Managing Absence:
Guidance for Managers
Human Resources
1 Purpose of these Guidance Notes
1.1 These notes are intended to provide a practical toolkit for managers to use for the purpose of
managing absence in their area of responsibility and should be used in conjunction with the
Managing Absence Policy and Procedure. Further support and advice is available from both
Operational Service HR and the Occupational Health Unit.
2 Recording Absence
2.1 It is your responsibility to ensure that any absence taken by your staff is accurately recorded and that
the data is appropriately stored. If you have any queries about recording the different types of
absences, such as pregnancy related or disability related absence you should contact HR who will
assist you.
3 Reporting Procedure
3.1 You should ensure that staff are aware of the expectations of the Managing Absence Policy and
Procedure (An employee guidance note is available at www.mmu.ac.uk/humanresources/). It is
helpful to record the fact that you have disseminated this information to avoid confusion at a later
date. This can be done via team meetings or by issuing the guidance and noting the recipients.
3.2 You should ensure that you are familiar with the absence reporting procedure which is set out in the
policy and particularly note the following:
•
Ensure your staff are clear on your absence reporting expectations including who they should
contact and by what time.
•
If a member of your staff leaves a message you may contact them at home to establish a
reason for the absence and or to discuss urgent work related matters if necessary. If contact is
made it should be appropriate, relevant and kept to a minimum.
•
Ensure that you make it clear how frequently you expect the employee to make contact whilst
absent. This will depend on the nature of the absence i.e. absence related to a condition from
which the employee may recover quickly such as vomiting, is likely to require a daily call,
whereas if the employee has been diagnosed with a condition such as a chest infection you
may agree that the member of staff can call back in a few days time.
•
Make a brief note of the conversation to avoid any ambiguity at a later date.
3.3 A Fitness for Work Certificate (Fit Note) is required if an employee is absent beyond seven calendar
days. This note should be attached to the absence reporting form and sent to HR as soon as possible.
Failure to follow the Absence Reporting Procedure
3.4 If a member of your staff fails to follow the absence reporting procedure, you should contact them by
phone to establish the circumstances of their absence. If your attempt is unsuccessful, you should
contact the Assistant HR Adviser who will write to the employee.
4 Return To Work Interviews (RTW)
4.1 A Return To Work (RTW) interview gives you the chance to welcome your employee back to work,
confirm that their record of absence is correct and enables them to raise any health or other issues
that need addressing with your support. A RTW interview can also be a good opportunity to offer
help to an employee if you feel they are unwell or behaving differently because of pressure of some
kind – domestic or work related. The nature of the discussion will vary depending on the length of
time the employee has been absent and the reason for the absence.
4.2 The RTW is an integral part of managing absence and the documentation developed at these
interviews may be used at a later date as evidence. Therefore it is important that you maintain
accurate records.
4.3 Following each absence from work due to sickness, you must arrange to meet with the employee on
their return. The RTW interview will usually take place on the day that the employee returns, and
should be held in private, on a 1 to 1 basis.
4.4 Prior to the interview you should prepare yourself by establishing the absence history of the
employee over the last 12 months.
4.5 The RTW is your opportunity to check that there has been no substantial change to the individual’s
circumstances. All discussions must be noted on the standard form and copied to the employee if
requested. Following the meeting, myHR should also be updated.
4.6 The RTW interview should be a meeting at which issues are discussed; it should not just be about
filling in a form. The standard RTW interview form is available at www.mmu.ac.uk/humanresources/.
This form provides prompts and a checklist, which will assist in consistency across the University.
4.7 If any further points are raised you should also note these on the form or attach a further sheet.
5 Managing Short-Term Absence
5.1 This type of absence relates to employees taking ‘odd days’ off from work usually with minor
ailments, which may not require a medical statement. The absence triggers at the University are ‘five
days or more in a six month period or three or more occasions of absence in a six month period.’
5.2 If an employees absence reaches the absence triggers you will be required to conduct an Absence
Review Meeting (ARM).
5.3 As part of the RTW interview you will be aware that an employee has reached the absence triggers,
and the employee should be told that they will be required to attend an ARM. As this meeting is
informal you may conduct the ARM straight after the RTW, alternatively you may arrange a suitable
time with the employee, but you should not delay this meeting for more than a week.
5.4 A checklist and note sheet for conducting and noting the meeting is available at
www.mmu.ac.uk/humanresources/. This provides a guide of the types of questions that may be
relevant and confirms the potential outcomes.
5.5 At the end of the meeting you will need to make a decision on how to proceed with the case, this
may include absence monitoring for a period of 6 months or no further action. A decision to take no
action should only be made in exceptional circumstances such as a previous exemplary record. If
monitoring is put in place a date should be arranged for the six month review at this meeting.
5.6 The outcomes must be confirmed in writing, and standard letters are available from your operational
HR support team.
5.7 During a period of absence monitoring if further absence occurs causing the employee to reach the
absence triggers this would usually cause a move into formal absence management. In these
circumstances you should not wait for the monitoring period to expire before proceeding to the next
stage. This should be explained to the employee as part of the discussion.
Formal Absence Management Procedure
5.8 If the employee reaches the absence triggers they will be required to attend a Stage 1 Review
Meeting. You should arrange the meeting as soon as possible and within two weeks of them
returning to work.
5.9 At all stages in the formal process employees must be offered the opportunity to be accompanied by
a trade union representative or a work colleague. At stages 1 and 2 of this process, managers will be
accompanied by an Assistant HR Adviser; at stages 3 and 4 managers will be accompanied by a HR
Adviser.
Stage 1 & 2 Meetings
5.10 At the Stage 1 and 2 Review Meetings you should discuss the employees’ absence record, including
reason(s) for each period of absence. In preparation for the meeting you should list the reason/s and
duration of each period of absence and highlight when meetings under the procedure have taken
place.
5.11 The meeting can be recorded on the Stage 1 and 2 Review Meeting record form available at
www.mmu.ac.uk/humanresources. The record form provides prompts to ensure that all of the
appropriate points are covered and can be used to note the meeting.
5.12 After you have talked through the absence record and made any observations, invite the employee to
comment and inform you of any information that they feel should be taken into account.
5.13 If, as a consequence of the discussion you conclude that the absence record is a matter of concern
this should be made clear to the employee. You should give notification that the absence record is
unacceptable and is bringing into question their capability to fulfil their contract of employment. The
employee must be informed that an improvement in attendance is required and that his/her
attendance will be subject to ongoing monitoring for a period of six months. The outcome of the
discussion may also include a referral for medical advice.
5.14 The employee must be informed that if further absence occurs resulting in the absence triggers being
met, a meeting under the next stage of the formal process will be arranged. If the employee reaches
the absence triggers during the 6 month period of monitoring you should not wait for the monitoring
period to expire before proceeding to the next stage.
5.15 A date should be arranged for the six month review at this meeting.
5.16 The discussion will be confirmed in writing by the Assistant HR Adviser and a record placed on the
employee’s personnel file.
Review Meeting
5.17 The purpose of the review meeting is to discuss the employees’ progress in relation to the
notification that they were required to improve their record of attendance. At the meeting any further
absence/s should be discussed and a decision made on how to proceed. If the employee has again
reached the absence triggers a meeting should be arranged at the next stage of the formal procedure,
if the record has improved but not to an acceptable standard the period of absence monitoring may
be extended for a further period of six months, or the monitoring period should end.
5.18 The review meeting discussion will be confirmed in writing by the Assistant HR Adviser and a record
placed on the employee’s personnel file.
Stage 3
5.19 If during a period of monitoring at Stage 2 an employees’ absence level reaches the absence triggers
you should contact your HR Adviser to arrange an occupational health appointment to gain a medical
opinion as to whether the employee has an underlying health condition contributing to their absence
levels. You should advise the employee of the occupational health referral at the RTW interview. On
receipt of the occupational health report a Stage 3 Review Meeting must be arranged.
5.20 This meeting should be conducted in the same way as previous staged meetings and be recorded on
the Stage 3 Review Meeting record available at www.mmu.ac.uk/humanresources.
5.21 If you conclude that the absence record is a matter of concern this should be made clear to the
employee and they should be notified that their absence record is unacceptable and is bringing into
question their capability to fulfil their contract of employment. You should inform the employee that
an improvement is required and that his/her attendance will be subject to monitoring for a period of
12 months.
5.22 If you decided to invoke a period of monitoring at Stage 3, the employee will be given final
notification that the attendance record is unacceptable and an improvement is required. It will also
be made clear that if the absence triggers are reached again during the monitoring period, a Stage 4
Review Meeting will be held the outcome of which could be a recommendation that the employee’s
contract of employment is terminated on the grounds of capability.
5.23 A date should be arranged for the 12 month review at this meeting. The discussion will be confirmed
in writing by the HR Adviser and a record placed on the employee’s personnel file.
Patterns Of Absence
5.24 If you identify a pattern in an employees absence you may, if appropriate move through the stages
more quickly. Such circumstances would include where an employee has been to Stage 2 of the
formal process on several occasions and shortly after the period of monitoring reaches the absence
triggers again. In any such cases you should contact your HR Adviser for advice.
Stage 4 – Dismissal
5.25 If an employee has failed to improve their level of attendance, Stage 4 is the final stage of the formal
procedure. At stage 4 there are two steps in the process, the first is to hold a Capability Consultation
Meeting with the employee to consider whether or not there absence level is such that a
recommendation for dismissal should be made. The second is a Capability Hearing.
5.26 As the Stage 4 Consultation Meeting could result in dismissal it is essential that at the meeting:
•
You are in possession of an occupational health report which is less than three months old. If
you require further Occupational Health advice you should contact your HR Adviser.
•
You discuss with the employee the attendance record leading to the stage 4 meeting from the
ARM to date, including reason(s) for each period of absence and the contents of the
occupational health report/s.
•
You should invite the employee to inform you of any information which they feel should be
taken into account. A Stage 4 review form is available at www.mmu.ac.uk/humanresources/.
5.27 If you decide it is appropriate to make a recommendation for dismissal, a report will need to be
developed in conjunction with your HR Adviser in which all appropriate periods of absence are
outlined. Evidence will need to be provided to support the report and you must be able to
demonstrate that the employee has been through the stages outlined in the procedure and that
he/she has been given clear direction that the attendance record is unacceptable and that unless an
improvement is made dismissal on the grounds of capability will be considered. The report should
also outline any support that has been provided to the employee.
Capability Hearing
5.28 The report and supporting evidence, ‘the bundle’ will be provided by HR to a more senior manager
who has not previously been involved in the case and in accordance with appendix 1 of the policy
and procedure, Schedule of Delegation. A copy of the report and an identical bundle will be sent to
the employee.
5.29 The manager considering the recommendation will invite the employee to a Stage 4 Capability
Hearing to allow the employee to make any representations on the recommendation and to submit
any additional evidence which they wish to be taken into consideration. The meeting will be
convened within two weeks of receipt of the report and bundle.
5.30 The manager considering the recommendation will be supported by an HR Adviser who will note the
meeting, assist with questioning, if appropriate and advise the manager on the procedure.
5.31 The outcome of the meeting will be either dismissal on contractual notice or a further period of 12
months monitoring at Stage 3.
Right Of Appeal
5.32 An employee may appeal against their dismissal within 10 days of receipt of the letter confirming the
decision. In the appeal letter the employee should indicate the grounds upon they are appealing.
5.33 An appeal against dismissal will be heard in accordance with the schedule of delegation in appendix
1 of the Managing Absence Policy and Procedure.
5.34 If the appeal is disallowed, there will be no further right of appeal.
6 Managing Long-Term Absence
6.1 Long term absence is defined as continuous absence of four weeks or more and can usually be traced
to an underlying medical condition.
6.2 At all meetings relating to an employees long-term absence the employee may be accompanied by a
trade union representative or a work colleague. You will be supported at all meetings by an HR
Adviser.
6.3 If an employee is absent on a long term basis you must invite them into the workplace for regular
Management Review Meetings (MRM) every four to six weeks. It is important to hold the meetings in
the workplace to assist the employees in their return to work. These meetings are part of the regular
communication which it is essential to maintain with the employee whilst they are off. Failing to
maintain this contact can lead to feelings of isolation which may hinder the return to work process.
6.4 If the employee is unfit to attend work you may arrange to visit them at home.
6.5 After four weeks absence you should consider whether it is appropriate to refer the employee to
occupational health, you can discuss this with your HR Adviser.
6.6 A MRM record sheet is available at www.mmu.ac.uk/humanresources, this can be used to record
the discussion and contains a series of prompts.
6.7 At the MRM meetings you should talk to your member of staff about the potential consequences of
long term absence.
6.8 MRM meetings will be confirmed in writing by the HR Adviser to the employee.
Phased Return To Work
6.9 Following a period of long term absence it may assist an early return to work for the employee to
initially return on a ‘phased’ basis whereby the hours of work and duties are built up over a period of
time, normally three weeks.
6.10 You may receive a recommended phased return to work plan from Occupational Health in advance of
the employees return to work. In most cases you will be able to agree the recommendation, however,
if for operational reasons this is not possible then it is appropriate for you to discuss this with the
employee and agree a suitable pattern.
6.11 You should meet with the employee during a phased return and plan in regular reviews to ensure
that the employee is not experiencing any difficulties. As part of the review meetings amendments
can be made to the phased return to work whereby less or more hours / days are worked depending
on how the employee is recovering.
6.12 It is good practice to meet with the employee on the day that they return to work and to meet on a
weekly basis throughout the three week period. You should ask the employee to inform you if they
are experiencing any difficulties and not wait until the weekly review meeting to bring them to your
attention.
6.13 The agreed phased return to work and the review process should be confirmed in writing to the
employee.
7 Capability Dismissal
7.1 In cases of long term absence a recommendation for dismissal on the grounds of capability may be
made when:
•
A report from the Occupational Health Physician makes it clear that there is no prospect of a
return to work within a reasonable timescale, and
•
There is no recommendation for medical retirement, or
•
Where the employee is permanently unfit to return to their substantive post and a suitable
alternative position cannot be identified, or
•
The employee’s continuing absence can no longer be tolerated.
7.2 If redeployment on medical grounds is recommended you should discuss the process with your HR
Adviser who will advise you on the process. The process will involve the University seeking
alternative employment for the employee which meets the requirements of the medical restrictions
recommended by Occupational Health.
7.3 It is likely that you would conduct at least three MRM meetings prior to making a decision to explore
a capability dismissal. It is therefore essential that the documentation related to the MRM’s with the
employee appropriately reflect the meetings and confirm to the employee that a consequence of long
term absence could be dismissal.
7.4 If you are contemplating a capability dismissal you must discuss the case with your HR Adviser and
follow the steps set out in the policy and procedure.
7.5 All meetings held under the procedure must be confirmed in writing. Your HR Adviser will provide
assistance and draft appropriate correspondence.
Stage 1 – Capability Consultation meeting
7.6 You should invite the employee to attend a Capability Consultation Meeting. The employee should be
given seven days notice of this meeting.
7.7 The outcome of the Capability Consultation Meeting will be confirmed in writing within 1 week, the
HR Adviser supporting you will draft this letter.
Stage 2 – Capability Hearing
7.8 Capability Hearings will be conducted by an appropriate senior manager in accordance with the
Schedule of Delegation at appendix 1 to the Managing Absence Policy and Procedure.
7.9 In advance of the Capability Hearing, in conjunction with HR, you will develop a report supported by
evidence to demonstrate that the Managing Absence Policy and Procedure has been followed and the
employee has been informed that their absence is placing their employment at risk. The evidence
should include RTW forms, copies of Occupational Health reports and outcome letters of MRM
meetings.
7.10 The outcome of the Capability Hearing will be either a dismissal on the grounds of capability or a
decision to keep the case under review.
7.11 If the outcome of the Capability Hearing is a decision to dismiss on the grounds of capability the
employee will be entitled to contractual notice.
Right Of Appeal
7.12 If an employee is dismissed under this procedure they will have a right of appeal which they must
submit in writing within ten days of receipt of written notification of the dismissal. In this letter the
employee must specify the grounds upon which they are appealing.
7.13 The appeal hearing should be arranged within two weeks of receipt of the appeal letter and will be
heard in accordance with the schedule of delegation in appendix 1 of the Managing Absence Policy
and Procedure.
7.14 If the appeal hearing officer disallows the appeal, the employee will have no further right of appeal.
8 Review
8.1 This guidance has been screened to determine its impact on groups which are protected by law
using the University’s Equality Impact Assessment process. This guidance will be reviewed in two
years, or earlier if legislative requirements change.
Last Date of Review: February 2015
AE 7197