Ill Health Procedure: Guidance for managers

The purpose of this guidance is to provide managers and staff with further information on how to apply this procedure.

1. Main principles and purpose of the procedure
2. Terminology
3. When to refer to/follow this procedure
4. Responsibilities under this procedure
   • Heads of Department/line managers
   • Human Resources
   • Trades unions
   • Individuals
   • Office of the Secretary
5. Practical considerations for the Head of Department/line manager
6. Arrangements for a formal hearing
7. How to establish and appropriate outcome from the hearing under this procedure
8. Follow up responsibilities and actions
9. Where to seek help in enacting the procedure

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1. Main principles and purpose of the procedure

• to provide a framework for dealing with a member of staff who is unable to perform his or her job satisfactorily, owing to persistent or serious ongoing or underlying serious physical or mental health problems;
• to ensure that adjustments, re-deployment or phased return to work are given full and proper consideration at all stages in any such case;
• to provide a formal mechanism to be used where adjustments, re-deployment or ill health retirement are not appropriate, and there is no agreement on termination of employment on health grounds, so as to ensure that any such action is fair, appropriate and consistent.

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2. Terminology

Under this guidance, the term 'manager' or 'line manager' refers to a Head of Department or other individual who has been given delegated responsibility for the day-to-day management of a member of staff by the Head of Department.

In line with the Ordinance, the Head of Department may delegate their formal role under the procedure where appropriate (see Section 2: Procedural Issues).

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3. When to refer to/follow this procedure

Heads of Department/line managers

This procedure is designed to deal with issues of health rather than issues related to either conduct or performance, for which separate procedures exist.

While in some cases it will be obvious that this is the appropriate procedure to adopt, it may not always be easy to determine at the early stages of any case which of the procedures is most appropriate. However, consideration should always be given to whether a member of staff’s health may be a contributory cause to any conduct or performance issue, and if so a medical opinion may be sought. The HR Manager will be able to advise on how to obtain this information. Subsequent action can then be taken under this procedure or, if more appropriate, the matter may be taken forward under another appropriate procedure. For example, in cases of frequent intermittent sickness absence where investigations suggest there is no serious underlying medical condition (although there is no reason to suspect illness is not genuine), it may be appropriate to deal with the matter under the performance and capability procedure.

Before taking any action under this procedure, advice must always be sought from your HR Manager.

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4. Responsibilities under this procedure

Heads of Department/line managers

Heads of Department and line managers are responsible for:

• identifying situations where the health of an individual appears to be affecting their ability to perform his or her job satisfactorily and liaising with  Human Resources as appropriate;
• ensuring appropriate contact is maintained with all members of staff who are absent due to ill health;
• participating in reviews of cases where an individual has been absent, normally for a period of six weeks;
• participating in a home visit/informal discussion where appropriate;
• ensuring that the individual has an opportunity to discuss with themselves any concerns or questions he or she may have at any stage;
• ensuring all relevant information is gathered/presented at home visits/informal discussions or at formal hearings;
• assisting in referrals to Occupational Health;
• ensuring appropriate adjustments are made to the member of staff’s job or work environment and for monitoring the impact and effectiveness of such adjustments;
• ensuring that any arrangements for a phased return to work are adhered to;
• participating in any suspension processes, where appropriate;
• (in conjunction with  Human Resources) discussing possible termination of employment with the member of staff, where circumstances justify and require this.

 Human Resources

 Human Resources is responsible for:

• advising managers and staff on appropriate implementation of policy principles and procedures;
• advising Heads of Department / line managers when it is not appropriate to use this procedure;
• initiating and participating in reviews of cases where an individual has been absent, normally for a period of six weeks;
• participating in a home visit/informal discussion where appropriate;
• ensuring that the individual has an opportunity to discuss with themselves any concerns or questions the individual may have at any stage;
• co-ordinating any referrals to Occupational Health;
• advising the Head of Department/line manager on implementation of adjustments, phased return, etc;
• instigating suspension procedures where appropriate;
• (in conjunction with the Head of Department/line manager) discussing possible termination of employment with the member of staff, where circumstances justify this;
• arranging for applications for ill health retirement to be made to the appropriate scheme;
• ensuring that any formal hearings are convened in accordance with the procedure.

Trades unions

Trade unions are responsible for:

• providing relevant and appropriate and up-to-date advice to their members;
• providing appropriate representation of staff at hearings as required;
• endeavouring to be available to attend hearings as required.

Individuals

Individuals are responsible for:

• bringing to the attention of their Head of Department / line manager any health issue that may be impacting on their conduct, capability or wellbeing at work;
• completing sickness absence forms;
• adhering to arrangements for reasonable adjustments to their job or work environment;
• assisting the Head of Department/line manager in monitoring the impact and effectiveness of such adjustments;
• adhering to arrangements for any phased return to work;
• participating in home visits/informal discussions or for attending formal hearings as required under the procedure;
• co-operating and assisting in the provision of medical or other evidence where required in order that fair and objective decisions can be taken;
• complying with any suspension, where appropriate.

Office of the Secretary

The Office of the Secretary is responsible for convening and servicing appeals panels in accordance with the procedure.

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5. Practical considerations for the Head of Department/line manager in dealing with ill health issues

Maintaining appropriate contact with any member of staff who is absent from work due to sickness is a normal management role, and the Head of Department/line manager should do this as a matter of course, within a reasonable period of initial absence and at reasonable regular intervals thereafter. HR Managers can offer advice, depending on the facts of each case.)

However, where a home visit/informal discussion or any other action under this procedure is considered, the manager must consult with their HR Manager before taking action.

The HR Manager will assist the manager in setting up appropriate arrangements and will normally write to the individual. When setting up a home visit/informal discussion under the procedure, the manager/HR Manager should ensure that the individual is notified of the date, time and purpose of the meeting in writing in good time so that the individual can prepare for the meeting. While the manager/HR Manager should offer to visit the individual in their own home, they should also make it clear that an alternative venue for the meeting can be arranged if the individual would prefer. It should also be made clear that both the manager and the HR Manager will be attending and that the individual can be accompanied at the meeting if they wish. The letter should attempt to reassure the member of staff that the home visit/informal discussion is normal procedure and is as much for their own benefit as that of the University.

The manager/HR Manager should ensure that adequate time is set aside for the meeting and, if the meeting is not held at the individual’s home, ensure that discussions will be held in uninterrupted privacy.

The manager/ HR Manager should seek to explore with the member of staff the nature and extent of the individual’s health problem and the likely prognosis. The manager/HR Manager should explore whether there are any work-related issues that may be impacting, in the individual’s view, on their health or wellbeing. The manager/HR Manager should ensure that the individual has an opportunity to raise any issues that are of concern to them.

The manager/HR Manager should explain what support might be appropriate for the individual (eg counselling; phased return to work where appropriate, etc) and discuss how this could be delivered. They should also consider at this stage whether additional equipment/facilities might reasonably be provided, and whether changes to workload or re-allocation of tasks might be appropriate.

At the conclusion of the meeting, the manager/HRl Manager should ensure that the individual is clear as to what action, if any, is to be taken next (eg return to work with or without additional arrangements, a further review meeting at a later date, seeking medical advice, referral to Occupational Health) and the likely timescales for any such action. The HR Manager or manager will normally follow up the meeting in writing, confirming the outcomes, to provide a clear record of the main points discussed and actions agreed.

If it appears at this early stage or at subsequent meetings that ill health early retirement and/or termination on the grounds of ill health may be an appropriate way forward, the Head of Department/line manager and HR Manager should explore this, sensitively and appropriately, with the individual in order that their position on this possibility is clear.

Where termination is clearly an appropriate option, and adjustments, re-deployment or ill health retirement are not viable options, an individual may indicate their mutual agreement to such a termination, in which case formal action will not be required under the procedure.

Human Resources will make appropriate arrangements for any application for ill health retirement to be submitted, at an appropriate stage.

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6. Arrangements for a formal hearing

Where adjustments, re-deployment or ill health retirement are not feasible options, and where an individual does not agree to termination of employment, a hearing will be convened in accordance with the procedure. In all cases, the panel shall comprise at least one member who is medically qualified in an area deemed by the panel appointer to be relevant to the case, eg an occupational health physician, or a clinical academic in a relevant field. The procedure gives full details of panel composition and every effort will be made to ensure that in meeting the required composition, the panel membership is as broadly based as possible.

The hearing will follow a format defined by the panel, but will comprise the following:

• Introductions – all present will introduce themselves, their role in the University and their role in the proceedings.
• Representation – where an individual has brought a representative, the  Human Resources Director shall clarify how that role is to be fulfilled. The role may involve:
  • assisting in the presentation of the individual’s case and this may involve presenting the case on the individual’s behalf, where the individual so wishes;
  • assisting the individual in responding to questions, although the individual will be required to respond directly themselves to specific questions;
  • assisting the individual in cross-examination of witnesses (and this may involve asking questions of witnesses on the individual’s behalf, where the individual so wishes);
  • assisting in the summing up on the individual’s case (and this may involve summing up on the individual’s behalf, where the individual so wishes).
• Where an individual has elected not to bring a representative to the hearing, the  Human Resources Director should confirm that the individual has so chosen and is happy to proceed, before the hearing commences.
• The case presenter will outline the case from their perspective.
• The individual will ask questions of the case presenter.
• The panel will ask questions of the case presenter.
• The case presenter or panel will present any individuals who will make their statements and respond to questions from the case presenter and the panel and the individual, and then withdraw from the hearing.
• The individual will outline their case.
• The individual will respond to any questions from the case presenter and the panel.
• The individual will present any individuals who will make their statements and who will respond to questions from the individual and the case presenter and the panel, and then withdraw from the hearing.
• The case presenter or panel will ask any final questions of the individual.
• The hearing will close and the panel will consider their decision and convey their decision in writing in accordance with the procedure.

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7. How to establish an appropriate outcome from the hearing under the procedure

Preparation and investigation before the hearing is the key to ensuring that appropriate outcomes are established. Ensuring that the panel has as full and factual account of the situation as possible and that appropriate medical evidence is available to the panel is crucial.

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8. Follow up responsibilities and actions

Panel

The panel is responsible for ensuring that:

• the individual receives a written notification of their decision, with reasons;
• the relevant Head of Department is advised of their decision, with reasons;
• the individual receives a note of the hearing;
• all documentation is lodged on the individual’s HR file.

 Human Resources

 Human Resources is responsible for:

• ensuring that the individual is properly notified of the decision, in accordance with the procedure;
• ensuring that the individual receives a note of the hearing;
• assisting and advising the Head of Department/line manager in their follow-up responsibilities;
• ensuring ongoing fairness and consistency in relation to the case, where appropriate.

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9. Where to seek help in enacting the procedure

 Human Resources have a responsibility to advise the Head of Department, line manager or individual on all aspects of this procedure

Trades unions can advise members on all aspects of this procedure, and may represent/accompany the member at meetings/hearings.

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