Human Resources
ABSENCE POLICY
INDEX
Page No
Policy Statement 3
Aims of the Policy 3
Scope of the Policy 3
Responsibilities 3
Sickness Recording 4
Sickness Entitlements 4
Overview of Reporting and Monitoring 4
Guidance Notes
For All Members of Staff 6
Relating to Occupational Sick Pay 13
Relating to Statutory Sick Pay 15
For Sickness Administrators 18
For Managers 21
For HR Advisers 25
For Managing Persistent Intermittent Sickness Absence 27
For Managing Long Term Sickness 31
For Occupational Health Referrals 35
Appendices
Appendix A – Return to Work Form 38
Appendix B – Capability Procedure 40
Appendix C – OH1 Letter and Consent Form 42
Appendix D – Referral for Member of Staff 44
Appendix E – Letter Requesting Statement of Fitness for Work 45
Appendix F – Letter re Sick Pay Entitlements 46
Appendix G – Letter re Stress Diagnosis 48
Appendix H – Access to Medical Reports 49
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1. Policy Statement
1.1 This Policy is designed to establish a framework for the effective management of sickness
absence. It sets out LJMU’s commitment to the fair, equal and consistent treatment of all
members of staff in managing sickness absence.
1.2 The Policy relates to all members of staff and should be read in conjunction with the
Guidance Notes for Staff. Line Managers should also read the Guidance Notes for
Managers.
1.3 The Policy determines the procedures for recording and reporting of sickness absence and
provides Managers with a framework which promotes good employment practice whilst
enhancing the delivery of the service through improved cost efficiency by considering both
the welfare of all members of staff and the requirements of individual Faculties and Service
areas.
1.4 Professional advice and support is available at all stages of the absence management
process from the designated HR Adviser (http://www.ljmu.ac.uk/employ/contacts.htm).
1.5 LJMU recognises that long term sickness absence is harmful, that work can be good for
health and can also reverse the harmful effects of long term sickness absence.
2. Aims of the Policy
2.1 To provide a safe and healthy working environment for all members of staff whilst sustaining
continuity and stability and avoiding undue disruption to the services to students and other
clients.
2.2 To provide a supportive environment for members of staff affected by ill health by ensuring
that all sickness absence is managed responsibly, fairly and consistently.
2.3 To treat members of staff who are ill sympathetically and provide support to assist recovery
whilst safeguarding employment.
2.4 To achieve and maintain optimum staff attendance levels as the loss of working days through
unnecessary sickness absence can be a significant cost to LJMU through work not
completed, or the cost of arranging cover for absence, as well as the additional pressure
placed on colleagues.
2.5 To balance LJMU’s operational needs and the interests of the individual member of staff in
the cases of long term sickness and disability.
2.6 To improve rates of attendance and increase motivation and morale by encouraging and
developing a positive culture towards attendance at work.
2.7 To clearly set out the University’s responsibilities and expectations in relation to attendance at
work.
3. Scope of the Policy
3.1 This policy applies to all members of staff across all grades and groups – academic, non
academic, permanent, fixed term, temporary, full time, part time or sessional.
4. Responsibilities
4.1 Deans/Directors and PVCs/Directors should ensure the Policy and guidelines are
implemented and adhered to within their Faculty or Service Area.
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4.2 All Managers are responsible for adhering to the Absence Policy and will be expected to
apply the principles in their day to day work and activities.
4.3 Managers are responsible for consistently applying the Policy to all members of staff who fall
under their remit. Managers will be supported in this process by their designated HR Adviser.
Should the matter of a member of staff’s sickness absence proceed to a formal stage, an
alternative HR Adviser will provide support and advice to the Manager, or the member of staff
can request an alternative HR Adviser to provide support and advice at an earlier stage.
4.4 Members of the Human Resources (HR) Department are responsible for providing advice and
guidance on the proper, fair and consistent application of this policy. HR are also responsible
for co-ordinating the information asked of and received from the Occupational Health Unit.
4.5 The Occupational Health Unit is responsible for providing clear, independent, objective and
timely medical advice to managers to assist them in dealing with staff sickness absence.
Managers will only be provided with such information as is necessary and in accordance with
the Medical Records and Medical Reports legislation.
4.6 Sickness Administrators have a responsibility for the accurate and timely recording of
sickness absence and for the safe retention and storage of Statements of Fitness for Work
(Fit Notes).
4.7 Any member of staff shall have the right to be accompanied by a friend or Trade Union
Representative to both informal and formal meetings regarding sickness absence.
4.8 All members of staff have a responsibility for supporting the aims of this policy, complying
with the sickness notification procedure (see Guidance for Staff), seeking medical treatment
as and when appropriate and for attending medical appointments with the Occupational
Health Physician/Nurse as requested.
5. Sickness Recording
5.1 Each Faculty/School and Service Area has a designated Sickness Administrator responsible
for recording sickness. All Fit Notes must be forwarded to the Sickness Administrator for
recording.
5.2 The recording of absence allows Managers to identify patterns and high levels of absence,
whether short or long term. It also allows for the identification of work related absences or
other causes.
6. Sickness Entitlements
6.1 When supported by valid medical certificates, members of staff are entitled to benefit under
LJMU’s Occupational Sickness Pay Scheme.
Service Full Pay Half Pay
st
1 year – Less than 4 months 1 month (31 Days) Nil
st
1 year – More than 4 months 1 month (31 Days) 2 months (61 Days)
nd
2 year 3 months (92 Days) 3 months (92 Days)
rd
3 year 4 months (122 Days) 4 months (122 Days)
th
4 year and beyond 6 months (183 Days) 6 months (183 Days)
7. Overview of Reporting and Monitoring Procedure
7.1 Every period of absence must be reported to the Line Manager detailing the reason for the
absence. (See Guidance for Staff for further detailed information).
7.2 When appropriate, HR may contact the member of staff during his/her sickness absence in
order to determine further information regarding the absence. This may result in support
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being offered or seeking permission to obtain further information from the Occupational
Health Unit.
7.3 A return to work interview should be held with the Manager and member of staff following
every period of absence.
7.4 LJMU will monitor absence with a view to identifying problem areas. Disciplinary proceedings
will be invoked should any member of staff be found to be deliberately abusing the procedure.
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Human Resources
GUIDANCE NOTES FOR ALL
MEMBERS OF STAFF
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Guidance Notes for All Members of Staff
1. Role of the Member of Staff
1.1 The role of each member of staff is to:-
Comply with the University’s sickness notification procedure
Ensure that they are aware of the name of their Sickness Administrator and their
telephone number
Ensure medical advice and treatment, where appropriate, is sought as quickly as
possible
Keep in regular touch and inform the Line Manager, or nominated person, of any
significant developments affecting the absence
To attend an occupational health appointment, if referred by a HR Adviser
2. Sickness Notification Procedure
2.1 All staff shall be made aware of the following procedure which must be followed when they
fall ill.
2.2 Members of staff must ring in within one hour of their normal start time and notify their Line
Manager or, if unavailable, the Sickness Administrator of their absence. Members of staff
should ring in personally or, in exceptional circumstances (for example admittance to
hospital), arrange for someone else to ring in if they are unable to do so. The following
information should be provided:-
2.2.1 General nature of the absence
2.2.2 Likely duration of the absence
2.2.3 A contact telephone number where they may be reached
2.2.4 If appropriate, the position in relation to current workload should be discussed in
order to reschedule meetings and/or help with cover arrangements for teaching or
other commitments
2.3 Communication by text for sickness notification is deemed not to be an acceptable method of
communication by LJMU and therefore any text messages regarding absence will be
disregarded and the member of staff will consequently be recorded as being on unauthorised
(unpaid) absence.
2.4 If the absence is the result of an injury or illness sustained at work, then this information must
be made known. The member of staff should indicate if the incident has been reported, when
it was reported and to whom.
2.5 If the member of staff is still unfit for work beyond the anticipated return date, he/she must
once again contact the Line Manager or Sickness Administrator to indicate the continuing
absence and provide further details of the nature and probable duration of the absence.
2.6 Members of staff are required to complete a self certificate for every period of sickness
absence (including half days). This can be done on Staff Infobase on your return to work.
Should members of staff not have direct access to a PC, then a paper version (available from
your Sickness Administrator) may be completed. This must be passed to the Sickness
Administrator to process electronically. If self service sickness reporting is in operation, you
will receive an automatic workflow e-mail reminder of the need to self certify together with
guidance on how to do this.
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2.7 Absences lasting beyond 7 days (including weekends and public holidays) must be covered
by a Fit Note. The medical certificate must be forwarded to the Line Manager or Sickness
Administrator to reach them on or before the eighth day of absence or as soon as is
practicable.
2.8 It should be noted that a Fit Note only entitles an individual to claim statutory sick pay.
2.9 If more than one Fit Note is required for any period of absence, the member of staff must
keep the Manager or Sickness Administrator informed of developments on a weekly basis, if
appropriate.
2.10 If a valid Fit Note has not been provided nor has contact been maintained, the Line Manager
will make contact with the member of staff in order to ascertain if there is a reason for this.
2.11 Absences not covered by Fit Notes will be regarded as unauthorised and the member of staff
will not be paid.
2.12 During the course of their absence, members of staff may be requested to attend meetings
with their Line Manager and HR Adviser, or they will be contacted about referrals to the
Occupational Health Unit. Should a member of staff advise that they are unfit to attend the
meeting, a referral to Occupational Health will be sought for an opinion on their fitness to
attend.
2.13 Upon return to work, members of staff must attend a Return to Work interview with their Line
Manager (see Return to Work Form at Appendix A). The length and depth of interview will
depend upon circumstances. Should the Fit Note state that the member of staff is fit for work
taking into account certain advice, this will be discussed and reviewed with the member of
staff at the Return to Work interview, however it may be necessary for a referral to
Occupational Health for an opinion on the advice provided by the NHS Doctor.
2.14 Failure to follow the correct notification procedure, submission of Fit Notes and/or failure to
attend meetings without a reasonable explanation may result in action being taken under the
disciplinary procedure.
2.15 NHS Doctors are obliged, in their terms and conditions of service, to enter an accurate
medical diagnosis on NHS sickness certificates.
2.16 For a member of staff who works two contracts/split shifts, ie morning and evenings, it should
be noted that if they report sick for the morning shift, they would be classed as being unfit for
work for the whole day and not allowed to work the afternoon shift only.
3. Referral to Occupational Health Unit
3.1 The HR Adviser will seek the member of staff’s consent to refer them to the Occupational
Health Unit at, or before, four weeks of absence. In cases of illnesses where stress can be a
symptom, for example anxiety or depression, the HR Adviser will seek an immediate referral.
The member of staff will be informed that management will take a decision without the benefit
of occupational health advice if consent is not provided within 7 days.
3.2 As soon as work related stress is identified, advice will still be sought from the Occupational
Health Unit and Managers will follow the Work Related Stress Policy
http://www.ljmu.ac.uk/employ/A-ZofPolicies&Procedures.htm.
3.3 The purpose of a referral to the Occupational Health Unit is to obtain independent, objective,
occupational medical advice taking into account the nature of the work the member of staff
undertakes. The Occupational Health Physician/Nurse will be asked to provide information
regarding the member of staff’s fitness for work, whether they are fit to return and whether
any adjustments should be made to their role on medical grounds. It may be necessary for
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the Occupational Health Physician to obtain further details from the member of staff’s own
GP, in which case he/she will seek consent from the individual concerned.
3.4 Following the referral to the Occupational Health Unit the Occupational Health Physician will
forward a report to the relevant HR Adviser on the member of staff’s ability to work and on
any reasonable adjustments that may be desirable, including those that may be appropriate
under the DDA. The Occupational Health Physician will have summarised his/her report to
the member of staff at the consultation.
3.5 The HR Adviser will, if requested, forward a copy of the report to the member of staff. When
appropriate, the information will be shared with the Line Manager and a meeting will be held
with the member of staff (who has the right to be supported at the meeting by a Trade Union
Representative, friend or colleague) in order to discuss the report and any recommendations
and to agree, if possible, an early return to work with reasonable adjustments if necessary or
practicable.
3.6 It may be that the Occupational Health Physician recommends that the member of staff is
unable to return to work for the foreseeable future and so are unable to fulfil their contractual
duties. In such instances a decision may need to be taken to refer the matter to a capability
hearing, bearing in mind the circumstances of each particular case (see Appendix B) and the
Guidance Notes relating to Occupational Sick Pay.
3.7 Should the Occupational Health Physician recommend that a member of staff is fit to
undertake their full duties and on return to work the member of staff indicates that they
cannot, following a meeting between the manager and the member of staff to discuss the
issues, the matter may be referred to a capability hearing (see Appendix B).
3.8 Should the Occupational Health Physician advise that the member of staff is fit to return to
work but the individual refuses to do so, the benefit of Occupational Sick Pay will be
withdrawn and the individual will only receive Statutory Sick Pay.
3.9 If the member of staff continues to remain off work against the advice of the Occupational
Health Physician and following meetings with the Line Manager in order to facilitate the return
to work, the matter may be dealt with under the disciplinary procedure
http://www.ljmu.ac.uk/employ/A-ZofPolicies&Procedures.htm.
3.10 Should it be determined that the member of staff cannot return to their existing role,
consideration of alternative employment will be discussed with the individual. See
Redeployment Policy http://www.ljmu.ac.uk/employ/A-ZofPolicies&Procedures.htm.
3.11 If the Occupational Health Physician recommends that the member of staff is permanently
incapacitated from their work, an application for ill health retirement may be considered if they
are a member of a pension scheme – the Physician will sign the appropriate form (LGP12 or
Ill Health Med). If the member of staff is not a member of the pension scheme then the
matter may be referred to a capability hearing.
3.12 In accordance with guidance issued by the Information Commissioner, LJMU will ask the
Occupational Health Physician to interpret any medical evidence relating to sickness
absence. If a treating NHS Doctor submits written medical evidence, and/or provides advice
on the Fit Note to facilitate a return to work, this will be forwarded to the Occupational Health
Physician for interpretation. LJMU recognises the Department of Health guidance that
treating NHS Doctors should not be asked for, and should not express, an opinion about
fitness for work, since this represents a conflict of interest, and since they do not have direct
knowledge of the workplace, job description or risk assessments. Information received
directly from members of staff does not represent medical evidence. In the event that there
appears to be a difference of opinion between the treating Doctor and the Occupational
Health Physician about fitness for work, LJMU will normally accept the independent, objective
advice of the Occupational Health Physician.
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3.13 LJMU recognises that members of staff do not have to be 100% fit to return to work and that
being at work may not impede recovery. LJMU also recognises that early intervention may
prevent short term absence becoming long term sickness absence.
3.14 On the rare occasion that there is a conflict of medical evidence between the Occupational
Health Physician’s report and other medical evidence, for example a consultant, then the
University would consider referral to an independent Occupational Health Physician based on
the merits of each case.
4. Early Return to Work
4.1 Should a member of staff decide to return to work before the expiry of their Fit Note, they
must contact their Line Manager as soon as possible, and at least the day before they return,
in order that arrangements can be made for the early return to work.
4.2 If the return is following a period of long term absence, then it may be that the Line Manager
requires up to date medical advice from the Occupational Health Unit, in which case the
member of staff may return to work whilst awaiting an appointment with the Occupational
Health Physician. Where there may be a situation where safety may be impaired, eg a
member of staff’s ability to safely and legally drive an LJMU vehicle, the anticipated return
date may need to be deferred pending medical advice.
5. Sickness During/Before Annual Leave
5.1 Should a member of staff fall ill whilst on annual leave, the holidays can only be reclaimed to
take at a later date if the individual produces a Fit Note (not a self certificate).
5.2 The balance of the holiday can be taken at a later date upon return to work, provided that the
balance is taken before the end of the annual leave year (or such other date as agreed by the
Manager bearing in mind the work commitments at the time).
5.3 If a member of staff is considered to be unfit for work in the period immediately preceding
previously booked leave, it is assumed that once the member of staff commences their
holiday period, their period of sickness is over unless a Fit Note is provided confirming that
the member of staff would be unfit to return to work.
5.4 In cases of long term absence, should a member of staff take a holiday during the period of
absence, say for recuperation purposes, they must inform their Line Manager in order for the
total amount of leave to be taken from their annual leave entitlement.
5.5 If a member of staff is on long term sickness absence and they are in a situation where they
are on half pay or they have exhausted their entitlement to sick pay, the member of staff can
opt for their salary to be made up to full pay by using their annual leave. However, this
cannot exceed the amount of leave outstanding for the relevant leave year.
5.6 When a member of staff returns to work following a period of long term sickness absence and
they have outstanding annual leave, this can be used as part of a phased return to work, ie
they phase in their return by working part of a week and using their holidays for the remainder
of the week until such time as they have exhausted their entitlement or they feel able to work
a full working week.
6. Accidents and Third Party Claims
6.1 A member of staff who is absent from work as a result of an accident may not be entitled to
occupational sick pay (OSP) if loss of earnings are awarded from a third party.
6.2 In such cases the University will pay occupational sick pay to the individual concerned,
subject to them undertaking to refund the University from any award for loss of earnings they
receive, the total amount of OSP for the period of absence concerned, or a proportion thereof
as determined by the University, having considered the amount of loss of earnings recovered.
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6.3 In cases where a period of absence for which a total refund of OSP has been made, the
University will not take this period of absence into account for the purposes of deduction from
the individual’s OSP entitlement. If a partial refund is made it will be at the University’s
discretion as to what extent the period of absence will be deducted from the individual’s
entitlement.
6.4 In all third party claims, the University is to be contacted regarding confirmation of the
earnings lost by the individual concerned for the period of absence from work.
7. Pregnancy Related Absence
7.1 If a member of staff is absent due to a pregnancy related reason 4 weeks before the
estimated week of childbirth, then this will automatically trigger the maternity leave on the day
after the first day of absence. Refer to the Maternity policy http://www.ljmu.ac.uk/employ/A-
ZofPolicies&Procedures.htm.
8. Dealing With Staff Absence
8.1 Should it be necessary, the Line Manager may take a view regarding an individual member of
staff’s absence record, particularly in cases of persistent intermittent absences. Refer to
Guidance Notes for Managing Persistent Intermittent Sickness Absence for definition and
triggers that may indicate that a problem exists.
8.2 The options open to the Line Manager are as follows:-
Reasonable adjustments, if appropriate
Issue of a caution, if appropriate (i.e. there needs to be a significant improvement) and
explain that if there is not a significant improvement in attendance the Disciplinary
Procedure will commence
Commence Disciplinary Procedure – this could result in:-
an oral Warning issued by the Line Manager;
an oral Warning as above with the need to provide a First Day Fit Note;
referral to a formal disciplinary hearing where sanctions can range from First Written
Warning to Dismissal
(Refer to the Staff Disciplinary Procedures http://www.ljmu.ac.uk/employ/A-
ZofPolicies&Procedures.htm).
9. Alternatives to Sickness Absence
9.1 Should a member of staff feel it necessary, they may speak to their Line Manager prior to any
periods of sickness absence, to seek assistance with preventative measures such as a
referral to Occupational Health for advice on temporary adjustments to a role, a request for
flexible working, or for Counselling (http://www.ljmu.ac.uk/StudentServices/Welfare/60320.
htm). It should be noted however, that the Student Counselling Service is only available on a
limited basis for members of staff.
9.2 If preferred, members of staff can ring the First Assist telephone counselling helpline service
(01455 255131). Independent confidential help and advice is available on a wide range of
personal issues. The service is available 24 hours a day, 365 days per year. On calling,
members of staff should quote the verification number – 33779.
9.3 Alternative forms of leave and support are available which may be appropriate to the member
of staff’s individual circumstances:-
Flexible Working
Family Friendly Policy
Time off for Dependents
Leave for compassionate reasons
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Code of Practice on Alcohol
Code of Practice on Illegal Drugs
http://www.ljmu.ac.uk/employ/A-ZofPolicies&Procedures.htm
These can be explained to the member of staff by the Line Manager or HR Adviser on
request.
10. Disability
10.1 If during the course of employment a member of staff becomes disabled, advice will be
sought from the Occupational Health Unit in relation to the post the member of staff holds.
10.2 The term disability covers a wide range of conditions. It can include for example, asthma,
diabetes, back problems and mental health conditions such as depression. Cancer, multiple
sclerosis and HIV are automatically covered.
10.3 In consultation with the Line Manager, reasonable adjustments will be explored in order to
assist the member of staff to continue in their role where possible. Examples of reasonable
adjustments could be changing a place of work, the way in which a job is carried out or
provision of equipment in order to assist the member of staff to undertake their job. In the
event that it is not possible to make reasonable adjustments, redeployment will be considered
as an option. See Redeployment Policy http://www.ljmu.ac.uk/employ/A-ZofPolicies&
Procedures.htm.
11. Internal Recruitment
11.1 As with any new appointments to the University, where members of staff apply for an internal
post, their sickness record for the previous two years (ie from the date of their application) will
be taken into consideration before any appointment to the post is confirmed. The record will
be considered on an individual basis and can be adjusted for a declared disability. Further
advice can also be taken from the Occupational Health Unit when necessary.
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Human Resources
GUIDANCE NOTES RELATING TO
OCCUPATIONAL SICK PAY
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Guidance Note Relating to Occupational Sick Pay
1. Occupational Sick Pay (OSP) is a conditional allowance which provides substantially better
payments than Statutory Sick Pay (SSP).
2. All members of staff are entitled to receive OSP. The amount payable will depend on the
number of completed years of service and any absence already accrued from 1 April prior to
the first day of the member of staff’s current sickness absence. From 1 April each year, the
entitlement commences again, unless the member of staff is still absent.
Service Full Pay Half Pay
st
1 year – Less than 4 months 1 month (31 Days) Nil
st
1 year – More than 4 months 1 month (31 Days) 2 months (61 Days)
nd
2 year 3 months (92 Days) 3 months (92 Days)
rd
3 year 4 months (122 Days) 4 months (122 Days)
th
4 year and beyond 6 months (183 Days) 6 months (183 Days)
3. If a member of staff’s entitlement to OSP expires they may continue to receive SSP up to a
maximum of 28 weeks in any linked period of sickness absence. For further details regarding
SSP refer to http://www.dwp.gov.uk/lifeevent/benefits/statutorysickpay.asp
4. OSP is subject to Income Tax, National Insurance and Pension contributions and other
statutory deductions. Voluntary deductions will also continue to be deducted unless the
member of staff requests their cancellation.
5. LJMU reserves the right to withhold payment of OSP in the following circumstances:-
Where a member of staff fails to follow the correct reporting procedure
For any period during which a member of staff who is in the process of disciplinary
procedures fails to follow the correct sickness absence procedures
Failure to attend an Occupational Health appointment or a meeting with Managers and
HR at any stage of the process without reasonable cause or prior notification
Where there is evidence for believing that an individual is abusing the benefit
Where a member of staff’s absence results from their own misconduct or injury whilst
working for financial gain in their own time, on their own account, or for another
employer for private gain, unless authorised by LJMU
6. OSP can only be withheld from a member of staff following a discussion between the member
of staff, the Line Manager and the HR Adviser regarding the individual circumstances.
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Human Resources
GUIDANCE NOTES RELATING TO
STATUTORY SICK PAY
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Guidance Note Relating to Statutory Sick Pay
1. LJMU is obliged to pay Statutory Sick Pay (SSP) to any member of staff who earns over the
National Insurance threshold, for up to a maximum of 28 weeks in any period or linked periods
of sickness absence.
2. LJMU enhances SSP with the conditional allowance of Occupational Sick Pay, which may
increase SSP up to full or half pay, depending on entitlements as outlined in the appropriate
terms and conditions of employment.
3. The rate of SSP and associated benefits changes annually on 6 April. The current rates can be
obtained from the Payroll Section. The daily rate of SSP is based on 7 qualifying days.
4. A member of staff will not be entitled to SSP if one or more of the following applies:-
They do not pay National Insurance contributions (or would but for their age)
They are pregnant and within the maternity disqualification period
They were in legal custody when this period of incapacity began, or they went into legal
custody during the course of the sickness period
They were not within one of the countries of the European Economic Area (EEA) during
the sickness claim period
They were involved in a stoppage from work resulting from a trade dispute when their
sickness began
They have received sickness benefit, invalidity benefit, state severe disablement
allowance or, in some cases, unemployment benefit within the first 56 days from the
beginning of the sickness period
They have not yet done any work for LJMU
They have received/exhausted their 28 weeks SSP entitlement
5. A member of staff who falls into any of the above categories will receive an SSP1 Form from
the Payroll Section detailing the reasons why they do not have an entitlement to SSP. This
SSP1 Form will also explain the process in respect of applying for State Sickness Benefit.
6. To make a false statement of incapacity to work in an attempt to claim SSP is a criminal offence
and would also be in breach of LJMU procedures.
7. Entitlement to SSP begins when the member of staff has been ill for 4 or more consecutive
days. The first 3 days in such a period of incapacity to work are known as ‘waiting days’.
Payment of SSP therefore starts on the fourth day. However, OSP will be paid (if entitled) for
these 3 ‘waiting days’.
8. Two or more periods of sickness (all consisting of 4 or more consecutive days) link if they occur
within 56 days of each other. These are considered as one period of incapacity for work for the
purposes of calculating the amount of SSP due to a member of staff.
9. If the member of staff has already served 3 waiting days during the first linked period of
sickness, SSP will be payable from the first working day in subsequent linked periods of
sickness.
10. Form SSP1, when provided, should be used to claim Incapacity Benefit from the Department of
Work & Pensions (DWP).
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11. Unless notification has been given on Form SSP1 that a member of staff is excluded from SSP,
SSP will be incorporated within LJMU’s Occupational Sick Pay allowance. SSP is paid for
absences that exceed three working days up to a total of 28 weeks benefit. SSP is off set
against occupational allowance – half pay plus SSP until no SSP, no pay plus SSP until no
SSP. Bank holidays accrue full pay and are not included in the entitlement.
12. Entitlement to SSP ceases after 28 weeks has been paid including any linked periods.
13. In the event of a difference arising between LJMU and a member of staff about the
administration of SSP, the matter should be dealt with through Payroll.
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Human Resources
GUIDANCE NOTES FOR SICKNESS
ADMINISTRATORS
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Guidance Notes for Sickness Administrators
1. LJMU has a legal obligation to maintain accurate records relating to sickness absence.
2. Each Faculty/School and Service Area has a nominated Sickness Administrator who will be a
point of contact regarding sickness absence, collate information regarding sickness absence,
record the absence of the member of staff and complete a monthly absence return.
3. The Sickness Administrator must create a sickness absence record on Staff Infobase
detailing the start date and the reason for the absence. This information must be recorded as
soon as the information is received.
4. A workflow e-mail is generated to the individual member of staff. This is the self certification
and requests the individual to close the absence down on their return. A copy is also sent to
the Line Manager. The member of staff must log on to Staff Infobase - Employee Self
Service and update their sickness absence by entering the end date and the reason for
absence. This is then submitted to their Line Manager for approval. Failure to close the
absence down will mean the member of staff’s record will show a continuing absence.
5. On receipt of a Fit Note, the Sickness Administrator should re-open the original record on
Staff Infobase and enter the date the Fit Note expires. This is calculated by counting the
number of days absence from the date of signing onwards (absences are continuous and
include weekends and public holidays and those days of the week not normally worked).
6. Once a record has been open for 30 calendar days, an alert for open ended sickness will be
generated to the member of staff and the Line Manager to remind them the record is open.
7. When the Line Manager receives an alert that the member of staff has been absent for 30
calendar days, they must liaise with their HR Adviser regarding a referral to Occupational
Health.
8. All information relating to an individual member of staff’s absences must be treated with the
strictest confidence.
9. All records relating to sickness absence must be stored securely by the Sickness
Administrator.
10. When a member of staff contacts the Sickness Administrator direct regarding their absence,
the Sickness Administrator must ensure that the Line Manager is made aware of the
individual’s absence as soon as possible.
11. Processing the Information
11.1 The first day of absence is the first day the member of staff reports that they are unfit for
work.
11.2 Unless the member of staff is required to produce a first day Fit Note, Fit Notes are not
required for periods of sickness of up to 7 days.
11.3 Self certificates (electronic or paper) must be completed for periods of sickness lasting up to 7
days.
11.4 Fit Notes must be provided covering every calendar day when the sickness absence exceeds
7 days. Should a Fit Note not be provided this will be recorded as unauthorised absence and
will not be paid.
11.5 For periods of sickness absence lasting up to 7 days, the final day of absence will normally be
the calendar day before the member of staff returns to work.
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11.6 As sickness absence is calculated in calendar days, should a member of staff be unfit for
work on Friday and again on Monday and Tuesday, the period of absence would count as 5
calendar days.
11.7 Should a member of staff report as unfit for work immediately preceding a holiday, it is to be
assumed that once the individual starts their holiday the sickness absence is over, unless a
medical certificate is produced which confirms that they would be unfit to resume work.
11.8 Should a member of staff fall ill whilst on leave, in order to be regarded as being on sick leave
they would have to produce a Fit Note (not a self certificate) confirming the date they fell ill.
12. Calculation of Sickness Days
Al Pacino works Monday to Friday and contacts his Line Manager stating that he is unfit for
work on Wednesday 1 April. He returns to work on Monday 6 April. His first day of sickness
would be 1 April and his last day would be 5 April (a total of 5 days). A self certification is
required.
Sharon Stone works Monday to Friday. She contacts her Line Manager stating that she is
unfit for work on Wednesday 1 April. She returns to work on Friday, 10 April. She may
submit a self certificate for the first seven days, however she must provide a Fit Note covering
the 9 and 10 April.
Robert De Niro works a rotating shift of 4 days on, 4 days off. He reports in sick on Friday 10
April (his first day on shift). He remains off sick until 26 April. The first 7 days can be covered
by a self certificate, however the remainder (including the calendar days when he is not on
shift) must be covered by a Fit Note.
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Human Resources
GUIDANCE NOTES FOR MANAGERS
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Guidance Notes for Managers
1. General Principles
Treat all staff fairly and consistently
Deal with each person as an individual – getting to know them will assist in exercising
managerial judgment
Handle attendance problems promptly and sensitively, in a supportive manner
Never ignore sickness absence
Ensure that short term absences do not go unnoticed
Immediate action may be necessary if the absence is work related
Keep accurate, up to date, staff attendance records
Develop/maintain a supportive atmosphere that encourages people to come to work
Be mindful of the Disability Discrimination Act (DDA)
2. Role of the Manager
2.1 The role of the Manager is to manage the attendance of their staff and the effective operation
of the absence process on advice from the HR Adviser. This will be achieved by:-
Acting fairly and consistently in applying the appropriate parts of this procedure
Ensuring that accurate sickness records are maintained
Ensuring return to work interviews are held on the first day back to work following every
absence
Monitoring and regularly reviewing sickness absence in the school/service area
Ensuring all members of staff are made aware of this procedure for the management of
staff sickness absence, and that they follow every aspect of the sickness absence
notification procedures.
Ensuring that members of staff are made aware that advice and support is available,
including from the Occupational Health Unit, HR Advisers and the trade unions.
2.2 The Line Manager has the specific responsibility of managing absence of staff who fall under
their remit. It is also their responsibility to ensure that all members of staff follow the correct
reporting procedures and that the dates and reasons for absence are accurately recorded.
2.3 Advice is available from the HR Advisers on managing an individual’s absence.
2.4 Following every period of absence, the Line Manager should conduct a return to work
interview (see detail below).
2.5 In some instances, ie in cases of persistent intermittent absences or particularly difficult
cases, it is advisable to involve the HR Adviser in meetings with the individual member of
staff.
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2.6 When dealing with individual cases of absence, Managers should be aware of LJMU’s Code
of Practice relating to alcohol and drugs. Please refer to the Health and Safety Unit’s website
http://www.ljmu.ac.uk/HSU.htm.
3. Return to Work Interviews
3.1 For every period of absence, return to work interviews shall be conducted by the Line
Manager, or nominated person, on each return. The purpose of the meeting is to enable the
member of staff to share concerns about their illness and general state of health in relation to
their job. They are essential in monitoring absence accurately and in reinforcing the message
that the University cares about members of staff and their sickness absence. The degree of
formality and length of the interview will depend on the circumstances. If the member of staff
is rarely on sick leave the interview will be brief. If, however, the member of staff is returning
to work after a succession of frequent intermittent absences, or after a long term absence, the
interview should be much more structured. Should the Fit Note state that the member of staff
is fit for work taking into account certain advice, this should be discussed and reviewed with
the member of staff, however it may be necessary for a referral to Occupational Health for an
opinion on the advice provided by the NHS Doctor in which case you should consult your HR
Adviser.
3. Disability
4.1 Disability covers a wide range of different impairments, which may or may not affect the
member of staff’s ability to do their job. Members of staff with a disability are protected
against discrimination under the Disability Discrimination Act (DDA).
4.2 The term disability covers a wide range. It can include for example, asthma, diabetes, back
problems and mental health conditions such as depression. Cancer, multiple sclerosis and
HIV are automatically covered.
4.3 Should a member of staff be having difficulties at work, advice can be sought from the
Occupational Health Consultant regarding reasonable adjustments.
4.4 The Line Manager, together with the HR Adviser, should then meet with the member of staff
to discuss any issues and to ascertain whether any reasonable changes can be made in
order to help the member of staff to do their job. Guidance from outside agencies can be
sought. It may also be necessary at this stage to ask a member of staff from the Health and
Safety Unit to carry out a workplace risk assessment.
4.5 Should it not be feasible to make any adjustments, redeployment should be considered for
the member of staff.
4. Alleged Work Related Absence
5.1 Where absences are allegedly due to work related injury or ill health, an additional reporting
system should be triggered under the Health and Safety procedures. Appropriate steps will
be taken to investigate the circumstances and action taken, where reasonably practical, to
prevent recurrence. Further details can be found on the Health and Safety Unit website
http://www.ljmu.ac.uk/HSU.htm.
6. Medical Suspension (Directed Medical Absence)
6.1 Managing absence will be handled promptly and sensitively under this Policy and it is
recognised that each individual’s needs and circumstances will be different. Where there is a
genuine concern and belief that the member of staff’s continued presence at work may
constitute a hazard or health risk, either to the individual concerned or to colleagues or
students, an immediate referral to LJMU’s Occupational Health Physician directly or via the
Occupational Health Nurse, with suspension on full pay pending the outcome of the referral,
is likely to be necessary.
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6.2 A decision to refer a member of staff to the Occupational Health Physician/Nurse shall not be
acted on before the member of staff has been advised of this decision, been given the reason
for it and has given his/her express consent.
6.3 The following principles should be followed:-
Undertake an immediate Risk Assessment of the dangers. An appropriate format for the
Risk Assessment may be found on the Health and Safety Unit website
http://www.ljmu.ac.uk/HSU.htm.
Discuss the situation with the member of staff (in person if possible/appropriate) to obtain
as much information as possible, and to seek their views/opinions
If appropriate/possible, involve a Trade Union Representative at an early stage
Ask the member of staff to give consent for a referral to LJMU’s Occupational Health
Physician, by completing a Consent Form.
Discuss the immediate options with the member of staff (pending receipt of medical
advice) and determine the appropriate immediate action. This might include;-
- Interim adjustment of duties
- Temporary alternative duties
- Sickness absence
- ‘Directed Medical Absence’ ie suspension from duty
- No action
Complete the referral to the Occupational Health Physician/Nurse via your HR Adviser as
soon as possible
Review action/decision and undertake a further Risk Assessment with the member of
staff concerned in light of the medical information/advice. Possible outcomes might
include:-
- immediate return to work
- reasonable adjustment in the job/workplace
- alteration of duties (temporary or permanent)
- redeployment/transfer to other duties (temporary or permanent)
- sickness absence (for medical treatment etc)
- continued Directed Medical Absence for medical treatment/further reports etc
- ill health retirement
- dismissal under the Capability Procedure (as a last resort)
- no action
Undertake further reviews/risk assessments as necessary, ensuring that there is
adequate consultation with the member of staff.
Note:
In most circumstances the member of staff should be signed off sick by his/her GP and
normal sickness absence provisions apply. Directed Medical Absence should only apply in
urgent circumstances, and for a short period only until the proper medical position can be
ascertained. It is not intended that this procedure will provide for long term absence on full
pay and entitlements to sick pay will not be exceeded by virtue of this procedure.
One of the aims of this procedure is to ensure adequate consultation with the member of staff
BUT there may be circumstances where it will not be appropriate to accept or agree with their
views/wishes. The final decision rests with the Dean/Director or PVC/Director.
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Human Resources
GUIDANCE NOTES FOR HR ADVISERS
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Guidance Notes for HR Advisers
1. HR Advisers have responsibility to ensure that all aspects of the Absence Policy are applied
consistently within their designated areas and for ensuring that the Line Managers fulfil their
obligations outlined in the Policy.
2. The role of the HR Adviser is to provide consistent advice and support to Line Managers,
including advice relating to obligations under the DDA, the HASAWA 1974 and other statutes,
regulations and directives are observed, when dealing with individual cases of absence.
3. The HR Adviser will have responsibility for seeking permission for the individual member of
staff to be referred to the Occupational Health Unit, to complete the referrals, to invite
individuals to formal meetings regarding their sickness absence and to provide advice to the
Line Manager at such meetings.
4. In cases where the matter of an individual’s persistent short term sickness absence is
referred to a disciplinary or capability hearing, the HR Adviser will provide advice to the Line
Manager on the preparation of their management case and act as their advisor at the formal
hearings.
(Standard letters are attached as Appendices)
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Human Resources
GUIDANCE NOTES FOR MANAGING
PERSISTENT INTERMITTENT
SICKNESS ABSENCE
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Guidance Note - Managing Persistent Intermittent Sickness Absence
1. Persistent intermittent sickness absence can be defined as frequent short term absences
from work that are normally sporadic and attributable to minor ailments, in many cases
unconnected. Often the member of staff will only be absent for a maximum of one week, but
sometimes only for one or two days. Managerial problems are created by the frequency of
the absence and the reasons behind the absence. It can only be addressed effectively
through prompt, effective and consistent management action and through proper monitoring
systems.
2. Whilst each case of sickness absence should be considered individually, the following
triggers may indicate that a problem exists:-
Sporadic sickness absence in excess of 10 working days (including self certified
absence) in any 12 month period, accrued over 3 periods of absence or more – the
cause of absence may or may not be related
Persistent periods of self certified absence exceeding 5 days per absence in total in a 12
month period
Periods of self certified sickness absence in excess of 3 periods in 4 months
Any levels of absence which show a trend or a pattern, eg
- absences on Mondays or Fridays
- absences on the same days of the week
- absences starting mid week and staying absent for the remainder of the week
- absences following a period of annual leave
- absences around bank holidays
- absences around school holidays
- absences around sporting fixtures
- absences for the same reason, ie back problem or cold/flu
- absences becoming more frequent following the expiry of a formal sanction of an oral
written or final written warning
3. Management Action
3.1 Ensure all members of staff follow the sickness notification procedure.
3.2 Establish the facts by obtaining a copy of the member of staff’s absence record from Staff
Infobase.
3.3 Recognise that the nature of the absence and causes may differ and be for unconnected
reasons.
3.4 Discuss the absence with the member of staff personally and informally, immediately after
return to work.
4. The Return to Work Discussion
4.1 Select an appropriate location, mindful of the level of privacy required.
4.2 Know the details of the member of staff’s sickness absence record.
4.3 Discuss the reason for absence as notified on the self certification form or Fit Note. Is there
an underlying reason for the absence, eg depression, work related reasons etc? (There may
not be an underlying medical cause). Should the Fit Note state that the member of staff is fit
for work taking into account certain advice, this should be discussed and reviewed with the
member of staff at the Return to Work interview, however it may be necessary for a referral to
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Occupational Health for an opinion on the advice provided by the NHS Doctor in which case
consult your HR Adviser.
4.4 Explain the importance of the member of staff’s work and contribution to the School/Service
Area.
4.5 Ask if there is anything that can be done to ease a return to work.
4.6 Record the interview details and date on the Return to Work form.
5. Further Informal Action
5.1 If Managers find that, in spite of the approach so far, the level of absence becomes
unacceptable, further discussions should take place with the individual.
5.2 During the discussion, Managers should:-
5.2.1 Explain that the member of staff’s absence record is unacceptable and why it is so.
5.2.2 Discuss the reasons for the poor work attendance, ascertain the cause and
determine the appropriate action.
5.2.3 If a member of staff’s frequent absences are self certified (or even covered by
medical certificates) there may be a need for referral to the University’s Occupational
Health Physician at an early stage, to ascertain if there is any underlying medical
cause.
5.2.4 Explore ways in which improvements can be made. The Occupational Health
Physician/Nurse may be able to provide advice and guidance.
5.2.5 Determine review periods. Timescales of review periods should be clearly explained
so that opportunity for improvement is given.
5.2.6 Discuss the serious implications of continued poor attendance, including the possible
need to take more formal action. Advise the member of staff that whilst he/she
should not attend work if unfit to do so, the continuing high level of absence from
work cannot continue indefinitely.
5.2.7 Ensure they understand what is expected in the future.
5.2.8 Record the interview details on the Return to Work Form (Appendix A).
6. Taking Formal Action
6.1 If, despite the above, a member of staff’s attendance at work still does not improve due to
persistent intermittent sickness absence, the Manager should consider formal action following
the steps outlined in the Disciplinary Procedure. Any action will be based on their poor
attendance record and not on the sickness itself.
6.2 Before taking formal action, Managers should consider:-
The length and frequency of absence
The cause of the absence
The need to distinguish between general sickness and disability related sickness
absence (where the effects of a person’s disability results in the need to be absent from
work due to illness, or where a disabled person requires leave which is directly
associated with his/her disability. This should be accommodated within the terms of the
Disability Discrimination Act)
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The effect of the absence on the school/service area and his/her colleagues
The individual’s work performance when at work
6.3 Persistent intermittent sickness absence should be dealt with fairly, promptly, firmly and
consistently, in order to show that absence is regarded as a serious matter and may result in
dismissal.
6.4 Action Checklist for Managing Persistent Intermittent Sickness Absence
Ensure all members of staff know and follow the sickness notification procedure
Managers, or the nominated person, should see members of staff on their return to work
to discuss their absence
Absence information should be recorded and monitored
If sickness absence persists, further discussions should take place to explore remedial
action and establish review periods. It may be appropriate to seek the individual’s
agreement to a referral to the Occupational Health Physician
The possibility of taking more formal action and the serious implications of continued poor
attendance should be discussed. A continued pattern of frequent intermittent absence
may place the individual’s employment in jeopardy. It is important for them to understand
the possible consequences.
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Human Resources
GUIDANCE NOTES FOR MANAGING
LONG TERM SICKNESS ABSENCE
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Guidance Note - Managing Long Term Sickness Absence
1. Long term absence is where a member of staff is absent from work for a considerable
number of weeks or months as the result of a serious health problem. It can normally be
distinguished from frequent intermittent absence in that it tends to be continuous and usually
can be traced to an underlying medical condition. The length of absence could range from
one to three months within one spell, or a longer fixed period.
2. It may not always be clear at the outset if the initial absence will be prolonged and it is
important that regular communication is established between the member of staff and the
manager.
3. Management Action
3.1 Seek to maintain sensitive and appropriate regular contact with the member of staff. Contact
should continue throughout the period of absence. Members of staff may wish to be
accompanied by a friend, relative or representative during any home visits depending on
circumstances.
3.2 Seek to obtain a clear understanding of their present health and future employment
prospects, at all stages of the absence, by referral to the University’s Occupational Health
Unit via HR.
3.3 Discuss the member of staff’s state of health, both confidentially and in a sensitive manner.
3.4 Try to ascertain when they may be expected to return to work.
3.5 Review the situation at regular intervals.
3.6 Keep a contemporaneous record of all contact with the member of staff.
4. Facilitating an Early Return to Work
4.1 If an early return to work, say within 4 weeks, is indicated, the situation should be reviewed at
weekly intervals.
4.2 Various options, such as returning mid week or a phased return, should be discussed with the
individual. For phased returns the member of staff would be expected to use any outstanding
leave for the days that they are not working. Any extension of restricted hours beyond 2
weeks should be subject to guidance from the University’s Occupational Health Physician.
4.3 Facilitation of a return to work following a work related sickness absence should not take
place until a full risk assessment has been completed and appropriate action taken.
5. Return to Work Plan
5.1 Working in conjunction with the Occupational Health Physician or Nurse as to a member of
staff’s capabilities, the member of staff him/herself and the Manager should prepare a return
to work plan in order to facilitate the member of staff’s return to an appropriate level of fitness.
5.2 The Plan could include:-
Phased return to work
Appropriate working hours to take account of specific circumstances
Avoiding/restricting certain tasks
Temporary transfer to a different job/role
Reasonable adjustments to the workplace
Referral for more specialist treatment
Time away from work to attend further medical appointments
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6. Seeking Medical Advice
6.1 If, after a period of absence of 4 weeks, it is uncertain when the member of staff is likely to
return to work, the Manager via their HR Adviser should seek guidance from the University’s
Occupational Health Unit to ascertain the current medical position and decide on any
appropriate course of action.
6.2 In seeking medical advice, the appropriate HR Adviser should advise the member of staff that
they may be required to attend for a health interview (depending on the nature of the illness,
the Occupational Health Physician may produce his report based on information provided by
the member of staff’s treating specialist). The Occupational Health Physician/Nurse should
be asked for an indication of when the individual is likely to return to work and of any possible
persistent problems. The Occupational Health Physician/Nurse will be provided with as much
factual information as possible, including a job description, the nature of the illness and
absence records.
6.3 Once the information from the Occupational Health Physician/Nurse has been received, the
Manager, in consultation with the HR Adviser, should take into consideration all the available
facts and then arrange to meet the member of staff to discuss the outcome.
6.4 If the member of staff refuses to give their permission for medical advice to be obtained, the
Manager should still arrange to discuss the various options with them, but should explain that
the discussion and any action resulting from that discussion will be based only on the
information currently available.
7. Possible Outcomes
If it is anticipated that the individual will return to work within the period covered by their
entitlement to occupational sick pay, they should be reassured about their financial and
future employment position.
If return to work will be after occupational sick pay has expired, the member of staff
should be advised to contact the Department for Work and Pensions (DWP) to establish
his/her benefit entitlements.
A phased return to work on reduced hours may, in some circumstances, be considered
on medical advice.
The Occupational Health Physician/Nurse may recommend a return to work with
suggestions for reasonable adjustments. The School/Service Area should carefully
consider any such recommendations, and seek advice from the relevant HR Adviser
regarding any adjustments recommended under the Disability Discrimination Act (where
appropriate). Financial assistance may be available from external agencies to assist with
adjustments to the workplace if this may enable a return to work.
If it is anticipated that recovery is long term and that a return to the existing job may be
inappropriate, alternative employment may be considered. The School/Service Area
should make genuine efforts to find alternative employment within the University.
If full recovery is not expected and no return to existing or alternative employment is
foreseen, ill health retirement may be recommended by the Occupational Health
Physician.
In circumstances where ill health retirement is not granted, or it is not otherwise
appropriate or acceptable to the member of staff, and it is considered that their job can no
longer be kept open, the final stages of the Capability Procedure should be invoked. The
member of staff should be informed that their employment is in jeopardy and the matter is
to be referred to a Capability Hearing for determination. (See Appendix B for capability
proceedings).
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8. Dismissal on Ill Health Grounds
8.1 Before taking action to refer the matter to a Capability Hearing, the Manager should consider
the following:-
The available medical prognosis
The requirements of the Disability Discrimination Act
Is complete recovery that will enable the member of staff to return to work likely and, if so,
when?
How long has the member of staff worked for the University?
Is the job a key job? If so, how long can the School/Service Area effectively function
without that contribution?
What additional demands has the absence generated for other members of staff and the
School/Service Area?
Is alternative employment or a transfer available, suitable and acceptable?
8.2 The answers to these questions will help the Manager decide what action to take.
8.3 If a member of staff declines to accept redeployment or ill health retirement, the University
may have to consider terminating employment with notice, on the grounds that they are no
longer fit to perform the duties of the post due to ill health.
8.4 If, having exhausted all other options, termination of employment is the only possible avenue,
this should be done as soon as the medical situation is clear.
9. Action Checklist for Managing Long Term Sickness Absence
Maintain contact with members of staff whilst they are absent
Discuss their progress and the length of time they might be absent from work
If an early return to work is likely, consider measures to help. A risk assessment may be
necessary if the absence is work related
If return to work seems unlikely, or sickness absence is prolonged ie after 4 weeks, seek
a referral to the University’s Occupational Health Physician via the HR Adviser
In the case of disabled members of staff consider, in consultation with HR and/or other
external agencies as appropriate, making reasonable adjustments to working
arrangements and/or premises to facilitate a return to work
Consider alternative work if the member of staff will be able to return to work but not to
his/her present job, having explored options for alternative employment
In cases of chronic ill health, consider the possibility of ill health retirement after all other
options have been explored
If early retirement on health grounds is not appropriate or acceptable, and the member of
staff’s employment is at risk, let him/her know
If all the options have been considered but found unsuitable, and employment cannot be
kept open, follow the Capability Procedure and refer the matter to a Capability hearing for
determination
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Human Resources
GUIDANCE NOTES FOR
OCCUPATIONAL HEALTH
REFERRALS
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Guidance Notes for Occupational Health Referrals
The following guidance should be followed when referring any member of staff to Occupational Health
and ensures compliance with the Occupational Health Employment Practices Code.
1. If a member of staff requires referral to Occupational Health they should be sent the standard
referral letter (OH1) AND a consent form (OH2) by the HR Adviser.
2. Once in receipt of the signed consent the referral form (OH3) should be completed in full and
must include:
a. Full details of the member of staff i.e. name and date of birth etc
b. At least one relevant medical question about which you are seeking advice
c. Your name, date, title and e-mail address
Please note that any incomplete referral forms will be rejected and returned.
3. Form OH3 should then be e-mailed to OH Admin. This will ensure that it is given attention by a
member of the team.
4. The Occupational Health team will then write to the member of staff direct informing the
member of staff of the date and time of their appointment.
5. The HR Adviser should receive reports from either the Occupational Health Physician or Nurse
within 7 days of the appointment.
6. If the member of staff fails to attend their appointment without a valid reason or documentary
evidence, a charge of £50 should be deducted from their salary.
In general, the type of case, which the Occupational Health Nurse can usually assess first are as
follows:
Absences of less than four weeks.
Cases with relatively mild musculoskeletal conditions at an early stage.
Fitness for training or fitness for work cases still in work, based on conduct or performance
problems.
Pre employment referrals regarding fitness for training or work.
Travel or occupational immunisation cases.
Members of staff already involved in health surveillance for asthmagens, noise or vibration who
raise concerns about these hazards.
In general the type of cases that should be referred directly to the Occupational Health Physician are:
Cases of mental illness absent for four weeks or more.
Cases of apparently severe mental illness (e.g. Schizophrenia or Bipolar Disorder).
Cases of low back pain absent for four weeks or more.
Cases of alleged work related stress.
Cases that involve legal disputes or disciplinary action.
Any case with a question about ill health retirement.
Cases on which the Nurse advises referral to the Occupational Health Physician.
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Human Resources
APPENDICES
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APPENDIX A
GUIDANCE NOTES FOR CONDUCTING THE RETURN TO WORK INTERVIEW
For every period of absence, a return to work interview should be conducted. The meeting is to
enable the member of staff to share concerns about their illness and general state of health in relation
to their job. It is essential in monitoring absence accurately and in reinforcing the message that the
University cares about members of staff and their sickness absence. The degree of formality and
length of the interview will depend on the circumstances. If the member of staff is rarely on sick leave
the meeting will be brief. However, should the member of staff be returning to work after a
succession of frequent intermittent absences or after a long term absence, the interview should be
much more structured.
The purpose of the return to work interview is to:-
See how the member of staff is
Establish the cause of absence
Where appropriate, discuss any further action
Should the Fit Note state that the member of staff is fit for work taking into account certain advice, this
should be discussed and reviewed with the member of staff and it may be necessary for a referral to
Occupational Health for an opinion on the advice provided by the NHS Doctor, in which case consult
your HR Adviser. However you should be prepared to discuss any suggestions made by the GP and
whether or not they are feasible or can be accommodated for the work that is undertaken
Tell them they have been missed
For further guidance on conducting a Return to Work Interview, please refer to the Guidance Notes
for Managing Persistent Intermittent Sickness Absence at Sections 4 and 5.
If the member of staff’s absence does not exceed the trigger points, then the interview can be
terminated and signed off at the bottom of Page 2.
The questions to be asked on Page 2 are for guidance only and do not have to be asked in the exact
format as they are written, however it is important that the questions in some format are asked and a
response received.
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APPENDIX A
RETURN TO WORK FORM
Name of Member of Staff ……………………………… Name of Manager ……………………………
Sickness Details
First Day of Absence ………………………………………………………………………………………….
Nature of Illness …………………………………………………………………………………………………
Date Illness Ceased ……………………………………………………………………………………………
Total Number of Days Absent ………………………………………………………………………………….
Has a self certification form been completed/Fit Note received? Yes/No
Work Related Yes/No
Accident Book Completed Yes/No
Absence Related to third party claim Yes/No
Previous Absences
Dates ……………………………………………………………………………………………………….….
Nature of Absence ……………………………………………………………………………………………
Does this absence exceed the trigger points? Yes/No
( (3 or more periods in excess of 10 working days/12 months; Persistent 5 days per absence (self
certified)/ 12 months; 3 or more self-certified periods in 4 months; Absences showing trends or
patterns)
If no, the interview can be completed and can be signed off at the bottom of page 2)
Has the member of staff been referred to Occupational Health previously? Yes/No
If yes, date …………………………………………………………………………………………………
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Questions
How are you/Are you fully recovered? …………………………………………………………………
Did you see your GP? ………………………………………………………………………………….
When? ……………………………………………………………………………………………………
Are you receiving any treatment/medication? ……………………………………………………….
…………………………………………………………………………………………………………….
How does it affect you? ………………………………………………………………………………..
…………………………………………………………………………………………………………….
Is there a possibility that the illness will re-occur? ………………………………………………….
Do you have another appointment? …………………………………………………………………..
Any further absence in the future, ie need for further treatments? ………………………………..
…………………………………………………………………………………………………………….
Were there any other reasons for the absence? ……………………………………………………
…………………………………………………………………………………………………………….
Is this something that you may suffer from again? …………………………………………………
Is there anything that the University can do to prevent the absence re-occurring? ………………
……………………………………………………………………………………………………………..
Do you feel this was connected with work? ………………………………………………………….
If so, how? ……………………………………………………………………………………………….
Date for review …………………………………………………………………………………………..
Any further comments/concerns
…………………………………………………………………………………
……………………………………………………………………………………………………………
Any action to be taken ………………………………………………………………………………..
(Adjustments to work, OH referral, counselling, disciplinary action)
(a) Member of staff has been advised of his/her value to the team. He/she has been advised that
attendance by all staff is monitored.
(b) Member of staff has been advised that sickness continuing to be monitored and of next steps
should sickness not improve
(Delete as appropriate using (a) or (b) depending on whether first absence or not)
Signed ……………………………………………. Signed …………………………………………
Line Manager Member of Staff
Date ……………………………………………… Time ………………………………………….
Copies to:-
Member of staff, Manager, Human Resources
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APPENDIX B
CAPABILITY PROCEDURE
Procedure for Hearing Capability Issues
In normal circumstances, capability cases will be heard by the Vice Chancellor or his nominee, in
accordance with the extant scheme of delegation advised by HR, as it will not be appropriate for a
warning to be issued under these circumstances.
Representation
The member of staff who is absent due to sickness will be invited to attend to make representation
personally at a hearing. However, if due to incapacity, the member of staff is unable to attend, the
hearing may continue in their absence, as well as if they are unavailable on the date in question for a
legitimate reason. In these circumstances, before a hearing is held, the member of staff will be
advised in writing of the areas to be considered and invited to respond in writing within 14 calendar
days. Such written submission will be taken into consideration by the Chair of the Hearing.
Composition of the Hearing
The Hearing will usually comprise the Chair, advised by a HR Adviser; a Manager presenting the
case with support from the appropriate HR Adviser; the member of staff whose capability is being
considered should they be able to attend and their representative should they wish to be represented.
The representative can be a friend, trade union representative or a University colleague.
Note: It is up to the member of staff concerned to make their own arrangements in the matter of
representation. However, any member of staff in this situation can seek advice and support from the
HR Adviser dealing with the case.
Notes:
If the member of staff against whom the allegation is made chooses not to attend the hearing, or have
a representative present on their behalf, the hearing will, at the discretion of the Chair, continue in
their absence.
Witnesses may also be called by either party. If there are to be witness statements, these should
have been exchanged, via the HR Adviser dealing with the case, at least 3 working days prior to the
hearing, as must any other written evidence or documents to be submitted which set the context of
the presentations. This timescale may be varied by mutual consent. The HR Adviser will facilitate
the documents to be referred to be either party being forwarded to the Chair of the hearing and their
HR Adviser.
The Chair also reserves the right to call witnesses if he/she deems it appropriate.
Notice of Capability Hearing
The member of staff will receive at least 7 working days notice of a capability hearing. If a
representative cannot be available, reasonable time will be given for representation to be arranged
should representation be desired.
Trade Union Officers
LJMU recognises the position of trade unions and the right of a duly elected trade union
representative to be represented by a full time official at the hearing, if they so wish. Capability
issues concerning elected trade union representatives will be dealt with at a hearing at which a
permanent/full time official of the appropriate union is allowed to accompany the member of staff
concerned, should they so wish.
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Appeals
A member of staff against whom capability action has been taken shall have the right of appeal. As
this is a case of dismissal, which requires the authority of the Vice Chancellor, the appeal shall be to
the Board of Governors. All capability appeal hearings must be lodged in writing to the University Pro
Vice Chancellor (Admin) within 7 working days of the date at which the written confirmation of the
capability sanction was issued. Appeals will normally be heard within 30 days of being lodged, unless
varied by mutual agreement.
Protocol for a Capability Hearing
Note: Responsibility for calling witnesses and ensuring their availability/presence rests with the
member of staff/manager who is requesting their evidence. HR can assist as required via the HR
Adviser dealing with the case.
1. The Chair of the hearing will ascertain the names of all present.
2. The Chair will explain the purpose of the hearing and the possible outcomes.
Where appropriate the Chair will confirm, for the record, that an individual has chosen not to be
represented by a friend or trade union representative. In certain circumstances, the hearing will
proceed in the absence of both the member of staff and their representative. Where this occurs
it will be explained for the record.
3. The Manager will present the circumstances of the situation including appropriate medical
opinion, calling witnesses as required.
4. The Chair will invite the individual or their representative to ask questions of Management and
relevant witnesses and will also ask questions as appropriate.
5. The Chair will invite the member of staff or their representative to respond to the circumstances
as stated by Management, calling witnesses as required.
6. The Chair will invite Management to ask questions of the individual and/or their representative
and relevant witnesses and will ask questions of the member of staff as appropriate.
7. The Chair will adjourn the hearing for an agreed period of time at this stage to allow for
preparation of summary statements.
8. The Chair will then invite Management to sum up.
9. The Chair will invite the individual to sum up.
10. When the Chair is satisfied that all relevant information has been submitted, Management and
the member of staff will withdraw while the Chair considers the case (the Advisor to the Chair
will remain).
11. The Chair will deliberate on the case seeking advice as appropriate and reach a decision.
12. Once the Chair has reached a decision, Management and the member of staff will rejoin the
meeting and be informed of the decision, and the reasons for it.
13. The member of staff will be informed of the right of appeal.
14. The decision will be confirmed to the member of staff in writing by the Chair within 3 working
days of the hearing.
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APPENDIX C
OH1/
>
>
Dear >
Sickness Absence
I am writing with regard to your ongoing sickness absence. It is University procedure to refer any
member of staff who is off work to our
Occupational Health Physician/Nurse. The purpose of the referral is to obtain objective, independent
medical advice regarding your current fitness for work. Following the consultation a meeting will be
arranged to discuss the outcome.
Please could you sign the enclosed consent form and return to the Human Resources Section within
7 days in the pre-paid envelope provided. Please note that if you do not return this form, the
University will conclude that you do not wish to provide consent for a referral and a decision regarding
the progress of your case will be based on the information available and in the absence of an
Occupational Health assessment or independent medical opinion.
Once we are in receipt of your consent form, you will be contacted by the Occupational Health team
directly who will inform you of your date and time of appointment. Please note that if you fail to attend
your appointment time without informing a member of the Occupational Health Team you will be
charged £50. If you cannot attend due to a Hospital or Doctor’s appointment, you must provide
documentary evidence.
If you require any further information or I can be of any further assistance please do not hesitate to
contact me.
Yours sincerely
>
HR Adviser
Tel: 0151 231 >
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Human Resources
Consent for referral to Occupational Health (OH2)
Name of member of staff .........................................................................................................................
Faculty/School/Service Area.............................................................................................................
Post...............................................................................................................................................
Date of Birth ………………………………………………........................................................................
Date of commencement of employment………………………………………………………….……………
I confirm that I understand the purpose of this referral is to obtain objective, independent medical
advice to assist with a management decision regarding my current fitness for work. In accordance
with the terms and conditions of my contract of employment, I consent for the referral, the
consultation and for a report to be sent to Human Resources based on the consultation.
I have also been informed that a subsequent meeting may be arranged to discuss the outcome of the
consultation and that I may request a copy of the report at any time.
Member of Staff’s Signature: …………………………………. Date……………………………...
Referring Human Resources Adviser:
Name: ................................................................ Title:……………………………………..…………
Email address:…………………………………….. Date…………………………………………………
Please sign and return in the pre-paid envelope provided.
If you do not return this form within seven days the University will conclude that you do not wish to
provide consent for a referral. Therefore, a decision regarding the progress of your case will be based
on the information available and in the absence of an Occupational Health assessment or
independent medical opinion.
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APPENDIX D
Occupational Health Unit
Referral for Member of Staff (OH3)
To: Occupational Health Nurse/Occupational Physician *
1. Member of Staff’s details
Name…………........................................Faculty/School/Service Area......................................
Address.................................................................................................................................
................................................................... Postcode...........................................................
Telephone……………………………………Email address………………………………………………
Date of Birth..........................................................................................................................
Job title........................................................Department………………………...........................
2. Relevant background information, including any concerns about performance:
3. What medical questions are you asking to assist with a managerial decision?
I confirm that this member of staff understands that the purpose of this referral is to obtain objective,
independent medical advice to assist with a decision about fitness for work, and has given explicit,
informed consent for the referral, the consultation and for a report to be sent to the referring manager
based on the consultation.
Referring Manager: Name:............................................................. Date:..................................
Title:………………………………….. Email address………………………
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Previous Absence Record during past 2 years:
Dates from and to Duration Cause on sick note
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APPENDIX E
DOC86a/
>
>
Dear >
Sickness Absence
I refer to your sickness absence from work which commenced on ........................
To date, you have not submitted a Statement of Fitness for Work to cover your absence since
…………………. This is therefore regarded as unauthorised absence and will result in your pay being
suspended. You must submit your medical certificate to continuously cover your absence by return of
post.
I enclose a copy of the sickness notification procedure for your information.
Yours sincerely
>
HR Adviser
Tel: 0151 231 >
enc
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HR/JGW/Rev Nov 2010
APPENDIX F
DOC83/
>
>
Dear
Sick Pay Entitlements
I refer to your current absence from work and have to inform you that your sickness entitlement to full
pay will be exhausted shortly and you will therefore receive half pay with effect from >.
If you require a further explanation, please do not hesitate to contact me on the telephone number
below.
Yours sincerely,
>
HR Adviser
Tel: 0151 231
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APPENDIX G
OH 4/
>
>
Dear
I am writing with regard to the Statement of Fitness for Work you recently submitted. The certificate
indicates that you are currently off work with stress. The term ‘stress’ is not a medical diagnosis and
you should therefore return to your GP as soon as possible to obtain a revised medical certificate that
indicates a recognised medical diagnosis. It is essential that we clarify the precise diagnosis so that
appropriate systems may be put in place to support you.
Failure to submit a revised certificate within 14 days of the date of this letter will result in your pay
being stopped.
If you have any questions about the content of this letter please do not hesitate to contact me.
Yours sincerely
>
HR Adviser
Tel: 0151 231
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APPENDIX H
Occupational Health Department
68 Mount Pleasant
Liverpool L3 5UX
Telephone 0151 231 3319
Fax 0151 231 3626
CONSENT FORM FOR MEDICAL REPORT
Name: Mr/Mrs/Miss/Ms ________________________________________________
Date of Birth: ________________________________________________
Address: ________________________________________________
________________________________________________
Name of Medical Practitioner: ________________________________________________
Address: ________________________________________________
________________________________________________
________________________________________________
I consent to a medical report or copies of medical records from my GP or Hospital Specialist
being supplied in confidence to Dr N Wilson, Occupational Health Physician, Liverpool John
Moores University and for a report to be provided to my employer based on medical evidence.
I do / do not* wish to have access to the medical report from my GP or Hospital Specialist
before it is supplied to Dr Wilson.
Signed:___________________________________________Date:_____________________
* Delete as appropriate
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ACCESS TO MEDICAL REPORTS ACT 1988
This is a summary of your principal rights under the Act, which is concerned with reports provided for
employment or insurance purposes by a medical practitioner who is, or has been responsible for your
clinical care (your GP or Specialist).
Option A You may withhold your consent to an application for the report from a medical
practitioner
Option B You may consent to the application, but indicate your wish to see the report before it
is supplied (You must make the necessary arrangements with the medical
practitioner to see the report; it will not be sent to you automatically)
The medical practitioner will be informed that you wish to have access to the report
and will allow 21 days for you to see and approve it before supplying it to the
applicant. If the medical practitioner has not heard from you in writing within 21 days
of the application for the report being made, he/she will assume that you do not wish
to see the report and that you consent to its being supplied.
When you see the report, if there is anything in it which you consider incorrect or
misleading, you can request (but this request must be in writing) that the medical
practitioner amend the report, but he/she is not obliged to do so. If the medical
practitioner refuses to amend it, you may:-
(i) withdraw consent for the report to be issued
(ii) ask the medical practitioner to attach to the report a statement setting out
your views
(iii) agree to the report being issued unchanged
NOTE The medical practitioner is not obliged to show you any parts of the medical
report which he/she believes might cause serious harm to your physical or
mental health or that of others, or which would reveal information about a
third party or the identity of a third party who has supplied the practitioner
with information about your health, unless the third party also consents. In
those circumstances, the medical practitioner will so inform you and your
access to the report will be appropriately limited.
Option C You may consent to the application for the report but indicate that you do not wish to
see the report before it is supplied. Should you change your mind after the
application is made and notify the medical practitioner in writing, he/she should allow
21 days to elapse after such notification so that you may arrange to have access to
the report (if the report has not already been supplied before you change your mind).
Option D Whether or not you decide to seek access to the report before it is supplied you
have the right to seek access to it from the medical practitioner at any time up to 6
months after it was supplied.
PLEASE NOTE THAT WHERE A COPY OF THE MEDICAL REPORT IS SUPPLIED TO YOU THE
MEDICAL PRACTITIONER MAY CHARGE A FEE TO COVER THE COST OF SUPPLYING IT.
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