QUEEN’S UNIVERSITY BELFAST
Sickness Absence Procedure
1.
2
Introduction
1.1
The University recognises that, from time to time, employees will not be able to
attend work due to sickness. It undertakes to ensure that such employees will
be appropriately supported to enable them to return to work as soon as
possible. The University also recognises that high levels of absence will tend
to increase the workload on other members of staff who are covering for absent
colleagues and will have a detrimental effect on service provision.
1.2
The purpose of this procedure is to provide a consistent, fair and effective
process for managing all absences from work due to sickness.
Sickness Notification Procedures
2.1
The employee must report all sickness absences to the relevant line
manager/supervisor or nominee and only in exceptional circumstances should
a message be left with a person other than these. In exceptional circumstances
e.g. when an employee is hospitalised or too unwell and the employee is unable
to contact the line manager, the employee can nominate another person to do
so on their behalf.
2.2
On the first day of absence all employees (or exceptionally their representative)
must contact their supervisor within 1 hour of their expected starting time, to
advise of absence, giving the reason for absence and if possible an indication
of how long the absence is likely to last and details of any outstanding work
commitments
which
need
to
be
attended
to.
2.3
Managers or their nominee will record the absence.
2.4
The employee must keep in reasonably regular contact with the line manager
or nominee throughout the period of absence, but specifically should contact
the line manager or nominee again on the fourth working day of absence to
advise of any likely return to work date.
2.5
If an employee returns to work before the eighth consecutive calendar day
he/she must self-certify the absence by completing a return to work pro-forma,
Sickness Absence Form (Annex 1). The form will normally be completed during
the return to work meeting. For any period of absence in excess of 7
consecutive days, an employee must furnish a medical certificate but must also,
on return from sick leave complete the return to work notification form to selfcertify the first 7 days of absence.
2.6
The Sickness Absence Form (SAF), when signed, and medical certificates,
when received, should be immediately sent to the School's/Directorates
reporting officer, who will enter the sickness absence on the University's online attendance management recording system. The reporting officer will
immediately copy and then forward the original medical certificates to the
Payroll Manager to avoid any delay in payment. The Sickness Absence Forms
(SAF) are retained locally.
2.7
In the event of absence resulting from an injury or disease attributable to
University employment, employees must report this to their line manager who
will, if appropriate, arrange an appointment with the University's Occupational
Health Physician and make the necessary reports to the Safety Office.
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3.
2.8
Where an employee has been absent in excess of 6 weeks, they must give
reasonable notice of their expected return to work date. This will normally be 2
weeks’ notice prior to the date of return.
2.9
In normal circumstances an employee cannot commence a period of holiday
leave immediately following a period of sickness absence unless previously
booked.
2.10
If an employee is sick during a period of holiday leave, they will be regarded as
being on sick leave from the date specified on any medical certificate. They
may take the balance of their leave at a later date, on return to work, in
accordance with the Accrual and Carry Over of Holidays and Other Leave
(http://www.qub.ac.uk/pers/policies.htm).
Sickness Absence – General Principles
3.1
The University undertakes to ensure that as far as it is reasonably practicable
to do so, it will endeavour to minimise absences by:
-
-
Ensuring that workplace Health and Safety standards are maintained;
Ensuring that, should business needs allow, individual needs arising from
medical opinion (e.g. part-time, flexible working, temporarily or permanently
adjusted duties or redeployment) may be accommodated - in full or part in
line with the University’s Work Life Balance Procedures.
Providing all employees with appropriate training and guidance particularly
during probationary periods;
3.2
Employees are expected to attend for work regularly at the times required and,
as far as is reasonably practicable, to minimise absence from work and to keep
in reasonable contact with the University throughout any period of sickness
absence.
3.3
This policy will operate within the requirements of the Disability Discrimination
Act 1995. Where an employee has a disability, any reasonable adjustment to
accommodate this person e.g. adjustments to premises, alteration of working
hours, acquiring modified equipment, provision of training, will be made to
ensure regular attendance at work.
3.4
Absence from work due to illness is not treated as misconduct unless there is
evidence to show that there is no underlying medical condition which has
resulted in the absences. If at any stage of the following procedure, the
University suspects that the employee's reasons for failing to attend work are
false, then the matter will be referred for investigation using the appropriate
disciplinary procedure.
3.5
If an employee's attendance pattern is such that it can be reasonably assumed
that there is deliberate abuse or manipulation of the University's absence
procedure or sickness payment entitlements then that matter may also be
treated as misconduct and investigated appropriately. For example:
-
a pattern of sickness absence that maximises pay or enhancement
entitlements;
a regular pattern of absence immediately following public or recognised
holidays or weekends;
a pattern of absence that coincides with certain events;
a pattern of absence that is designed to frustrate the University's threshold
levels/warning systems (see section 4 below).
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3.6
If the reason for absence is work-related, then consideration should be given to
an immediate meeting between the line manager and member of staff, or if more
appropriate, an immediate referral to the Occupational Health Physician,
depending upon the nature of the illness or injury (e.g. work related stress or
injury/accident at work).
Where the absence is as a consequence of an accident at work, the employee
should ensure that their management is informed of the accident as soon as
possible, even if they remain off work.
4.
3.7
If an employee states, or a manager has reasonable grounds to suspect, that
sickness absence is attributable to reasons which are not wholly medical, then
the employee will be referred for appropriate counselling or support or to the
appropriate University procedures e.g. Drug and Alcohol Counselling, Family
Friendly Policies, Grievance procedure etc.
3.8
Medical certificates and information on the medical reasons for absence should
be treated in a confidential manner. Such records should be stored and
accessible only to those designated reporting officers and the relevant line
managers.
3.9
The employee has the right to be represented by their trade union
representative or University colleague throughout the application of the formal
procedure from stage 2 onwards.
Sickness Absence Procedure
It is essential that all sickness absence is notified in accordance with section 2 and is
reported, in a timely manner, by the staff member in accordance with the procedure
below and recorded by the Line Manager (or nominee) for monitoring purposes.
4.1
Short-Term Absences (First Stage)
Short-term absences are defined as those which cumulatively last for less than
20 working days within a rolling 12 month period. In considering an employee’s
record of absence, account will be taken of the reason and pattern as well as
the total amount of sickness absence.
It is critical that managers monitor attendance on a regular basis (at least
monthly) and undertake a return to work meeting/interview after each period of
absence and complete the pro-forma (Annex 1).
The manager shall review absence levels on a more formal basis when, in any
12 month rolling period, a threshold index of 45 is exceeded.
Example 1
5 days + 5 days + 5 days = 15 days x 3 occasions of absence = 45 (on threshold)
Example 2
1 day + 1 day + 1 day + 1 day + 1 day + 1 day + 1 day = 7 days x 7 occasions
of absence = 49 ( above threshold of 45)
Example 3
3 days + 2 days + 3 days = 8 days x 3 occasions = 24 (below threshold of 45)
In such circumstances the line manager will meet with the employee (a first
stage meeting) as soon as possible on his/her return to work in the context of
encouraging the employee to outline the reasons for absence, and medical help
Approved 16 September 2008
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being provided and identify if the University can assist in any way. The purpose
of this meeting is to encourage the staff member to improve their attendance
where there is no evidence of an underlying medical condition. The employee
will be advised of the possibility of referral to the Occupational Health Physician.
Following this meeting the pro-forma (Annex 2) must be completed and lodged
with the Personnel Department. This will list the main points covered and will
also provide details of any assistance offered and any period over which a
reasonable improvement may be expected. The employee’s attendance record
will be kept under review.
4.2
Persistent Short-Term Absences (Second Stage)
Normally, following the First Stage meeting, absences totalling 7 working days
or more, in the next 12 month period will be defined as persistent short-term
absence.
Where such absences occur the line manager will meet the employee in a
formal interview. The employee is entitled to have a trade union representative
or work colleague in attendance. Again this interview should be held in the
context of a welfare and supportive discussion, and at this stage the employee
will normally be referred to the Occupational Health Physician. It may also be
necessary to request a medical report from the employee’s GP and/or
specialist.
From the Second Stage (Persistent short-term absences) of this procedure
employees will be afforded the right to be accompanied by a work colleague or
trade union representative and the line manager may be accompanied by
another member of management.
4.3
Non-Improvement/Final Review
If, after a further period, and having regard to the nature of the illness, there is
still cause for concern in that the employee’s attendance record does not show
a sustained improvement, the line manager, together with a Personnel
representative, should meet with the employee and their trade union
representative or work colleague. At this stage a further report should be
obtained from the Occupational Health Physician.
Following receipt of the Occupational Health Physician’s report the following
options will be considered taking into account the views of the Occupational
Health Physician:
(i)
If the sickness absences are due to an underlying medical condition
consideration will be given for the termination of employment on the
grounds of the employee’s inability to properly discharge his/her duties
due to medical incapacity having regard to the medical information
available.
(ii)
If the absences are not for an underlying medical condition, this will be
regarded as the inability to provide a regular and sustained attendance
at work and may result in dismissal.
For those staff covered by the University Statutes, the Incapacity on Health
Grounds Regulation will apply. This Regulation at paragraph 3 refers to the
agreed sickness absence procedure being applied and consideration by the
Absence Review Panel. This Panel will be constituted on the same basis as
that set out below.
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For staff not covered by the University Statute an Absence Review Panel will
be constituted to consider the termination of the staff member's employment.
This Panel will comprise:
-
-
Director/Pro-Vice-Chancellor for the area unless previously involved in the
case, in such circumstances a Director/Pro-Vice-Chancellor from a
different area will be nominated;
Line Manager/Head of School, not previously involved in the case;
Personnel representative, not previously involved in the case.
The Absence Review Panel will consider all the relevant evidence including
relevant medical reports and meet with the employee and their trade union
representative or University colleague and determine whether dismissal is
appropriate.
A decision to terminate employment on grounds of medical incapacity does not
automatically qualify an employee for release of pension entitlements where the
employee is a member of an occupational health scheme. Applications for
employees to retire on grounds of permanent ill-health or infirmity require the
separate approval of the trustees of USS/RBP. The University cannot enter
into any prior commitment to allow an employee to retire early on ill-health
grounds.
Termination of employment on the above grounds constitutes a dismissal. In
such cases the employee will be entitled to notice (contractual or statutory
whichever is greater) of termination of his/her employment.
4.4
Appeals
If a member of staff (Statute) wishes to appeal the decision to terminate his/her
employment, then he/she should do so in accordance with the Appeals Process
of
the
Regulations
covering
incapacity
on
Health
Grounds
(www.qub.ac.uk/pers/policies/policies).
If the member of staff (non-Statute) wishes to appeal against the decision of the
Absence Review Panel, he or she, may do so by writing to the Director of
Human Resources within ten working days of the date of notification of the
Panel’s decision, setting out in full the grounds for appeal. A late appeal may
be considered if the Director of Human Resources considers there to be good
reason for the delay.
On receipt of an appeal the Director of Human Resources will establish and
convene an appropriately constituted Appeal Panel. The Appeal Panel shall
comprise:
(i)
(ii)
(iii)
Director/Pro-Vice-Chancellor (not previously involved in the case)
Line Manager/Head of School (not previously involved in the case)
Personnel Representative (not previously involved in the case)
Where the grounds of the appeal are not clear the Panel may ask for written
clarification.
The Director of Human Resources office will make arrangements for an appeal
hearing. The member of staff will be notified in writing of the date of the appeal
hearing, with at least 5 working days notice being given. The member of staff
will also be notified of their right to be represented or assisted by a
representative of a recognised trade union or University colleague. The hearing
of the appeal should normally take place within 20 working days of the receipt
of the appeal by the Director of Human Resources.
In exceptional
circumstances or by mutual agreement, this period may be extended.
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The decision of the Appeal Panel shall be final.
5.
Long Term Sickness
5.1
Long Term Absences
The circumstances that give rise to an absence of this type are usually quite
different to those causing short-term absence. This is defined as illness or injury
which is likely to result in an absence from work of at least 4 weeks (20 working
days) or which could result in an employee being unable to return to work.
Any employee who has been absent on certified sick leave for more than 4
weeks continuously should be contacted by his/her line manager to ascertain
his/her progress and to determine whether there is any practical assistance
which can be given.
This should be done in the context of genuine welfare assistance and there
should not be any sense of intrusion into private matters or pressure concerning
the employee’s return to work.
Home and hospital visits will only take place by agreement with the employee
and will be at a mutually convenient time. The employee can alternatively agree
arrangements to meet at a suitable alternative venue.
If the sickness lasts, or is expected to last, for 6 weeks or more, it may be
necessary to arrange a medical examination through referral to the
Occupational Health Physician. It may also be necessary to request a medical
report from the employee’s GP or the Occupational Health Physician with the
consent of the employee.
Following the medical examination, the Line Manager, or nominee, will consider
what subsequent action is necessary, based on the medical report(s) and the
totality of the absence record. This may include progression in stages (First
Stage, Second Stage and Non-Improvement/Final Review) as previously
outlined under Short-Term Absences.
5.2
Return to Work
For those returning to work after long-term sickness absence a return to work
interview will be held between the employee and his/her line manager. This
interview will be recorded using Annex 2 and will be used to welcome the
employee back to work. The interview should cover any changes within the
employee’s work area since his/her absence commenced.
If any problems of a major nature are perceived (eg employee not fully fit) this
should be recorded as above and the University may require attendance for
medical assessment.
A phased return to work may be considered to allow the employee a period of
rehabilitation into the workplace. This will be agreed on full or pro-rata payment
and advised to the employee.
5.3
Incomplete Recovery
If the employee is unlikely to recover sufficiently to enable a return to all of
his/her previous duties, the possibility of finding alternative or a reduced level of
work must be considered. All reasonable steps should be taken to identify a job
that the employee is able to do – where appropriate with the benefit of training
and/or the making of suitable workplace adjustments (see Disability
Discrimination Act 1995).
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5.4
No Prospect of Recovery
On occasions the medical assessment might indicate that the employee will not
be able to return in the foreseeable future to his/her job. In such circumstances,
termination of employment on the grounds of the inability of the employee to
properly discharge his/her duties due to ill health must be considered.
The process and panels to deal with consideration of termination of employment
in these circumstances are those as outlined in paragraphs 4.3 and 4.4.
In considering time scales, the nature of the position held by the employee, the
necessity of replacing him/her and the feasibility of providing temporary cover
are valid factors.
Before any decision to terminate employment is put into effect the following
options will be considered:
(i)
(ii)
(iii)
5.5
redeployment to a different job;
reduction in hours; or
use of appropriate adjustments (see Disability Discrimination Act 1995).
Terminal Illness
In cases where medical assessment indicates that the employee is suffering
from a terminal illness, it would be inappropriate to embark on formal
procedures. In such circumstances it is essential for the relevant line manager
to maintain appropriate contact with the employee and/or their family.
To enable the most appropriate pension arrangements to be made line
managers are requested to inform the Pensions Office at the earliest possible
date of any employees known to be suffering from a terminal illness.
5.6
Request by an Employee to be Considered for Retirement on Grounds of
Permanent Ill Health
Where an employee makes a written request to the University to be considered
for retirement on grounds of ill-health the University will arrange for the
employee to be examined by the Occupational Health Physician and will give
the Occupational Health Physician any medical evidence submitted by the
employee in support of the request.
The ill-health retirement can only be granted if the trustees of USS/RBP approve
the application. The application will only be approved if the trustees are satisfied
that the employee meets the ill-health criteria of the scheme.
The trustees will require a medical report from an independent doctor to enable
them to assess the fitness of the employee to attend work. The employee will
be asked to sign a consent form to enable the trustees to obtain this report.
If additional medical information is required the employee will be contacted by
the pension scheme.
If an application is declined the pension schemes have formal appeals
procedures which can be followed.
If an application and any subsequent appeal are denied the University will then
consider the termination of employment on grounds of medical incapacity.
6.
Referral to Occupational Health Physician
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An employee shall, if required by the University at any time, submit to a medical
examination by the University’s Occupational Health Physician subject to the provisions
of the access to Medical Reports Act 1991 where applicable. Any costs associated
with the examination shall be met by the University. Failure to attend the examination
without reasonable explanation may result in the withholding of sick pay.
7.
Conduct During Sick Absence
The following guidelines should be observed concerning conduct and activities during
any periods of absence due to sickness or injury.
In all cases of sickness, which necessitate taking time off work, employees are
expected to do their utmost to facilitate a speedy return to work. The University would
not under normal circumstances expect employees to engage in any activity, which is
inconsistent with the nature of their condition.
The type of behaviour expected will depend on individual circumstances and the nature
of the condition. Should an employee be in any doubt regarding the appropriateness
of his/her behaviour whilst absent due to sickness he/she should consult his/her line
manager.
If the University can substantiate that an employee is undertaking activities inconsistent
with the nature of their condition, whilst on sick leave, the University may feel that it is
necessary to invoke the relevant disciplinary procedure.
8.
University Sick Pay Entitlements
8.1
Any employee absent from duty owing to illness shall be entitled to payment in
accordance with the following scale:
Full Pay
Half Pay
During the first 3 months of service
2 weeks
2 weeks
During the remaining 9 months of the
1st year of service
2 months
2 months
2nd and 3rd year of service
3 months
3 months
4th and 5th year of service
5 months
5 months
after 5th year of service
6 months
6 months
8.2
The rate of allowance and the period for which it shall be paid will be calculated
by deducting the aggregate of the periods of absence (either paid or unpaid)
due to illness during the twelve months prior to the first day of absence, from
the above entitlements.
8.3
If an employee is required by the University to be absent from duty for any
Health and Safety reason eg maternity related reasons, contact with an
infectious disease etc, the employee is entitled to receive full pay for the period
indicated by the Occupational Health Physician.
8.4
Where an employee is absent as a result of an accident where a third party is
held to be liable, then the above scale of allowances will be paid pending any
settlement of the claim against the third party. The employee must, however,
claim loss of earnings from that third party, equal to any sickness payments
paid under the above scale of allowances and repay from loss of earnings
damages, the sickness payments made by the University.
Approved 16 September 2008
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10.
8.5
An employee whose absence on account of sickness or injury is due or
attributable to his own misconduct, eg failure to adhere to a reasonable
instruction is not entitled to a University sick allowance except at the discretion
of the University
8.6
In an exceptional case, the Director of Human Resources shall have the
discretion to extend the period of sick leave on half pay beyond the period of
the employee's entitlement.
9.
Suspension on Medical Grounds
9.1
A manager may, in exceptional circumstances and in consultation with the
Personnel Manager, suspend an employee on medical grounds without
prejudice. Such a situation may arise if an employee returns to work after a
period of sickness absence and the manager has reasonable doubts about the
employees ability to safely perform the full range of duties (or the range of duties
agreed by the Occupational Health Physician prior to return to work). During
such a suspension, the employee is entitled to receive their normal rate of pay.
9.2
If it is absolutely impracticable for the line manager to consult the Personnel
Manager in advance, then the suspension should be reported to the Personnel
Manager as soon as is reasonably practicable.
Unauthorised Absence
See Code of Conduct
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STRICTLY CONFIDENTIAL
ANNEX 1
QUEEN’S UNIVERSITY BELFAST
SICKNESS ABSENCE FORM (SAF)
PART 1 - To be completed by line manager on notification of sickness absence for a member of staff absent
from work for a half day or more
DETAILS OF EMPLOYEE
Surname:
Forename:
Section/Department/School:
First day of sickness:
Staff No.
(day)
(date)
(day)
(date)
Half Day
Sickness?
YES/NO
Estimated Return Date:
Reason for Absence:
DETAILS OF LINE M ANAGER OR NOMINEE
Name:
Signed:
Date:
Time:
DETAILS OF MONITORING OFFICER
Online Record Updated?
Name:
Signed:
Yes/No
PLEASE FORWARD COPY TO MONITORING OFFICER FOR ENTRY TO ONLINE RECORD
PART 2 - To be completed by line manager and employee at return to work meeting following sickness absence
Last day of sickness
(DAY)
(DATE)
Total no. of working days absent:
Half Day
Sickness?
YES/NO
Working Days
Did you receive medical treatment from your GP or other medical
professional during your absence?
YES/NO
If yes, please state where and when:
YES/NO
Is your injury/illness work related?
If yes, please provide details:
DETAILS OF MONITORING OFFICER
Name:
Online Record Updated?
Yes/No
Signed:
DECLARATION
I declare that I have not worked during the period of sickness and that the above statement is true and accurate
to the best of my knowledge. I understand that to give false or misleading information can result in suspension
of occupational sick pay, disciplinary proceedings that may lead to dismissal
Signature
(Employee)
…………………………………………..
Date: ……………………....
Signature
(Line Manager)
…………………………………………..
Date: ………………………
PLEASE FORWARD TO THE MONITORING OFFICER FOR ENTRY TO ONLINE RECORD AND FILING.
02/12/2015
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ANNEX 2
QUEENS UNIVERSITY BELFAST
ACTION TAKEN FORM (ATF)
This form should be completed at any meeting which may result in management action under the
Sickness Absence Procedure. Normally this will be:
 Once a threshold has been reached: The form will confirm that a meeting has taken place; a
member of staff has been informed of their absence record; welfare issues have been discussed
where necessary; and will record any action to follow in light of the particular circumstances.
 On return from long absence: The form will outline issues discussed in relation to return to work
and detail as far as possible the nature and expected duration of any transitional arrangements.
 Following Review: The form will outline the issues discussed and will detail decisions made in
respect of managements action including referral to disciplinary and capability procedures.
When referral is made to Personnel, or Personnel is involved in action being taken a copy of the ATF
should be forwarded to the Personnel Office.
SECTION 1
EMPLOYEE INFORMATION
NAME:
STAFF NO:
DEPARTMENT:
SECTION 2
ACTION TAKEN
DATE OF MEETING:
REASON FOR MEETING:
THRESHOLD
LONG TERM RETURN
REVIEW
OTHER ………………………………….
SUMMARY OF DISCUSSION:
IS MEDICAL EVIDENCE/FURTHER MEDICAL EVIDENCE REQUIRED?
ACTION TO BE TAKEN:
YES/NO
NO FURTHER ACTION
MONITORING, FOLLOW UP MEETING
REFERRAL TO PERSONNEL
REFERRAL TO OCCUPATIONAL HEALTH (VIA PERSONNEL)
OTHER …………………………..
EMPLOYEE SIGNATURE:
…………………………………………
DATE: ……………………
LINE MANAGER SIGNATURE:
…………………………………………
DATE: ……………………
16 SEPTEMBER 2008
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