Avon and Somerset Constabulary and Somerset Constabulary HR: Absence Management 7.14/15 Contents...

Avon and Somerset Constabulary Internal Audit Report (7.14/15) FINAL HR: Absence Management 13 March 2015

Avon and Somerset Constabulary HR: Absence Management 7.14/15

Contents

Section Page

Executive Summary 1

Action Plan 5

Findings and Recommendations 8

Discussion draft issued 8 December 2014 Auditors David Taylor, Head of Internal Audit

Angela Ward, Client Manager

Vickie Gould, Assistant Manager

Karys Oram, Auditor

Callum Taylor, Assistant Auditor

Debrief meeting 17 February 2015

Additional Information Provided

14 January 2015

3 March 2015

Draft report issued 5 March 2015

Responses received 11 March 2015

Final report issued 13 March 2015 Client sponsor Julian Kern, Constabulary Director of Finance

Carole Wood, Head of Retained HR

Emma O'Brien, HR Service Manager

Distribution Jane Walmsley, Inspection and Audit Coordinator

Julian Kern, Constabulary Director of Finance

Carole Wood, Head of Retained HR

Emma O'Brien, HR Service Manager

As a practising member firm of the Institute of Chartered Accountants in England and Wales (ICAEW), we are subject to its ethical and other professional requirements which are detailed at http://www.icaew.com/en/members/regulations-standards-and-guidance. The matters raised in this report are only those which came to our attention during the course of our review and are not necessarily a comprehensive statement of all the weaknesses that exist or all improvements that might be made. Recommendations for improvements should be assessed by you for their full impact before they are implemented. This report, or our work, should not be taken as a substitute for management’s responsibilities for the application of sound commercial practices. We emphasise that the responsibility for a sound system of internal controls rests with management and our work should not be relied upon to identify all strengths and weaknesses that may exist. Neither should our work be relied upon to identify all circumstances of fraud and irregularity should there be any. This report is supplied on the understanding that it is solely for the use of the persons to whom it is addressed and for the purposes set out herein. Our work has been undertaken solely to prepare this report and state those matters that we have agreed to state to them. This report should not therefore be regarded as suitable to be used or relied on by any other party wishing to acquire any rights from Baker Tilly Risk Advisory Services LLP for any purpose or in any context. Any party other than the Board which obtains access to this report or a copy and chooses to rely on this report (or any part of it) will do so at its own risk. To the fullest extent permitted by law, Baker Tilly Risk Advisory Services LLP will accept no responsibility or liability in respect of this report to any other party and shall not be liable for any loss, damage or expense of whatsoever nature which is caused by any person’s reliance on representations in this report. This report is released to our Client on the basis that it shall not be copied, referred to or disclosed, in whole or in part (save as otherwise permitted by agreed written terms), without our prior written consent. We have no responsibility to update this report for events and circumstances occurring after the date of this report. Baker Tilly Risk Advisory Services LLP is a limited liability partnership registered in England and Wales no. OC389499 at 6th floor, 25 Farringdon Street, London EC4A 4AB. © 2013 Baker Tilly Risk Advisory Services LLP


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1 Executive Summary

1.1 Introduction

An audit of HR: Absence Management was undertaken as part of the approved internal audit plan for 2014/15.

Absence management plays a key role in ensuring an organisation can operate effectively and to its full potential. Staff must maintain consistently high attendance for an organisation to succeed in reaching its performance targets, and to complete its business critical activities.

Controlling and monitoring absence is an essential part of providing an outstanding service to the public, and value for money for the tax payer. Avon and Somerset Constabulary have policies and procedures in place for dealing with both long and short term absences. The purpose of effective policy and procedure is to minimise the absence rate within the organisation to a manageable level. A clear structure is necessary to deal with absences, in order to support staff back to work as soon as possible, or to consider a further course of action such as mediated hours, redeployment or dismissal in extreme cases.

We considered the following during our review;

• timeliness of recording sickness period start dates;

• timely completion of the return to work interview and form and the robustness of the completion of the return to work interview process;

• contact with the employee in line with the requirements of the Absence Management Policy and updating the contact log accordingly;

• timely and appropriate referral to Occupational Health; and

• the process of obtaining GP Fit Notes in a timely manner for absence over seven working days.

We also looked at sickness data available to managers to establish the Bradford score and trigger points to assist with Local Attendance Support Meeting (LASM) processes. The sickness absence recording process is fully electronic and all data is recorded through SAP. SAP is the Constabulary’s main system covering Finance and HR processes and transactions. This is now where information relating to staff sickness is held following a move from paper to electronic management of sickness.

Samples of staff, from five sites were randomly selected, for our audit testing, that had recorded sickness absence between April and August 2014. The sample covered the following sites, selected based on either low or high percentage of hours lost to sickness over the period to establish whether sickness management practices were linked to sickness rates:

• Communications at Portishead HQ (5.61%);

• Bath and North East Somerset (4.95%);

• Bristol, The Bridewell (3.31%);

• Crimial Justice (3.00%); and

• South Gloucester (5.53%).

The audit was designed to assess the controls in place to manage the following objectives and risks:

Objective agreed with management

Effective management of sickness absence, resulting in reduced sickness rates.

Risk from strategic risk register

Failure to govern and scrutinise Constabulary to manage sickness and overtime.


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1.2 Conclusion

Overall opinion: Amber Green

Taking account of the issues identified, the OPCC can take reasonable assurance that the controls upon which the Constabulary relies to manage this risk are suitably designed, consistently applied and effective. However we have identified issues that, if not addressed, increase the likelihood of the risk materialising. The key issues identified relate to some inconsistent compliance with policy in terms of sickness management, and recording contact with staff and actions taken within SAP, specifically contact with staff on sick leave, and evidence or reasons as to why LASMs are not being performed when an Officer meets the set criteria. However, we did find that detective controls are in place to identify and escalate non-compliance.

The above conclusions feeding into the overall assurance level are based on the evidence obtained during the review. The key findings from this review are as follows:

Effectiveness of the control framework

From the sickness data reported provided by the Constabulary for the period from April to August 2014 we established that overall a loss of 3.61% of contract hours has been experienced across the Force as a whole. Broken down between Officers and Staff this is 3.68% (3.2% target) and 3.44% (3.7% target) respectively. The lowest loss was in the Community Safety Group with 0.27% of hours lost, and the highest loss was in Communications with 5.61% of contract hours lost to sickness.

From our testing we were only able to note any trends or best practices in the Comms department which were resulting in improved sickness rates.

Design of control framework

Overall we have assessed the control framework in place to be robust with an improved process being implemented since making sickness management processes electronic with set triggers and reminders within SAP. When certain triggers are met and actions are not logged in SAP there is an escalation mechanism that goes up through the management channels eventually to the Chief Officer Group.

There is an Absence Management Policy in place for staff and management within the Constabulary to refer to and we confirmed it reflects current practices.

Several examples of the Local Attendance Support Meeting (LASM) process successfully resolving sickness absences were identified during our audit. In addition from the study of LASM 2 and LASM 3 minutes we can confirm that the process is very supportive in trying to gradually get staff back into a job they enjoy. We are satisfied that the control framework in this area is strong.

Application of and compliance with control framework

The main findings and issues related to managers complying with the policy in terms of recording all sickness management actions in SAP. Our overall findings are summarised below:

Within the Comms department, at present, Supervisors are not able to update the contact log for a member of staff on sickness absence in SAP. Currently Supervisors are sending the updates via email to Shift Managers in order for them to perform the update in SAP. However, our testing found minimal data having been input to SAP. Despite the management of sickness being successful over the past year in Comms following the roles undertaken by the Supervisors and Shift Managers, it is the responsibility of the Shift Managers to input all actions into SAP and ensure the sickness record remains up to date.

From our testing we identified multiple cases where required contact had not being made in line with policy, or perhaps had been made but not logged into SAP. It should be ensured that all Line Managers across the Constabulary are updating the contact log on SAP wherever necessary and possible to ensure a clear log of contact with a member of staff is maintained. We were further informed that the Chief Constables Staff Office now review all data relating to contact with staff on sick leave due to the outcome and findings from a previous complaint by a member of staff on long term sick. Managers are chased and reminded and reports are produced outlining their findings. It is hoped that this will act as a deterrent for non-compliance with HR Policy going forward.

We concluded that a review of the SAP contact log should be undertaken as some complaints were made by staff pertaining to its user friendliness and lack of space for detail, however it was later confirmed that this had already been identified, a Request for Service has been raised and is in assessment.


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A set trigger point is required to be met before a formal sickness absence process can take place in the form of a LASM. During our audit fieldwork we found that Line Managers have not carried out LASMs with staff, as set out in the Absence Management Policy, for four out of a sample of 30 staff and officers, therefore there is a risk that certain members of staff are not being adequately managed any absence or sickness problems are not being identified and addressed. However, if this relates to a Police Officer then Police Regulations state that the Line Manager can overrule this process if they are happy the sickness is being informally managed and is not a risk to the individual or the Constabulary. If this is the case then documentation of this should be provided to HR. We found that for these four cases no evidence as to why the LASM hadn’t taken place was provided to HR by the Line Manager.

Fit notes are requested when a member of staff is absent for seven calendar days or more. On three occasions a fit note was required for a member of staff’s period of absence however the fit note could not be found on file. Staff, Line Managers and HR should ensure that all fit notes are obtained and retained on file for future reference.

When a staff member returns to work, the ‘tick box’ on SAP is to be completed to confirm a return to work discussions has taken place. Currently some tick boxes are being left blank and return to work interviews are not being completed or logged in a timely manner if at all.

1.3 Scope of the review

The objective of the audit was to evaluate the adequacy of risk management and control within absence management processes, and the extent to which controls have been applied, with a view to providing an opinion. Control activities are put in place to ensure that risks to the achievement of the organisation’s objectives are managed effectively. When planning the audit, the following limitations were agreed:

Limitations to the scope of the audit:

Testing has been completed on a sample basis only, based on transactions from the current year to date.

We have not assessed the validity of sickness absence claims made by employees.

We have not provided an opinion on judgements or recommendations made by Occupational Health or other medical professionals.

Our work does not provide an absolute assurance that material errors, loss or fraud do not exist.

The approach taken for this audit was a Risk-Based Audit.

1.4 Recommendations Summary

The following tables highlight the number and categories of recommendations made.

The Action Plan at Section 2 details the specific recommendations made as well as agreed management actions to implement them.

Our recommendations address the design and application of the control framework as follows:

Priority

High Medium Low

Design of control framework 0 0 0

Application of control framework 0 2 4

Total 0 2 4


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1.5 Additional Feedback

We have included some comparative data to benchmark the number of recommendations made, as shown in the table below. In the past year, we have undertaken a number of audits of a similar nature in the Police sector.

Level of Assurance Percentage of Reviews Results of this Audit

Green 22%

Amber Green 57% X

Amber Red 13%

Red 8%

Recommendations Average number in similar

audits Number in this audit

High 0.3 0

Medium 2.6 2

Low 1.4 4

Total 4.3 6

The Constabulary is performing in line with the average in terms of the assurance opinion however it is not performing as well when compared to other Police clients in terms of number of recommendations for improvement. We have made six recommendations compared to the sector average of 4.3, therefore there is need for improvement in compliance with the control framework in place, specifically completing the management tasks set out in SAP and made easier by having an electronic workflow system.

In addition to this assignment report, we have shared a benchmarking report with the Constabulary that we completed during 2013/14. Data was collected through the use of a questionnaire consisting of 22 questions, which was sent to a total of 37 clients nationally. We received responses from 23 of these (62% response). The clients that we contacted and received responses from were located in the following sectors:

Education

Local Government

Housing

Emergency Services

Charity and

Private business

In summary, the benchmarking information that is included within the main body of the report considers the following elements:

Sickness terms & conditions

Sickness policies & procedures

Recognition/bonus/incentives in place to minimise sickness

Sick pay schemes

Role of line manager in managing sickness

Role of HR in managing sickness

Training provided to Managers

Appraisals and the link to sickness record

Trigger points in place to manage sickness

How is the output from return to work meetings used

How sickness is reported internally


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2 Action Plan

The priority of the recommendations made is as follows:

Priority Description

High

Recommendations are prioritised to reflect our assessment of risk associated with the control weaknesses. Medium

Low

Suggestion These are not formal recommendations that impact our overall opinion, but used to highlight a suggestion or idea that management may want to consider.

Ref Recommendation Categorisation Accepted (Y/N)

Management Comment Implementation Date

Manager Responsible

1.3 The role of the Supervisor and Shift Managers in the Comms team needs to be communicated in relation to responsibilities of managing sickness absence and ensuring all contact and actions are logged in SAP as required and in a timely manner.

Low Y The roles and responsibilities will be re-inforced. The Operating Model restructure in this area will also remove the two management levels.

May/June 2015 Yvonne Biggs (via Emma O’Brien)

1.5a Line Managers across the Constabulary must ensure that contact is made with all staff on sickness absence, in line with the Sickness Absence Policy. Line Managers should update the SAP contact log in order to demonstrate that the correct contact has been made.

In addition, a review of the SAP contact log should be undertaken to ensure it is fit for purpose and provides sufficient space for Line Managers to log detailed comments.

Low Y Automated emails have been implemented to address this area. Further communications will be considered.

RFS already raised for partners to consider this requirement. ASC and SWOne have requested this change and it is currently in impact assessment with Technology Services

April/May 2015

In line with approvals and HR Feeder Board priorities

Carole Wood

Emma O’Brien

Caroline Brawley (via Carole Wood)

Emma O’Brien


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Manager Responsible

1.5b Repeated issues identified by the Staff Office when reviewing sickness absence data should be highlighted in PDRs of Line Managers to ensure absence management processes are embedded and managers are held to account for non-compliance.

Low Y Management information provided bi-annually to Corporate HR, In addition ongoing reviews are held locally within Departments and Areas. There is also an ongoing review of the PDR system.

TBC

New PDR system to be implemented 2016.

Carole Wood

1.6 Staff must ensure that fit notes are provided on all occasions of sickness absence over seven calendar days as required by the Sickness Absence Policy. These must be retained on file as evidence.

Low Y Consideration to be given to an article for managers through various communications on Audit Findings and reminding managers of their responsibilities.

April/May 2015 Carole Wood

Emma O’Brien

1.10 Line Managers (along with support from HR) must ensure that when a staff member hits one of the set trigger points of high levels of sickness absence, a Local Attendance Support Meeting is arranged and completed in a timely manner to assist the individual in assessing and managing the reasons for such periods of sickness absence.

If LASMs are not held then the reasons for this must be provided and retained by HR.

Medium Y Consideration to be given to an article for managers through various communications on Audit Findings and reminding managers of their responsibilities.


Emma O’Brien

1.14 Once a member of staff returns to work from a period of sickness absence, the return to work ‘tick box’ on SAP must be completed by the Line Manager.

Return to work interviews must also be undertaken in line with the Sickness Absence Policy with all staff members

Medium Y Consideration to be given to an article for managers through various communications on Audit Findings and reminding managers of their responsibilities.


Emma O’Brien


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Manager Responsible

returning from sickness absence as a matter of priority. All details must be recorded on SAP, including any relevant narrative to explain reasons behind the absence and any needs of the staff moving forward.


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3 Findings and Recommendations

Controls (actual and/or missing) Adequate Design (yes/no)

Test Result / Implications

Recommendation Categorisation

Risk 1: Failure to govern and scrutinise Constabulary to manage sickness and overtime.

1.1 An Absence Management Policy is in place at Avon and Somerset Constabulary.

The Policy details:

- core principles in the Absence Management process;

- the procedure for reporting a sickness absence. Including the responsibilities of staff and line managers;

- managing the absence whilst a staff member is sick. Including home visits and other contact made;

- the process with regards to returning to work (Support Meeting or Return to Work Interview);

- Local Attendance Support Meetings (LASM) and Corporate Attendance Support Meetings (CASM) purpose, trigger points and processes;

- sickness entitlement and restrictions; and

- ill-health retirement process.

The Policy is available to staff via the intranet.

Yes From our review of current practices and the procedures being followed as identified during our audit testing, we are satisfied that the Absence Management Policy is up to date and reflects actual practices.

The policy was last reviewed and updated on 18 November 2014 and we confirmed the most up to date version is available to all staff on the intranet.

None.


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1.2 The Quick Reference Guide (QRG) provides managers with a brief overview of how to record sickness on the HR sections of the SAP system.

Managers are required to record and maintain sickness information on SAP to ensure correct reporting and compensation.

The QRG details the following:

- manager responsibilities with regards to recording sickness in SAP;

- guides to accessing an employee’s records, and then recording a sickness;

- extending or reducing a sickness records;

- employee’s Return to Work and Return to Work Interview Form;

- logging home visits and contact with the employee;

- withdrawal of self-certified sickness; and

- referral to occupational health.

The QRG was updated in December 2013 and is available to staff via the intranet.

Yes From our review we are satisfied that the QRG is fit for purpose and it is relevant to current practices. Managers are provided with sufficient information to fulfil their responsibilities in respect of sickness management, via the QRG.

None.

1.3 The Constabulary utilise SAP for the monitoring of staff sickness and absences. The oversight of SAP is

Yes Through review of the SAP system with various members of staff across the Constabulary we confirmed that access is restricted to the

The role of the Supervisor and Shift Managers in the Comms

Low


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conducted by an external company; Southwest One.

Southwest One monitors the overall absence management process but do not have any input into the operational processes undertaken by Line Managers.

Access to SAP is provided to all Avon and Somerset Constabulary staff, however, access to the sickness absence fields is restricted to Line Managers only to ensure that no unauthorised access or additions are made to sickness absence data.

relevant members of staff and that higher level access is granted to Line Managers only.

We note that for the Communications Department, although access is restricted to Shift Managers, Supervisors are also overseeing staff absences and are able to update a certain amount of information with regard to dates and reasons for absences.

We found however, that Supervisor access is restricted and they cannot access and edit the contact log, which monitors all contact with the individual. Shift Managers only have access to the contact log, therefore Supervisors are sending the additions to Shift Managers by email to update SAP. However our testing found that SAP is not always updated to record the contact made. This hugely increases the amount of time it takes to update a personnel file and does not reflect an efficient process that utilising SAP for this process should provide.

team needs to be communicated in relation to responsibilities of managing sickness absence and ensuring all contact and actions are logged in SAP as required and in a timely manner.

1.4 Sickness absence is reported and recorded in a timely manner by the member of staff and their line manager respectively.

When a staff member is not able to attend work due to sickness they must notify their Line Manager at the earliest possible time.

Contact is required to be verbal, and from the absent individual. If it is impossible for the individual to make

Yes Through review of the input of sickness absences data into SAP we note that although it is stated in the procedure that cases of sickness absence are to be input into SAP as soon as possible, there is no way to confirm that information has been input at the earliest time as no audit trail can be completed, and sickness dates can be back dated.

At the time of audit we undertook a number of interviews with staff and line managers across the Constabulary and confirmed that all staff were aware of the need to update staff

None.


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initial contact, a representative may do so. However, further communication should be from the individual. Only in exceptional circumstance (e.g. hospitalisation) is ongoing contact with a representative acceptable

The Line Manager is required to record this information on SAP as soon as possible.

If the injury or sickness was due to a work related incident, the line manager is required to complete an Incident Form on SAP the same day.

sickness at the earliest opportunity.

We selected a sample of 30 members of staff across five departments of the Constabulary who had a period of sickness between April and August 2014 to review the timely and accurate recording of information for all required steps of the absence management process. Our testing confirmed that adequate sickness data was recorded on SAP in al instances.

Although we are unable to test that sickness data had been input in a timely manner, we can confirm that for the sample of 30 members of staff, valid dates of sickness had been entered.

1.5 It is essential for the Line Manager and the employee to maintain contact throughout a period of sickness absence, to discuss support and facilitate a timely return to work.

Within 48 hours of the individual confirming their absence, the line manager is required to make a further phone call to the member of staff, to keep in touch, offer support and receive updates.

Any updates are required to be entered onto SAP.

Where the individual is absent for more than three days, the line manager will arrange further contact points

Yes From our review of the staff across the five departments we found the following:

Communications

From our testing of 10 staff absence records we found:

- Six staff members were absent for more than 48 hours, therefore contact was required from the line manager and to be logged onto SAP, for which three had been; and

- Four members of staff were absent for more than seven days, therefore a home visit should have been arranged where possible, however only one staff member had a home visit logged.

Bath and North East Somerset

a) Line Managers across the Constabulary must ensure that contact is made with all staff on sickness absence, in line with the Sickness Absence Policy. Line Managers should update the SAP contact log in order to demonstrate that the correct contact has been made.

In addition, a review of the SAP contact log should be undertaken to ensure it is fit for purpose and provides sufficient space for Line Managers

Low


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throughout the week.

Constant contact is required to ensure that the individual is supported to return to work as soon as possible.

After seven days absence a home visit will be arranged by Human Resources (HR).

After 15 days of sickness a support meeting with the line manager takes place.

If absence continues after 28 days, the line manager must continue regular contact and refer the individual to HR.

From our testing of five staff absence records we found:

- One member of staff was absent for four days, and another was absent for three days, both requiring contact from a line manager and updates loaded into SAP which there were, and the one individual absent for four days also had a home visits although this is not required as set out in the policy; and

- The remaining three individuals were not absent for more than 48 hours, therefore no contact was required.

Bristol


- Three members of staff were absent for more than 48 hours, therefore required contact to have been made, but no contact was logged for any of these staff on SAP; and

- The remaining staff were absent for less than 48 hours therefore contact not required and no staff were absent for long enough to require a home visit.

Criminal Justice


- One member of staff was absent for three days, and a second member of staff was absent for 13 days, both staff required an initial contact phone call, and one of those staff members also required a home visit to be

to log detailed comments.

b) Repeated issues identified by the Staff Office when reviewing sickness absence data should be highlighted in PDRs of Line Managers to ensure absence management processes are embedded and managers are held to account for non-compliance.

Lowm


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arranged, we confirmed that neither staff member had contact logged, nor a home visit logged;

- The other three staff members were not absent for more than 48 hours.

South Gloucestershire


- One member of staff was absent for more than 48 hours therefore required a phone call to be logged, however there was no record on SAP of this having taken place;

- None of the other four members of staff were absent for more than 48 hours.

Overall, we have concluded that there is a concerning lack of recording of sickness management activities being undertaken, and we are unable to establish whether these steps have indeed been taken and not recorded or simply not undertaken at all. During our audit testing we were informed by staff that information was lacking due to the limited amount of space available in the field within the SAP system., Furthermore, we identified that additional manual documents are being maintained by Line Managers and Supervisors as well as the log on SAP, therefore increasing the workload and decreasing efficiency.

Further investigations confirmed that the Staff Office of the Chief Constable have been tasked with reviewing contact log data following a complaint from a member of staff on long term


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sick. This has been able to highlight areas where non-compliance with policy is occurring and managers are being chased and scrutinised. We are therefore satisfied that further control mechanisms are put in place to improve the data logged in SAP.

1.6 When a member of staff is not able to attend work due to sickness that exceeds five working days or seven calendar days he / she must provide a Statement of Fitness for Work (Fit Note) from their GP.

For periods under five working days staff are required to self-certify the sickness absence and this is done via the Return to Work interview process.

Yes From our review of five sites we can confirm;

Communications

Four staff were required to produce ‘statement of fitness for work notes’, (fit notes) due to the lengths of absence from work, however only three of these were provided to cover the entire length of the sickness absence.

One staff member was required to provide a total of eight fit notes to cover the absence period, however seven notes were obtained during our review.


No fit notes were required from staff.

Bristol

No fit notes were required from staff.

Criminal Justice

One member of staff was required to produce a fit note and we confirmed that this was retained on file and covered the full period of sickness absence.

South Gloucester

One member of staff was required to produce a fit note; however no fit note could be obtained

Staff must ensure that fit notes are provided on all occasions of sickness absence over five working days (or seven calendar days) as required by the Sickness Absence Policy. These must be retained on file as evidence.

Medium


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at the time of our review.

. From our testing we have concluded that currently there is a risk that staff members are taking extended sickness absences without providing the proper evidence from their GP as required.

1.7 Following seven days of sickness absence it should be reviewed whether a formal referral to Occupational Health or a relevant counselling or medical assessment is needed.

Occupational Health can offer guidance and / or assistance with any illness which may be exacerbated by working conditions and relevant steps can be taken to facilitate an early return to work.

For example, higher working desks or specific chairs can be obtained.

Yes From our sample of 30 members of staff we confirmed through SAP that two members of staff were referred to Occupational Health. From our review of the details of each case of sickness absence for the sample, we are satisfied that adequate referral has been undertaken.

None.

1.8 A Bradford Score is compiled for each member of staff through SAP.

The score is determined by multiplying instances of absence by number of days absent from work.

The higher the score, the more at risk that person is to taking additional time off. The score is compiled on a rolling 12 month period.

Certain scores trigger certain requirements for managing the

Yes Through review of the SAP system we confirmed that all of the 30 staff tested in our sample had been assigned a Bradford Score and these ranged from 1 to 832.

Six of the 30 members of staff tested had a score over 192, which is one of the triggers for further sickness management procedures to be applied.

We reviewed the sickness records of these individuals and ascertained that these scores were reflective of historic sickness records.

None.


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individual in reducing their levels of sickness.

Further testing of this is discussed below.

1.9 A trigger point is required to be hit before a formal sickness absence process can take place.

The triggers are as follows;

- three sickness periods in a rolling 12 month period;

- a Bradford score of 192 or more;

- a pattern for periods of absence

- absence taken immediately prior to or following leave;

- 28 days continuous sickness; and

- where there is a concern about some other aspect of sickness absence or attendance.

Once a trigger has been hit a LASM (see paragraph 1.10 below for details) can be held.

Yes On review of our sample of 30 staff members across five Avon and Somerset Constabulary sites we can confirm;

Communications

Four staff hit a trigger point of having a Bradford score of over 192, these staff also triggered a LASM due to being absent for more than 28 days consecutively.


One member of staff hit a trigger point due to being absent three times in a 12 month period.

Bristol

No staff hit a trigger point.

Criminal Justice

One member of staff hit a trigger point due to being absent three times in a 12 month period.

South Gloucester

Three members of staff hit a trigger point, one staff member was absent three times in a 12 month period, and two had Bradford scores of 639 and 387.

Overall we were able to ascertain for our sample that when trigger points were hit, the required processes for managing the sickness were initiated.

None.


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1.10

Local Attendance Support Meetings (LASM) are used to formally manage sickness absence for police staff, and Unsatisfactory Attendance Meetings (UAM) are used to formally manage sickness absence for police officers under the Unsatisfactory Performance and Attendance Procedures (UPPs).

A LASM takes place when staff absence levels meet one of the trigger points.

LASMs are used to formally manage sickness absence for police staff.

The purpose of the LASM is to;

- hold a formal discussion about the impact of absence from the workplace;

- discuss the cause of the absence such as an underlying medical condition;

- discuss what support can be provided to the member of staff, and what has already taken place;

- consider referral to Occupational Health;

- reinforce the expectations on an individual regarding attendance;

- support line managers in managing sickness absence; and

- consider the issue of an agreed action plan (Return to Work Plan) to

Yes From our review of a sample of 30 staff members across five teams we found the following:

Communications

Four staff required a LASM 1 for hitting various trigger points.

Out of these four we can confirm that one LASM 1 was not undertaken as required due to part time shift patterns causing missed opportunities for the Supervisor to meet with the individual. This was followed up by HRAP and the Supervisor was informed that the process could be undertaken by another Supervisor.


One officer required a LASM, however no record of this being completed was found on SAP and no further record was maintained by HRAP to suggest that the line manager had requested for the LASM not to happen.

Bristol

No staff required a LASM.

Criminal Justice

No staff required a LASM.

South Gloucester

A total of three officers were required to attend a LASM, however for two there was no evidence to show the LASMs had been carried out as required, and no further evidence was

Line Managers (along with support from HR) must ensure that when a staff member hits one of the set trigger points of high levels of sickness absence, a Local Attendance Support Meeting is arranged and completed in a timely manner to assist the individual in assessing and managing the reasons for such periods of sickness absence.

If LASMs are not held then the reasons for this must be provided and retained by HR.

Medium


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improve attendance/support the individual back into work.

Notice of seven calendar days must be provided to the employee of a LASM.

The meetings can escalate through three stages, LASM Stage 1, Stage 2, and Stage 3. LASM 1.

The employee’s Line Manager is responsible for arranging the Stage 1 meeting and undertaking discussions during the LASM.

The Line Manager will chair the meeting. The staff member is required to attend, along with an HR representative and a staff association representative, if requested by the staff member.

The meeting should cover;

- concern for the health and welfare of the individual;

- cause of the absences;

- return to work plan; and

- referral to occupational health.

A form is required to be completed by the line manager stating what is unsatisfactory about the member of staff’s attendance, and what improvement is required by a certain date.

The member of staff is required to sign

retained by HRAP to suggest why.

There is currently a risk within the Constabulary that staff are triggering LASM meetings through repeat or extended periods of sickness absence, however no further action is being taken to manage or correct this. It is important that LASMs are arranged and take place in order to address the issues causing staff to take extended or excessive amounts of sickness absence, and ultimately reduce the amount of absence within the Constabulary.


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the form. LASM 1 outcomes can include no further action, an action plan, Written Improvement Notice to improve attendance, or redeployment.

A failure to exhibit a sustained, improved performance will lead to a LASM 2 meeting being arranged.

1.11

A LASM stage 2 is called if sufficient improvement in the absence records of the individual has not been witnessed by their Line Manager.

The LASM Stage 2 should be convened to:

- review an individual’s sick absence and decide what action, including reasonable adjustments, need to be taken to help the individual return to work/remain in work; and

- consider redeployment of an individual on medical grounds.

The LASM 2 will be chaired by a second line manager or equivalent, together with the same members of staff as attended the LASM 1.

A form is required to be completed by the second line manager stating what is unsatisfactory about the member of staff’s attendance, and what improvement is required by a certain date.

The member of staff is required to sign

Yes Through review of the LASM 2 process we confirmed that a robust structure is in place and explained clearly to all members of staff in undertaking the process to support staff with on-going sickness.

Of our chosen sample we found that one member of staff was required to attend a LASM 2.

We can confirm that the LASM 2 was carried out, and we obtained copies of the meeting minutes and accompanying report.

The report contained all of the required information as required by the Absence Management Policy.

We are satisfied that an adequate process is in place with regard to the escalation of sickness management issues.

None.


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the form, along with the first line manager.

The possible outcomes of a LASM 2 are:

- review or set a further action plan to improve attendance at work;

- remove the right to Self-Certificate;

- removal of overtime; and

- arrange follow up review meetings.

Ongoing absence concerns will lead to the manager arranging a LASM 3 meeting, or in some cases a Corporate Attendance Support Meeting (CASM) will be called.

1.12

A corporate attendance support meeting (CASM) is held where necessary, between a LASM 2 and a LASM 3.

A CASM is held where the case in question is referred from the manager, through liaison with HR, to the Head of HR Business Support.

A CASM is called if:

- redeployment is needed outside of a department/district;

- a case is particularly complex and/or serious; and

- adjustments needed would have an

Yes From the sample of staff chosen from across the Constabulary, we found that no staff in our sample were required to attend a CASM.

Through review of the procedure we are satisfied that a robust process is in place.

None.


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implication in relation to a policy.

The CASM is chaired by the Head of HR Business Support, and attended by an Occupational Health representative, a Corporate HR representative, district / departmental management, the individual, a staff association representative and the HR Manager from the district/department.

The CASM will be recorded (if the individual agrees and is happy for this to occur) in order to maintain an accurate record of the meeting.

Cases referred to a CASM require a report to be prepared by the line manager in liaison with the HR Manager covering:

- key issues;

- the range of options that have been considered, including those rejected (with rationale) and those implemented;

- evidence which demonstrates that the issue has been looked at from all angles; and

- rationale which explains the decisions taken so far and that all possibilities for the resolution of the absence have been rigorously assessed.

The case will be reviewed from the various representatives’ perspectives


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and a plan agreed. Areas for action and proposals for resolution will be determined and put into effect.

The potential outcomes could be redeployment, moderated duties, or an unsatisfactory performance procedure.

1.13

A LASM 3 is arranged when sufficient improvement in the absence records of the individual since the LASM 2 has not been witnessed.

The LASM 3 is arranged to ensure that all reasonable adjustments and options have been considered.

When all avenues in supporting an individual in relation to sickness absence have been exhausted, a LASM 3 is convened.

The meeting is chaired by a staff member of superintendent rank or head of department level together with the HR Manager, trade union representative and the staff member.

The outcome of a LASM 3 meeting may include dismissal with notice, a final extension of the LASM 2 action plan/written improvement notice, redeployment, or no further action. Where further monitoring is required, the LASM 3 form is retained on file for evidence at the next review meeting.

Yes Through review of our sample of 30 staff members we found that one member of staff was required to attend a LASM 3.

We can confirm that the LASM 3 was carried out, and obtained copies of the meeting minutes and accompanying report.

The staff member had also attended a LASM 2, therefore we were able to build up a sufficient picture of how absence is escalated through the Constabulary.

The final outcome of the case was that the member of staff was offered redeployment but declined and was eventually dismissed from the Constabulary.

The report contained all of the required information as detailed in the Absence Management Policy.

We are satisfied from review of evidence that a robust procedure is in place to undertake LASM 3 meetings.

None.


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1.14

Once an employee returns to work a ‘tick box’ must be completed in SAP by the Line Manager to confirm that member of staff has returned and that the return to work process has been completed.

Yes At the time of audit we reviewed the completion of the ‘tick box’ for the 30 members of staff, of which 29 had returned to work.

Of these 29 members of staff we found that 11 had not been completed to confirm the member of staff had returned to work and the return to work discussions undertaken.

To ensure compliance with policy and that the member of staff is fit to return to work, this process needs to be recorded when undertaken by the line managers in all cases.

Once a member of staff returns to work from a period of sickness absence, the return to work ‘tick box’ on SAP must be completed by the Line Manager.

Return to work interviews must be undertaken in line with the Sickness Absence Policy with all staff members returning from sickness absence as a matter of priority. All details must be recorded on SAP, including any relevant narrative to explain reasons behind the absence and any needs of the staff moving forward.

Medium

1.15

An interview must be completed by the line manager once a staff member returns to work from sickness absence. This forms part of the self-certification process for individuals with absence periods of less than five working days.

All details must be recorded on SAP, including any relevant narrative to explain reasons behind the absence and any needs of the staff moving

Yes On review of our sample we found that ten of the 30 members of staff tested had received a return to work interview meaning that 67% of the sample had not received a return to work interview as required by the Absence Management Policy.

At the time of audit we also reviewed the narrative added to the return to work interviews in SAP and noted that a lack of information is included, and in some cases, no narrative was

See recommendation 1.14.


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forward. found at all.

Currently there is a risk that staff are not receiving the required support after returning to work from periods of sickness absence, which could lead to a further absence and lower efficiency of the work force.

In addition there is a risk that the true nature of staff absence is not investigated, leaving open the possibility of staff abusing the absence system for their own benefit.

Avon and Somerset Constabulary and Somerset Constabulary HR: Absence Management 7.14/15 Contents...

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