of absence
On the 8th day of absence the member of staff must obtain a Statement of Fitness to
Work (a ‘fit note’) from their doctor and send it to their manager. The manager will then
transfer the information to payroll electronically using either the e-rostering system or the
EASY system. The manager will need to retain the fit note in the individual’s personal
file together with the SAN.
3
2.6
Short Term Review Process
Members of staff should continue to telephone their manager to give them updates on
their likely continued absence and their return to work when known. They should agree
the frequency of contact during their conversation with the manager.
Managers should also ensure that subsequent fit notes are submitted to cover the total
period of absence and that they are consecutive.
Disciplinary action could be taken in the future should individuals fail to comply with the
sickness procedures, including the timely submission of fit notes.
Fit notes are intended to indicate to employers what an individual can, rather than what
they can’t do. The effectiveness of this may depend on how well the GP or Consultant
understands the nature of the work the individual does (or what possible alternatives
could be available back at work). OH have a vital role in liaising with GPs on fit notes to
enable staff to come back, possibly in a different capacity and for a limited time until they
are fully recovered. Managers should contact OH as early as possible to discuss the
situation if the information on the fit note is not clear, or appropriate.
Absence due to Industrial Injury
Where an employee is absent due to an injury sustained through work, their absence
must still be monitored. However the manager needs to be sensitive to the nature of the
injury and ensure that appropriate support is given through Occupational Health (OH)
and staff counselling as appropriate. Where the injury is severe and results in absence
of 4 weeks or more this should be usually be addressed through the long term sickness
absence section.
NHS Injury Benefits Scheme
At the time of writing (February 2013) the NHS Injury Benefit Scheme is being reviewed.
It is understood that a new Injury Allowance will be introduced from 1 st April 2013 to
recompense employees who have temporarily lost income due to and injury or illness as
a result of work. Further details will be available in the near future. Advice on this should
be sought from the appropriate HR Manager.
Staff Representation
There will not normally be Staff Side representation at the informal Stage One meeting (or
at the return to work interviews).
However under all formal stages of this procedure, the employee will have the right to be
represented by a Trade Union representative or colleague (not acting in a professional
capacity).
Before any formal interview, the employee must be given adequate time to discuss the
matter with his/her staff representative.
4
Managers should normally provide five working days notice, in writing of a formal
interview (although this may be waived by mutual consent), enclosing all appropriate
information/ documentation.
Monitoring
Continuous monitoring of staff sickness absence is crucial to the success of managing
attendance.
Information is available via HR online and you can easily access this through a password
system via the intranet. A password can be obtained from HR information Services
01977 605293.
This information covers an individual’s attendance record and details dates, days,
reasons and type of absence etc.
Human Resources Advice
Human Resources Advisers are always available at any stage for advice on cases of
sickness absence. It is advisable to involve a Human Resources Adviser at an early
stage, keeping him/her regularly informed of all their cases involving sickness absence.
When considering serious action including dismissal, the advice of the Human
Resources Adviser must always be sought. This will ensure there is consistency of
approach taken throughout the Trust.
3.0
SHORT-TERM ABSENCE REVIEW PROCESS
3.1
Summary of the Sickness Absence Management Process (Short Term
Absences)
A comprehensive summary of the whole short term sickness absence process is given at
Appendix 5.
3.2
Manager’s Checklist for the Successful Management of Sickness Absence
A brief summary of the main points to bear in mind as a manager when dealing with
sickness absence are given at Appendix 6.
4.0
RETURN TO WORK MEETING AND DOCUMENTATION
Numerous studies show that the single most important factor in controlling sickness
absence is whether or not the return to work meeting takes place. See Appendix 7 for
a checklist to use at the meeting which will also then be a record of the meeting.
Research shows that ensuring this step is undertaken is the most important action you
can take in controlling sickness absence.
Return to work meetings are most effective if they take place every time an employee
returns from sickness absence and preferably if they occur on the day of their return.
5
This may not always be easy to arrange, but is without doubt one of the most effective
ways of reducing short term absence levels. It may be acceptable to delegate this, but
only if you feel the individual has the authority to ensure that it is done effectively.
4.1
Return to Work Meeting What Is It?
This is a discussion held between you (or your designated person) and your member of
staff. Wherever practicable it should be on the first day of their return to work. This is
not a ‘disciplinary type’ interview but a brief chat to check on the employee’s
wellbeing/welfare.
The discussion is intended to provide an opportunity for the manager to:







Welcome the employee back to work.
Enquire after their health.
Give the employee an opportunity to draw your attention to any particular problems
of either a work, or domestic nature, which may affect their attendance.
If appropriate offer appropriate help and support as may be practicable, e.g. access
to the Counselling Service, workload adjustments, redeployment, or flexible working.
Update the employee on any developments of work in their absence.
Receive any self or medical certificates as appropriate.
Refer to OH as appropriate using their on line form:
http://nww.swyt.nhs.uk/wellbeing/occupational-health/Documents/OH03%20%20OH%20Health%20Referral%20Form.doc


Importantly the discussion shows that the member of staff was missed at work.
Further information can also be found on the NHS Employers web site:
http://www.nhsemployers.org/HealthyWorkplaces/implementingHWB/ResourcesLine
Managers/Pages/Managersguideonreturn-towork.aspx?utm_source=http%3a%2f%2fnhsemployers.org%2foi_nhsconfedlz%2f&utm_medium=email&utm_campaign=LMB_29
112012&utm_term=NHS+Line+Managers+Bulletin+issue+1&utm_content=5
Further points should also be raised after the 2nd absence in 12 months, as the 3rd
is the trigger point for the first stage informal interview:



4.2
Explain that good attendance at work is a high priority for the Trust and that the Trust
has set targets regarding sickness absence.
Explain the consequences of their absence on workloads and colleagues (as
appropriate).
Explain the nature of how the policy works. That continued unacceptable levels of
sickness absence, will lead to the formal stages of the procedure being invoked.
Once these are reached, continued absences will quickly lead to the individual facing
a final written warning and then if no improvement, dismissal.
Keeping a Record
In addition to the return to work meeting checklist (see Appendix 7), which acts a guide
and a record of the meeting, the Attendance Monitoring Form (see link:
http://nww.archive.swyt.nhs.uk/organisation/annualleave/ATTENDANCE%20MONITORI
NG%20FORM%2013-14.doc ) also enables managers to keep a useful record of staff
absences. This form enables all absences to be recorded and any patterns that may
6
emerge to be discussed with the individual. If there are further absences, these will be
important reference documents in the future. Where it emerges that an individual has
regular absences a useful aid to monitoring this and the measures taken, is to prepare a
timeline. Where e-rostering is in place it enables managers to monitor their staff’s
sickness absence and it should be noted there are also continual developments being
made to the e-rostering system.
All records relating to sickness must be kept securely and handled appropriately
to maintain confidentiality.
4.3
Dealing with Absence due to Stress
As soon as you are aware that stress is the cause of absence, you should cover the
following points with the member of staff:
 Ask the employee what is causing the stress and is it work related?
 Enquire if there is anything that you can help with and take any reasonable steps
necessary.
 Immediately refer the individual to OH; as they are able to offer immediate advice and
support, which is likely to reduce the chance of the stress becoming long term.
 Explore the need for counselling.
 Keep notes of stress related incidents, or when employees report work related stress.
 Refer to the Trust’s Staff Mental Wellbeing and Resilience (Stress) Policy:
http://nww.swyt.nhs.uk/docs/Documents/461.doc
Advice and support can be sought from either OH or the appropriate Human Resources
Adviser.
4.4
Dealing with Absence due to Muscular Skeletal problems
As with absence due to stress, Muscular skeletal problems must be referred immediately
to OH. This enables the member of staff to receive urgent physiotherapy
treatment/advice from the OH Physiotherapist. Early Physiotherapy intervention (within
hours if possible) is crucial in helping the proper healing process and a timely
intervention can support the individual to remain in work and/or reduce the length of
absence and discomfort suffering by the individual. A manager’s guide on
musculoskeletal disorders is available via the NHS Employers web site:
http://www.nhsemployers.org/HEALTHYWORKPLACES/IMPLEMENTINGHWB/RESOU
RCESLINEMANAGERS/Pages/ManagersGuideOnSicknessAbsence–
MusculoskeletalDisorders.aspx#2
4.5
Medical Suspension
There may be exceptional instances when it is appropriate to medically suspend an
individual from work. The manager should discuss with the individual whether they are fit
to be at work and then encourage them to go home, this could be because the individual
is unfit to carry out their duties (this may be due to concerns about their mental health, or
a physical condition such as a contagious infection). Advice should be sought from
Occupational Health (01977 605585/605586) or a Human Resources Adviser as
appropriate, should this situation arise.
7
4.6
Thanking Individuals for a 100% Attendance Record over the Last Year
Managers may wish to encourage those staff who have good attendance levels, by
thanking them and acknowledging their good attendance, during their annual appraisal.
5.0
‘AT A GLANCE’ GUIDE TO THE STAGES OF THE SHORT TERM ABSENCE
PROCESS
As the Policy itself is very comprehensive, it is not necessary to again cover all the
stages in detail.
However, to aid clarity a flow chart is included at Appendix 10 which gives an ‘at a
glance guide’ to all the stages of the short term sickness absence process for easy
reference.
Included at Appendix 11 is a form that covers the Informal (1st stage) of the policy. It
includes a useful checklist to use during the meeting and when the form is complete it
should be signed by the manager and employee, with the manager keeping a copy on
the individual’s personal file.
6.0
MODEL LETTERS FOR SHORT TERM ABSENCE
The model letters are given in the Appendices and are intended as reference documents
for managers to adapt according to the circumstances and outcomes decided at the
meeting.
LONG-TERM ABSENCE
7.0
LONG-TERM ABSENCE REVIEW
Whenever an employee is absent for a prolonged period through sickness (normally
regarded as 28 calendar days or more), managers will need to keep regular contact with
the individual.
This should be by letters, phone calls, the individual attending a meeting in the
workplace, or a visit to the individual’s home (with the employee’s agreement). It is
important that all contacts and discussions with the employee are documented as
this aids the manager in reviewing their support and provides a record if
challenged.
Example letters are given at Appendices 19, 20 and 21. These letters should be
taken as a guide and may be adapted according to the circumstances; advice is
available for HR advisers. (NB notification of changes to sick pay rates are usually
sent by the Human Resources Payroll Section).
8
8.0
RETIREMENT ON ILL HEALTH GROUNDS
Retirement on the grounds of ill health should be considered after all other options have
been explored and following consultations with the employee and advice from
Occupational Health.
Members of staff who have been contributing to the NHS Pension Scheme for over two
years may be able to retire and receive the benefits under the conditions of the Scheme.
It is the individual who applies for these benefits under the scheme and approval to receive
such benefit is at the discretion of the NHS Pensions which is part of the NHS Business
Services Agency (NHSBSA) and not the Trust. See link
http://www.nhsbsa.nhs.uk/1732.aspx
It should be stressed that it is NHS Pensions who undertake the medical assessment of
the individual and the outcome of this assessment cannot be guaranteed. In some
circumstances applications have been deferred and then reassessed at a later date.
Acceptance by the individual of an approved NHS Pension Scheme application will be
treated by the Trust as a resignation from the Trust. See letter Appendix 22
In certain circumstances it may be possible for a member of staff to take ill health
retirement and return to work with the Trust part time. If an individual would like to pursue
this, they should discuss it with their line manager.
9.0
DISMISSAL ON ILL HEALTH GROUNDS
Alternatively in cases where an employee is not a member of the NHS Pension Scheme
(or is, but chooses not to apply for an incapacity pension, or their claim is unsuccessful),
and is not able to undertake his or her duties through ill health, then he or she will be
dismissed with appropriate contractual notice.
This will take place after all options have been explored and following consultation with the
individual, his or her representative (if requested), and advice from the Occupational
Health Department. This will be confirmed in writing and the individual advised of his/her
right of appeal against the dismissal, to a Sub-Committee of the Trust Board. See letter
Appendix 23
The dismissing manager must ensure they are authorised to take this level of action.
OH may advise the requirement for specific undertakings or specific restrictions to the
employee’s practice or duties, in order for the individual to be able to return to work. If
the service is unable to undertake such adjustments, a detailed risk assessment must be
undertaken and signed off by the senior manager of the service. OH should be provided
with a copy of the risk assessment and an opportunity to consider that risk assessment.
http://nww.swyt.nhs.uk/health-safety/Documents/risk/Risk%20assessment%20form.doc
It will normally be appropriate for a management case conference to take place to give
serious consideration to the risk assessment prior to any decision being taken.
The employee’s details will be held on the ‘At Risk Register for a maximum of 3 months
in line with the employee’s notice period. Should any suitable alternative employment
9
become available during the notice period, the employee will be given the opportunity to
pursue this.
Protection of pay does not apply as it is not a result of organisational change.
In the event, notice of termination will be served during the period of medical
suspension. That suspension will continue during the notice period, however, the
employee will be allowed to attend interviews for suitable alternative employment with
prior approval from the appropriate senior manager.
10
APPENDIX 1
SOUTH WEST YORKSHIRE PARTNERSHIP NHS FOUNDATION TRUST
STAFF SICKNESS ABSENCE NOTIFICATION PROCEDURE
1
If you are unable to attend your place of work for any reason (other than prior
approved absence), you are required to telephone in person your immediate
manager (or their designated officer), as soon as possible. Contact should be
no later than an hour after your normal start of work on the first day of sickness
absence. If you work night duty or on a shift system, you must notify your
manager immediately you become incapacitated, to allow as much time as
possible for managers to arrange for shift cover.
Messages must not be left with unauthorised persons and texting is not an
acceptable alternative to direct contact with your manager (or designated officer).
2
You must state:

The nature of your illness, or other reason for absence.

When you first became unfit for work.

How long you expect to be absent and

An estimated date of return.

When you will contact him/her again
3
You must maintain regular contact with your manager. In an exceptional case when
you are personally unable to contact your manager by telephone, then you must
ensure that a message is sent by a personal representative ie a relative or friend on
your behalf and that they cover the points above. They must explain why you have
not been able to contact the manager yourself.
4
Full information is needed to enable your manager to initially notify payroll
electronically of your absence.
5 For absences of 1 – 7 days you must complete a Sickness Absence Notification form
(SAN form). (NB it replaces the Self Cert SC2 form). On your return you should
complete the remainder of the form as appropriate and give to your manager, who will
forward to Payroll and retain a copy in your personal file.
For absences of 8 days you must also obtain a ‘Statement of Fitness for Work’ (a ‘Fit
Note’) from your doctor. Dates must run consecutively if two or more notes are
required. Please ensure that dates on the Sickness Absence Notification and Fit Notes
all correspond.
6
Days off (e.g. rotated days off) will be counted for Statutory Sick Pay purposes
unless you indicate your ability to return to work as soon as possible.
7
Sickness absence resulting from an injury or disease attributable to NHS
employment must be notified to your manager and recorded on the Incident Report
Form on the Trust's Datix system.
https://datix.swyt.nhs.uk/datix/live/index.php
8
When you intend to return to work following a period of sickness absence, you must
give clear notice of the date you intend to return. If insufficient notice is given, your
supervisor/manager may have already made arrangements to provide cover.
9
On your return to work you must see your immediate supervisor/manager. There is
the expectation that you will have a return to work interview with your manager
where you can discuss your sickness and consider what actions may be needed
next (eg a referral to Occupational Health).
10
Where your sickness absence is a regular occurrence or, it appears to have caused
a deterioration in your overall attendance record or performance, your manager will
usually require you to attend the Occupational Health Department.
11
The Trust supports the principle of Fit Notes where the emphasis is on what a
person can do, rather than what they can’t do. Depending on the nature of the
illness and support and advice from Occupational Health, individuals will be able to
return to work to a temporary role rather than remain off on sick leave.
12
Failure to comply with any of the above notification procedure could result in the
absence being regarded as unauthorised and, therefore, without pay.
13
You should be aware that persistent breaches of the notification procedure may
result in a loss of sick pay and/or disciplinary action being taken against you.
APPENDIX 2
Flow Chart Showing the Process to follow if a Member of Staff is Sick
Member of Staff is
Sick. They must follow
their department’s
sickness absence
procedure when
reporting in sick





They contact their manager giving:
The date they became unfit for
work (even if on a day off)
The last day they worked
The nature of the illness
The anticipated length of absence
When they will return (or when
they will contact the manager
again to update them on their
condition)
If the reason for absence is
stress or a musculoskeletal
issue they must be referred to
Occupational Health immediately
The manager should explore if
the individual can return to another
temporary post rather than remain
off sick. Occupational Health will
be able to advise
For one to seven days of
sickness, the manager will part
complete a SAN (which can be
downloaded from Trust’s intranet).
The individual completes and signs
the SAN on their return and
manager then sends it to payroll,
retaining a copy. Where the
sickness is over 7 days the
manager part completes the SAN
and immediately sends it to Payroll
retaining a copy. The SAN is then
completed and signed by the
individual on their return and the
manager sends to Payroll, again
retaining a copy
On the 8th day of
sickness a ‘fit note’
must also be
obtained from their
doctor and given to
their manager to
retain
On return from sick
leave the member of
staff has a return to
work interview with
their manager to check
they are OK and offer
support where
appropriate and ensure
they are aware of the
Trust’s sickness
absence policy
The
member of
staff must
maintain
contact with
their
manager
and update
them when
they are
able to
return. This
is especially
important
where the
individual
works shifts
APPENDIX 3
Staff Reporting Sickness/Absence (via the phone)
Staff Name: _______________________________ Grade: _______________
Base: _________________________
Duty Rota: ______________________
Date of Call: ____________________ Time of Call: _____________________
Call taken by: ______________________________
Call made by (staff member/relative?) _________________________________

The date they became unfit for work (even if on a day off):______________

The last day they worked:____________________________

Reason for absence/nature of illness: ______________________________

The anticipated length of absence:_________________________________

Expected return date* _______________________________

When they will next contact you to update on their condition______________
*NB If absences are due to stress/mental health, musculoskeletal issues or the
absence will be for 4 weeks or more, advise the member of staff you will refer
them to Occupational Health immediately.
Referral to OH made? YES / NO. If yes, date of referral ______________________
If not reason why: __________________________________________________
Consider if the individual could return to work in an alternative capacity for a limited
time if they are not fit to return to their substantive post?
If yes has this been agreed and what was the outcome?
Comments/Further Action:
Form completed by (signed): _____________________
Date: ______________
Manager (signed): ______________________________ Date: ______________
Follow up Action
Has the SAN been completed and signed by the member of staff? YES / NO
Have they been off 8 days or more? (If so a Fit note is required) YES / NO
Has the GP’s fit note been received?
YES / NO
Detail any conversations/correspondence with Employee
Date
Time
Details (Including name of manager involved)
SOUTH WEST YORKSHIRE PARTNERSHIP NHS FOUNDATION TRUST
SICKNESS ABSENCE NOTIFICATION (SAN) FORM
Full Name:
Post Title:
Location:
DATES OF ABSENCE PLEASE RECORD:
APPENDIX 4
National Insurance No:
(and/or) Staff Number:
Business Delivery Unit & Team:
DAY
DATE
The date you became unfit for work (even if on a day off)
The date you last worked
The date you notified your manager (or nominated person) of your
Illness
The date were you were fit to return to work (even if on a day off)
The date you returned to work
REASON FOR ABSENCE:
Please specify by ticking the relevant box below .
S1
0
S1
1
S1
2
S1
3
S1
4
S1
5
S1
6
Reason
Anxiety /Stress

S20
Back Problems
S21
Musculoskeletal –
Other
Cold, Cough, Flu
Influenza
S22
S23
Asthma
S24
Chest & respiratory
S25
Headache/Migraine
S26
S1
Benign & malignant
S27
7
tumours Cancer
S1
Blood Disorders
S28
8
S1
Heart, Cardiac &
S29
9
circulatory problems
ADDITIONAL ABSENCE DETAILS (Tick)
Where ‘other’ is ticked please also give the reason


Reason
Reason
Burns, poisoning,
frostbite, hypothermia
Ears, Nose & Throat
S30
S31
Dental and oral
problems
Eye problems
S32
Endocrine/glandular
problems
Gastrointestinal
problems
Genitourinary
Gynaecological
disorders
Infectious diseases
S99
S98
Pregnancy related
disorders
Skin disorders
Substance/Alcohol
Misuse
Other known
causes – not
elsewhere classified
Unknown causes /
Not specified
If ‘Other’ – Specify
reason below
Injury fracture
Nervous system
disorders
YES
NO
Is the absence as a result of an accident at
work? https://datix.swyt.nhs.uk/datix/live/index.php
Is the Absence a Result of a Road Traffic
Accident or 3rd Party Liability?
Do you have a disability?
ACTION
If so you must report the accident to your
manager and complete a Datix form on line.
Please give the Datix form number here:
I declare that the information above is, to the best of my knowledge, a true and accurate record. I understand that any
deliberately false statement will disqualify me from sick pay and will be regarded as a serious disciplinary offence.
Signed (employee): ________________________________________________________ Date: __________________
Signed (Manager): ________________________________________________ Date: __________________
Number of Working Days Absent: _________________________ Number of Hours Lost: ________________________
For further advice please contact the Payroll Department or Telephone 01226 434113
http://nww.swyt.nhs.uk/hr/payroll-pensions/Pages/default.aspx)
Notes on completion
1.
2.
3.
4.
5.
This form should be completed accurately as it will subsequently be used by Payroll to ensure you are correctly paid. Failure
to do so may effect your pay entitlements.
Please also ensure that you follow your department’s sickness absence procedure when reporting absence. You should
always speak to your immediate manager (or their nominated person) when reporting your absence and give the above
information in person, as texting or e-mailing is not acceptable. Full information is needed to enable your manager to initially
notify Payroll electronically of your absence.
For absences of 1 – 7 days you must complete this SAN. (NB it replaces the SC2 form i.e. the Self Cert
For absences of 8 days you must also obtain a ‘Statement of Fitness for Work’ (a ‘Fit Note’) from your doctor. Dates must run
consecutively if two or more notes are required.
Ensure that dates on the Sickness Absence Notification and Fit Notes all correspond.
When complete your manager will send to payroll and will retain the copy on your personal file
U:\ESR FORMS\SICKNESS ABSENCE NOTIFICATION (Dec 2012)
APPENDIX 5
Summary of the Sickness Absence Management Process
(Short Term Sickness Absence)
Trigger Points
 3 absences in a rolling 12 month period, or
 3 episodes of 2 weeks or more in a rolling 3 year period, or
 A pattern of absence emerges (e.g. all Fridays, around Leave, school holidays, etc)
NB. A return to work interview must take place on the date of return where possible or asap.
The Sickness procedure then commences when one of the above trigger points is reached.
Stage 1 (informal)
 Line Manager meets employee asap but within 2 weeks of 3rd absence in 12 months/3rd episode of 2
weeks/or a pattern emerging. Provides sickness record, OH letters etc.


Detail of discussion confirmed in writing asap but within 5 working days of meeting. Arrange 3 monthly
reviews within next 12 months.
(No further action, if absence average is less than 2 episodes per year in previous 3 years)
Follow on:
Progress to Stage 2 if trigger points reached:
o on 2nd absence, following the review meeting within next 12 months
o continued pattern of sickness
o further episode of 2 weeks or more in next 12 months following the meeting.
Stage 2 (1st formal)
 Line Manager and HR meets employee (who has the right to be accompanied) giving 5 days notice of
the meeting, include sickness record, OH letters etc.

Discussion/action confirmed in writing, asap but within 10 working days. Normally a 12 month first
formal warning given at this stage. Arrange 3 to 4 monthly reviews within next 12 months.
Follow on:
 Progress to Stage 3 if trigger points reached:
o on 2nd absence in 12 months following the meeting
o continued pattern of sickness
o further episode of 2 weeks or more in next 12 months following the meeting.
Stage 3 (2nd formal)
 Senior Manager (next level of manager) and HR meets employee (who has the right to be
accompanied) giving 5 days notice of the meeting, include sickness record, OH letters etc.

Discussion/action confirmed in writing, asap but within 10 working days. Normally a 12 month final
formal warning given (outlining serious consequences) at this stage. Arrange 3/4 monthly reviews within
next 12 months.
Follow on:
 Go to Stage 4 if trigger point reached:
o on 2nd absence in 12 months following the warning
o continued pattern of sickness
o further episodes of 2 weeks or more in next 12 months following the meeting.
Stage 4 (final stage)
 Senior Manager, 8b or above, not previously involved, and HR meets employee (who has the right to be
accompanied) giving 5 days notice of the meeting. Include management report of the case.

Line manager provides report and presents the case at the meeting. Employee or representative then
presents their case.

Discussion/action confirmed in writing, asap but within 10 working days. Normally dismissal with a right
of appeal at this stage, but option of extending review period under Stage 3 conditions.
U:\ESR FORMS\SICKNESS ABSENCE NOTIFICATION (Dec 2012)
APPENDIX 6
Manager’s Aide Memoire for the Successful Management of
Sickness Absence

Have a clear and well publicised procedure for staff to follow when they report in sick

Ensure the employee speaks to you directly as their manager (or your nominated
person), when ringing into report their sickness – they should not leave messages.

Establish the reason for their absence and when they will return to work.

Where the cause of absence is musculoskeletal or stress, refer them immediately to
Occupational Health.

When the member of staff returns to work [probably the most important action of the
procedure is to] always have a return to work interview with them to check their health
and acknowledge they were missed. Their Wellbeing is important and there is a
Wellbeing section on the intranet to support staff and managers.
http://nww.swyt.nhs.uk/wellbeing/Pages/default.aspx

Where trigger points are reached, take action and then follow through with confirmation
letters. Document and ensure there is an audit trail of all action taken.

Seek advice – HR and Occupational Health are available to work through and advise on
issues at any stage.

Ensure you understand the Sickness Absence Policy, it can appear complex. Carefully
following each step of the policy is crucial to managing sickness absence – the outline
summary in the Policy is helpful in explaining the stages to follow.

If you say you will review their absence – ensure it is reviewed.

Don’t lose contact with staff if they are sick – diary in regular contact.

Be fair and firm but don’t think absence will improve and remain at the Trust’s target
without continuous effort.
APPENDIX 7
Return to Work Interview – Checklist
This form lists the main aspects that should be covered at a return to work interview
To be completed by the line manager (or designated person where appropriate) as soon as
practicably possible following the return to work discussion with the employee.
Name of Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Department/Service Area. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Absence: From . . . . . . . . . . . . . . . To . . . . . . . . . . Reason(s) . . . . . . . . . . . . . . .
(Insert  in each box, where applicable)
Welcome employee back and update as necessary
Discuss employee’s health and reasons for absence
Sickness Absence Notification (SAN)/Fit Note completed etc
Discuss if they have a disability, check if sickness work related
Outline trigger points and need to ensure regular attendance
Any points to note arising out of the discussion, e.g. Arrangements for
help and support such as:
Access to counselling
Workplace adjustments
Referral to Occupational Health (use referral form)
Other, updates, please specify below
Comments
Include reasons given by employee regarding their absence and brief record of your discussions –
continue on a separate piece of paper or this form can be downloaded
Agree this is factually correct and put the form on the individual’s personal file
Signed . . . . . . . . . . . . . . . . . . . . . (Manager)
Signed . . . . . . . . . . . . . . . . . . . . . (Employee)
Date. . . . . . . . . . . . . . . . . .
APPENDIX 8
‘At a Glance’ Summary Guide Showing Letters/Forms to Use during the
Short Term Absence Process
Staff Reporting
Absence form
Appendix 3
Sickness Absence
Notification (SAN)
form Appendix 4
If absence of 8
days or more, a fit
note is needed
(obtained by
employee from their
doctor)
This form can be used by the
manager, or their nominated
person, to record the details of
the employee’s absence when
they ring in and as an ongoing
record
Manager part completes
SAN, following call from the
individual they are sick. If
likely to be less than 7 days
sickness then
If absence likely to be
more than 7 days manager
part completes SAN,
retains a copy and sends to
Payroll immediately then
Probably the most important
action in managing absence is
the Return to Work Interview.
The checklist at Appendix 7
should be followed carefully
Particularly if you are to
progress to further stages. Refer
to para 13 of the Policy.
Attendance
Monitoring Form Download from the
intranet
SAN given to
employee on their
return from sick
leave to complete
and sign. Manager
sends to payroll
and retains copy
on personal file
Fit notes are then sent to
manager by the employee
The manager or their
nominated person must
ensure they see all staff on
their return from sick leave.
This checklist enables all
aspects the meeting are
covered
This form shows all days of the year and
enables the manager (or nominated person) to
record employee’s sickness/leave/etc. It is
useful in indentifying patterns of absence
when e-rostering not available
http://nww.archive.swyt.nhs.uk/organisation/ann
ualleave/ATTENDANCE%20MONITORING%20FO
RM%2013-14.doc
APPENDIX 8 (Cont)
Informal Meeting Form Stage 1 (Triggered after 3rd Absence etc). At
Appendix 9. It is not necessary to send out a letter for this meeting as
meeting is informal. Use this form both as a prompt in the meeting and
as a record afterwards. See para 15 of the Policy.
NB. Use OH referral form if needed to obtain medical/OH opinion
http://nww.swyt.nhs.uk/wellbeing/occupational-health/Documents/OH03%20%20OH%20Health%20Referral%20Form.doc
Use letter at Appendix 10 to summarise outcomes of the (Stage 1)
Informal Meeting. Send out letter with informal meeting form within 5 working
days.
First Formal Meeting (Stage 2)
Use letter Appendix 11 to invite employee to the meeting and inform
about the arrangements etc
Use letter at Appendix 12 to summarise outcomes of meeting at
Stage 2. Send within 10 working days
If Second Formal Meeting (Stage 3) is triggered, Senior Manager to
Send out letter at Appendix 13 to inform employee they attend the
meeting
Use outcome letter Appendix 14 from Senior Manager to summarise
actions etc decided at (Stage 3). This is the final warning under the policy
If the Final Formal Meeting (Stage 4) is triggered, use letter
Appendix 15. This letter is also from the Senior Manager and informs
the individual that they attend the Stage 4 meeting
The letter at Appendix 16 should be used if it was decided to end the
employee’s employment. The contents of the letter must be discussed
with a HR Adviser
Confidential:
APPENDIX 9
Informal Short Term Sickness Meeting Form (Stage 1)
All items to be completed by the line manager conducting the informal meeting. This meeting
should take place within two weeks of the individual reaching a trigger point. (eg third episode
in a 12 month rolling period)
Name of Employee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Job Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date Started with Trust . . . . . . . . . . . .
Department . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Recent absences . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Total Days this Period . . . . . . . . Total Days over rolling 12 months. . . . . . . . . . . . .
Total Occasions this Period . . . . . . . . . . . . . . . . . . . . .
Details of Absence Record.
Refer the employee to their annual leave card/or available e-rostering information
___________________________________________________________________
Date, place and time of meeting:
Present:
NB Representation is not expected as it is a 1:1 between the individual & their manager
____________________________________________________________________
Check List:
Share all appropriate documentation, check accuracy (including absences over last 3 years)
Explain the purpose of the meeting as part of the Policy. See the Summary of the Sickness
Absence Process regarding trigger points and expectations.
Explore the reasons for absence, e.g. they may be the result of a medical
condition; domestic difficulties; problems with work or working relationships.
Encourage the employee to engage in a two-way flow of information.
Reassure the employee that the purpose of the meeting is to assist him/her to
attain the required levels of attendance.
Offer help, advice and practical action eg seeing GP, accessing counselling advice, referral
to Occupational Health, discussions regarding working arrangements. Particularly regarding
adjustments if the individual is disabled. See Access to Work Scheme:
https://www.gov.uk/access-to-work/overview
Discuss the consequences of the absence upon work load and colleagues.
Agree the action required by both parties, if any, to achieve an improvement
in attendance and the review period (and review date) as necessary.
Outline the action which may follow if there is no sustained improvement,
i.e. the triggers which would lead to the Formal Stage 2. Ensure they have access to the
policy (a paper copy or link to the document store)
If the individual is in their first year of service with the Trust, stress the importance the Trust
attaches to a culture of regular attendance.
Note comments raised by the individual.
Managers comments including Recommendations For Future Action/Referrals
(Refer to the appropriate section of the Policy/Guidance before recommendations are made).
_______________________________________________________________________
Decision/Action
Ensure a copy of this completed form is sent to the individual within 5 working days of
the meeting and that it also includes the actions and the next review date in 3-4
months. Place a copy of this form on the individual’s personal file
Signed (Employee) . . . . . . . . . . . . . . . . . . . . . . . . . . . . Date. . . . . . . . . . . . . . . . . . .
Signed (Manager). . . . . . . . . . . . . . . . . . . . Designation . . . . . . . . . . . . . . . . . . . . . .
APPENDIX 10
Letter Outlining the Actions Following the First Informal Meeting (Stage 1)
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
ACTION: COMPLETE THIS LETTER WITHIN 5 WORKING DAYS OF THE STAGE 1
MEETING
Dear
SICKNESS ABSENCE POLICY - INFORMAL MEETING (STAGE 1)
I am writing with reference to the above meeting held on *(enter date, time and venue) under
the Trust’s Sickness Absence Policy (ENCLOSED) it can also be found:
http://nww.swyt.nhs.uk/docs/Documents/925.pdf
At this meeting we discussed your level of absence, the reason(s) for it and the support
available
ALSO REFER TO ANY ACTION TO BE TAKEN EG IF THE EMPLOYEE IS GOING TO BE
REFERRED TO OCCUPATIONAL HEALTH ETC, TO HELP TRY TO ADDRESS THEIR ILL
HEALTH. ALSO NOTE THE TRUS’T WELLBEING INIATIVES
ALL STAFF WITH STRESS OR MUSCULOSKELETAL ISSUES MUST BE REFERRED TO
OCCUPATIONAL HEALTH IMMEDIATELY
I expressed my concerns at your current level of sickness absence which now amounts to
*(enter number of days/occasions/during number of months). Whilst being sympathetic
with your situation, I pointed out to you the problems this created for work colleagues, the
department and service as a whole.
I hope your attendance will now improve, however it is important to note that as you now have
a Stage 1 warning, you will normally be referred to Stage 2 of the Sickness Absence Policy if
you have:
ALSO CONSIDER IF THE INDIVIDUAL IS HAVING OR AWAITING SPECIFIC TREATMENT
FOR A CONDITION OR HAS A DISABILITY



A further two episodes of absence in the next 12 month period.
A continued pattern of sickness.
A further episode of two weeks sickness or more in the next 12 month period.
The Trust takes a supportive approach in managing sickness absence. However you should
be aware that now you have had reached stage 1 of the policy, future warnings will be
triggered by fewer absences. This means that your future employment with the Trust may be
at risk if you cannot maintain an acceptable level of attendance.
I hope that there will now be a significant improvement in both your health and attendance
level and should you at any time feel that I might be of assistance in this then please do not
hesitate to contact me. You should also be aware that you may access the Occupational
Health and Wellbeing Team (01977 605585/605586) at any time. They have a range of
Wellbeing initiatives including the Staff Counselling Service (01924 215015). Also, if you feel
there is any further support that can be reasonably provided, please discuss this with me.
Your attendance will also be reviewed on a three of four monthly basis over the next 12
months and the next review will be on INCLUDE A REVIEW DATE FOR 3 TO 4 MONTHS
TIME HERE.
Finally, I trust that this letter is a brief but accurate summary of the interview but if you do not
believe this to be the case, then please contact me.
Yours sincerely
LINE MANAGER
TITLE
Encl: Sickness Absence Policy
cc
Personal file
Please delete/amend as appropriate
APPENDIX 11
Letter Outlining the Invitation to Attend the First Formal Meeting (Stage 2)
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
ACTION: ARRANGE THE STAGE 2 MEETING GIVING THE MEMBER OF STAFF FIVE WORKING
DAYS NOTICE. THE MEETING IS TAKEN BY THE LINE MANAGER
Dear
SICKNESS ABSENCE POLICY- FIRST FORMAL MEETING (STAGE 2)
I am writing following our previous discussions about your sickness absence from work. We met
informally at Stage 1 of the Sickness Absence Policy and I outlined that your level of sickness absence
had triggered that meeting. We discussed the importance of reducing the level of your sickness
absence and you were aware that further absences could trigger the next Stage of the Policy.
As your sickness absence is still causing concern it has triggered Stage 2 the First Formal Meeting
under the Sickness Absence Policy. I should like you to attend a meeting with me on *(enter day, time
and venue) so that we may discuss your sickness absence more fully.
At the meeting I wish to discuss with you, your current level of sickness absence which now amounts
to *(enter number) of days sickness absence on *(enter number of occasions) occasions over
*(enter number of months) [this may be the number of weeks where long spells have been
taken] months and to ensure that you are accessing and receiving all available support in helping you
address your health problems. * Enclosed is information about your absence and measures taken to
assist you.
I will be accompanied at the meeting by *(enter name of member of HR team) and you may if you
wish be accompanied by an accredited representative of your trade union, by an official employed by a
trade union, or by a fellow worker (not acting in a legal capacity).
Please contact my secretary on *(enter telephone number) to confirm your attendance at the
meeting.
Yours sincerely
LINE MANAGER
TITLE
cc
Personal file
Encl: Sickness absence information
* Please delete/amend as appropriate
APPENDIX 12
LETTER OUTLINING THE OUTCOME OF THE FIRST FORMAL MEETING (STAGE 2)
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
ENSURE THAT HIS LETTER IS SENT OUT WITHIN 10 WORKING DAYS OF THE MEETING
Dear
SICKNESS ABSENCE POLICY – OUTCOME OF THE FIRST FORMAL MEETING (STAGE 2)
I am writing with reference to the above held on *(enter date, time and venue) in the presence of
*(detail those present, staff organisation representative, if representation was declined, note
offer of representation made and declined).
At the meeting we discussed your continuing level of absence, the reason(s) for this and support made
available for you *(or refer to any action to be taken – see note below) to try to address this.
I referred to the continuing difficulties you have experienced in relation to sickness absence *(be more
specific) and that *(enter name of person) has previously *(informally) discussed with you on
*(enter date). I expressed my concerns with your continuing level of sickness absence which now
amounts to *(enter number of days/occasions/during number of months). Whilst being
sympathetic with your situation, I pointed out to you the problems this created for work colleagues, the
department and service as a whole.
Note:

If the employee has already been referred to Occupational Health refer to the content of
the report received; if there appears to be no medical explanation for the repeated
absences make reference to this.

If the employee is being referred to Occupational Health, make reference to the need to
obtain the medical adviser’s advice, which may be of assistance in addressing the
absence issue; confirm the time and date of referral and the need to review the situation
once a medical report has been obtained. If some other action is being taken confirm
what this is and for how long.

Consider Wellbeing initiatives
In view of your continuing sickness record, you are being issued with a first formal warning
under the Trust’s Sickness Absence Policy. It will be placed on your file for a period of 12
months, if you have a clear period without absence over this time the warning will be
disregarded. I informed you that your attendance record will continue to be monitored over
the next 12 months and formally reviewed again on a 3 to 4 monthly basis. The next review
will be on (date) (unless an earlier review becomes appropriate).
*(Detail any agreements reached regarding management assistance to overcome
underlying health issues. Also if the member of staff indicated that no underlying
health problem exists, or that there is no reason for the absence to continue, record
this.
We also discussed your future attendance and that the following trigger points will apply:
Invoking a formal sickness meeting (Stage 3) to a Senior Manager which are:



A further two episodes of absence in a 12 month period.
A continued pattern of sickness.
A further episode of two weeks sickness in the next 12 month period.
The Trust takes a supportive approach in managing sickness absence. However you should
be aware that now you have had reached Stage 2 of the policy, future warnings will be
triggered with fewer absences. This means that your future employment with the Trust may
be at risk if your absences continue at the same level as in the past.
I hope that there will now be a significant improvement in both your health and attendance
level and should you at any time feel that I might be of assistance in this then please do not
hesitate to contact me. You should also be aware that you may access the Occupational
Health and Wellbeing Team (01977 605585/605586) at any time. They have a range of
Wellbeing initiatives including the Staff Counselling Service (01924 215015). Also, if you feel
there is any further support that can be reasonably provided, please discuss this with me.
Finally, I trust that this letter is a brief but accurate summary of the interview but if you do not
believe this to be the case, then please contact me.
If you wish to appeal against this warning, you should write to (*include the name, job title
and address of the next level of manager) within 5 working days of the date of this letter.
Yours sincerely
NAME
LINE MANAGER
TITLE
cc
Personal file
Human Resources Adviser
Next level of manager, name and title
* Please delete/amend as appropriate
APPENDIX 13
INVITE LETTER TO STAGE 3 FOLLOWING CONCERNS RAISED AT THE SCHEDULED 3
TO 4 MONTHLY MEETING, OR WHERE A TRIGGER POINT HAS BEEN EXCEEDED
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
ACTION: ARRANGE MEETING AND GIVE THE MEMBER OF STAFF FIVE WORKING DAYS
NOTICE. THE MEETING IS TAKEN BY THE SENIOR (NOT THE LINE) MANAGER
Dear
SICKNESS ABSENCE POLICY - SECOND FORMAL MEETING (STAGE 3)
At your last meeting with your manager (ADD NAME) where your levels of sickness absence were
discussed (include date and time of meeting) your manager (ADD NAME) believed that you had
now triggered the next stage (Stage 3) of the Sickness Absence Policy.
As a result I am writing to inform you that you are required to attend a meeting with me as this requires
a more Senior Manager to take the meeting. This indicates that your level of your sickness absence is
now at a more serious stage and it enables me to review your sickness absence and the actions that
have been taken so far, in assisting you reduce your levels of sickness absence.
I should therefore like you to attend the meeting on *(enter date, time and venue) so that we can
discuss your sickness absence more fully.
At the meeting I wish to discuss with you, your current level of sickness absence which now amounts
to *(enter number) of days sickness absence on *(enter number of occasions) occasions over
*(enter number of months) [this may be the number of weeks where long spells have been taken]
months and to ensure that you are accessing and receiving all available support in helping you
address concerns about your health. Enclosed is information about your absence and measures
taken to assist you.
I will be accompanied at the meeting by *(enter name of member of HR team) and you may if you
wish be accompanied by an accredited representative of your trade union, by an official employed by a
trade union, or by a fellow worker (not acting in a legal capacity). You should however also be aware
that the outcome could also result in a further warning.
Please contact my secretary on *(enter telephone number) to confirm your attendance at the
meeting.
Yours sincerely
NAME
SENIOR MANAGER – (See Appendix 2 of the Sickness absence Policy re the level of authority)
Encl: Relevant documents regarding absence
cc
Personal file
Human Resources Adviser
Name and title (Line Manager)
* Please amend as appropriate
APPENDIX 14
OUTCOME LETTER FROM THE SENIOR MANAGER (STAGE 3)
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
THIS LETTER MUST BE SENT OUT TO THE EMPLOYEE WITHIN 10 DAYS OF THE
MEETING
Dear
SICKNESS ABSENCE POLICY – OUTCOME OF THE SECOND FORMAL MEETING
(STAGE 3)
I am writing to confirm the outcome of our meeting on *(enter date, time and venue) in the
presence of *(detail those present, if representation was declined, note the offer of
representation made and declined), where we discussed concerns regarding your
continuing level of sickness absence.
I referred to your meetings with your line manager (name) including the meeting held on
*(enter date of second stage interview) where you had been advised that your attendance
at work would be monitored for 12 months. During this time it was hoped there would be a
significant improvement in your level of attendance at work.
Unfortunately however, your attendance has not improved and you have exceeded the
triggers/criteria set out in the previous warning letter. I draw your attention to the Trust’s
Sickness Absence Policy again and the importance of acceptable levels of attendance.
http://nww.swyt.nhs.uk/docs/Documents/925.pdf.
Your general state of health has been reviewed by the Occupational Health Physician and we
discussed the content of the report(s) received. *(If there appears to be no medical
explanations for the repeated absence make reference to this. Consider if a re-referral
to Occupational Health for more up to date advice may be appropriate. Refer to any
measures introduced to help address the absence problem).
While I am concerned about your general health and hope that it does improve, I am also
concerned about the impact your continuing absences are having on the provision of services
and the people you work with.
I therefore, have to warn you that unless there is a significant and sustained improvement in
your attendance at work, further absences could lead to a Stage 4 Meeting which could lead
to the termination of your employment with the Trust.
Such a recommendation would be on the grounds that you are not capable of fulfilling the
requirements of your contract of employment by maintaining regular attendance at work,
which is a reasonable expectation on the part of the Trust.
A final formal attendance warning will now be placed on your file for a period of 12 months.
During this time the following triggers will lead to you a Stage 4 Meeting



A further two episodes of absence in a 12 month period.
A continued pattern of sickness.
A further episode of two weeks sickness in the next 12 month period.
I very much hope that we do not reach this stage, but I have to advise you that your
attendance at work will continue to be regularly reviewed every 3 to 4 months by your
manager (name). INCLUDE THE REVIEW DATE.
I trust that this letter is a brief but accurate summary of our meeting but if you do not believe
this to be the case please contact me.
You should also be aware that you may access the Occupational Health and Wellbeing Team
(01977 605585/605586) at any time. They have a range of Wellbeing initiatives including the
Staff Counselling Service (01924 215015).
If you wish to appeal against this warning, you should write to (*include the name, job title
and address of the next level of manager) within 5 working days of the date of this letter.
Finally, I hope your health improves and should you, at any time, feel that I might be of
assistance in this matter, please do not hesitate to contact me.
Yours sincerely
NAME OF SENIOR MANAGER – (See Appendix 2 of the Sickness Absence Policy re the
level of Authority)
cc
Personal file
Human Resources Adviser
Name and title (Line Manager)
* Please delete
APPENDIX 15
LETTER FOLLOWING CONCERNS RAISED AT THE SCHEDULED 3 TO 4 MONTHLY
MEETING, OR WHERE A TRIGGER POINT HAS BEEN EXCEEDED
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
ACTION: ARRANGE MEETING AND GIVE THE MEMBER OF STAFF FIVE WORKING DAYS
NOTICE. THE MEETING IS TAKEN BY THE SENIOR (NOT THE LINE) MANAGER
THE MEMBER OF STAFF MUST BE GIVEN FIVE WORKING DAYS NOTICE OF THIS MEETING
AND A COPY OF THE MANAGEMENT REPORT
Dear
SICKNESS ABSENCE POLICY SECOND FORMAL MEETING (STAGE 3)
I have been informed by your line manager (ADD NAME) that at your last scheduled meeting on
(include date and time of meeting) you discussed your sickness absence levels and your manager
(ADD NAME) was concerned that you had now triggered the next stage of the Sickness Absence
Policy.
Your level of sickness absence has now triggered the Final Formal Meeting under Stage 4 of the
Sickness Absence Policy.
I should therefore like you to attend the meeting on *(enter date, time
and venue) so that we can discuss your level of attendance more fully.
At the meeting I wish to discuss with you, your current level of sickness absence which now amounts
to *(enter number) of days sickness absence on *(enter number of occasions) occasions over
*(enter number of months) [this may be the number of weeks where long spells have been taken]
months and to ensure that this is an accurate record of the situation. I am also enclosing the
management report regarding your sickness absence.
I would like to ensure that you are accessing and receiving appropriate support to help you address
the concerns about your sickness absence. As you are aware from the warning at the last Stage of
the Policy, the outcome could also result in your dismissal
I will be accompanied at the meeting by *(enter name of member of HR team) and you may if you
wish be accompanied by an accredited representative of your trade union, by an official employed by a
trade union, or by a fellow worker (not acting in a legal capacity).
Please contact my secretary on *(enter telephone number) to confirm your attendance at the
meeting.
Yours sincerely
NAME
SENIOR MANAGER – (See Appendix 2 of the Sickness absence Policy re the level of authority)
Encl: Management Report
cc
Personal file
Human Resources Adviser
Name and title (Line Manager)
* Please delete
APPENDIX 16
LETTER FOLLOWING STAGE 4 CONFIRMING DISMISSAL ON THE GROUNDS OF
CAPABILITY
Dear
SICKNESS ABSENCE – TERMINATION OF EMPLOYMENT
NOTE. THIS LETTER SHOULD NOT BE SENT WITHOUT A PRIOR HEARING TAKING PLACE
AND SUPPORT FROM AN HR ADVISER
Further to our meeting on *(enter date) in the presence of *(detail those present), when you were
represented by *(enter name of representative).
I am now writing with regard to your sickness record referred to in previous letters to you dated *(enter
dates of letters), which warned you of the possible consequences, if your level of attendance did not
improve. As you know, your attendance at work has been monitored *(enter number of months and
dates from & to).
Unfortunately during this time there has been no substantial improvement in your level of attendance,
your absence being *(enter number of days) days over the last 12 months.
It was therefore, regretfully decided that your employment with the Trust should be terminated on the
grounds of incapability, due to ill health, this being effective from *(enter date).
With effect from the above date you will receive *(enter number of weeks) weeks payment in lieu of
notice at full pay in accordance with the terms of your contract.
Your notice paid will be adjusted to take into account any annual leave over taken or payment for
annual leave due as appropriate.
These payments will be made direct to you.
You have the right to appeal against this decision, should you elect to appeal you should do so in
writing, to the Director of Human Resources and Workforce Development, Trust Headquarters,
Fieldhead, Ouchthorpe Lane, Wakefield, WF1 3SP, within twenty-one days of the date of this letter.
Yours sincerely
NAME
SENIOR MANAGER – (See Appendix 2 of the Sickness absence Policy re the level of authority)
cc
Personal file
Human Resources Adviser
* please delete
APPENDIX 17
Letter Acknowledging Receipt of Fit Note and Keeping in Touch with their Employee
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
Dear
Thank you for forwarding me your fit note dated *(enter date of fit note) covering you for
*(enter number of weeks).
Note. If fit notes are not being provided on a timely consecutive basis make reference
to the need for this or payment may be affected.
I am sorry to learn that you are still unwell and unable to attend for work in the immediate
future. I hope that your health improves and that you are receiving appropriate care and
assistance.
I will continue to monitor your absence and will contact you again if you are not able to return
to work in the near future.
If meanwhile, I can be of assistance, please do not hesitate to contact me. You should also
be aware that you may access the Staff Counselling Service or the Occupational Health
department, at any time, should you feel it may be of assistance to you *(omit if
inappropriate).
Note. If the staff counselling service may be of benefit advise the individual of how they
may access this service.
Yours sincerely
NAME
TITLE
cc
Personal file
Human Resources Adviser
* Please amend as appropriate
APPENDIX 18
Arranging to Meet Regarding Long Term Sickness Absence
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
Dear
I write to advise you that following your recent referral to Occupational Health on *(enter
date).
I have now received a medical report. I would like to meet with you to discuss the report and
to explore any other options that may be available to you. I would therefore be grateful if you
would attend a meeting with me on*(enter time, date and venue)
I will be accompanied at the meeting by *(name of accompanying person). You may be
accompanied at the meeting by an accredited staff side representative, or a friend or work
colleague (who is not acting in a professional capacity), if you so wish.
If your medical condition makes it difficult for you to attend the meeting then I am more than
happy to visit you at home.
On a less formal note, I do hope you are feeling much better than when we last spoke.
I would be grateful if you would contact my secretary on *(enter telephone number) to
confirm attendance at the meeting or to arrange when a home visit would be convenient for
you.
Yours sincerely
NAME
TITLE
cc
Personal file
Human Resources Adviser
* Please amend as appropriate
APPENDIX 19
Long Term Sickness Progress Letter
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
Dear
I am sorry that you are experiencing continued health problems, which prevent you from
returning to work and I hope your health improves in the future.
I am writing to advise you that your entitlement to full sick pay expires on *(enter date). After
this date you will continue to receive sick pay which will be paid at half the normal rate, for a
period which will end no later than *(enter date). After 28 weeks your Statutory Sick Pay is no
longer be paid by the Trust and you should contact the Government’s Department for Work
and Pensions for advice. Note. Manager’s should be aware that if the absence was
caused by an industrial injury (ie an injury connected with work), then the above will
not be correct. Advice should be sought from your Human Resources Adviser and/or
Payroll regarding current pay entitlement before advising the individual.
As your absence has lasted for sometime, I propose that we review your progress and discuss
options for the future. As a first step, I would like you to see the Occupational Health
Physician, so that you can discuss your condition in confidence with him. The Occupational
Health Physician will make a report to me indicating when you are likely to be able to return to
work. I have made an appointment for you to see the Occupational Health Physician on
*(enter date) at *(enter time) at the Occupational Health Department which is situation at
*(enter address).
Note. If a referral to OH has already taken place a review meeting may be more
appropriate at this time. If access to the staff counselling service may help remind
individual of how to access this service.
If you are not able to keep this appointment, you should contact the Occupational Health
Department on *(enter telephone number) and arrange an alternative appointment.
When I have received the Occupational Health Physician’s report, I will contact you again with
a view to us meeting to discuss this and your future employment and other options available.
If in the meantime I can be of assistance please do not hesitate to contact me.
Yours sincerely
NAME
TITLE
cc
Personal file
Human Resources Adviser
* please amend as appropriate
APPENDIX 20
Ill Health Resignation Letter
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
Dear
ILL HEALTH RESIGNATION – NHS PENSION SCHEME APPLICATION
Further to our discussion on *(enter date) in the presence of *(list those present, if
representation is declined note the offer made and declined), I am now formally writing to
confirm the outcome of our discussions. Your sickness absence record referred to in previous
letters dated *(list dates) has not substantially improved being *(list number of days) days
over the last 12 months. As a result you confirmed that you were no longer able to fulfil your
contract of employment and wished to resign from service on the grounds of ill health and
asked to make an application for NHS Pension Scheme benefits.
I have therefore asked the Trust’s Pensions Manager to contact you so that an application can
be made to the Pensions Division at Fleetwood, Lancashire.
The Pensions Manager will contact you to advise you if your application has been accepted or
not and to confirm your final date of service.
It is regretted that your sickness absence record has necessitated this action. I would
however like to take this opportunity to **thank you for your service at *(enter location), and
to wish you improved health in the future.
Yours sincerely
NAME
GENERAL MANAGER/ASSISTANT DIRECTOR *(AS APPROPRIATE)
cc
Personal file
Human Resources Adviser
Pensions Manager
* Please amend as appropriate
** It is less appropriate to thank members of staff at this stage, as the Pensions Agency may
not approve the pension. Managers should therefore ideally omit this sentence and send a
separate letter to the individual, thanking them for their service, once their pension application
has been agreed.
APPENDIX 21
Personal and Confidential
Tel:
Fax:
Ref:
@swyt.nhs.uk
Date
Letter Terminating an Employee’s Employment on the Grounds of their Incapacity
THIS LETTER WILL NEED ADAPTING DEPENDING ON WHETHER THE MEMBER OF
STAFF WAS SEEN BY THEIR MANAGER (WHO DOES NOT HAVE THE AUTHORITY TO
DISMISS AND CAN ONLY RECOMMEND DISMISSAL), OR BY A SENIOR MANAGER WHO
DOES HAVE THE AUTHORITY TO DISMISS
Dear
I am writing to confirm that following the meeting with you on *(enter date) in the presence of
*(list those present), a recommendation has now been made to me by *(enter name of
manager) that your employment with the Trust be terminated on the grounds of your
incapacity, due to ill health…. Note the manager may want to express sadness at
receiving this news particularly if this is a member of staff well known to them however,
I understand that you are in agreement with this course of action INCLUDE WHERE THIS IS
THE CASE.
Include a summary of the dismissal meeting, including options discussed, steps taken so far
etc
Having reviewed your circumstances in the light of the reports provided by the Occupational
Health Physician, and following the discussions with you, I am confirming that I accept this
recommendation and therefore my decision to terminate your employment as (enter post
title) with effect from *(enter date of meeting). However, your effective date of termination
will be *(enter date notice expires) following the expiration of your notice period. Note this
will be different if pay in lieu of notice is given.
I have notified the Payroll Manager that your last day of employment will be, *(enter date) and
that you should receive appropriate payments for:
(enter number)
Weeks paid notice
(enter number)
Days annual leave on termination
Should you remain unhappy with the decision following your meeting with me and wish to
appeal against my decision, you should write to the Director of Human Resources and
Workforce Development, Trust Headquarters, Fieldhead, Ouchthorpe Lane, Wakefield, WF1
3SP, within seven working days of the date of this letter indicating the reasons upon which
your appeal is based.
Finally, may I take this opportunity to thank you for your contribution to the department over
the past years and hope that you will soon be enjoying improved health which will enable you
to successfully adapt to your new circumstances. Note the manager may want to put a
more personal message depending upon the relationship with the individual.
Yours sincerely
NAME
GENERAL MANAGER/ASSISTANT DIRECTOR *(AS APPROPRIATE)
cc
Personal file
Human Resources Adviser
Payroll Manager
* Please amend as appropriate