Model Attendance Management Policy for Teachers and ... 7... · employee’s attendance levels. 1.4 The positive and consistent management of attendance can lessen the impact of sickness

Model Attendance Management Policy for Teachers and Support Staff in Schools &

Academies

Version 1.0 Agreed 8 February 2013 Agreed via HR consultation group and recommended for adoption

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Contents

1. Introduction ........................................................................................................... 3

2. Model Policy for Attendance Management ......................................................... 4

3. Purpose .................................................................................................................. 4

4. Application of the policy ....................................................................................... 4

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1. Introduction

1.1 The school will seek to promote good health in the workforce, by means of

providing health information to employees, promoting specific & appropriate health events and initiatives in conjunction with its preferred Occupational Health provider and will actively contribute to achieving the school’s health related targets. It is the responsibility of the school’s leaders and managers to ensure the health and wellbeing of its employee’s in respect of health and safety at work.

1.2 In the interests of the whole school/academy the Governing Body is

committed to managing attendance and sickness absence. The health and wellbeing of its employee’s is essential, and it is the responsibility of the school/academy leaders to promote the effective management of absence and ill health.

1.3 The management of attendance is an essential and central part of the

leadership and management of the school and the delivery of the school’s education provision. School leaders and managers (hereafter termed ‘Managers’) will support staff who are ill or absent from school and in turn will be supported where necessary by Human Resources and an Occupational Health Provider as referred to throughout the policy. Each manager is required to monitor attendance levels and take further action as necessary when trigger points are reached and/or where there are concerns about an employee’s attendance levels.

1.4 The positive and consistent management of attendance can lessen the impact

of sickness absence on other staff, maintain continuity of school functions, and assist those who are off sick to make a successful return to work. Attendance Management cases will be conducted with respect for confidentiality and in accordance with Data Protection Act, Access to Medical Reports Act 1988 legislation.

1.5 This Model Policy has been designed for use with all employee’s in the school

including teachers, headteachers, non teaching and support staff. Unattached teachers employed by the Local Authority are covered by a similar corporate policy. Schools may choose to adopt this or another policy, according to Governing Body decision. Application of this policy will be supported by appropriate training to managers and staff.

1.6 This policy does not form part of any employee's contract of employment and it may be amended by the Governing Body at any time following consultation with recognised trade unions.

1.7 The generic terms ‘School’ and ‘Headteacher’ are used throughout for ease,

but equally signify School/Trust/Academy and Headteacher/Principal respectively.

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2. Model Policy for Attendance Management

The Governing Body of Todmorden High School adopted this policy on 22nd May 2013. The policy has been the subject of consultation with recognised trades unions. It will review it in one years time.

3. Purpose

This policy sets out the framework for the management of staff attendance within the school. The school values the contribution of its employee’s in the delivery and maintenance of quality education to its children. While recognising that employee’s may be prevented from attending work through ill health, the school has a duty to maintain delivery of education and the curriculum, minimize disruption to the provision of education and the curriculum, and maximize the use of its resources.

4. Application of the policy

4.1 This policy applies to all staff including the headteacher, all teachers, non

teaching and support staff employed by the school. Although agency workers are not directly employed, management of attendance will be agreed with the agency provider and in line with appropriate principles of this policy.

4.2 (Community, Community Special & Voluntary Controlled only) Any absence from work

resulting from work place accidents and/or violence, stress or occupational musculoskeletal problems will be reported to the Local Authority Health and Safety Team on form ACC04.

(All schools) Major injuries and diseases as defined by the Health & Safety Executive RIDDOR regulations 1995 (see www.hse.gov.uk) and/or absence over 7 days through workplace accident should be reported directly to the HSE by the school.

School Leaders should refer to the “employers” pages “What do I need to report section of the HSE website”

Further guidance on “Notification of Infectious Diseases” can also be found on the Health Protection Agency website ( see www.hpa.org.uk) in respect of the following requirement: Diseases notifiable (to Local Authority Proper Officers) under the Health Protection

(Notification) Regulations 2010

http://www.hse.gov.uk/

http://www.hpa.org.uk/

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4.3 The application of this policy is not intended to prevent or limit the normal good management practice of monitoring and consistently managing matters of attendance.

4.4 The school will deal with attendance management in a way that is non-

discriminatory and in accordance with its adopted equalities policies. Reasonable adjustments will be considered and adopted where appropriate to take account of any disabled employee in accordance with The Equality Act 2010 legislation.

4.5 Employee’s will be dealt with consistently and the attendance management

procedure applied fairly across the school. 4.6 Matters of misconduct arising as a result of attendance management

procedures, including (but not limited to) failure to report absence, failure to promptly provide certification, failure to cooperate with management in respect of Occupational Health and review meetings or other similar situations, will be dealt with under the school’s disciplinary policy.

4.7 Employee’s are expected to attend work unless unfit to do so, raise concerns

with their manager if they believe that their job is contributing to their ill health, report absence in line with stipulated requirements and ensure medical certification is provided for consecutive periods of sickness absence exceeding 7 calendar days. Failure to make contact or provide timely certification may result in management action being considered.

4.8 Employee’s are expected to inform their manager of the reason for their

sickness absence, their anticipated length of absence, any medical advice/treatment or medical appointments they have sought/intend to obtain (where appropriate) and any work commitments that may need rearranging.

4.9 Employee’s are expected to attend meetings with school management and

any Occupational Health appointments in order to enable the school to support the employee and consistently manage attendance. Where an employee fails to co-operate decisions may be taken based on the information available at the time. Unreasonable refusal to cooperate with appropriate management meetings may result in the suspension of occupational sick pay or disciplinary action being considered.

4.10 Following sickness absence a Return to Work Interview is strongly

recommended to take place. This meeting will normally take place privately between the employee and the line manager only. It will be used to welcome the employee back, ensure that there is an adequate and accurate record of the absence, appropriate certification is in place for the full duration of absence, and that the employee is fit and able to resume the full remit of their job role. The employee will be updated on work issues, and, any action identified which is required to support future attendance.

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4.11 Triggers for management review into the circumstances of the absence will

be: Short Term

3 separate occasions irrespective of total length of absence in any 3 consecutive calendar month period

100 points on the Bradford Score Formula in a rolling six month period

10 days absence in a rolling 12 month period

Any other reoccurring, recognisable pattern such as frequent absence on Friday or Monday, before or after public/school holidays, or where levels of attendance give sufficient cause for management concern

Long Term

Any absence in excess of two working weeks 4.12 Absences in excess of two working weeks or more are considered to be long

term. The line manager will consider whether it is appropriate to seek advice and/or a referral to Occupational Health at this point. On occasion it may be relevant to submit a referral prior to sickness absence where there are significant concerns about an employee’s health and the potential impact on work

4.13 In appropriate circumstances, where an employee activates any of the triggers

or fails to return as anticipated after longer term certified absence, the manager will conduct a Trigger Point Interview. This is an informal process. In the meeting actions to address and improve attendance will be identified, recorded and implemented, and appropriate support discussed with targets set for improvement as appropriate. The employee may be accompanied at this meeting by a trade union representative/official or colleague.

4.14 If after a trigger point interview the agreed period of review fails to bring about

the required level of improvement and the employee is unable to achieve and sustain an acceptable level of attendance, the matter will be dealt with via the school’s disciplinary procedure. The employee may be accompanied by a trade union representative/official or colleague at meetings convened under and where stipulated within the school’s disciplinary procedure.

4.15 A Case Review Hearing will be considered where an employee is unable to

sustain satisfactory levels of overall attendance during their employment, or, where they are unable to undertake the requirements of the post due to continuing and longer term absences. The purpose of the meeting is to consider whether there are any further actions which the school can take to support the employee in improving attendance or whether employment should be terminated. Employee’s are reminded that this is an important meeting and forms part of the formal procedure, which ultimately has the power to terminate their employment. Employee’s may be accompanied by a trade union representative/official or colleague at a Case Review Hearing.

4.16 Ill Health retirements or ill health dismissals will be pursued where medical

conditions and resulting attendance issues prevent a timely return to work.

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Model Attendance Management Process for Teachers and Support Staff in Schools &

Academies With Management Guidance


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Contents

1. Attendance Management Responsibilities ...................................................... 9

1.1 Responsibilities of all employee’s .................................................................... 9

1.2 Manager responsibilities ................................................................................. 10

2. Attendance Management Process .................................................................... 11

2.1 Notification & Reporting of Absence .............................................................. 11

2.2 Certification of Absence .................................................................................. 12

2.3 Managing Short Term Absence ....................................................................... 13

2.4 Managing Long Term Absence (Absences in excess of 2 working weeks) 15

3. Ill Health Retirement & Pensionable benefits .................................................. 17

4.1 Case Review Hearings (Where no CPI has been issued) .............................. 19

4. Ill Health Capability inc. Dismissal & Medical Redeployment ........................ 19

4.2 Medical Redeployment .................................................................................... 21

5. Decision to dismiss ............................................................................................ 21

6. Dismissal ............................................................................................................ 22

7. Appeal ................................................................................................................. 22

Appendix 1 General Principles Underlying this Process .................................... 24

Appendix 2 - Support Staff Pensionable Benefits ............................................... 26

Accrued Benefits ............................................................................................. 27

Total Incapacity Benefits (TIB) ....................................................................... 27

Notification .......................................................................................................... 27

How to deal with applications for ill health benefits ........................................ 28

Medical evidence form .................................................................................... 28

Importance of specialists ............................................................................... 28

Guidance for school managers and governors will be included in textboxes, highlighting points for consideration and how to apply the policy.

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1.1 Responsibilities of all employee’s

1.1.1 Employees are expected to:

attend work unless unfit to do so

raise concerns with their manager if they believe that their job is contributing to their ill health,

report absence in line with stipulated requirements

ensure medical certification is provided for consecutive periods of sickness absence exceeding 7 calendar days

make & maintain contact with their line manager and provide timely certification. Failure to do so may result in management action being considered

1.1.2 Employees are expected to inform their management:

of the reason for their sickness absence,

their anticipated length of absence,

any medical advice/treatment

medical appointments they have sought/intend to obtain (where appropriate) any work commitments that may need rearranging.

1.1.3 Employees are expected to attend meetings with school management and any Occupational Health appointments in order to enable the school to support the employee and consistently manage attendance. Where an employee fails to co-operate decisions may be taken, based on the information available at the time. Unreasonable refusal to cooperate with appropriate management meetings may result in the suspension of occupational sick pay or disciplinary action being considered.

1.1.4 An employee must seek professional medical advice and treatment (where appropriate) as quickly as possible and act upon this with a view to facilitating a return to work.

1.1.5 In all but exceptional cases where the circumstances are not practicable,

employees are expected to maintain contact, and communicate effectively with

1. Attendance Management Responsibilities

Where a manager is aware it may be difficult for an employee to contact them e.g. due to their working duties (pre-existing meetings/classroom teaching etc...) the manager may agree to call

the employee at a mutually agreeable time to take account of this.

Examples of non-cooperation may include (but are not limited to) where an employee has left the country or is AWOL, or where medical certification is no longer timely/forthcoming to certify non

attendance.

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their line manager throughout periods of absence. This should be via telephone to enable a meaningful conversation to take place and enable the line manager to fully understand the impact of the absence and identify any support in conjunction with the employee which may be necessary.

1.2 Manager responsibilities

The term “Manager responsibilities” refers to those people with staff management reporting & supervision responsibilities. This may include (but is not limited to) Headteachers, Deputy Head, Business Managers etc...

1.2.1 Managers have a duty/responsibility to ensure the welfare of their staff, and

should deal with matters of sickness absence promptly, sympathetically and in a confidential manner. Managers should ensure employees know who to call, the timeframe in which to report absences, and what certification is appropriate to validate the absence.

1.2.2 Managers should ensure that employees adhere to the Attendance Management

Policy.

1.2.3 Managers should monitor attendance levels within their school/department and take further action as necessary when trigger points are reached and/or where there are concerns about a staff member’s attendance level.

1.2.4 Managers should record and report all periods of sickness absence to ensure

accurate data is held around attendance levels and that staff receive appropriate payment of sick pay.

1.2.5 Managers are strongly advised to conduct and record Return to Work interviews

for all staff returning from any period of absence irrespective of length to ensure staff support, effective monitoring and consistent and appropriate management of attendance levels throughout the school.

Management discretion should be applied on a case by case basis to determine whether or not

to conduct a return to work interview. It is however recommended that such meetings are held with the intention that they will contribute towards preventing excessive levels of non-attendance.

Responsibility for contact reverts to the line manager where employees fail to make contact as previously had been agreed. The manager has a duty of care to ensure the employee is safe and

not come to any harm, and therefore where contact has been lost, the manager must take reasonable steps to re-establish contact, in the first instance by telephone, or alternatively by

writing to the employee asking them to get in contact. Copies of any correspondence should be retained on the individual HR file. If contact still cannot be made after attempts to write to the

individual, further advice should be sought from the schools HR Advisor

Managers should seek to inform staff of the appropriate procedures and their responsibilities under the Attendance Management Policy via a range of channels including staff meetings,

notice boards or inset days (where appropriate)

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1.2.6 Managers are encouraged to discuss any individual cases or concerns about specific staff members with their HR Adviser as required and make referrals to Occupational Health as appropriate.

2. Attendance Management Process

2.1 Notification & Reporting of Absence

2.1.1 Employees must take all reasonable steps to maintain contact with management

in line with the school’s specified absence reporting procedure during any period of non-attendance. They should speak to their line manager or designated contact by telephone before the normal working day begins when practicable.

SMS text and Email are not officially recognised as acceptable methods for

notification of absence, except with prior agreement of the Line Manager/Headteacher/Governors.

2.1.2 Employees are required to report sickness absence, by the following calendar days (irrespective of when they should have been working) before the start of their duties:

- Day One

- Day Four,(or earlier if unable to return on anticipated day of return to work) and

- Day Eight (when a doctors certificate is required), and,

- Any other date specified by management, and,

- Last working day before medical certificate expires

2.1.3 In the case of longer term absence it is the duty of both the employee and the manager to stay in touch and agree mutual contact. In the first instance the responsibility to report their continuing absence lies with the employee; however where the employee fails to make contact at the agreed time, then responsibility reverts to the line manager.

2.1.4 The level and nature of contact will vary depending on the circumstances, however, sporadic or no contact, does not serve to keep the manager up to date nor does it demonstrate duty of care towards to the employee.

2.1.5 Where it is believed that the employee may be absent due to perceived work related stress the manager should take steps to determine, sensitively, the cause or contributing factors and consider in consultation with the employee how these may be addressed. Employee’s may wish to seek support from their trade union official/representative in such circumstances.

Where SMS text or email has been used to communicate non attendance, the employee is still required to telephone their manager/designated contact within 24 hours

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2.1.6 Exceptionally, if the employee is unable to telephone in person, they must arrange for someone else to telephone on their behalf, in accordance with the above process. The employee must make direct contact with their line manager as soon as possible thereafter.

2.1.7 In the case of workplace accidents, work related stress, or absences resulting from occupational musculo-skeletal conditions, managers are advised to seek advice from the Occupational Health service and their HR Adviser on day one of absence.

2.2 Certification of Absence 2.2.1 Every absence has to be self or doctor certified to ensure prompt and correct

payment of contractual and statutory sick pay, and to ensure that accurate records are maintained. Failure to comply with the certification procedures may result in suspension of pay. A misleading or false statement may be dealt with under the school’s disciplinary procedure.

2.2.2 Medical certificates must be forwarded to the school promptly. Where a medical

certificate indicates that the employee may be fit for part of their duties, advice should be sought from the school’s HR Adviser and/or Occupational Health. Similarly, where an employee is assessed by their GP as being fit to return to work, with possible adjustments, but the school is concerned about the safety of this assessment, HR and Occupational Health advice is also recommended. In seeking a professional recommendation from its Occupational Health provider the school is advised to follow this clinical advice, which will supersede that of the GP.

It may be necessary on occasion to appoint a neutral manager to act as a designated point of contact within school, with who the employee can maintain contact and report their absence

during periods of non-attendance. This may be appropriate where the employee is absent due to work related stress, or there is a known breakdown of relationship between the two parties

concerned

Examples of such circumstances may include where an employee has been hospitalised or has been involved in a serious incident/accident.

Medical Suspension – In rare circumstances, the Headteacher/Governing Body may consider medical suspension following appropriate advice and consultation with their HR Advisor where

it is the view of the employer that the staff member is not fit to attend work. Full pay applies

during a period of medical suspension

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2.2.3 Where employee’s hold more than one job role (paid or voluntary) and exceptionally consider themselves fit to attend one job, but not another, the matter should be discussed with their manager/headteacher. A medical certificate will still be required.

2.2.4 Where there is continuing sickness absence the employee must submit to the manager concurrent medical certificates to cover the whole period of non-attendance.

2.2.5 If a manager is concerned at the frequency of absences, or the account of the

employee’s reason for absences, the employee may be required to submit medical certificates, rather than self-certificates, from their first day of absence.

2.2.6 Medical certificates will be required for the whole duration of absence (including any school closure period) in the following circumstances

- 8 or more consecutive/calendar days absence, and - Where the absence wholly precedes, or partly precedes then continues into a

period of school closure, and - The employee considers themselves fit to resume duties at a point during an

ongoing period of school closure. A doctors “fit note” must be submitted to certify that your GP considers you medically fit

2.2.7 Where an employee fails to return to their duties on their first day of work once

the school has re-opened (having being absent in accordance with 2.2.6) and reports absent for the same reason as certified prior to the school closure, concurrent medical certification will be required for the full period of school closure and the ongoing absence as notified.

2.3 Managing Short Term Absence Short Term Absence Triggers




Where a manager requests that certification be provided from day one of absence, the school

shall bear the cost of any charges invoiced by the GP for obtaining a medical certificate

In certain circumstances particularly where an employee holds more than one post it is recognised that it may be conducive to the recovery of the individual to allow them to undertake some voluntary work in rehabilitation of health. Consideration of such activities should be done on a case by case basis and it is recommended that the school seek guidance from their HR

and Occupational Health Advisors

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Managers should also note points 4.11, 4.13 and 4.14 as referred to in the Attendance Management Policy

2.3.1 Where employees have been absent on more than one occasion, they may

activate a sickness trigger. A trigger is a recognised point at which management should conduct a review of the attendance record to establish what steps if any need to be taken to support the employee and improve the individual’s attendance at work.

2.3.2 The Bradford Score Formula is an attendance management tool designed to

enable managers to identify frequent short term absence and to assist them in supporting good attendance. In the case of all triggers for intervention there will be an assessment of the reasons for absence leading to a well informed management approach. As not all staff absences are identical the Bradford score formula tool can be used to measure absences in a fair and consistent manner. The formula uses the following calculation;

Number of occasions of absence

Multiplied by Number of occasions of absence

Multiplied by Total number of working days absent

NB - (Trade Unions do not agree to Bradford Factor)

2.3.3 A trigger point interview (informal meeting) should be held where appropriate with the employee, where any of the recognised triggers have been activated to explore;

- the overall level of attendance including dates of absence - reason for absence(s) - any work related issues - agreeing remedies and support to secure future satisfactory attendance (inc.

setting targets for improvement) - a review period should be set and the employee’s attendance monitored

throughout this period

The following outcomes may apply:

advice may be sought from Occupational Health

other support mechanisms may be identified and implemented;

As is the case with all “Triggers” they serve as a prompt to management to consider what action if any needs to be taken. The Bradford factor formula or any of the other stated triggers should not be used in isolation, and should be used in conjunction with other data/information

on a case by case basis to make an informed decision.

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reasonable adjustments such as changes to the workload, work practices, work pattern or the possibility of redeployment (on medical grounds) may be identified in consultation with Occupational Health.

A further review period should be set, and a follow up meeting should be diarised to assess progress.

the employee may be required to submit a medical certificate from their GP for every future instance of absence

The line manager will write to the employee within 5 working days of the trigger point interview, confirming the points discussed and actions/outcomes identified. A copy of this letter should be placed on file. The employee will be informed of the improvement needed in his/her attendance and warned of the possible consequences if this is not achieved e.g. proceed to a case review hearing/disciplinary action.

The employee may wish to be accompanied by a trade union representative/official or colleague at this meeting.

2.3.4 If there is insufficient improvement in the employee’s attendance record thereafter, or where preventative and/or earlier management support and actions do not result in a satisfactory improvement and sustained attendance level being achieved on a longer term basis, disciplinary action may be considered. The manager should however satisfy themselves there are no underlying health issues, seeking Occupational Health advice as appropriate. In any formal process the employee should be represented by a trade union representative/official or a colleague.

2.4 Managing Long Term Absence (Absences in excess of 2 working weeks)

2.4.1 During long term absence the manager should still arrange a Trigger Point Interview with the employee (see 2.3.3 above). The Trigger Point Interview could take place at the workplace or a neutral venue. The interview should update progress, identify areas for support and determine whether any other action should be taken.

When considering whether it is appropriate to hold a trigger point interview you may wish to think about the following; Do I have copies of the Return to Work Interviews? Did the absence

occur during term time or a period of closure? What are the circumstances of the absence –are the reasons all different or could they be linked?

Managers are advised to seek HR Advice in managing long term absence unless it is clear that a return to work is imminent and where no adjustments are required in the workplace.

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2.4.2 Where an Occupational Health referral has been made, management should arrange to meet with the employee, following receipt of the report, to discuss the content. One or more of the following actions may be considered:

reasonable adjustments such as changes to the workload, work practices, work hours or work pattern may be identified and implemented, either as part of phasing the employee back to work or on a more permanent basis;


temporary or permanent redeployment to other duties (salary/grade protection does not apply);

investigations may take place into whether the employee may be eligible for ill health retirement pension benefits; and

review periods should be set.

The agreed meeting outcomes should be recorded and confirmed in writing. 2.4.3 Where it is considered that work has caused or contributed to the employee’s

illness, the issues should be fully explored by the manager and steps taken to ensure that they are addressed. Occupational Health and HR Advice should be sought as appropriate in such cases before the employee returns to work.

2.4.4 Progress will be kept under review with regular meetings/dialogue between the manager and employee.

2.4.5 As part of the long term absence management process, decisions may need to be made about the employee’s continuing employment, which could ultimately lead to the decision to dismiss the employee due to his/her incapability to undertake the job because of ill health. Where dismissal may be considered a Case Review Hearing will be convened. The employee will be informed at appropriate points where this is a possibility: in this formal process the employee

In certain cases it may be appropriate to defer arranging a trigger point interview with the employee to allow for a period of rehabilitation/recovery. In determining if this is appropriate to the case, consideration should be given such issues as;

the reason for absence

potential impact & timing of the meeting

what do you know about the health condition of the employee and how it may impact them?

Managers should exercise discretion e.g. where an employee is recuperating from a period in hospital or where regular/intensive treatment regimes may be quite exhausting/demanding. Where a health condition is particularly serious and in appropriate cases, you may agree to visit the employee at their home address.

Any underlying work related issues identified in the Occupational Health report should be discussed openly at a Trigger Point Interview using the Occupational Health report to facilitate

the discussion as appropriate, with the intention of the manager and employee seeking a mutually agreeable way forward to facilitate a swift return to work. The longer an employee

remains absent from work, the less likely a successful return to work will be achieved

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will be entitled to be accompanied by a trade union representative/official or a colleague.

Where an employee encounters serious and enduring health issues it may be possible for them be retired on health grounds. To meet the criteria for ill health retirement, the health issue must be permanent and the individual should not be able to undertake any gainful employment for at least three years, after leaving his/her employment. This requires the issue of a Certificate of Permanent Incapacity.

Employee’s may wish to seek advice from their trade union representative/official in such circumstances.

Ill Health Retirement can only reasonably be considered if the employee is permanently incapable of discharging the duties of their own or an alternative role.

3.1 A Certificate of Permanent Incapacity (CPI) may only be signed by an

Occupational Health qualified doctor. A CPI is issued if an employee is permanently unfit to carry out their role.

3.2 Depending on the ill health prognosis, a CPI may be awarded at one of two tiers

(for teachers) or one of three tiers of ill health retirement for support & non teaching staff. The assessment for a CPI is made by an Occupational Health qualified Doctor. An Occupational Health Adviser will refer relevant cases to the Occupational Health Doctor for this assessment.

3.3 On receipt of a CPI, the manager should consult their HR Adviser to obtain an

estimate of the ill health retirement pension figures, and to formally inform the Local Authority where it is the employer.

3.4 An Ill Health Retirement Meeting/Case Review Hearing should be arranged

with the employee, their manager and HR Advisor. The member of staff may be accompanied by a trade union representative/official or colleague.

The purpose of this meeting is to discuss the following possible options:

discuss the facts and impact of a CPI being issued;

the intention to agree early retirement on the grounds of ill health, and application for pensionable benefits;

medical redeployment where advised by Occupational Health

3. Ill Health Retirement & Pensionable benefits

Further details and criteria for LGPS Tiers 1-3 for support & non teaching staff can be found in Appendix 2, and for Teachers Pensions in appendix 3

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Teachers

(All schools except Academies) If early retirement on the grounds of ill health is identified as the way forward the teacher should complete and submit an application for early retirement on grounds of ill health to the Teachers Pensions Agency (TPA). The school should contact the Local Authority HR/Pension Advisor who will assess this form to ensure its full completion and that all relevant data has been provided in line with the application criteria, before passing on to the TPA. Responsibility for obtaining doctor’s and/or specialist reports will remain with the individual teacher. If ill health retirement is approved, a retirement date will then be agreed between the teacher and the school. The school should consult with their HR Advisor and inform the Local Authority where it is the employer. In the event of non-approval by the TPA to grant ill health retirement, the teacher’s position should be reviewed and the termination of the contract on grounds of ill health considered (as per 4.1 via a Case Review Hearing).

Support Staff

For support staff, if early retirement on the grounds of ill health is identified as the way forward, the school should liaise with the HR/Pensions Advisor to send a copy of the certificate of incapacity to the West Yorkshire Pension Scheme (LGPS). The school or the Local Authority (where it is the employer and upon request of the school) will issue the employee with written notice to terminate their employment. Such notice will be either contractual or statutory notice, equivalent to one week for each continuous year’s Local Government Service, up to a maximum of 12 weeks, whichever is the greater. The member of staff will be notified of their right of appeal against the decision to terminate their employment to the governing body.

Employees who are members of the LGPS can make a complaint about any decision affecting his/her pension benefits as set out in the Internal Dispute Resolution Procedure – Pension Benefits.

Ill Health Retirement Meetings should be held with teachers where an application to teachers pensions has already been made by the teacher and accepted/approved by teachers pensions.

This meeting is less formal than a Case Review Hearing, but the employee may still be accompanied by a trade union representative. The purpose of the meeting is to agree a mutual

transfer date to the pension scheme. A letter should be issued to the teacher confirming the termination and transfer date which has been mutually agreed.

Ill Health Retirement Meetings for support staff apply where they do not contest the pension

recommendation & CPI determination made by the Occupational Health physician, and where the employee is in clear agreement that they wish to access their pensionable benefits and do

not want to return to their role or be considered for re-deployment. Support staff should be issued a letter confirming the date of dismissal, rights of appeal and are entitled to receive

payment for notice of termination of their contract in line with statutory/contractual requirements.

In all other circumstances a Case Review Hearing should be called at which a formal dismissal

process will need to be followed.

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3.5 The School’s HR service will assist the manager and employee through the process and provide the required template letters. The School will issue the employee with written notice of termination of employment and transfer to pensionable benefits.

If it becomes apparent that an employee is not fit to carry out their role, an Occupational Health assessment is recommended to inform the school whether the employee would be fit for work if reasonable adjustments are applied to the role. Where reasonable adjustments cannot be applied to the role (or where they have already been applied but have failed to help the employee fulfil the role requirements) suitability for medical redeployment will be considered by the Occupational Health Adviser. A structured process should be undertaken in conjunction with Occupational Health to determine an individual’s ability to discharge the duties of their post on health grounds. The usual process to support individuals in work is as follows:

- Consideration of reasonable adjustments in the substantive role that will

enable the employee to continue in that role. - Where adjustments cannot be made, consideration of medical redeployment

on the grounds of ill health, if the employee is able to carry out duties in an alternative role and is not (usually) permanently incapacitated.

- If medical redeployment cannot be found, an assessment by Occupational Health to determine permanent incapacity (if this has not already been considered).

The decision to dismiss an employee from the service of the school on the grounds of ill health will always remain a management decision of the school and the power to dismiss is in line with the schools delegation (see section 5). This includes dismissal due to Ill Health Capability where a Certificate of Permanent Incapacity has not been issued.

4.1 Case Review Hearings (Where no CPI has been issued)

Managers should refer to 4.15 as per the Attendance Management Policy

4. Ill Health Capability inc. Dismissal & Medical Redeployment

Case Review Hearings do not need to wait for an employee to return to work. If an employee’s levels of attendance are unacceptable/unsustainable they can legitimately dismissed while absent. If the employee

is reluctant to attend for perceived health reasons, Occupational Health providers can provide an assessment as to the employee’s fitness to attend such meetings whilst off ill. If an employee fails to

without good reason or refuses to attend a Case Review Hearing the hearing should go ahead in their absence and a decision should be taken based on the evidence available to the Headteacher/Governors.

The member of staff should have been examined by an Occupational Health provider on at least one

occasion, with the resulting prognosis being uncertain and/or the estimated recovery or return to work of the member of staff being uncertain or lengthy to the extent that the school cannot reasonably be

expected to wait any longer for the member of staff to return to work.

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Case Review Hearings will be arranged in line with the decision making delegations set out in Section 5 at which dismissal on the grounds of Ill Health capability will be considered, or alternatively that the employee should either no longer work at the school or in the current role. Where the decision making body is the Governing Body, this will usually be a Staffing Committee of three governors (staff governors should not take part in these hearings or appeals).

4.1.1 The employee will be given at least 5 working days’ written notice of the intention

to hold a Case Review Hearing and informed of their right to be accompanied by a trade union representative/official or a colleague.

4.1.2 At the case review hearing the line manager will be asked to provide a

management report outlining details of the case, including any Occupational Health advice received to-date and management action or support given.

4.1.3 When reaching a decision about whether or not to terminate employment, the

Headteacher/Governors panel will consider issues such as (but not limited to):

the employee’s attendance record

the impact of the employee’s absence and ill health on other employees and service delivery;

the medical advice received;

whether redeployment is recommended by OH

whether a certificate of incapacity has been issued

financial and cost implications;

whether the employee occupies a post undertaking duties that are essential to the efficiency of the school and/or difficult to be covered by other members of staff

representations made by the employee and/or his/her representative;

what actions have been taken to attempt to enable the employee to continue in employment;

4.1.4 Where it is decided that further action or support is appropriate, objectives/targets will be confirmed in writing and the employee’s situation will continue to be monitored with a further Case Review Hearing after an appropriate time.

4.1.5 Where a decision to dismiss is made, the letter will inform the employee of notice of termination of employment, such notice being statutory or contractual (for non teaching and support staff) up to a maximum of 12 weeks whichever is greater. For teachers notice periods apply in line with burgundy book conditions. The letter will inform the employee of the right of appeal against the decision to terminate employment. The decision will be confirmed in writing within 5 days.

Medical advice and opinion are given for the purpose of assisting Headteachers and Governors in making their decision. A Certificate of Incapacity certifies that a member of staff is unfit to undertake the duties and responsibilities of their current post, but does not preclude

the possibility of redeployment

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4.2 Medical Redeployment 4.2.1 Medical redeployment is only considered where the employee is not

permanently unfit for work and has some transferable skills that could be offered in other roles within the school. It should be noted that there are no guarantees that medical redeployment will be successful and the employee will be so advised at the time of the Occupational Health assessment.

4.2.2 Medical redeployment provides a strictly time limited attempt to secure work

within the school in a role which can accommodate the health issues. Where this is not realistic or where no employment opportunities arise during the specified time period, the employee’s employment will be terminated in line with the appropriate notice periods.

4.2.3 Medical redeployment will only be considered further to recommendation from Occupational Health. A meeting should take place to review the recommendations of Occupational Health to establish suitability for alternative vacant posts and the employee’s capability to undertake the duties of the post offered.

4.2.4 The duration of the redeployment period will be confirmed in writing and respective notice given of the date when termination of employment will take place if no alternative employment is found.

4.2.5 Any offer of alternative employment made to support/non teaching staff during the redeployment period is subject to a trial period during which the suitability of the alternative employment will be established. The duration of the trial period will be the residue of the redeployment period unless a shorter period is agreed.

4.2.6 There will be no salary/grade protection in respect of redeployment to a lower graded post as part of this procedure. The terms and conditions of employment will be those relating to the new post.

For Academies/Foundation Schools, Voluntary Aided Schools Either: The power to dismiss staff in this school rests with the Governing Body

5. Decision to dismiss

For support/non teaching staff the period during which redeployment is sought is 1 week for each complete year of continuous local government service up to a maximum of 12 weeks from the

date of a Certificate of Permanent Incapacity being issued, or, the period of any remaining NJC sickness entitlement. If the NJC sickness entitlement period is shorter, then this will be the

redeployment period, however the remaining NJC sick period must not be less than a period equivalent to one week per complete year of continuous local government service.

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Or: The power to dismiss staff in this school has been delegated to the headteacher except where he/she has managed the attendance case in which case the decision sits with members of the Governing Body For Community, Voluntary Controlled, Community Special Schools The power to decide that employee’s should no longer work at this school rests with the Governing Body. Or: The power to decide that employee’s should no longer work at this school has been delegated to the headteacher except where he/she has managed the attendance case in which case the decision sits with members of the Governing Body

Where the Local Authority is the employer in the case of Community and Voluntary Controlled schools, schools have a duty to inform the Local Authority of their intention to dismiss and to request notices to be issued

Either: Once the decision to dismiss has been taken, the Governing Body (or decision maker – see section 3 above) will dismiss the employee with notice as and where appropriate, (Voluntary Aided, Academies, Foundation schools only). Or: Once the Governing Body (or decision maker – see section 3 above) has decided that the employee should no longer work at the School, the Local Authority must be informed of the decision and the reasons for it. Where an employee works solely at this school, the Local Authority must dismiss them within fourteen days of the date of the notification. Where they work in more than one school, the Local Authority must require them to cease to work at this school (Community, Voluntary Controlled, and Community Special schools only).

7.3.1 If an employee feels that a decision to dismiss them due to ill health capability is wrong or unjust, they may appeal in writing against the decision within 5 working days of the decision, clearly setting out the grounds for appeal. Appeals will be heard without unreasonable delay where possible within 10 working days and at an agreed time and place. The same arrangements for notification and right to be accompanied will apply.

7.3.2 Appeal against dismissal will be heard by a Governors’ Appeal Committee. This

will not include governors involved in the dismissal hearing (or any staff governor).

7.3.3 The employee will be informed in writing of the outcome of the appeal hearing

within 5 working days of the hearing.

In Academies, Foundation Schools, Voluntary Aided Schools and Foundation Special Schools, the

governing body is the employer but the power to dismiss can be delegated to the headteacher, to one or

more governors, or to one or more governors acting with the headteacher. In Community, Voluntary

Controlled, Community Special, and Maintained Nursery schools, the power to determine that the member

6. Dismissal

7. Appeal

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of staff should no longer work at the school can be delegated in the same way as above but it is the local

authority (as the employer) that actually dismisses staff (or – for those who work in more than one school

– requires them to cease to work at the school).

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Appendix 1 General Principles Underlying this Process

This document supports the official School’s Attendance Management Policy. The nature of this document is such that it will be subject to periodic amendments to ensure that it remains a well developed and effective management tool. Amendments will be subject to the approval of the Governing Body. Confidentiality The attendance management processes will be treated with confidentiality. However, the desire for confidentiality does not override the need for the headteacher and governing body to quality-assure the operation and effectiveness of the HR Policies. Consistency of Treatment and Fairness The Governing Body is committed to ensuring consistency of treatment and fairness and will abide by all relevant equality legislation.

Definitions Unless indicated otherwise, all references to “teacher” include the headteacher. Delegation Normal rules apply in respect of the delegation of functions by governing bodies, headteacher’s and Local Authorities. Medical Redeployment The offer of medical redeployment will be made in writing, and detail the timescale by which redeployment should be achieved, and the level of salary on offer. There will be no extension to dismissal notices issued. Redeployment to an available lower graded post on medical grounds will result in the payment of salary appropriate to the new role immediately on appointment - pay protection will not apply. Redeployment will only be considered where the available evidence suggests that the employee’s attendance in the new post will be at a satisfactory level, and there is no requirement to create a new post for the purposes of redeployment. Monitoring and Evaluation The Governing Body and headteacher will monitor the operation and effectiveness of the school’s Attendance Management Policy. Phased Return to work Where a return to work is agreed on a phased basis following Occupational Health recommendation, full pay applies during the period of the phased return i.e. the staff member will receive payment for their full contracted hours, whilst building the hours back up from a temporary reduction.

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Probation Period An employee subject to a probationary period who hits a trigger point during this period, will have their health issue assessed to ascertain if their employment is to be confirmed. In such circumstances consideration may also be given to extending the probationary period. Absence following Capability Procedures Where absence occurs in conjunction with capability procedures, managers should actively manage the case in accordance with the above process and consult with their HR Advisor and Occupational Health Service

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Appendix 2 - Support Staff Pensionable Benefits

The Local Government Pension Scheme (LGPS) in England and Wales introduced a new three tier ill health system as from 1 April 2008 for staff who are members of the LGPS and are issued with a certificate of incapacity by an approved Occupational Health Doctor. Brief details on the three tier system is explained below:

Tier 1: if the member is judged to have no reasonable prospect of being capable of obtaining gainful employment before age 65, pension benefits are payable based on accrued membership plus 100% of prospective membership between leaving and age 65.

Tier 2: if the member is judged to be incapable of obtaining gainful employment within 3 years of leaving but is likely to be capable of obtaining gainful employment before the age of 65, pension benefits are payable based on accrued membership plus 25% of prospective membership between leaving and age 65.

Tier 3: if the member is judged to be capable of obtaining gainful employment within 3 years of leaving, short-term reviewable pension benefits are payable based on accrued membership only.

Note: gainful employment means paid employment for not less than 30 hours in each week for a period of not less than 12 months. Further Information on Pension Regulations can be obtained from Pensions Section, within HR.

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Appendix 3 – Teachers Pensions

Teachers who are ill may have to stop working before their retirement age (i.e. 60 or 65). However, it is the joint responsibility of you and your occupational health advisors to explore ways of helping them to stay in, or return to, work – perhaps through redeployment, part-time working, or other workplace adjustments. If these measures fail then ill health retirement may be appropriate. These are the next steps:

1. If a teacher is under normal retirement age and applies for ill health benefits, both the application form and medical evidence form should be completed and returned to us.

2. Make sure the declaration on the application form has been signed and dated by the applicant and that you’ve completed the certification. Otherwise the application will be invalid.

3. Applications and supporting medical evidence will be considered by Medical Advisors appointed by the Secretary of State and the final decision will be made by Teachers’ Pensions.

There are two different levels of Ill health benefits that can be awarded:

Accrued Benefits

These are awarded if the teacher is assessed as being permanently unable to teach but can do other work. With Accrued Benefits a teacher’s service won’t be enhanced.

Total Incapacity Benefits (TIB)

These are awarded if the teacher is assessed as being unable to undertake any type of gainful employment. With TIB, their service will be enhanced. A teacher must apply for TIB within six months of either leaving pensionable employment, or ceasing the payment of ’Combined contributions’ to be eligible. If they’ve been on a period of sick leave, maternity, paternity, parental or adoption leave, or a career break which immediately followed a period of pensionable employment, the application must be made before the sick leave or period of absence ends. If the teacher doesn’t apply for ill health benefits within these timescales, an application for ill health benefits can still be made, but the deferred teacher has to meet the TIB criteria of not being able to undertake any gainful employment. In this case, the service used will not be enhanced (i.e. Accrued Benefits will be paid).

Notification

Both you and your teacher will be told in writing whether or not an application is accepted.

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There are two ways to deal with this:

If the application has been accepted, and the teacher is still actively teaching you must arrange for this to cease immediately. You must provide us with details of the teacher’s pensionable service and salary from the date of your last annual return to the last day of pensionable service.

If the application has been rejected, the teacher has the right to appeal and should follow the appeal process. Details of this will be sent to the teacher with the rejection letter.

How to deal with applications for ill health benefits

1. The teacher has to submit the application to you first. Only after you’ve certified it should you send the application plus the medical evidence to us.

2. The only exception to this is where the teacher left you more than 12 months ago, in which case, the teacher should send the documents directly to us themselves.

Medical evidence form

Where the medical evidence form has been completed by a specialist or a GP, it should be sent to your Occupational Health Advisor, along with any supporting documents. They will then assess it before it is forwarded to us. We cannot obtain any medical reports on the applicant’s behalf. If the Occupational Health Advisor thinks the application doesn’t contain enough medical information to enable Teachers’ Pensions to make a recommendation, the applicant must be given the opportunity to consider what more could be provided.

Importance of specialists

When a psychiatric or physical condition is severe enough to warrant ill health retirement, it’s reasonable to expect that the applicant will have been assessed by a specialist. It will greatly help in the consideration of the medical information if this is the case. If it’s not possible, or the applicant has not been referred to a specialist, then the form should be completed by the applicant’s GP or your occupational health physician. Copies of all specialist reports or hospital correspondence must be included because all applications for ill health retirement will be considered on the basis of the medical information submitted with the application.

For further information please visit: www.teacherspensions.co.uk

http://www.teacherspensions.co.uk/

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Model Attendance Management Process for Teachers and Support Staff in Schools &

Academies


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Contents

1. Attendance Management Responsibilities .................................................... 31

1.1 Employee Responsibilities .............................................................................. 31

1.2 Manager responsibilities ................................................................................. 31

2. Attendance Management Process .................................................................... 32

2.1 Notification & Reporting of Absence .............................................................. 32

2.2 Certification of Absence .................................................................................. 33

2.3 Managing Short Term Absence ....................................................................... 34

2.4 Managing Long Term Absence (Absences that exceed 2 working weeks) ... 8

3. Ill Health Retirement & Pensionable benefits .................................................. 37

4. Ill Health Capability inc. Dismissal & Medical Redeployment ........................ 38

4.1 Case Review Hearings (Where no CPI has been issued) .............................. 39

4.2 Medical Redeployment .................................................................................... 40

5. Decision to dismiss ............................................................................................ 40

6. Dismissal ............................................................................................................ 41

7. Appeal ................................................................................................................. 41

Appendix 1 General Principles Underlying this Process .................................... 43

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1. Attendance Management Responsibilities

1.1 Responsibilities of all employee’s 1.1.2 Employees are expected to:

attend work unless unfit to do so

raise concerns with their manager if they believe that their job is contributing to their ill health,

report absence in line with stipulated requirements

ensure medical certification is provided for consecutive periods of sickness absence exceeding 7 calendar days

make & maintain contact with their line manager and provide timely certification. Failure to do so may result in management action being considered

1.1.2 Employees are expected to inform their management:

of the reason for their sickness absence,

their anticipated length of absence,

any medical advice/treatment

medical appointments they have sought/intend to obtain (where appropriate) any work commitments that may need rearranging.

1.1.3 Employees are expected to attend meetings with school management and

any Occupational Health appointments in order to enable the school to support the employee and consistently manage attendance. Where an employee fails to co-operate decisions may be taken, based on the information available at the time. Unreasonable refusal to cooperate with appropriate management meetings may result in the suspension of occupational sick pay or disciplinary action being considered

1.1.4 An employee must seek professional medical advice and treatment (where

appropriate) as quickly as possible and act upon this with a view to facilitating a return to work.

1.1.5 In all but exceptional cases where the circumstances are not practicable,

employees are expected to maintain contact, and communicate effectively with their line manager throughout periods of absence. This should be via telephone to enable a meaningful conversation to take place and enable the line manager to fully understand the impact of the absence and identify any support in conjunction with the employee which may be necessary.

1.2 Manager responsibilities The term “Manager responsibilities” refers to those people with staff management reporting & supervision responsibilities. This may include (but is not limited to) Headteachers, Deputy Head, Business Managers etc...

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1.2.1 Managers have a duty/responsibility to ensure the welfare of their staff, and

should deal with matters of sickness absence promptly, sympathetically and in a confidential manner. Managers should ensure employees know who to call, the timeframe in which to report absences, and what certification is appropriate to validate the absence.

1.2.2 Managers should ensure that employees adhere to the Attendance

Management Policy.

1.2.3 Managers should monitor attendance levels within their school/department and take further action as necessary when trigger points are reached and/or where there are concerns about a staff member’s attendance level.

1.2.4 Managers should record and report all periods of sickness absence to ensure accurate data is held around attendance levels and that staff receive appropriate payment of sick pay.

1.2.5 Managers are strongly advised to conduct and record Return to Work

interviews for all staff returning from any period of absence irrespective of length to ensure staff support, effective monitoring and consistent and appropriate management of attendance levels throughout the school.

1.2.6 Managers are encouraged to discuss any individual cases or concerns about

specific staff members with their HR Adviser as required and make referrals to Occupational Health as appropriate.

2. Attendance Management Process

2.1 Notification & Reporting of Absence

2.1.1 Employees must take all reasonable steps to maintain contact with

management in line with the school’s specified absence reporting procedure during any period of non-attendance. They should speak to their line manager or designated contact by telephone before the normal working day begins when practicable.

SMS text and Email are not officially recognised as acceptable methods for notification of absence, except with prior agreement of the Line Manager/Headteacher/Principal/Governors.

2.1.2 Employees are required to report sickness absence, by the following calendar

days (irrespective of when they should have been working) before the start of their duties:

- Day One

- Day Four,(or earlier if unable to return on anticipated day of return to work) and

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- Day Eight (when a doctors certificate is required), and,

- Any other date specified by management, and,

- Last working day before medical certificate expires

2.1.3 In the case of longer term absence it is the duty of both the employee and the manager to stay in touch and agree mutual contact. In the first instance the responsibility to report their continuing absence lies with the employee; however where the employee fails to make contact at the agreed time, then responsibility reverts to the line manager.

2.1.4 The level and nature of contact will vary depending on the circumstances, however, sporadic or no contact, does not serve to keep the manager up to date nor does it demonstrate duty of care towards to the employee.

2.1.5 Where it is believed that the employee may be absent due to perceived work related stress the manager should take steps to determine, sensitively, the cause or contributing factors and consider in consultation with the employee how these may be addressed. Employee’s may wish to seek support from their trade union official/representative in such circumstances.

2.1.6 Exceptionally, if the employee is unable to telephone in person, they must

arrange for someone else to telephone on their behalf, in accordance with the above process. The employee must make direct contact with their line manager as soon as possible thereafter.

2.1.7 In the case of workplace accidents, work related stress, or absences resulting

from occupational musculo-skeletal conditions managers are advised to seek advice from the Occupational Health service and their HR Adviser on day one of absence.

2.2 Certification of Absence 2.2.1 Every absence has to be self or doctor certified to ensure prompt and correct

payment of contractual and statutory sick pay, and to ensure that accurate records are maintained. Failure to comply with the certification procedures may result in suspension of pay. A misleading or false statement may be dealt with under the school’s disciplinary procedure.

2.2.2 Medical certificates must be forwarded to the school promptly. Where a

medical certificate indicates that the employee may be fit for part of their duties, advice should be sought from the school’s HR Adviser and/or Occupational Health. Similarly, where an employee is assessed by their GP as being fit to return to work, with possible adjustments, but the school is concerned about the safety of this assessment, HR and Occupational Health advice is also recommended. In seeking a professional recommendation from its Occupational Health provider the school is advised to follow this clinical advice, which will supersede that of the GP.

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2.2.3 Where employee’s hold more than one job role (paid or voluntary) and exceptionally consider themselves fit to attend one job, but not another, the matter should be discussed with their manager/headteacher. A medical certificate will still be required.

2.2.4 Where there is continuing sickness absence the employee must submit to the manager concurrent medical certificates to cover the whole period of non-attendance.

2.2.5 If a manager is concerned at the frequency of absences, or the account of the

employee’s reason for absences, the employee may be required to submit medical certificates, rather than self-certificates, from their first day of absence.

2.2.6 Medical certificates will be required for the whole duration of absence

(including any school closure period) in the following circumstances

- 8 or more consecutive/calendar days absence, and - Where the absence wholly precedes, or partly precedes then continues into a

period of school closure, and - The employee considers themselves fit to resume duties at a point during an

ongoing period of school closure. A doctors “fit note” must be submitted to certify that your GP considers you medically fit

2.2.7 Where an employee fails to return to their duties on their first day of work once

the school/academy has re-opened (having being absent in accordance with 2.2.6) and reports absent for the same reason as certified prior to the school closure, concurrent medical certification will be required for the full period of school closure and the ongoing absence as notified.

2.3 Managing Short Term Absence Short Term Absence Triggers





Managers should also note points 4.11, 4.13 and 4.14 as referred to in the Attendance Management Policy 2.3.1 Where employees have been absent on more than one occasion, they may

activate a sickness trigger. A trigger is a recognised point at which management should conduct a review of the attendance record to establish what steps if any need to be taken to support the employee and improve the individual’s attendance at work.

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2.3.2 The Bradford Score Formula is an attendance management tool designed to enable managers to identify frequent short term absence and to assist them in supporting good attendance. In the case of all triggers for intervention there will be an assessment of the reasons for absence leading to a well informed management approach. As not all staff absences are identical the Bradford score formula tool can be used to measure absences in a fair and consistent manner. The formula uses the following calculation;

Number of occasions of absence

Multiplied by Number of occasions of absence

Multiplied by Total number of working days absent

NB - (Trade Unions do not agree to Bradford Factor) 2.3.3 A trigger point interview (informal meeting) should be held where appropriate

with the employee, where any of the recognised triggers have been activated to explore;

- the overall level of attendance including dates of absence - reason for absence(s) - any work related issues - agreeing remedies and support to secure future satisfactory attendance (inc.

setting targets for improvement) - a review period should be set and the employee’s attendance monitored

throughout this period

The following outcomes may apply:

advice may be sought from Occupational Health


reasonable adjustments such as changes to the workload, work practices, work pattern or the possibility of redeployment (on medical grounds) may be identified in consultation with Occupational Health.

A further review period should be set, and a follow up meeting should be diarised to assess progress.

the employee may be required to submit a medical certificate from their GP for every future instance of absence

The line manager will write to the employee within 5 working days of the trigger point interview, confirming the points discussed and actions/outcomes identified. A copy of this letter should be placed on file. The employee will be informed of the improvement needed in his/her attendance and warned of the possible consequences if this is not achieved e.g. proceed to a case review hearing/disciplinary action.

The employee may wish to be accompanied by a trade union representative/official or colleague at this meeting.

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2.3.4 If there is insufficient improvement in the employee’s attendance record thereafter, or where preventative and/or earlier management support and actions do not result in a satisfactory improvement and sustained attendance level being achieved on a longer term basis, disciplinary action may be considered. The manager should however satisfy themselves there are no underlying health issues, seeking Occupational Health advice as appropriate. In any formal process the employee should be represented by a trade union representative/official or a colleague.

2.4 Managing Long Term Absence (Absences in excess of 2 working weeks)

2.4.1 During long term absence the manager should still arrange a Trigger Point

Interview with the employee (see 2.3.3 above). The Trigger Point Interview could take place at the workplace or a neutral venue. The interview should update progress, identify areas for support and determine whether any other action should be taken.

2.4.2 Where an Occupational Health referral has been made, management should

arrange to meet with the employee, following receipt of the report, to discuss the content. One or more of the following actions may be considered:

reasonable adjustments such as changes to the workload, work practices, work hours or work pattern may be identified and implemented, either as part of phasing the employee back to work or on a more permanent basis;


temporary or permanent redeployment to other duties (salary/grade protection does not apply);

investigations may take place into whether the employee may be eligible for ill health retirement pension benefits; and

review periods should be set. The agreed meeting outcomes should be recorded and confirmed in writing.

2.4.3 Where it is considered that work has caused or contributed to the employee’s

illness, the issues should be fully explored by the manager and steps taken to ensure that they are addressed. Occupational Health and HR Advice should be sought as appropriate in such cases before the employee returns to work.

2.4.4 Progress will be kept under review with regular meetings/dialogue between the manager and employee.

2.4.5 As part of the long term absence management process, decisions may need to be made about the employee’s continuing employment, which could ultimately lead to the decision to dismiss the employee due to his/her incapability to undertake the job because of ill health. Where dismissal may be considered a Case Review Hearing will be convened. The employee will be informed at appropriate points where this is a possibility: in this formal process the employee will be entitled to be accompanied by a trade union representative/official or a colleague.

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Where an employee encounters serious and enduring health issues it may be possible for them be retired on health grounds. To meet the criteria for ill health retirement, the health issue must be permanent and the individual should not be able to undertake any gainful employment for at least three years, after leaving his/her employment. This requires the issue of a Certificate of Permanent Incapacity. Employee’s may wish to seek advice from their trade union representative/official in such circumstances. Ill Health Retirement can only reasonably be considered if the employee is permanently incapable of discharging the duties of their own or an alternative role. 3.1 A Certificate of Permanent Incapacity (CPI) may only be signed by an

Occupational Health qualified doctor. A CPI is issued if an employee is permanently unfit to carry out their role.

3.2 Depending on the ill health prognosis, a CPI may be awarded at one of two

tiers (for teachers) or one of three tiers of ill health retirement for support & non teaching staff. The assessment for a CPI is made by an Occupational Health qualified Doctor. An Occupational Health Adviser will refer relevant cases to the Occupational Health Doctor for this assessment.

3.3 On receipt of a CPI, the manager should consult their HR Adviser to obtain an

estimate of the ill health retirement pension figures, and to formally inform the Local Authority where it is the employer.

3.4 An Ill Health Retirement Meeting/Case Review Hearing should be arranged

with the employee, their manager and HR Advisor. The member of staff may be accompanied by a trade union representative/official or colleague.

The purpose of this meeting is to discuss the following possible options:

discuss the facts and impact of a CPI being issued;

the intention to agree early retirement on the grounds of ill health, and application for pensionable benefits;

medical redeployment where advised by Occupational Health

Teachers

(All schools except Academies) If early retirement on the grounds of ill health is identified as the way forward the teacher should complete and submit an application for early retirement on grounds of ill health to the Teachers Pensions Agency (TPA). The school should contact the Local Authority HR/Pension Advisor who will assess this form to ensure its full completion and that all relevant data has been provided in line with the application criteria, before passing on to the TPA. Responsibility for obtaining doctor’s and/or specialist reports will remain with the individual teacher. If

3. Ill Health Retirement & Pensionable benefits

38

ill health retirement is approved, a retirement date will then be agreed between the teacher and the school. The school should consult with their HR Advisor and inform the Local Authority where it is the employer. In the event of non-approval by the TPA to grant ill health retirement, the teacher’s position should be reviewed and the termination of the contract on grounds of ill health considered (as per 4.1 via a Case Review Hearing).

Support Staff

For support staff, if early retirement on the grounds of ill health is identified as the way forward, the school should liaise with the HR/Pensions Advisor to send a copy of the certificate of incapacity to the West Yorkshire Pension Scheme (LGPS). The school or the Local Authority (where it is the employer and upon request of the school) will issue the employee with written notice to terminate their employment. Such notice will be either contractual or statutory notice, equivalent to one week for each continuous year’s Local Government Service, up to a maximum of 12 weeks, whichever is the greater. The member of staff will be notified of their right of appeal against the decision to terminate their employment to the governing body.

Employees who are members of the LGPS can make a complaint about any decision affecting his/her pension benefits as set out in the Internal Dispute Resolution Procedure – Pension Benefits.

3.5 The School’s HR service will assist the manager and employee through the process and provide the required template letters. The School will issue the employee with written notice of termination of employment and transfer to pensionable benefits.

If it becomes apparent that an employee is not fit to carry out their role, an Occupational Health assessment is recommended to inform the school whether the employee would be fit for work if reasonable adjustments are applied to the role. Where reasonable adjustments cannot be applied to the role (or where they have already been applied but have failed to help the employee fulfil the role requirements) suitability for medical redeployment will be considered by the Occupational Health Adviser. A structured process should be undertaken in conjunction with Occupational Health to determine an individual’s ability to discharge the duties of their post on health grounds. The usual process to support individuals in work is as follows:

- Consideration of reasonable adjustments in the substantive role that will enable the employee to continue in that role.

- Where adjustments cannot be made, consideration of medical redeployment on the grounds of ill health, if the employee is able to carry out duties in an alternative role and is not (usually) permanently incapacitated.

4. Ill Health Capability inc. Dismissal & Medical Redeployment

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- If medical redeployment cannot be found, an assessment by Occupational Health to determine permanent incapacity (if this has not already been considered).

The decision to dismiss an employee from the service of the school on the grounds of ill health will always remain a management decision of the school and the power to dismiss is in line with the schools delegation (see section 5). This includes dismissal due to Ill Health Capability where a Certificate of Permanent Incapacity has not been issued. 4.1 Case Review Hearings (Where no CPI has been issued) Managers should refer to 4.15 as per the Attendance Management Policy Case Review Hearings will be arranged in line with the decision making delegations set out in Section 5 at which dismissal on the grounds of Ill Health capability will be considered, or alternatively that the employee should either no longer work at the school or in the current role. Where the decision making body is the Governing Body, this will usually be a Staffing Committee of three governors (staff governors should not take part in these hearings or appeals). 4.1.1 The employee will be given at least 5 working days’ written notice of the

intention to hold a Case Review Hearing and informed of their right to be accompanied by a trade union representative/official or a colleague.

4.1.2 At the case review hearing the line manager will be asked to provide a

management report outlining details of the case, including any Occupational Health advice received to-date and management action or support given.

4.1.3 When reaching a decision about whether or not to terminate employment, the

Headteacher/Governors panel will consider issues such as (but not limited to):

the employee’s attendance record

the impact of the employee’s absence and ill health on other employees and service delivery;

the medical advice received;

whether redeployment is recommended by OH

whether a certificate of incapacity has been issued

financial and cost implications;

whether the employee occupies a post undertaking duties that are essential to the efficiency of the school and/or difficult to be covered by other members of staff

representations made by the employee and/or his/her representative;

what actions have been taken to attempt to enable the employee to continue in employment;

4.1.4 Where it is decided that further action or support is appropriate,

objectives/targets will be confirmed in writing and the employee’s situation will continue to be monitored with a further Case Review Hearing after an appropriate time.

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4.1.5 Where a decision to dismiss is made, the letter will inform the employee of notice of termination of employment, such notice being statutory or contractual (for non teaching and support staff) up to a maximum of 12 weeks whichever is greater. For teachers notice periods apply in line with burgundy book conditions. The letter will inform the employee of the right of appeal against the decision to terminate employment. The decision will be confirmed in writing within 5 days.

4.2 Medical Redeployment 4.2.1 Medical redeployment is only considered where the employee is not

permanently unfit for work and has some transferable skills that could be offered in other roles within the school. It should be noted that there are no guarantees that medical redeployment will be successful and the employee will be so advised at the time of the Occupational Health assessment.

4.2.2 Medical redeployment provides a strictly time limited attempt to secure work

within the school in a role which can accommodate the health issues. Where this is not realistic or where no employment opportunities arise during the specified time period, the employee’s employment will be terminated in line with the appropriate notice periods.

4.2.3 Medical redeployment will only be considered further to recommendation from

Occupational Health. A meeting should take place to review the recommendations of Occupational Health to establish suitability for alternative vacant posts and the employee’s capability to undertake the duties of the post offered.

4.2.4 The duration of the redeployment period will be confirmed in writing and respective notice given of the date when termination of employment will take place if no alternative employment is found.

4.2.5 Any offer of alternative employment made to support/non teaching staff during the redeployment period is subject to a trial period during which the suitability of the alternative employment will be established. The duration of the trial period will be the residue of the redeployment period unless a shorter period is agreed.

4.2.6 There will be no salary/grade protection in respect of redeployment to a lower graded post as part of this procedure. The terms and conditions of employment will be those relating to the new post.

For Academies/Foundation Schools, Voluntary Aided Schools Either: The power to dismiss staff in this school rests with the Governing Body

5. Decision to dismiss

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Or: The power to dismiss staff in this school has been delegated to the headteacher except where he/she has managed the attendance case in which case the decision sits with members of the Governing Body For Community, Voluntary Controlled, Community Special Schools The power to decide that employee’s should no longer work at this school rests with the Governing Body. Or: The power to decide that employee’s should no longer work at this school has been delegated to the headteacher except where he/she has managed the attendance case in which case the decision sits with members of the Governing Body Where the Local Authority is the employer in the case of Community and Voluntary Controlled schools, schools have a duty to inform the Local Authority of their intention to dismiss and to request notices to be issued

Either: Once the decision to dismiss has been taken, the Governing Body (or decision maker – see section 3 above) will dismiss the employee with notice as and where appropriate, (Voluntary Aided, Academies, Foundation schools only). Or: Once the Governing Body (or decision maker – see section 3 above) has decided that the employee should no longer work at the School, the Local Authority must be informed of the decision and the reasons for it. Where an employee works solely at this school, the Local Authority must dismiss them within fourteen days of the date of the notification. Where they work in more than one school, the Local Authority must require them to cease to work at this school (Community, Voluntary Controlled, and Community Special schools only).

7.3.1 If an employee feels that a decision to dismiss them due to ill health capability is wrong or unjust, they may appeal in writing against the decision within 5 working days of the decision, clearly setting out the grounds for appeal. Appeals will be heard without unreasonable delay where possible within 10 working days and at an agreed time and place. The same arrangements for notification and right to be accompanied will apply.

7.3.2 Appeal against dismissal will be heard by a Governors’ Appeal Committee.

This will not include governors involved in the dismissal hearing (or any staff governor).

7.3.3 The employee will be informed in writing of the outcome of the appeal hearing

within 5 working days of the hearing. In Academies, Foundation Schools, Voluntary Aided Schools and Foundation Special Schools, the governing

body is the employer but the power to dismiss can be delegated to the headteacher, to one or more governors, or

to one or more governors acting with the headteacher. In Community, Voluntary Controlled, Community

Special, and Maintained Nursery schools, the power to determine that the member of staff should no longer

6. Dismissal

7. Appeal

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work at the school can be delegated in the same way as above but it is the local authority (as the employer) that

actually dismisses staff (or – for those who work in more than one school – requires them to cease to work at the

school).

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Appendix 1 General Principles Underlying this Process

This document supports the official School’s Attendance Management Policy. The nature of this document is such that it will be subject to periodic amendments to ensure that it remains a well developed and effective management tool. Amendments will be subject to the approval of the Governing Body. Confidentiality The attendance management processes will be treated with confidentiality. However, the desire for confidentiality does not override the need for the headteacher and governing body to quality-assure the operation and effectiveness of the HR Policies. Consistency of Treatment and Fairness The Governing Body is committed to ensuring consistency of treatment and fairness and will abide by all relevant equality legislation.

Definitions Unless indicated otherwise, all references to “teacher” include the headteacher. Delegation Normal rules apply in respect of the delegation of functions by governing bodies, headteacher’s and Local Authorities. Medical Redeployment The offer of medical redeployment will be made in writing, and detail the timescale by which redeployment should be achieved, and the level of salary on offer. There will be no extension to dismissal notices issued. Redeployment to an available lower graded post on medical grounds will result in the payment of salary appropriate to the new role immediately on appointment - pay protection will not apply. Redeployment will only be considered where the available evidence suggests that the employee’s attendance in the new post will be at a satisfactory level, and there is no requirement to create a new post for the purposes of redeployment. Monitoring and Evaluation The Governing Body and headteacher will monitor the operation and effectiveness of the school’s Attendance Management Policy. Phased Return to work Where a return to work is agreed on a phased basis following Occupational Health recommendation, full pay applies during the period of the phased return i.e. the staff member will receive payment for their full contracted hours, whilst building the hours back up from a temporary reduction.

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Probation Period An employee subject to a probationary period who hits a trigger point during this period, will have their health issue assessed to ascertain if their employment is to be confirmed. In such circumstances consideration may also be given to extending the probationary period. Absence following Capability Procedures Where absence occurs in conjunction with capability procedures, managers should actively manage the case in accordance with the above process and consult with their HR Advisor and Occupational Health Service

Documents

Model Attendance Management Policy for Teachers and ... 7... · employee’s attendance levels. 1.4 The positive and consistent management of attendance can lessen the impact of sickness