GOOD ATTENDANCE
AND
SICKNESS ABSENCE MANAGEMENT
–
GUIDANCE FOR MANAGERS
Contents
Page
Introduction
3
Section 1
Notification and Reporting Arrangements
4
Section 2
Return To Work Interviews
9
Section 3
Enforced Sickness Absence
12
Section 4
Keeping In Touch
13
Section 5
Confidentiality
14
Section 6
Managing Short Term Absence
15
Section 7
Managing Absence for Staff with a Disability
22
Section 8
Managing Long-Term Absence/Ill Health
24
Appendix A
Overview of roles and responsibilities
28
Appendix B
Employees with an underlying health condition
or disability as defined in the Equality Action 2010
30
Appendix C – Appeals Process
34
Good Attendance and Sickness
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Absence Management – Guidance for Managers
April 2012
Gaynor Mackenzie
Introduction
This guidance provides a framework for managers to assist them in improving attendance and
managing sickness absence consistently, confidently and effectively. It should be read in
conjunction with the following documents:




TVP Good Attendance and Sickness Absence Management Policy Statement
TVP Absence Procedure –Short Term and/or persistent Absence
TVP Absence Procedure –Long Term Absences
Good Attendance and Sickness Absence Management – Guidance for Employees
Managers are reminded that these procedures should not be used for staff in their probationary
period. Any absence during that time should be dealt with in accordance with the Probationary
Period Policy and Procedure.
Sickness absence management is primarily the responsibility of line managers assisted by the
provision of support services such as Human Resources (HR) and Occupational Health (OH). Mild
or even moderate ill health (such as minor colds etc) does not necessarily mean that a member of
staff will be absent from work and a number of factors are likely to influence this decision. These
may include the quality of supervision, working relationships, team spirit, workload and general
working conditions. An awareness of these factors plays an important part in the management of
sickness absence.
Driving improvement in sickness absence performance demands a consistent approach to the
application of the Absence Procedures and the Board and senior managers need to have in place
a means of checking that these expectations are being delivered by every manager at every stage.
This guidance should ensure that all members of staff are treated consistently and fairly while
taking into account individual circumstances relating to a specific case. By dealing with potential
problems at an early stage, it is likely that many will not develop into longer-term problems.
Persistent intermittent or long term absence which is not managed effectively has a disruptive
effect on other colleagues and affects Thames Valley Probation’s (TVP) performance levels.
The guidance is also intended to foster a constructive and supportive relationship between line
managers and staff, with the aim of ensuring that the welfare and well-being of staff is balanced
with the needs of TVP and high levels of performance.
Accurate record keeping of all absences helps to develop a fair and consistent approach to
attendance. It is also a way of raising employees’ awareness of their manager’s interest in their
attendance at work whilst highlighting to each individual her/his own level of attendance.
An overview of roles and responsibilities of all those involved in sickness absence management is
attached at Appendix A.
Further information in respect of employees with an underlying health condition or disability in
terms of the Disability Discrimination Act (DDA) 2005 is provided at Appendix B.
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Absence Management – Guidance for Managers
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Gaynor Mackenzie
Section 1
Notification and Reporting Arrangements
Line managers are responsible for ensuring that sickness reporting procedures are adhered to, for
example that certificates are produced on time, and should take appropriate action if they are not.
All managers and staff have a responsibility to familiarise themselves with the notification and
reporting arrangements in place and to comply with them. The arrangements for reporting
sickness absence should therefore be included in part of any induction programme for new staff
and a reminder circulated to all staff from time to time.
1.
First day of Absence
Direct contact with the line manager or nominated representative must be made at the
beginning of the period of absence. This should be done, wherever possible, within half an
hour of the expected starting time (normally by 0930 for those working a standard working
week). There must be a system in place so that every manager nominates a colleague
manager to cover his/her absence. Reception, as well as other managers, must have a
schedule so that when staff are sick and make contact there is clarity about to whom they
should be directed. Staff also need to be clear that they are not permitted to leave messages
with reception, on an answering machine, or to communicate by text message.
On receiving a telephone call in relation to absence, the line manager or other appointed
person will make enquiries of the nature of the illness and its expected duration. They will also
ask about any work commitments that need to be arranged, any welfare needs and whether
the absence is related to an industrial injury. The record of this conversation will be treated as
confidential but the fact of the sickness absence and its expected duration may need to be
reported to colleagues in order to cover work. The sickness absence must be noted on the
appropriate reporting form and returned to HR on a weekly basis.
2.
Throughout the period of sickness
If the sickness absence continues beyond three consecutive days, the employee should
contact his/her line manager again, as early as possible on the fourth day of sickness absence
or on the next working day. If the manager is advised that it is likely that the absence will
continue beyond seven consecutive days, the employee must be reminded of the need to
obtain and submit a medical certificate.
The individual employee must maintain regular contact with his/her line manager throughout
the period of sickness, informing them of their progress and anticipated date of return to work.
If the period of their sickness is likely to be extended beyond the original date of return, the
employee must inform their line manager of that fact as soon as is practicable. They must
also supply self and/or medical certificates as appropriate at the earliest opportunity.
3.
Medical Certification
3.1 Sickness Absence of Seven Calendar Days or Fewer
A doctor’s certificate (from a registered medical practitioner) is not normally required for
absences lasting less than eight consecutive calendar days. Where TVP requires a
medical certificate in these circumstances, it will meet the cost.
A self-certificate form should be completed by the individual for each spell of absence of
seven calendar days or fewer from the first day of absence. The line manager should
ensure that the individual completes this on his/her return to work. For part-time staff or
staff with an atypical working pattern, the self-certificate form should indicate the
individual’s working pattern (days and hours worked) to identify the precise days or part
days when the individual would otherwise have worked.
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Absence Management – Guidance for Managers
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Gaynor Mackenzie
3.2 Sickness Absence of Eight Calendar Days or More
If the absence is for eight calendar days or more, the employee is required to submit a
doctor’s medical certificate. Again, for part time staff or those with an atypical working
pattern, the certificate should be accompanied by a note of the working pattern. If the
absence continues beyond the return to work or due date on the certificate, further
medical certificates should be submitted promptly. Line managers should ensure that the
medical certificates cover the continuous period of absence and are passed on promptly
to HR. Failure to provide timely certificates should be treated very seriously and the
expectation is that managers will instruct HR to suspend pay unless there are very good
reasons for the delay.
3.3 Status of the Medical Certificate
The medical certificate provided by a doctor is an advisory note that can be overruled by
the patient if s/he wishes. It is not an instruction to the member of staff not to attend work
during the period specified nor is it an instruction to the employer not to accept the
individual back to work during that period.
Since April 2010 GP’s issue a “Statement of Fitness for Work” or “fit note.” The fit note
may suggest ways of helping an employee who has been off work for longer than eight
days to return to work, for example by some temporary adjustment of workplace or hours
of work. There are no restrictions relating to early return to work. Accordingly, by mutual
agreement between the line manager and member of staff (taking account of the need for
any specific requirements identified in a return to work risk assessment) the member of
staff can return to work when s/he feels sufficiently able. TVP should facilitate the return,
consulting with the employee, their GP or the OH Adviser and making adjustments as
necessary (thereby ensuring that they have done all that is reasonably practicable in
respect of general employer responsibilities). There is no requirement for the employee to
seek formal authorisation from their GP prior to returning to work.
Occupational Health may occasionally advise that an employee is fit to return to work
which may be contrary to the notification on the medical certificate. (It is expected that the
OH representative will normally have discussed the difference in views with the relevant
GP and sought to reach an agreed position where possible.) In the rare circumstances
where this occurs the line manager will need to seek advice from HR on how to proceed.
HR may advise that a notice to return to work should be issued to the employee.
However, all circumstances would have to be considered before such a notice was
issued.
If the member of staff does not feel well enough to return to work at the end of the period
stated in the medical certificate, s/he should seek an extension of that certificate from the
GP. Conversely, if the member of staff wishes to return to work early, but Occupational
Health advises that this would not be appropriate (e.g. for reasons of cross-infection or
that the member of staff is not considered sufficiently well recovered) the line manager
should not permit the member of staff to return to work. In such cases where
Occupational Health advise that an employee is not fit to return to work, they will be
suspended from duty on the grounds of health and safety i.e. the employer’s duty of care
to that employee and others in the work place. Such suspension would be on full pay until
such a time as their GP provides a further certificate. Individuals will be required to attend
their GP and Occupational Health will advise the GP of the reason for not allowing the
individual to return to work.
Nothing in the above statements must be taken as requiring employees to return to work
until they feel well enough so to do.
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Absence Management – Guidance for Managers
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4.
Failure to Comply with Reporting Arrangements
If any member of staff fails to comply with the stipulated reporting arrangements (including
making direct contact with their manager, not just leaving a message) without an acceptable
explanation, pay may be suspended and disciplinary action initiated.
5.
Failure to Notify Absence
If a member of staff fails to make contact with their line manager (or nominated deputy) on the
day that the absence has occurred, consideration will be given as to whether pay should be
suspended until contact is made and a satisfactory explanation is given. If the decision is
made to suspend pay, HR should be notified to authorise the action with Payroll.
Where it has not been possible to contact the member of staff by telephone, a suitably worded
letter should be sent by first class post and special delivery that day. The line manager should
express concern about the lack of contact and ask the member of staff to make immediate
telephone contact on receipt of the letter. The letter should also request a full explanation of
the reason for the absence/lack of contact and the likely date of return. It should also explain
why pay has been suspended in line with para 4.
Should the member of staff continue to be absent without contact, the line manager should
again write requesting immediate contact. This letter, which should be sent by recorded
delivery or delivered by hand, should also inform the member of staff that if s/he does not
return to work or provide a valid reason for absence disciplinary procedures will be
commenced.
6.
Unauthorised Absence
Instances of unauthorised absence i.e. where a member of staff returns to work from an
absence during which no contact has been made with the line manager, must be raised with
the individual immediately on their return to work. The line manager should find out the reason
for the absence and make a decision on the appropriate course of action. This may include
pay being withheld and disciplinary action.
If it is considered that there is an acceptable reason for the lack of notification of absence, then
the member of staff should be granted appropriate leave or where sick pay has been
suspended, sick pay may be granted in retrospect. If the reason given is not considered
acceptable, disciplinary action will be commenced immediately.
7.
Absence from Home Address when Absent on Sick Leave
There are occasions when individuals who are absent on sick leave are away from their home
address, e.g. to stay with parents; convalesce etc. This is acceptable as long as nothing is
done which might worsen the condition or otherwise prolong the sickness absence and that
the leave is not claimed back under para10. The employee is required to provide the line
manager with the revised necessary contact details.
8.
Reporting of Accidents, Injuries, Disease and Dangerous Occurrences
When an absence is due to a work related accident, incident, disease or dangerous
occurrence an accident/incident form must be completed in addition to the absence being
reported to HR in the normal way. Absences must still be supported by a doctor’s certificate if
they persist for longer than seven calendar days.
Absences due to a work related accident, incident, disease or dangerous occurrence must be
treated on a case by case basis.
The line manager should seek advice as appropriate from HR and/or the Health & Safety
Officer at any stage. It is the line manager’s responsibility to ensure that accident/incident
reports are completed so that, where necessary, reports and information relating to work
related stress, musculo-skeletal disorders (e.g. RSI) and reportable diseases can be
forwarded to NOMS or to the HSE in line with the RIDDOR regulations.
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Absence Management – Guidance for Managers
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Gaynor Mackenzie
9.
Absence of Less Than One Day
If staff have worked for less than half of their expected hours and have to leave work because
of feeling unwell, this will be counted as a half day’s sickness absence for monitoring purposes
and will be counted in the calculation of trigger points for action under the absence
procedures. Half-day absences are not taken into account for statutory sick pay purposes as
this would conflict with the Statutory Sick Pay Regulations.
If staff have worked for more than half their expected hours and have to leave work because of
feeling unwell, this will be counted as a full day’s attendance.
10. Sick Leave in Relation to Periods of Annual Leave
If an employee wishes to take annual leave during a period of sickness absence they must first
obtain written confirmation from their GP that they are fit to travel and that the taking of annual
leave will not delay recovery or will promote it. Approval must then be sought from the line
manager in the normal way and the appropriate number of days will be deducted from their
annual leave entitlement. Pay will be adjusted to reflect annual leave rather than sickness
absence. If the employee has an agreed phased return to work plan, annual leave may be
utilised to facilitate this plan as appropriate. However, where because of extended long term
sickness absence an employee has not been able to take the full statutory annual leave
entitlement (currently 28 days), any accrued but untaken statutory leave may be carried over
to the following leave year even if this exceeds the normal carry over rules. Accrued but
untaken contractual annual leave will ordinarily be forfeited subject to normal carryover
provisions where these have not already been met by the carryover of any untaken statutory
entitlement.
If a member of staff falls sick during a period of approved annual leave, the period of sickness
will be recorded as sick leave and not annual leave PROVIDED that sickness reporting
procedures have been fully complied with and a doctor’s certificate is produced for the whole
period. Medical certificates must be paid for by the employee.
If a member of staff is taken ill whilst on leave abroad and cannot return to the UK at the end
of his/her leave period, line management must be informed immediately by the quickest
means and medical evidence submitted as soon as possible (the entitlement to statutory sick
pay may be affected if the absence is spent wholly or partially outside the EU). The situation
will then be assessed taking account of all the relevant factors.
11. Time Off for Medical Appointments
Where possible, staff should arrange appointments outside of their working hours. When this
is not possible, they should seek to arrange appointments that minimise the disruption to work
e.g. at the beginning or end of the working day. Where this cannot be arranged, permission to
attend during work hours should be sought and should not be unreasonably refused. The line
manager may grant reasonable time off with pay exceptionally for visits to the doctor, hospital,
dentist or optician which cannot be accommodated outside the working day. Except in cases
of emergency, the employee should advise his/her line manager of the proposed time of the
appointment as soon as possible and must produce an appointment card or letter if asked.
Where there are a series of appointments for regular and ongoing treatment, acceptable
arrangements need to be approved by the line manager for handling these.
If, following a medical appointment, an individual is unable to return to work because they are
unwell the line manager must be informed of the sickness absence in the normal way.
12. Pregnancy Related Absence
Arrangements must be made to enable pregnant women paid time-off to keep an appointment
to receive ante-natal care. Except for the first appointment, employees may be asked to
produce proof that an appointment has been made.
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Absence Management – Guidance for Managers
April 2012
Gaynor Mackenzie
Requests for time off for appointments relating to infertility treatment should usually be
approved. The usual consideration and procedures for gaining approval for medical
appointments should be used. Should sickness absence occur following treatment, the days
absent should be recorded in the usual way. Line managers should not normally consider
taking formal action for reasonable absence due to infertility treatment and if triggers are
reached no action would usually be taken, after due consideration. Managers are reminded
of the need for absolute confidentiality around an employee's infertility treatment and
no reference to it must be made in any local records.
13. Transsexual Employees
Transsexual employees undergoing medical and/or surgical procedures related to gender
reassignment may require some time off from work. Line managers must allow employees
paid time off work to undergo this treatment and it should not be counted towards attendance
management warning triggers. Managers are reminded of the need for absolute
confidentiality around an employee's gender identity and no reference to it must be
made in any local records.
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Absence Management – Guidance for Managers
April 2012
Gaynor Mackenzie
Section 2
Return to Work Interviews
Line managers have a responsibility to conduct an interview with any employee returning from
sickness absence on their first day back, regardless of the duration of the absence. Where it is
impractical to have a return to work interview on the first or second day, the interview should be
conducted by another appropriate manager.
Before the interview, the line manager should have all the relevant information about the
individual’s absence record including:
 date reported sick
 date returned to work
 reason for absence
 absence history
The purpose of the interview is to:
 Welcome the staff member back
 Confirm the reason for the sickness absence;
 Ensure that the absence should not be treated differently e.g. as special leave, temporarily
rearranged working hours etc;
 Ensure that the employee feels healthy enough to return to work (although this is recognised
as being an unqualified opinion, rather than a medical statement);
 Demonstrate concern for the health of the individual;
 Establish if the absence may be disability related;
 Provide an opportunity to identify any health, domestic, welfare or work related problems and
if the latter, whether these need to be considered under another employment policy or
whether the manager needs to take some other action to assist the return to work;
 Consider a referral to Occupational Health, for example if the absence is disability related, or
if medical advice has been received that suggests work related ill health or injury may be
developing;
 In exceptional circumstances where a health, domestic, welfare or work related problem may
result in extended periods of absence a referral to OH or other appropriate agency may be
considered;
 Update the employee on events that may have happened at the workplace during his/her
sickness absence and identify what work should be prioritised;
 Provide the employee with information about support services that are available to them;

Establish any reasonable adjustments that may be required;
 Highlight the absence is a cause for concern and impacts on colleagues.
The return to work interview is part of normal line management, but should take place in private to
preserve confidentiality. The employee’s sickness record should be discussed and any concerns
brought to the attention of the employee; for example, emerging patterns of absence.
When concerns have been identified as to the level, type, or duration of an employee’s sickness
absence, the issues should be discussed informally. In appropriate circumstances, the
implications of a poor attendance record on employee appraisals, controlling career development
and the possibility of invoking the absence procedure should be explained.
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Absence Management – Guidance for Managers
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The employee should be notified of any separate formal meeting to progress to the short or long
term absence procedures, with the employee being given the appropriate notice and rights of
representation.
1.
Recording the Interview
Line managers should record the outcome of the interview on a return to work interview form.
A copy of the form with agreed actions should be given to the employee and a copy placed on
file.
2.
Return to Work on a Reduced Hours or Alternative Duties Basis
When employees are recovering from a long-term illness or injury and are not fit for full duties,
it may be beneficial for them to be eased back into the workplace as part of a planned shortterm programme of work. Such a programme can have the effect of helping recovery and
lessening the impact of a prolonged period of absence from the workplace. It may entail a
reduction in working hours or could involve alternative duties.
In all cases the line manager must consult with HR before discussing the feasibility of reduced
hours/alternative duties with the employee, including potential duration. It is very important
when agreeing a return to work programme to obtain advice from the OH practitioner. S/he
will be able to contribute to the risk assessment that should be completed prior to a return to
work and advise on any adjustments that are required. Assuming that any reduction in hours
is not a permanent one the employee will return on full pay even if they are working reduced
hours but where there is a large amount of accrued leave, there is an expectation that some of
this will be used to make up the shortfall. Should the employee fail to return to their normal
hours within one month, their pay will be adjusted according to the proportion of their normal
hours currently worked. Should a longer period of rehabilitation on reduced hours be needed,
employees will be able/encouraged to use any remaining accrued annual leave to facilitate
that, if they want to avoid reduction in pay. Normally if a full return to work has not been
achieved by the end of three months the employee will move into the absence procedure. It
should be remembered that temporary modification of duties is at the employer's discretion,
and the employee has no contractual right to work reduced hours for their normal pay.
Employees who are temporarily working reduced hours as part of a temporary modification of
duties and who wish to take annual leave on a normal working day are required to take a
normal day’s annual leave irrespective of the hours due to be worked on that day.
Any temporarily modified duties or working patterns should be regularly reviewed by the line
manager, in consultation with second line manager, HR Unit and OH. It should be noted that,
if during a review, it becomes apparent that the employee will not become fit to return to full
duties, or that temporary modification of duties has ceased to be appropriate, the employee
will be referred back to OH. Further advice will be sought on whether a permanent
redeployment or termination of contract on grounds of ill health/medical retirement may
become a consideration. Each case will be considered on its merits.
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Absence Management – Guidance for Managers
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THAMES VALLEY PROBATION
‘RESTRICTED - STAFF’ once completed
Return to Work Summary
Employee Name:
Interview conducted by:
Date:
Job Title:
Details of sickness absence
Absent date:
From
To
Number of working days absent:
Reason for Sickness Absence: (Brief notes of meeting - include any agreed actions)
NB It is not sufficient to say ‘Unwell’ or ‘Sick’
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
Has the employee triggered because of this absence?
Yes / No
(If yes details of trigger)
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
If triggered;
Advise the employee:

Reasons for arranging a Formal Meeting

You will write to them with a date and time

Right to be accompanied to the meeting by a colleague or Trade Union

Refer to the Sickness Attendance Management Policy
Does the employee now consider themselves to have a disability?
Yes / No
(If yes, detail below and advise HR)
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
Was the absence due to an injury at work?
Yes / No
(If so please ensure that an accident report form has been completed and a copy sent to the
Health & Safety Adviser)
……………………………………………………………………………………………………………….
……………………………………………………………………………………………………………….
Self certificate completed?
Yes / No
On receipt of Medical Certificates
please forward straight to HR.
Medical certificate received? *
Yes / No
* If the absence is for 8 or more consecutive days (including Saturday, Sunday & Bank Holidays)
you must obtain a medical certificate from you doctor to cover absence from the 8th day onwards
Signed by Line Manager………………………….
Signed by Employee……………………………… Date:……………………………………
cc LDU Director
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Absence Management – Guidance for Managers
April 2012
Gaynor Mackenzie
Section 3
Enforced Sick Leave
From time to time, management may feel that a member of staff may not be well enough to remain
at work, despite reporting for work. The Health and Safety at Work Act places an obligation on
managers to ensure that all staff are well enough to undertake work. Where a manager has
concerns in relation to an employee’s fitness to remain in work the manager may send the
employee home, request that they refrain from returning to work until the symptoms/condition
improves and/or produce evidence from his/her GP that they are indeed well enough to undertake
work. In such circumstances management should ensure that the member of staff is well enough
to travel home, unaccompanied and, if necessary, make arrangements for his/her safe journey
home (for example by taxi).
Employees on enforced sick leave are still required to produce medical certificates and self
certification of the absence. Enforced sick leave will be treated consistently with all other types of
sick leave in the management of the absence(s) including the Unsatisfactory Attendance
Procedure.
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Absence Management – Guidance for Managers
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Section 4
Keeping in Touch
Keeping in touch with absent colleagues is important but it should be done in a supportive way and
not be felt by staff to be an additional burden or pressure. Contact should not only establish how
the employee is and how their recovery may be progressing, but also be aimed at keeping them in
touch with what is going on in the workplace. The Trade Unions can make a valuable contribution
to this contact and can provide support and assistance for the employee through the sickness
management process. Trade Union involvement in this process is dependent on the consent of
the employee.
In certain circumstances relating to more serious conditions the OH Adviser will be able to advise
on timing and appropriateness of the contact/visit together with any matters that should be treated
sensitively (whilst having regard to the need to maintain medical confidentiality).
The line manager or designated manager and the employee should agree how personal contact
will be maintained with the circumstances of the sickness and the views of the employee taken into
account e.g. when an employee is in hospital, it may be difficult to maintain regular telephone
contact and alternatives should be considered. Regular contact must be maintained with
employees who are absent. It is difficult to give precise guidance as each case must be treated on
an individual basis and each individual’s circumstances considered with sensitivity. However, it is
advisable to contact sick employees as early as possible and certainly not let more than 14
consecutive sick days go by without contact. Thereafter, contact every two weeks would be a
minimum standard. If an employee is absent due to sickness for more than seven calendar days,
line managers should record any contact made.
At some point line managers should consider a meeting with the employee. The venue for this
meeting should be mutually agreed, whether the office, home or an alternative location. The timing
of this meeting would depend on the nature and length of the illness but in any event should take
place before the employee has reached 28 calendar days continuous absence.
The meeting should be used to establish not only how an employee’s recovery may be progressing
and his/her anticipated return to work, but also to discuss any concerns the employee may have
about his/her absence from work. It should also provide an opportunity to review what support can
be provided to the employee and whether the use of reduced hours or alternative duties to ease a
return to full duty is appropriate. Each time a meeting takes place, a record of the fact must be
made and placed on the employee’s sickness file, and a copy given to the individual.
There may be a benefit to all parties for the OH practitioner to meet or communicate directly with
the employee. The OH practitioner will be able to confirm his/her clinical judgement and thereby
improve the quality of advice to managers/HR and to be able to provide an additional link for the
employee to other support provisions where applicable.
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Absence Management – Guidance for Managers
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Section 5
Confidentiality
All employees involved in the process of sickness absence management have a responsibility to
maintain the confidentiality of medical information in their possession. All letters and return to work
interview record forms (once completed) should be treated as ‘Restricted – Staff’.
The fact that a person is absent is not confidential, but there may be occasions when the employee
wishes the reason for that sickness absence to remain confidential; this wish should be respected
and HR should be informed of the reason in place of the manager. Line managers need to have
access to records of previous sickness absence to enable them to carry out the role effectively.
However, this information is subject to the Data Protection Act and the Access to Medical Reports
Act and line managers must ensure it remains confidential.
The Occupational Health Support for Sickness Management Policy Arrangement (NPS/HS/35)
states:
“The requirements of medical confidentiality must be strictly observed at all times. OH
practitioners are not permitted to divulge personal medical information relating to specific
individuals without the written agreement of that individual.
In practice the medical confidentiality requirement means that matters of personal, confidential,
medical information cannot be disclosed to managers (including HR). However, OH
practitioners are at liberty to provide generalised information regarding an individual (e.g. typical
progress of a particular condition; the impact of particular conditions on the ability to undertake
work, generalised non attributable information regarding the general health of groups of
employees etc). Key is a sensible informed dialogue between OH practitioners and HR/line
managers with a common understanding of the confidentiality requirement.”
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Absence Management – Guidance for Managers
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Gaynor Mackenzie
Section 6
Managing Short Term Absence
The purpose of the short term absence procedure is to help employees improve their attendance to
an acceptable level and help them remain in work.
Although it is important to treat each case on its individual merits, it is also essential that a
consistent approach is taken. The single most effective action to reduce absence is for
organisations to adopt a preventative approach combined with line managers conducting return to
work interviews for all staff who have been absent, however long or short the absence period.
Managers should be alert to an emerging pattern of short term and/or persistent sickness absence
which may give cause for concern. For example, this might be a number of absences over a
relatively short period of time or a pattern of absence, say, either side of a weekend or often after a
period of leave etc.
Where a potentially unacceptable incidence of short-term absences emerges, the line manager
should discuss this with the member of staff at a return to work interview. Subject to what is said,
the line manager should make it clear that improvement is required because of the detrimental
effect of the absence on the work of the team, impact on other colleagues etc. Managers should
make it clear that unless an improvement can be achieved, consideration will be given to the
following:
 The initiation of formal action (where the incidence of absence warrants it) under the Short
Term Absence Procedure which may ultimately lead to dismissal.
 Referral to Occupational Health to see whether there is any underlying medical reason for
the absences.
Where absence arises from temporary domestic circumstances, the likelihood or otherwise of
attendance improving in the near future needs to be considered. Staff should be made aware that
sickness absence must not be taken to meet personal or domestic needs unrelated to their being
sick. Such use is inappropriate, will amount to abuse of the system and constitutes a disciplinary
offence. The line manager should discuss any other available means to support staff in these
circumstances e.g. a temporary adjustment to working hours, consideration of special leave; a
short period of unpaid leave etc.
1.
Invoking the Short Term Absence Procedure
Levels of sickness absence that could trigger stage one (pro-rata for part-time staff):
3 or more periods of absence in a “rolling” period of 3 months
4 or more periods of absence in a “rolling” period of 6 months
5 or more periods of absence in a “rolling” period of 12 months
9 days in total in a “rolling” period of 12 months
Managers (and employees) should be aware that meeting a trigger point prompts a review of
an employee’s attendance, and is not per se a reason for taking formal action. For reasons of
fairness and consistency it is important that a sickness absence review meeting is always
carried out - even when the reasons for the absence are apparently clear cut and isolated when an employee meets the trigger points. The outcome of the review meeting will of course
depend on the circumstances of each specific case.
It is the line manager’s decision to decide if an improvement notice should be given. In
considering whether an improvement notice is appropriate, the line manager should consider:
 the employee’s sickness absence record;
 length of service;
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 any relevant advice from Occupational Health Services (in appropriate cases);
 any history of previous improvement notices in respect to sickness absence;
 information obtained at return to work interviews;
 any underlying medical condition, disability or pregnancy.
 any stress or other risk assessments already undertaken
It is important to remember that though the amount of sickness absence is an important
element in determining whether an improvement notice is appropriate, it is just as important to
consider individual circumstances. These might include:
 the reasons for the sickness absences and how likely they are to reoccur (e.g. an employee
who has consistently good attendance over a number of years is off for a few weeks after
sustaining a broken leg, it would probably not be appropriate to issue an improvement
notice in such an isolated case);
 patterns of sickness absence such as frequent Monday and Friday absences;
 considering if any of the sickness absences are regarded as pregnancy-related absences
as these absences do not count towards trigger points;
 whether reasonable adjustments have been made in the workplace to support an employee
who suffers with an underlying health condition or disability;
 consideration should be given to not applying trigger points to disability related absence
and instead determining what level of absence the organisation thinks would be a
reasonable adjustment in terms of expected attendance.
 disability leave does not count towards trigger points (see Appendix B para 19).
If after reviewing the evidence and conducting the meeting the line manager considers that an
improvement notice should not be issued, this decision needs the endorsement of the relevant
director.
1.1 Preparation for the Meeting
The line manager should arrange the sickness absence review meeting with the individual
as soon as possible after receipt of the trigger information. It is recommended that the
line manager speaks to the individual personally beforehand to explain that a meeting is
required under the procedure rather than rely simply on the written communication. The
employee should also be informed of her/his right to be accompanied by a trade union
representative or workplace colleague. A member of staff may also wish to seek advice
from a relevant staff association.
The interview should be held in appropriate accommodation; sufficient time should be
allowed for it to be completed comfortably and there should be no interruptions.
Consideration should also be given to the timing of the interview – if the individual is likely
to be upset, it may be suitable to schedule the interview before lunch, or mid afternoon, so
that the individual can leave the office for a quiet time afterwards.
The line manager should write and invite the employee to the meeting. The letter must:
 Require the employee to attend a meeting to discuss the matter – informing him/her of
the level of action that may result;
 Give at least five days notice;
 Set out details of the unsatisfactory attendance, including a copy of all relevant
documentation, e.g. copies of return to work interview notes and OH advice;
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 Inform the employee that they have the right to bring a trade union representative or
work companion. If the employee or his/her trade union representative/companion
cannot attend the first scheduled meeting date they have the right to re-arrange the
meeting once, but only to a further five days.
 Advise that if the employee refuses or fails to attend the meeting without good reason
a decision may be made in his/her absence. Line managers must take advice from HR
in these circumstances.
Before the interview the line manager should prepare carefully and ensure s/he has all the
facts; consider how the meeting will be structured and make notes of the points s/he
needs to cover; ensure s/he has all the information needed and all relevant facts such as
personal details, any relevant documents; and consider whether there might be any
reasonable adjustment needs and how these might be addressed.
1.2 Conducting the Meeting
The line manager should open with formal introductions and explain to the employee that
the purpose of the meeting is to consider whether action should be taken in accordance
with the Short Term Absence Procedure and explain how the meeting will be conducted.
The purpose of the meeting is to explain why attendance is deemed unsatisfactory,
ensure that the individual understands the seriousness of the issue and accepts the need
to improve and to give the employee the opportunity to comment. There are two potential
outcomes from the meeting. They are:
 That no further action should be taken
 That a stage one improvement notice should be issued
In addition, the manager should consider whether there are other management actions
which might arise from the meeting such as a referral to Occupational Health.
The manager should:
 State precisely what the case is, and outline it briefly by going through the evidence
that has been gathered;
 Ensure the employee has been given copies of all of the evidence. The objective of the
meeting is to discover the truth, not to catch people out.
 Establish if the employee accepts he/she has not attended satisfactorily.
 Give the employee the opportunity to offer an explanation for the level of absence or
put forward any special circumstances, disability or workplace issues to be taken into
account
 Listen attentively and be sensitive to silence, as this can be a constructive way of
encouraging the employee to be more forthcoming.
It may be necessary on occasion to adjourn the meeting if further enquiries are necessary
(e.g. a referral to Occupational Health) or if, because of information volunteered by the
employee, the line manager has reason to believe the issue cannot be dealt with properly
under the Unsatisfactory Attendance Procedure. If that is the case, the line manager
should explain the reason for the adjournment and, if appropriate, consult HR and/or OH.
1.3. Reaching a Decision
The line manager should listen to the employee and then consider what action is
appropriate. The employee should be informed of the decision at the end of the meeting,
or as soon as reasonably practicable afterwards. The line manager will confirm the
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outcome of the meeting to the employee. This written confirmation will include a summary
of the discussion at the meeting.
If a decision to issue a stage one improvement notice has been taken, the manager must
explain to the employee:
 that they have carefully considered the evidence;
 the reason(s) for the stage one improvement notice;
 that his/her attendance will be kept under review for six months (or as otherwise set out
in the review period);
 the improvement and level of attendance that will be required;
 that further absence within the review period may lead to a final improvement notice;
 the right of appeal, as long as they do so in writing, within ten working days of the
decision. See Annex C for details of the appeals process.
When a decision is taken to issue an improvement notice, consideration should be given
as to whether it would be appropriate to suspend the right to self certify short absences for
the duration of the notice.
A letter must be sent to the employee by the line manager informing him/her of the
outcome, regardless of whether or not an improvement notice is issued. The letter should
cover the elements in the above paragraph. A copy of the letter must be sent to HR for
the personal file.
1.4. Improvement Notice Review Period
The review period is the period following an improvement notice that gives the employee
an opportunity to show that they can achieve the required level of attendance. The start
date of the review period is the date on which the meeting took place. This period
remains unchanged in the event of an appeal being lodged.
Where, following the review period, attendance is judged to have improved significantly, a
meeting should be arranged to inform the employee of this. The outcome of the meeting
should be confirmed in writing and a copy sent to HR for the personal file. However, if
attendance deteriorates within a period of six months, the First Improvement Notice may
be reissued or Stage Two invoked without the need to go through the earlier stages of the
procedure.
2.
Stage 2 Action
Stage Two comes into effect when a member of staff’s sickness absence continues to be
unsatisfactory i.e. attendance has not improved or been sustained to a satisfactory level within
the agreed timescale. As a guide, if, during the review period of six months there are four
working days absence or three separate absences, a Stage Two meeting should be convened
at which the employee’s attendance record will be reviewed. The line manager may invite an
HR Adviser to attend the meeting.
The letter from the line manager must:
 Require the employee to attend a meeting to discuss the matter – informing him/her of the
level of action that may result;
 Give at least five days notice;
 Set out details of the unsatisfactory attendance, including a copy of all relevant
documentation, e.g. copies of return to work interview notes and OHS advice;
 Refer to previous warning(s);
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 Inform the employee that they have the right to bring a trade union representative or workplace companion. If the employee or his/her trade union representative/companion cannot
attend the first scheduled meeting date they have the right to re-arrange the meeting once,
but only to a further five days;
 Advise that if the employee refuses or fails to attend the meeting without good reason a
decision can be made in his/her absence. Line managers must take advice from HR in
these circumstances.
2.1 Conducting the Meeting
The meeting should be conducted in line with the advice in para 17. The purpose of the
meeting is to explain clearly why attendance is unsatisfactory and to give the employee
the opportunity to comment. There are three potential outcomes from the meeting. They
are:
 That a referral to the OH would be appropriate; and/or

That a final improvement notice should be administered.
 That no further action should be taken - although the employee should be reminded
that their absence is still being monitored. This option will only be considered in
exceptional circumstances and only with the approval of the appropriate Director.
The meeting should be conducted in line with the guidance in para 16.
2.2 Reaching a Decision
The line manager should listen to the employee and then consider what action is
appropriate. The employee should be informed of the decision at the end of the meeting,
or as soon as reasonably practicable afterwards. The line manager will confirm the
outcome of the meeting to the employee. This written confirmation will include a summary
of the discussion at the meeting.
If a decision to issue a final improvement notice has been taken, the manager must
explain to the employee:
 that they have carefully considered the evidence;
 the reason(s) for the final improvement notice:
 that his/her attendance will be kept under review for six months;
 the improvement and level of attendance that will be required;
 that further unsatisfactory absence within the review period may lead to his/her
dismissal;
 that the right to self-certify is withdrawn and that failure to provide a medical certificate
in respect of any absence may result in disciplinary action or extensions to the period
of the improvement notice;

the right of appeal, as long as they do so in writing, within ten working days of the
decision. See Annex C for details of the appeals process.
2.3 Final Improvement Notice Review Period
The review period is the period following the issuing of a final improvement notice that
gives the employee an opportunity to show that they can achieve the required level of
attendance. The start date of the review period is the date on which the interview took
place. This period remains unchanged in the event of an appeal being lodged.
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During the final review period, regardless of the required attendance set out in the
improvement notice, if the employee has four working days or two further absences, the
manager may consider moving to the next stage of the formal procedure straight away.
Where, following the review period, attendance is judged to have improved sufficiently, a
meeting should be convened to inform the employee of this. The outcome of the meeting
should be confirmed in writing and a copy sent to HR for the personal file. However, if
attendance deteriorates within a period of six months, the Final Improvement Notice may
be reissued or Stage Three invoked without the need to go through the earlier stages of
the procedure.
3.
Stage Three Action – Consideration of Dismissal
Where there are further absences within the review period the line manager should refer the
matter to the relevant senior manager. The senior manager should invite the employee to a
meeting to discuss his/her sickness absence; HR will be able to assist with the wording of the
letter, if required.
The letter from the senior manager must:
 Require the employee to attend a hearing to discuss the matter – warning that a possible
outcome of this meeting is dismissal;
 Give at least five days notice;
 Set out details of the unsatisfactory attendance, including a copy of all relevant
documentation, e.g. copies of return to work interview notes and OH advice;
 Refer to previous improvement notice(s);
 Inform the employee that they have the right to bring a trade union representative or workplace companion. If the employee or his/her trade union representative/companion cannot
attend the first scheduled meeting date they have the right to re-arrange the meeting once,
but only to a further five days;
 Advise that if the employee refuses or fails to attend the meeting without good reason a
decision may be made in his/her absence. The senior manager must take advice from HR
in these circumstances.
3.1 Conducting the Meeting
An HR representative must be present at the Stage Three hearing. His/her role is to
advise the senior manager on correct procedures and attendance management
measures, but the senior manager makes the final decision on any attendance
management measure that may be applied. The hearing should be conducted in line with
the advice in para 17.
The purpose of the meeting is to allow the employee or his/her representative to put
his/her case and any mitigating circumstances to the senior manager handling the matter.
The senior manager should listen to the employee and then consider if dismissal is
appropriate. If the required improvement has not been achieved and/or sustained by this
stage, then the likelihood is that dismissal will be appropriate.
3.2 Reaching a Decision
The senior manager should inform the employee of his/her decision at the end of the
hearing, or as soon as reasonably practicable afterwards. The employee should be sent a
note of the meeting and be asked to sign to confirm that a fair and accurate record has
been taken. Any disagreements about the record should be attached to this note.
In conveying the decision, the senior manager must explain to the employee:
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 the reason(s) for his/her dismissal;
 reasons for accepting or rejecting evidence;
 if dismissed, the period of notice the employee will be given;
 the right of appeal (for those with more than 12 months’ continuous service), as long as
they do so in writing, within ten days of the decision. See Annex C for details of the
appeals process.
A letter must be sent to the employee informing him/her of the outcome. A copy of the
letter must be sent to HR for the personal file.
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Section 7
Managing Absence for Staff with a Disability
The main body of this guidance deals generally with good attendance and sickness absence
management issues. This section and the further information at Appendix B gives further advice in
respect of best practice when dealing with these issues for staff whose condition falls within the
provisions of the Disability Discrimination Act.
The Attendance procedures have been developed with the aim of monitoring and reducing
absenteeism. This applies equally to staff with disabilities. In the latter case, however, specific
consideration may need to be given to allowing special leave/flexible working to allow for treatment
or appointments, varying hours, re-designing a job or re-assessing the trigger points at which
action is taken. Any or all of these measures need to be considered in conjunction with the
individual, the HR Department and Occupational Health to assess which would be the most
appropriate and effective.
Each case must be evaluated on its individual merits with any potential reasonable adjustments
considered and assessed. Where reasonable adjustments are made they will need to be reviewed
regularly to ensure they remain appropriate. Temporary workload relief may be considered whilst
reasonable adjustments e.g. assistive technology is being introduced. In some situations it may
not be possible to make adjustments, or where adjustments have been made, the situation has not
improved. At that point line managers must then implement the same procedures as they would
for other staff.
The measures to be considered before reaching this point include:
 seeking advice through the HR Department from Occupational Health on what level of
sickness absence, if any, might be expected;
 reviewing work patterns to allow for more flexible working;
 removing a small element of the job if it is causing particular problems (this could be replaced
by other work that the individual can do);
 considering alternative duties as an interim measure;
 offering alternative work at the same level;
 adjusting core time to meet medication requirements;
 providing specialist equipment, workstations or furniture as required.
The Disability Discrimination Act (DDA) and the Disability Rights Commission’s – now the Equality
and Human Rights Commission - associated Code of Practice give examples of the type of
adjustments that would fit the definition of ‘reasonable’. These might include:
 Making adjustments to the premises;
 Allocating some of the disabled person’s duties to another person;
 Transferring the person to fill an existing vacancy;
 Altering the person’s hours of work or training;
 Assigning the person to a different place of work or training including working from home
 Allowing the person to be absent during working or training hours for rehabilitation,
assessment or treatment;
 Arranging training or mentoring;
 Acquiring or modifying equipment;
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 Providing all instructions, training or manuals in an accessible form;
 Providing a reader, interpreter or support worker.
The line manager must be able to demonstrate that all reasonable and practicable adjustments
have been made before initiating any action under the Attendance Procedures. However, where it
has been established that the level of absence is not related to the disability but to general health
or other issues, or where the level of absence including any which is disability related is
unsustainable, the relevant Attendance Procedure should be followed as for other staff.
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Section 8
Managing Long-Term Absence/Ill Health
1.
Introduction
The procedures for short-term absence are not appropriate for employees who have long term
(i.e. 21 working days), continuing absence through sickness, or the inability to attend work
regularly and consistently because of a long-term ill health problem. If the line manager is
unsure which procedure to use to manage attendance (i.e. short-term absence or long-term
absence) they should refer to HR. HR advice should also be sought when an employee,
having returned to work from long term absence, goes off sick again within six months of their
return to work. Depending on the individual circumstances, it may be appropriate to re-enter
the procedure at the stage previously reached or to change the timings of case conferences.
Managers should also seek HR advice where an employee who is subject to performance
improvement, discipline, grievance or short term sickness absence procedures returns to work
from long-term sick leave. The aim will usually be to resume the procedure at the stage where
the absence began.
The line manager should try to establish through regular contact with the employee, how long
the absence is likely to last, so that decisions can be made on whether it is reasonable for the
service to sustain his/her absence. Occupational Health will be able to provide advice, and the
manager must treat each situation sympathetically, sensitively, fairly and on its own merits.
Both manager and employee must keep in regular contact and the employee must let the
manager know immediately if there is any change in his/her medical condition.
The purpose of this procedure is to assist employees absent through long term sickness to
return to and remain in work where possible.
2.
Formal Review Meeting for Continuing Long Term Absence
Once an employee has been absent for 21 working days, the line manager should commence
what may become a series of formal case conferences to ensure that all necessary
attendance management action has been taken.
Case conferences should be used to plan the next steps and consider what supportive help is
available to assist the employee return to work. Details of all actions taken and planned must
be recorded on the sickness file to inform all future discussions and actions. Case
conferences should not be the only contact that the employee and line manager have – both
parties have a responsibility to maintain regular contact during absence and the employee
should let their line manager know immediately if there is any change in their medical
condition.
Case conferences should take place after 40 working days, five months and at eight months
absence. At each stage the employee must be invited to the case conference and must be
given at least five days’ notice of the meeting. The employee should be told the reason for the
case conference and informed of his/her right to have a trade union representative or workplace colleague present.
The line manager and the employee should attend the case conference. It may also be
appropriate for an HR representative to attend case conferences. If the employee is not able
to attend at the office the case conference can be arranged at an alternative location, such as
the employee’s home, or a mutually agreed venue. If the employee’s illness prevents him/her
from attending then they must be kept informed of progress in writing, and given the
opportunity to make written representations.
3.
Referrals to Occupational Health
Once an employee has been absent for more than 21 working days, consideration will
normally be given to referring him/her to Occupational Health.
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In all cases where there is a diagnosis of work related stress, referrals to OH will be made
automatically by the line manager at 21 working days absence, or sooner if appropriate.
In all cases where long term sickness absence starts following the commencement of
disciplinary or performance improvement processes there will be an automatic referral to
Occupational Health at this stage.
4.
Stage One - Case Conference at 40 Working Days
The line manager must write to invite the employee to a case conference. The letter must:
 Outline the reasons for case conference copying any relevant documentation e.g. OH
report;
 Require the employee to attend a case conference to discuss the matter;
 Give at least five days notice;
 Inform the employee that they have the right to bring a trade union representative or workplace colleague. If the employee or his/her trade union representative/colleague cannot
attend the first scheduled meeting date they have the right to re-arrange the meeting once,
but only to within a further five days.
At the case conference the line manager should listen to the employee and encourage a full
explanation for the absence. The discussion should cover:
 Progress made and prognosis;
 Referral to OH, involving signing of consent form if not already undertaken;
 Support available that the service could offer to help assist recovery and return to work;
 Information on when and how pay will be affected due to absence;
 The process of formal monitoring during long term absence;
 That the process can ultimately lead to dismissal.
The line manager will write to the employee after the case conference to confirm the main
points discussed at the meeting.
5.
Stage Two - Case Conference at Five Months
The line manager must invite the employee to a second case conference. The letter must:
 Refer to any previous case conference and outline the reasons for case conference,
copying any relevant documentation e.g. OH report;
 Require the employee to attend a case conference to discuss the matter – warning that a
possible outcome of this meeting is a final case conference;
 Give at least five days notice;
 Inform the employee that they have the right to bring a trade union representative or workplace colleague. If the employee or his/her trade union representative/colleague cannot
attend the first scheduled meeting date they have the right to re-arrange the meeting once,
but only to within a further five days.
At the case conference the line manager should discuss with the employee:
 The progress made in relation to the written record of actions taken and planned;
 Explain how his/her continuing absence is giving cause for concern;
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 Support available to help the employee return to work e.g. Occupational Health advice,
particularly in relation to possible adjustments which could be made to the working
environment. If OHS advice has been received recently (i.e. within the last three months
there is no need to automatically refer again at this stage);
 A temporary or permanent change in the employee’s working hours or pattern of work;
 A temporary or permanent change in the individual’s duties, if there is more suitable
alternative work available;
 Whether special aids or equipment can be provided;
 Explain to the employee the process of formal monitoring during long term absence and
that the process can ultimately lead to dismissal;
 Whether consideration of ill health retirement may be an appropriate avenue to investigate;
 The line manager should decide if, based on advice from Occupational Health Service,
previous sickness absence history and the prognosis for the employee’s return, his/her
absence can continue to be sustained. If they believe they can no longer sustain the
absence, the line manager should refer the case to the senior manager;
 Explain to the employee that at eight months absence, they will be referred to the senior
manager, who will consider if they are to be dismissed;
 This does not imply a right to remain in employment until that time.
The line manager will write to the employee to confirm the main points discussed at the
meeting.
Between five and eight months sickness absence the line manager should continue to keep in
regular contact with the employee and a series of regular informal meetings may be useful.
Records should be kept.
6.
Stage Three - Referral to the Senior Manager at Eight Months
For all cases of long-term sickness absence, when the absence has reached eight months, the
line manager must refer the matter to the relevant senior manager.
Before referring to the senior manager, the line manager must ensure that there has been
recent advice received from OH.
The senior manager should invite the employee to a final case conference to discuss the
issue.
The letter from the senior manager must:
 Refer to previous case conferences and outline the reasons for a final case conference
copying any relevant documentation e.g. OH report.
 Require the employee to attend a final case conference to discuss the matter – warning
that a possible outcome of this meeting is dismissal;
 Give at least five days notice;
 Inform the employee that they have the right to bring a trade union representative or workplace colleague. If the employee or his/her trade union representative/colleague cannot
attend the first scheduled meeting date they have the right to re-arrange the meeting
once, but only to within a further five days;
 Advise that if the employee refuses or fails to attend the meeting without good reason a
decision may be made in his/her absence. Managers must seek advice from HR in these
circumstances.
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A representative from HR must be present at the Stage Three case conference. His/her role
is to advise the senior manager on correct procedures, but the senior manager makes the
final decision on any dismissal decision.
The purpose of the case conference is to allow the employee to put his/her case and any
mitigating circumstances to the senior manager handling the matter. The senior manager
should listen to the employee and then consider if dismissal is appropriate.
The senior manager should inform the employee of his/her decision at the end of the case
conference, or as soon as reasonably practicable following the hearing. The employee
should be sent a note of the meeting and the senior manager should write to the employee
confirming:
 the reason(s) for his/her dismissal or other action;
 reasons for accepting or rejecting evidence;
 if dismissed, the period of notice the employee will be given;
 the right of appeal, as long as he/she does so in writing, within ten days of the decision.
See Annex F for details of the appeals process.
7.
Records
It is very important to keep written records during the process. Records should include:
 the attendance issues;
 the employee’s response or defence;
 findings made and actions taken;
 the reasons for action taken;
 whether an appeal was lodged;
 the outcome of the appeal;
 any grievances raised during the procedure; and
 subsequent developments.
Records should be treated as ‘restricted-staff’, be kept for 12 months and in accordance with
the principles of the Data Protection Act. Copies of formal warnings must be placed on
personal files.
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APPENDIX A
Overview of Roles and Responsibilities
1.
Individual Employees:
 must report sickness absence promptly to their line manager (or, in their absence another
designated manager), as soon as practically possible following the beginning of their
working day. In the rare event that he/she is unable to call personally, the employee should
arrange for a representative to phone on his/her behalf.
 must provide his/her line manager or another appropriate manager, with the reasons for
sickness absence and an indication of when he/she expects to return to work.
 must remain in contact with the line manager (or other appointed manager) throughout the
duration of the sickness absence, informing him/her of any changes in circumstances
regarding the absence.
 are responsible for the provision of medical and self certificates at the appropriate times
and entitlement to sick pay is dependent on this.
 have an obligation to ensure that medical advice and treatment, where appropriate, is
received as quickly as possible via their Medical Practitioner in order to facilitate an early
return to work. They must also ensure that they do not undertake any activity including
other paid or voluntary work that might delay their return to good health and work. Such
action could lead to a breach of the employment contract and disciplinary action.
2.
Line Managers:
Should be fully conversant with the policy and guidance on absence management and
their responsibilities under relevant Equalities and Health and Safety legislation
 have primary responsibility for the promotion of good attendance within their team/unit
through the mechanisms of team meetings and individual supervision by including
attendance as a regular supervision agenda item.
 are responsible for ensuring that sickness reporting procedures are adhered to (e.g. that
certificates are produced on time) and should take action if they are not. All managers and
employees have a responsibility to familiarise themselves with the reporting arrangements
in place and to follow them. The arrangements for reporting absence should therefore be
included in part of line management induction of new employees.
 keep in regular touch with staff who are absent through sickness to let them know they are
missed, ensure they receive support and to ease their return to work
 conduct return to work interviews in line with this procedure
 review each employee’s sickness absence in accordance with this procedure and where
appropriate, initiate formal attendance improvement procedures
 report to the HR Unit and Health and Safety Officer all sickness absences relating to any
workplace accidents, incidents and illnesses in line with the Accident and Incident
Reporting Procedure.
3.
Human Resources Staff and Health and Safety Officer:
 support the line manager in managing sickness absence.
 provide advice and assistance on individual cases of sickness absence as requested,
including referral to the Occupational Health Service where appropriate.
 maintain individual confidential sickness records and associated correspondence.
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 provide regular sickness absence data reports to line managers concerning members of
their team and management reports including analysis of overall sickness absence, to the
Senior Management Team and the Board.
 administer the external employee assistance programme and other positive health
initiatives.
 provide training and development to line managers on sickness management.
4.
Board and Chief Executive
4.1 The Board
 has a responsibility to monitor sickness absence figures in respect of achievement of
targets for reducing sickness absence and to be aware of the costs of sickness
absence to their Area.
 has overall responsibility for the development, publication, dissemination and
application of policy and procedures on good attendance and sickness absence
management to include clear principles and standards.
4.2 The Chief Executive will
 maximise attendance by ensuring that sickness absence is managed consistently but
actively and fairly.
 ensure that levels of sickness absence are monitored and managed.
 send letters of recognition to individuals who have nil absences in a 12 month period or
put in place other measures which recognise good attendance.
5.
Occupational Health:
 Advise on the management/prevention of short term absences;
 Advise on the management of long term absence – particularly return to work programmes
and associated risk assessments together with any resulting new DDA issues;
 Advise on post return to work assessments;
 Provide support to individuals during periods of sickness absence;
 Liaise with the employee’s personal medical advisors (GP’s etc).
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APPENDIX B
Employees with an underlying health condition or disability as defined in the Equality Act
2010
1.
Definition of Disability
The Equality Act defines disability as: “A person who has a physical, sensory or mental
impairment which has a long term and substantial adverse effect on their ability to carry out
normal day to day activities”.
“Impairment” covers physical or mental impairments and includes sensory impairments, such
as those affecting sight or hearing. Examples include:
 Diabetes
 Dyslexia
 Autism
 Asthma
 Arthritis
 Depression
 Incontinence
 Severe disfigurement
 and many other impairments, both visible and invisible.
“Mental impairment” is intended to cover a wide range of impairments relating to mental
functioning, including learning disabilities and mental illness.
“Substantial adverse effect” is not defined other than that it is more than a minor or trivial
effect. The requirement that an effect must be substantial reflects the general understanding
of disability as a limitation going beyond the normal differences in ability which exist among
people.
“Long term” means lasted for 12 months, is likely to last for more than 12 months or for the
rest of the employee’s life.
It is very important to be aware that someone who has had a disability which falls within the
definition given above is protected by the Equality Act from discrimination even if they have
recovered, or where the condition is controlled by medication. This would cover, for example,
someone who has had an episode of mental illness, or someone who has experienced a
physical injury which lasted for a relevant period.
If an impairment has had a substantial adverse effect on normal day-to-day activities but that
effect ceases, legally it is treated as continuing if it is likely to recur. For example someone
who has arthritis, continues to be protected by the Equality Act, even during periods of
remission.
2.
Background to the Duties Under the Equality Act
The basic requirement for a public authority when carrying out their functions is to have due
regard to do the following:
 promote equality of opportunity between disabled people and other people
 eliminate discrimination that is unlawful under the Equality Act
 eliminate harassment of disabled people that is related to their disability
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 promote positive attitudes towards disabled people
 encourage participation by disabled people in public life
 take steps to meet disabled peoples needs, even if this requires more favourable
treatment.
From December 2005 progressive conditions like cancer, HIV and multiple sclerosis have
been covered from first diagnosis (previously this had been from first onset of symptoms).
The amendment to the Act has removed ‘clinically well-recognised’ from the definition of
disability with regard to mental health.
The Act states that the duty to make reasonable adjustments arises ‘where a provision,
criterion or practice applied by, or on behalf of an employer, or public body, or any physical
feature of the premises, places the disabled person at a substantial disadvantage compared
with a person who is not disabled’. If a disabled person is at a ‘substantial disadvantage’ the
employer or public body has to take the appropriate steps to make the relevant adjustment.
Failure to do so is unlawful and cannot be justified.
The Equality Act defines disability as a physical or mental impairment, which has a substantial
and long-term adverse effect on a person’s ability to carry out normal day to day activities.
Employees living with cancer, HIV and MS are to be regarded, for attendance management
purposes, as being disabled from the point of diagnosis.
Line managers must have an open discussion with the employee about managing disability
related absence as one would with sickness absence, whilst respecting the right of the
employee not to disclose their specific condition. If there are problems with an employee’s
attendance and an underlying medical condition or disability is identified, advice should be
sought from Occupational Health Services (OHS), via HR. The provision of reasonable
adjustments must always require the involvement and agreement of the person involved.
When speaking with an employee about his/her disability, managers and others must be alert
to the sensitivities of the person being questioned and the subject. Each person’s disability is
unique to them, as is their way of managing it. He/she will be the experts on their own
situation and assumptions of other people knowing what is best for the individual must be
avoided.
Equality legislation and Codes of Practice give examples of the type of adjustments that would
fit the definition of ‘reasonable’. These include:
 Allocating some of the disabled person’s duties to another person
 Transferring the person to fill an existing vacancy
 Altering the person’s hours of work or training
 Assigning the person to a different place of work or training including working from home
 Allowing the person to be absent during working or training hours for rehabilitation,
assessment or treatment
 Arranging training or mentoring
 Acquiring or modifying equipment
 Providing all instructions, training or manuals in an accessible form
 Providing a reader, interpreter or support worker
 All individuals on disability absence need to be treated on a case by case basis.
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Where reasonable adjustments are made, the employee should be given reasonable time to
adjust to the changes. If the employee is still unable to meet levels of attendance expected
and agreed to, formal attendance procedures should be considered.
The Act does not require all disability-related absence to be automatically discounted on every
occasion; nor does it require an employer to retain an employee indefinitely if they are
frequently absent due to a disability. However, before counting disability-related absences
towards trigger points for attendance procedures, line managers must be able to demonstrate
that:
 All reasonable adjustments have been made to reorganise a job around functions that
the employee can perform and that;
 All reasonable adjustments have been made to working practices, the workplace and its
location that place the disabled employee at a substantial disadvantage, including
adequate training.
 They have taken account of legal requirements and taken “account of a disabled
person’s disabilities, even where that involves treating disabled people more favourably.”
Where the combination of both disability-related and general sickness absence exceed the
trigger points for formal unsatisfactory attendance procedure, the line manager should seek
advice from HR. The line manager and HR representative should consult with OHS and the
disabled employee for advice on any reasonable adjustments that should be considered.
3.
Disability Leave
Although many disabled people who are covered under the provisions of the Equality Act
require specific adjustments to work, there are others who only require a flexible approach to
the way work is carried out. Disability Leave is an example of a flexible approach or
reasonable adjustment, as it allows for reasonable absence during working hours. In most
cases it is agreed in advance. Disability adjustment leave is distinct from sick leave and
includes time when an employee is well but absent from work for a disability related reason.
Some examples of reasons for planned disability leave include (but are not limited to):
 hospital, doctor or complementary medicine practitioners appointments
 hospital treatment as an outpatient
 recovery time after blood transfusion or dialysis treatment
 physiotherapy (sessional or residential)
 adjusting to a new or worsened disability
 becoming familiar with reasonable adjustments
 assessments for conditions such as dyslexia
 hearing aid tests
 training with guide or other assistance dogs
 counselling/therapeutic treatment
A longer period of disability leave might also be appropriate. This could be so that a newly
disabled employee can make changes inside and outside of work or if an employee has to
undergo a more prolonged period of treatment, rehabilitation or recuperation. Some examples
of longer disability leave include (but are not limited to):
 a period of time off work while reasonable adjustments are made at work
 an operation and recuperation and rehabilitation afterwards
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 a phased return to work or period of time off work for a newly disabled employee
Disability leave counts as special leave with pay and should be recorded separately
from sickness absence. Disability leave will not be included for the purposes of
assessing performance, promotion, attendance and selection for redundancy.
4.
Employees with HIV, Cancer or MS
Employees living with HIV may need time off work to attend regular medical appointments,
and paid time off must be allowed for necessary treatment and consultations. Managers are
reminded of the need for absolute confidentiality around an employee's HIV status and no
reference to it must be made in any local records.
Similarly, employees suffering from cancer, MS or other serious, long-term illness may need
time off work to attend regular medical appointments, and paid time off work must be allowed.
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APPENDIX C
Appeals Process
An employee may appeal to the Director of Human Resources against an improvement notice or
other penalty short of dismissal.
An appeal against dismissal under this procedure must be made in accordance with the TVP
dismissal policy.
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