OPERATIONAL STAFF PROCEDURE FOR THE MANAGEMENT OF
ABSENCES
Contents
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
ANNEX 1
ANNEX 2
ANNEX 3
ANNEX 4
ANNEX 5
ANNEX 6
ANNEX 7
ANNEX 8
ANNEX 9
Purpose
Notifying Absence from Work
Maintaining Contact during Absence
Return to Work Procedure
Long Term Sickness Absence/ Incapability
Frequent Short Term Sickness Absence
Use of the Occupational Health Service
Sick Pay Scheme
Special Circumstances Scheme
Holidays
Dependent Leave
Compassionate Leave
SCF1
Contact Log 1 (CL1)
Absence Management Process Summary Flowchart
Failure to Notify of Absence Procedure
Failure to Maintain Contact Procedure
Return to Work Form
Guidelines for completing return to work interview forms
Sickness Incapability Procedure
Attendance Management Procedure (persistent short-term absence.)
1. PURPOSE
a) The following procedures should be followed by all operational employees, in cases
of absence including those due to sickness, holidays, lieu time, dependant and
compassionate leave.
b) The operational week is Monday to the following Sunday; however, core hours for
staff who do not work on a shift basis are 8.45 a.m. until 5.00 p.m. Monday to Friday,
unless deemed otherwise to meet the needs of the business.
c) The University Staff Sickness Absence Policy and Procedures apply to all employees
of the University. The University Staff Sickness Absence Policy and Procedures
should be consulted for further details relating to the University procedures detailed
within this document.
2. NOTIFYING ABSENCE FROM WORK
a) On the first day of absence when unfit to work, staff must telephone their line
manager or senior manager as soon as possible prior to the start of their shift. All
managers can be contacted on a direct line and staff should keep a note of the
number on which their manager can be contacted. Staff should telephone personally
and in any event no later than 30 minutes before the start of their shift.
b) If staff are unable to contact their manager they should leave a message with the
Chancellor’s Building Reception Desk, telephone (01782) 734014. Out of hours, at
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weekends or Bank Holidays a message should be left with the Security Staff in the
Darwin Building on (01782) 733004.
c) It is important that staff maintain direct contact with their manager. If a message is
left with Reception or Security, staff should leave a telephone number to enable their
manager to contact them later. When staff are absent through sickness, their line
manager may contact them either by phone or letter.
d) Staff must indicate at the time of initial notification how long they expect to be away
from work and when they expect to return. It is not acceptable to leave a message
with a colleague. If it is unclear when a person expects to return to work, they should
phone in daily unless a pattern of contact is agreed with the line manager.
e) Staff must inform their manager of their intention to return to work as soon as
possible, or by 4.30 p.m. on the day prior to their return.
f)
For any sickness absence of less than 7 days, all staff must complete a selfcertificate form (Annex 1) which can be obtained from their manager for this period
from day one. If unfit to return to work on the 7th calendar day, staff must submit a
doctor’s medical certificate from their General Practitioner.
g) Failure to follow these procedures could result in loss of earnings and may be dealt
with under the Failure to Notify of Absence Procedure (Annex 4).
3. MAINTAINING CONTACT DURING ABSENCE
a) It is an implicit term of the Contract of Employment that employees maintain contact
with their Line Manager. They are required to contact the University to:
i. Inform their Line Manager of their absence.
ii. Indicate how long they may be off
iii. Keep their Line Manager updated on their progress
iv. Ensure that Occupational Health are aware of any relevant medical information.
Without this information the University cannot reasonably support the ongoing absence
from work of a member of staff.
b) It is essential that the member of staff maintains regular contact themselves and
unless there are exceptional circumstances no one else should make contact for
them.
c) The Line Manager should also attempt to maintain contact with a member of staff
who is absent, especially where the member of staff is failing to maintain contact.
This contact can be formal or informal.
d) It is essential that a record is kept of all contact with an absent employee. This helps
to ensure that all support given to an employee is documented and also provides
evidence of attempted contact if there are issues with the maintaining of contact.
e) The minimum information which must be recorded is as follows:
i. Name of employee
ii. Name of manager
iii. Date and Time of call or meeting
iv. (If a phone call) did you reach the employee or not
v. Brief summary of conversation or meeting
vi. What is the future agreement for contact?
This information should be recorded on the Contact Log (Annex 2) when absence
becomes long-term (4 weeks plus).
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f)
It is important to gain agreement on the frequency and method of future contact and
as always the emphasis should be on the employee making contact with an
agreement as to when the line manager will make contact to check on the progress of
the employee.
g) Members of staff can be expected to maintain contact through telephone calls and
informal visits onto campus to visit their Line Manager and colleagues (as their health
permits).
h) Text messaging is not an accepted form of contact.
i)
Respective managers reserve the right to visit members of staff off campus, with prior
agreement, at their home or another appropriate location.
j)
When a member of staff fails to maintain reasonable contact with their Line Manager
the Failure to Maintain Contact Procedure (Annex 5) should be followed.
4. RETURN TO WORK PROCEDURE
a) Return to work meetings should be conducted by the individual's line
manager/supervisor on the first day of returning to work after a period of sickness
absence or unauthorised absence.
b) If it is not possible for the meeting to take place on the first day it should be
conducted as soon after as possible. It is the individual's responsibility to ensure their
line manager/supervisor is aware of their return. It is then the line
manager/supervisor's responsibility to arrange the return to work meeting.
c) The meeting should be held in a private room at a mutually convenient time and steps
should be taken to ensure it is free from interruptions. The meeting need only be brief
and informal, so long as the relevant issues are discussed.
d) It is the manager/supervisor's responsibility to complete the return to work form
RTW1 (Annex 6). Both parties will be required to sign the form as a true record of the
meeting. The form should be kept on the individual's personal file within the relevant
area.
Principles for conducting return to work meetings
a) To ensure consistency of treatment all managers will conduct return to work meetings
with all members of their staff who return to work following any period of sickness or
unauthorised absence.
b) To further aid consistency, line managers/supervisors will be required to use the
return to work form which will subsequently be retained on the individual's personal
file.
c) These meetings will be conducted following all periods of sickness, regardless of
duration or reason for sickness.
d) These meetings will be conducted after every period of unauthorised absence.
e) All return to work meetings will be conducted in a professional manner, without
prejudice and in confidence.
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f)
See Annex 7 - Guidelines for conducting return to work interviews.
5. LONG-TERM SICKNESS ABSENCE/ INCAPABILITY
a) The University considers any single absence of a period of four or more weeks as
being long-term and the Sickness Incapability Procedure (Annex 8) should be
followed. Frequent absences over a long period where there is an underlying health
problem should also be managed in accordance with the Sickness Incapability
Procedure.
b) The primary aim when managing long-term absence is to facilitate the individual’s
return to work, where possible, at the earliest opportunity.
c) Any individual whose absence is considered long-term should be referred to the
Occupational Health Service. Further details can be found in section 7 of these
procedures.
d) When dealing with long-term absence managers should:
i. consult fully with the member of staff at all stages;
ii. maintain contact with the member of staff throughout his or her absence.
The frequency and timing of such contact will vary depending on the facts of
each case. The manager will be responsible for keeping notes of all contact
made;
iii. seek appropriate medical advice;
iv. explore all reasonable means of facilitating a return to work for the member
of staff, including adjustments to existing role and redeployment to
alternative employment.
e) Where a member of staff is due to return to work following a period of long-term
sickness absence the manager will need to consider, following advice from the
Occupational Health Service and the Human Resources Department, whether there
are any work issues that need to be discussed and agreed with the member of staff
prior to his or her return to work, e.g. changes to work practices, reasonable
adjustments, phased return plans.
f)
Phased return plans may involve the member of staff initially working reduced hours
or reduced duties, gradually building up to his or her normal hours or duties by the
end of the agreed period. Phased returns will normally be for a maximum period of up
to four weeks from return. In exceptional circumstances, and in conjunction with
Human Resources, this period may be extended. The appropriateness and
practicality of phased return plans will be discussed between the Occupational Health
Service, Human Resources Department and the member of staff’s manager before
they are agreed with the member of staff.
g) For details of the levels of authority for conducting formal meetings and appeal
meetings please see Annex B of the University Staff Sickness Absence Policy and
Procedures.
6. FREQUENT SHORT-TERM SICKNESS ABSENCE
a) Frequent short-term sickness absence is where a member of staff is repeatedly
absent for short periods of time.
b) Where a manager is concerned about high levels of absence but the member of staff
has a recognised illness or medical condition that causes or significantly contributes
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to the high levels of absence, this will be managed in accordance with the Sickness
Incapability Procedure (see Annex 8). Where there is no evidence of any underlying
health condition, persistent absences will be managed in accordance with the
Attendance Management Procedure (see Annex 9).
c) The primary aim when managing short-term absence is to reduce absence levels to
an acceptable level.
d) For details of the levels of authority for conducting formal meetings and appeal
meetings please see Annex B of the University Staff Sickness Absence Policy and
Procedures or consult with the Link Human Resources Team.
7. USE OF THE OCCUPATIONAL HEALTH SERVICE
a) where a member of staff is absent for four weeks, the manager should refer the
member of staff to the Occupational Health Service unless the circumstances clearly
indicate that a referral would not be meaningful at that stage, in which case the
manager should discuss this with HR;
b) prior to the four week point if there are indications that the member of staff will be
absent for four weeks or more the manager will need to consider whether a referral to
the Occupational Health Service is appropriate at that time;
c) where work-related stress, or any other condition which is work-related, is cited as the
reason for absence, the manager should refer the member of staff immediately to
Occupational Health Service. Where there are indications that an individual’s
absence from work could be work-related (and where there may be health and safety
implications) the manager should contact the Human Resources Department for
advice immediately;
d) where a member of staff has cited stress, anxiety or a related condition or a
musculoskeletal condition, as the reason for absence, discuss this with the
Occupational Health Service immediately to ascertain whether a management referral
at that point (i.e. before the four week stage) is appropriate;
e) when managing short-term recurrent absence cases it may be necessary to refer the
member of staff to the Occupational Health Service to ascertain whether there are
any underlying health conditions. The manager should discuss with their link Human
Resources Officer/Manager and/or the Occupational Health Service whether a
referral is appropriate.
f)
discuss the referral with the member of staff (i.e. go through the detail of the referral
including any questions being asked of the Occupational Health Service) before
submitting it to the Occupational Health Service. This is particularly important where it
is decided that a referral should be submitted prior to the four week stage. The
manager will note on the referral form that they have discussed the referral with the
member of staff. The manager should include specific questions that they would like
the Occupational Health Service to respond to. The inclusion of specific questions will
ensure that the advice provided is tailored to the member of staff and the personal
circumstances of their case. Advice on appropriate questions can be obtained from
the link Human Resources Manager/Officer or the Occupational Health Service.
g) discuss any actions based on the Occupational Health assessment and report with
the member of staff. Reports from Occupational Health assessments resulting from
management referrals will be forwarded to the manager for consideration and will
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also be copied to the Human Resources Department and the member of staff. It is
important that any Occupational Health report is discussed with the appropriate
Link HR Manager/Officer before any action is taken.
h) The member of staff should be aware that in making any decision regarding a
member of staff’s employment, the University will consider all relevant
information available to it, including any Occupational Health/medical advice
based on a management referral. If a member of staff refuses to attend an
Occupational Health/medical assessment, the University will only be able to
base any decision it takes on the information available to it at that point in time.
i)
The Occupational Health Unit provides a support service for both employer and
employees. This allows the employer to refer an employee or employees to make a
self-referral.
j)
The Head of Department or Manager may, at any time, require staff to attend the
University’s Medical Officer for medical consultation where they believe that staff may
be placing others at risk through the transmission of communicable diseases, hygiene
irregularities or other possible medical symptoms.
k) Staff should make every effort to make medical appointments at the beginning or the
end of the working day.
8. SICK PAY SCHEME
For operational staff
a) What is the scheme?
i.
The scheme ensures that in the event of serious illness of more than a few days
duration, employees’ sick pay categories are protected. A formula known as the
Bradford Factor is used to highlight short and frequent absences without
penalising employees who are long term sick. It also rewards length of service.
ii. The sick pay scheme is comprised of two sick pay categories with different levels
of benefit in each. Staff qualify for a sick pay category based on their attendance
in the previous twelve months. In the event of absence being high as a result of
serious illness, this fact would be taken into account when determining categories.
iii. The decisions relating to movement between categories is influenced by the
Bradford Factor score for the previous twelve months. The Bradford Factor
calculation is based on the number of periods of absence through sickness,
multiplied by that same number of periods of absence, multiplied by the total
number of working days they have been absent. This gives the absence point
figure.
b) An example of the formula:
4 periods of absence x 4 periods of absence x 5 working days lost = 80 points
c)
The Sick Pay Scheme operates as follows:
Category 2
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All new employees enter the Sick Pay Scheme at Category 2 and remain on this
category until they achieve the criteria for Category 1. When an employee reaches the
first anniversary of their employment start date their absence record for the previous
twelve months will be considered and their Bradford Factor score calculated. Those
employees with a Bradford Factor score of 80 or more points will remain on Category 2
and will be considered in a further twelve months.
Payment:
Statutory Sick Pay only.
Category 1
On the anniversary of an employee’s employment start date, the employee’s absence
record for the previous twelve months will be considered and their Bradford Factor score
calculated. If the employee’s Bradford Factor score is less than 80 points they will move
to Category 1. Once on Category 1 an employee will remain there for the duration of
their employment within an operational area.
Payment:
100% of basic pay (including 3 waiting days) up to a maximum of
15 days total absence in the 12-month period.
d) The sick pay scheme year runs from 1st October to 30th September. If an employee is
moved into Category 1 part way through the sick pay year, they will receive a pro-rata
entitlement to the 15 days of 100% basic pay. This pro-rata entitlement will be based
on the number of calendar days remaining between the date of moving into Category
1 and 30th September of that year.
9. SPECIAL CIRCUMSTANCE SCHEME
a) The University's Health and Hygiene Regulations require anyone with the following
conditions to refrain from working with either food or children:
i. diarrhoea
ii. vomiting accompanied by fluctuations in body temperature
iii. ear, eye or nose discharge, excluding colds
iv. contagious skin infections
b) In the event of staff becoming ill with any of the complaints indicated above, they
should seek medical advice as soon as possible.
c) On the day of incapacity staff must telephone their Manager to report illness as soon
as possible prior to their shift commencing, with a minimum of four hours notice being
required, (unless timing of illness discovery and shift commencement do not allow).
d) Staff must gain a full medical certificate from their own GP. Failure to gain a full
certificate providing certification from the first day of incapacity will result in nonpayment of the standard day rate of pay. This regulation will be strictly enforced and
is not negotiable.
e) Where staff have reported for work and the Manager considers them to be unfit to
continue, the same procedure will apply.
f)
This procedure only applies to the conditions covered in (a) i - iv above.
10. HOLIDAYS
a) No holidays should be booked without first seeking permission from the line manager
as operational issues specific to the work area will need to be considered before
holidays are authorised.
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b) A Holiday Request Form should be completed and then authorised by the appropriate
line manager.
c) No more than 2 weeks holiday, i.e. 10 working days can be taken at any one time,
unless a senior manager has given permission.
11. DEPENDANT LEAVE
a) Staff are permitted to take a reasonable amount of unpaid leave for urgent family
reasons such as illness, disruption in care arrangements or an incident involving the
employee’s child or an adult dependant. Staff must inform their line manager the
reason for the absence as soon as possible and how long they expect to be absent.
b) All periods of dependant leave should be recorded on the absence record, even if the
employee uses annual leave. However, where managers feel that such absences
are becoming too frequent and impacting on the business, even if annual leave is
utilised, then they should speak to the individual member of staff on their return to
work in order to establish expectations.
c) An instance of dependant leave can be expected to reasonably last no more than two
days; if any period of dependant leave lasts longer than two days the matter will be
discussed with the employee. Up to four instances of absence in a rolling one year
period would appear to be reasonable and supportive. High levels of dependant
leave will be investigated.
d) Individual circumstances should always be taken into account before refusing to grant
such absence, or when potential disciplinary action is being considered. Any such
decision should be agreed with your HR link team to ensure consistency across the
department and the University as a whole.
12. COMPASSIONATE LEAVE
a) In special circumstances to be agreed with the Head of Department, staff may apply
to their line manager for up to 5 days compassionate leave with pay, for such reasons
as bereavement or nursing a seriously ill dependant.
b) Compassionate leave is not normally allowed for the bereavement of a friend or
colleague, but paid time off to attend the funeral will be considered. Any
compassionate leave granted will be recorded on the employee’s staff absence
record.
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ANNEX 1
SCF1
KEELE UNIVERSITY
SICKNESS ABSENCE - SELF CERTIFICATION FORM (SCF1A)
PERSONAL DETAILS
NAME:
SCHOOL/DEPT:
NATIONAL INSURANCE NUMBER:
PERIOD OF SICKNESS ABSENCE
DATE ABSENCE BEGAN:
DATE OF RETURN TO WORK:
REASONS FOR ABSENCE
Please tick all that are applicable
Stress, Anxiety, Depression, Debility etc.
Cold, Flu, Virus infections
Musculo-skeletal problems
(Back, neck, shoulder, knee, wrist,
ankle etc.)
Chest, Heart, Respiratory problems.
Headache, migraine etc.
Gastro-intestinal problems.
Operations, hospital admissions
Other (specify reasons):
I declare that I have not worked during the above period of sickness and that the information
given is correct.
Signed: …………………………………………………..
Date: …………………………..
Please pass this form to your Line Manager for discussion at a return to work meeting.
Line Manager: I confirm that I have met with the above named to discuss this period of
sickness.
Signed: …………………………………………………..
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Date: …………………………..
ANNEX 2
CL1
ABSENCE MANAGEMENT
CONTACT LOG
Employee name:
Manager name:
Date of call/ meeting:
Time of call/ meeting:
Who initiated the phone
call?
(If a phone call) did the
manager reach the
employee?
Agreed future contact:
Brief summary of call/
meeting
Signature of manager:
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ANNEX 3
ABSENCE MANAGEMENT PROCESS
SUMMARY FLOWCHART
Employee is
absent from work
Yes
No
Did they ring in on
The first day of
absence?
Record details in
Contact log
Absence is longer term
(goes past 2 weeks)
Absence is short term
(less than 2 weeks)
Discuss referral to Occupational Health
with employee after 4 weeks and if
employee is in agreement with referral
send referral form to Occupational Health.
Ensure contact is established with
employee ideally once a fortnight.
Record details of contact.
Conduct a
Return to
Work meeting
Able to maintain
contact
Follow absence
procedures and
monitor using
the Bradford
Factor
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If no contact over a
fortnight period
Maintain contact through
regular visits/ meetings,
gain input from OH,
senior management and
HR
If fails to attend an
Occupational Health
appointment manager
to contact employee
Follow to Failure to
Maintain Contact
Procedure
Fails to attend two
Occupational Health
appointments
Follow
Failure to
Notify Procedure
ANNEX 4
ABSENCE MANAGEMENT
FAILURE TO NOTIFY OF ABSENCE PROCEDURE
Employee fails to notify line manager of absence from work
Did they return to work for their next shift?
Yes
No
Was this the first
occasion of
failure to notify?
Phone employee
Yes
Counsel
employee
regarding the
procedure to
follow and
state further
occasions
may result in
disciplinary
action. Keep
record of the
meeting on
the Return to
Work form
No
Discuss the
situation with
the next level
of
management,
consider the
circumstances
and consider
instigating the
University
Staff
Disciplinary
and Appeals
Procedure
Able to
contact
Not able
to contact
Discuss with
employee on
the phone:
Reason for
absence
Why they did
not ring in
When they
hope to return
to work
Returns
to work
Does not
return to
work
Invite employee to a
meeting (Standard
letter 1)
Attends
Fails to
attend
Next level of
management to
commence the
University Staff
Disciplinary
and Appeals
Procedure- 1
investigatory
meeting offered
then proceed to
hearing (if
appropriate)
Page 12 of 25
ANNEX 5
ABSENCE MANAGEMENT
FAILURE TO MAINTAIN CONTACT PROCEDURE
Employee fails to contact manager and manager has been unable to
establish phone contact for a fortnight
Line Manager to write to the employee and invite them to a meeting (on campus) using
Standard Letter 2. Meeting should involve the line manager and a note taker. Before sending
show letter to next level of management to inform of situation. Check contact details with HR
and Payroll
Employee
attends the
meeting
Conduct meeting
with employee.
Discuss:
•Their health
•The possibility of
a return to work
•Any support
Needed from the
University.
Complete contact
log.
Agree to
maintain
contact
including
method of
contact and
frequency of
contact
Feedback to
next level of
management
and continue
to monitor the
absence
Employee makes
contact and is
unable to attend the
meeting
Consider the
reasons given by
employee and
specifically any
mobility issues.
Offer alternative
date and time for
meeting. Reiterate
the need to attend
to ensure the
University is kept
informed and can
offer necessary
support.
Attends
rearranged
meeting
Fails to attend
rearranged
meeting
Discuss with next level of
management. In most cases it is
only reasonable to rearrange a
max of twice unless there are
extenuating circumstances.
Once rearranged twice
progress to disciplinary
investigation if considered
appropriate
Employee fails to make
contact and does not
attend the meeting or
make contact
Invite employee to a
disciplinary
investigation meeting
under the University
Staff Disciplinary and
Appeals Procedure
(HR involved)
Employee
fails to
attend
investigatory
meeting or
make
contact
Employee
attends
meeting
Case to next
level of
management to
hold a
disciplinary
hearing under
the University
Staff
Disciplinary and
Appeals
Procedure
Page 13 of 25
ANNEX 6
OPERATIONAL STAFF
RETURN TO WORK MEETING FORM
(Managers should refer to the guidance document when completing each section of this form)
SECTION A
Employee name:
Location/department:
Job title:
Notification of Absence (attach additional sheets if necessary)
Phone call received by:
Date:
(Name):
Time:
Notes of message:
Notification of proposed return to work:
Date:
Time:
Absence not due to sickness
Reason for absence:
Date absence commenced:
Date of return to work
No. of working days absent:
SECTION B Sickness Absence
Date absence
commenced:
Date of return to
work:
No of periods of absence in
the previous 12 months (from
first day of return) (A)
Number of working
days absent due to
sickness:
Total No of working days
sickness absence in the
previous 12 months (from
first day of return) (B)
Bradford Factor score on return to work:
(A x A x B)
Note – Sickness Absence Only
STATE REASON FOR ABSENCE (and circle category code)
Reason: …………………………………………………………………………………………..
Categories
CH
CO
GI
OP
SK
ST
OT
-
chest, heart, respiratory problems
cold, flu, virus infections
gastro-intestinal problems
operations, hospital admissions
Muscular skeletal problems (back, neck, wrist, knee etc)
stress, anxiety, depression etc
other
Self certificate (SCF1) provided?
YES / NO
Medical certificate provided? (Only applicable if absence lasted longer than 7
calendar days)
YES / NO
Page 14 of 25
Is a referral to Occupational Health deemed necessary? If yes, this must be
discussed with the employee.
Was any medical treatment received during the absence? If yes, and employee
consents to it please provide further information below
Are there are continuing problems that may cause further absence -.eg hospital
appointments, treatments, etc? If yes, and employee consents to it please provide
further information below.
YES / NO
YES / NO
YES / NO
SECTION C
Comments/concerns from employee:
SECTION D
Concerns raised by line
manager/supervisor:
SECTION E
Goals set to improve attendance and support return to work:
1)
2)
3)
4)
I declare that I have not worked during my period of sickness absence and that the above information
is true and accurate to the best of my knowledge. I agree to endeavour to achieve the goals set (if
applicable).
Line Manager’s signature ……………………………………….
Date ……………...
Employee’s signature
Date ……………...
………………………………………
Page 15 of 25
ANNEX 7
Guidelines for Completing Return to Work Interview Form
Section A
The dates of the start and end of the absences should not include time that the employee has had
approved, before being absent, as holiday, lieu time or other authorised absence. However, if an
employee is on annual leave and falls ill they should contact their line manager/supervisor in
accordance with the normal sickness absence reporting procedure. On their return to work the
individual should produce a medical certificate (regardless of length of absence). In these cases the
period covered by the sick note will be regarded as sick leave and the corresponding working days
'lost' will be added back on to the individual's annual leave entitlement. The length of the absence
should be recorded in terms of calendar days rather than working days.
Prior to meeting with the employee the line manager should calculate the individual's Bradford Factor
score, including the most recent period of absence, for the previous 12 month period. This score
should be communicated to the employee. Depending on the employee's score the line manager
should determine whether they have exceeded the 80 point limit and should take the appropriate
action. This may mean that the employee should be moved in to another sick pay category or that
disciplinary action should be considered.
Section B
Absence of 7 calendar days or less
Where the absence has lasted for 7 calendar days or less and a medical certificate has therefore not
been necessary, the line manager should ask the employee the reason for the absence and record
this in Section B. The manager should also ask the employee to complete and submit a self-certificate
form SCF1.
Absence of 8 calendar days or more
Where the absence has lasted for 8 calendar days or more the line manager should ask the employee
to submit both a self-certificate form (for 1-7 days) and a medical certificate form (for 8 days plus) and
should ask the employee to confirm that the reason for absence is as stated on the medical
certificate.
All absences (regardless of duration)
The line manager should, based on the information available to him/her, decide whether a referral to
the Occupational Health Unit is necessary. If so, this must be discussed with the individual at the
return to work meeting.
The line manager should ask the employee whether they received any medical treatment during their
absence, however this should be done sensitively and the manager should accept a YES/NO answer.
The line manager should not ask for specific details unless the employee volunteers this information.
In this case the manager can record these details on the form with the employee's consent.
The line manager should ask whether the employee believes there are any problems related to this
most recent period of absence that may cause further absence, e.g. hospital appointments, etc.
Again, the line manager should not probe for further information and should only record information
volunteered by the individual with their consent.
Section C
The line manager should give the employee the opportunity to raise any concerns or issues they have
in connection with their absence level or return to work, e.g. whether they feel they need any support
mechanisms put in place. Advice from Occupational Health should be taken into consideration when
discussing support mechanisms. If the individual has not already been seen by Occupational Health
(i.e. if the absence was less than 4 weeks) this may be necessary.
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If the employee raises concerns around childcare or family commitments the line manager should
refer them to the University's flexible working policies, which can be found on the HR Department's
web pages. The manager may wish to seek advice from the Human Resources link person.
Any issues discussed at this point should be recorded in Section C.
Section D
Having given the employee the opportunity to raise and discuss any issues the line manager should
then raise and record any areas of concern. It is important that the line manager allows the individual
the opportunity to respond to the concerns raised. Areas of concern might include:




Where the sickness absence reporting procedure was not followed.
Where there is a pattern of absence, e.g. absences occurring immediately before or after lieu
time or holidays, frequent absences on Fridays or Mondays
Where the Bradford Factor score exceeds the limit of 80.
Where there is inadequate explanation for the absence or where the absence is unauthorised.
Concerns should be raised and tackled in a sensitive way and should be translated into manageable
objectives (please see guidance on Section E).
Section E
Setting Targets for Improvement
Dependent on the individual and their absence history it may be necessary for the line manager to set
targets to improve attendance. Targets should be reasonable and justifiable. While targets should be
developed in discussion with the employee it is ultimately the line manager's decision.
Targets can take many forms but it is important to make them as specific as possible. The line
manager must set timescales for improvement as well as targets, e.g. no sickness absence during the
next two months, employee to use the correct notification process if off sick, do not want to see a
continuation of the identified pattern, etc. It is important for the line manager to specify how the
monitoring will take place, e.g. fortnightly meetings to discuss progress/ problems. It is also useful to
arrange a final review meeting in advance, e.g. to coincide with the end of the monitoring period.
As well as targets for improving attendance it may also be appropriate to develop support
mechanisms for staff on their return to work. These could include:




Designating someone to act as a point of contact within the Senior Management Team to
discuss issues that might cause absence or problems at work.
Measures to keep staff members in touch with management if they work in an isolated
environment.
Measures to accommodate a disability, e.g. making temporary/permanent restrictions to the
role, making adjustments to the working environment, etc.
Measures to accommodate on-going illness, e.g. altering working pattern, etc.
Occupational Health and the HR Link Team should be contacted if requests for support are complex
or medically based. Any goals/targets set should be recorded at Section E of the form along with
timescales if appropriate.
1.
The line manager must make clear to the individual that failure to achieve the agreed targets
within the timescales set, i.e. failure to improve, may lead to formal action under either the
Sickness Incapability Procedure (if there is an underlying health condition) or the Attendance
Management Procedure (no underlying health condition).
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2.
As formal action, in the form of incapability warnings, may be a consequence of consistent
poor attendance it is of utmost importance that the return to work meeting documentation is
completed clearly and fully.
ANNEX 8
SICKNESS INCAPABILITY PROCEDURE
Note: This procedure will generally be used for members of staff who are absent from work due to ill
health for a long (i.e. 4 weeks or more) period of time. It should also be used for members of staff who
have frequent, short-term sickness absences caused by an underlying health condition. The Human
Resources Department will provide advice and support to managers in the application of this
procedure.
1.1
This procedure applies to all Keele University staff. For staff whose employment is governed
by the University Statute 35, the provisions of that Statute will also apply and take precedence
where appropriate.
1.2
From the outset of a long-term sickness absence (or as soon as it becomes apparent that the
absence is likely to be long-term or indefinite) and periodically throughout its duration,
discussions (telephone and/or face-to-face) should take place between the manager and the
member of staff. These discussions are intended to assist both parties plan the individual’s
return to work, where possible, and to ensure the member of staff is kept informed of any
relevant developments/changes at work.
1.3
When a member of staff is absent from work due to illness or injury for 4 weeks the manager
should refer the individual to Occupational Health to establish:
a) a prognosis of the staff's illness in terms of a likely return to work;
b) whether support might be required to facilitate a return to work;
c) an early indication of whether a return to any form of work is likely in the foreseeable
future.
1.4
The manager should also consider whether a referral to the Occupational Health Service is
required where there are indications that a member of staff will be absent for 4 weeks or more.
1.5
On receipt of the Occupational Health report the manager should arrange to meet with the
member of staff. The meeting may take place at the individual’s normal place of work or may,
by mutual agreement, take place at another location, e.g. the individual’s home. The purpose
of the meeting is to discuss the Occupational Health report, offer support, ascertain progress
and obtain the individual’s views on his/her ability to return to work.
1.6
Where it is considered unlikely that the member of staff will be able to return to work to his or
her original role, alternative roles should be explored. The manager should seek advice from
the Human Resources Department.
1.7
Where a return to work is imminent, the manager should continue to maintain contact with the
member of staff and plan his or her return to work with the member of staff. The manager
should take all reasonable steps to facilitate the member of staff’s re-integration to the
workplace. The manager should monitor the member of staff’s progress over the first few
weeks to ensure that he or she is coping and to help him or her remain in work.
1.8
Where a return to work in the near future is unlikely, the manager should continue to maintain
contact with the member of staff and may wish to have further meetings with him or her. When
managing a prolonged absence it is vital to have up-to-date medical advice and Occupational
Health will provide on-going reports, as necessary.
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1.9
There may reach a point where, after a reasonable period of time has elapsed and after all
other options have been explored and exhausted, medical advice and the member of staff’s
own views indicate that a sustained return to work in the foreseeable future is highly unlikely.
At this point the University may have no alternative but to consider termination of employment.
2.
Termination of Employment
2.1
Prior to any decision to terminate employment the member of staff will be invited, in writing, to
a formal meeting. The member of staff will normally be given at least five working days’ notice
of the meeting and will have the right to be accompanied. The member of staff will be asked to
advise his or her manager the name and status of his or her representative, if any. He or she
will be sent any documentation which will be referred to at the meeting. The letter inviting the
member of staff to the meeting must advise him or her that the outcome of the meeting could
be termination of his or her employment from the University.
2.2
The following process assumes that the member of staff would be able to attend a meeting to
discuss his or her employment with the University, although where the member of staff is
unable to attend a meeting due to illness, he or she may wish to send an advocate or
representative to attend. In such cases the advocate will be regarded as acting on behalf of
the member of staff and will therefore be able to answer questions and address the meeting
on the member of staff’s behalf.
2.3
The University will make every effort to meet personally with the member of staff or his or her
representative, but recognises that in some cases, this will not be possible and the process will
be adapted to fit the circumstances. Any decision to terminate employment on the grounds of
incapability will be confirmed in writing and will include details of appeal rights.
2.4
At this meeting, the member of staff’s absence including reference to medical and other
specialist advice will be discussed, as will any measures that have been taken to assist the
member of staff to return to work and the likelihood of his or her return. The member of staff
will be given an opportunity to have an input into the discussions and make suggestions.
2.5
Full consideration will be given to the situation and any other relevant information in deciding
whether the member of staff’s employment should be terminated. The member of staff will be
notified, in writing, of the decision taken.
3.
Appeals
3.1
Members of staff will have the right to appeal against termination of employment to a higher
level of management.
3.2
The member of staff will be informed of his or her right to appeal (and the means by which it
may be exercised) at the end of any formal meeting. This information will also be repeated in
the letter confirming the outcome of the meeting.
3.3
Appeals should be lodged, in writing, within ten working days of the date on which the letter
confirming the outcome of the meeting is sent. Where the appeal letter does not specify the
grounds for appeal, when the University acknowledges receipt of the appeal letter, the
member of staff will be asked to detail their grounds for appeal.
3.4
The member of staff will be notified of the date of the appeal meeting within ten working days
of the submission of the appeal (the meeting itself will not normally take place within this
timescale although every effort will be made to hold the meeting as soon as possible).This
timescale may be extended by mutual agreement.
3.5
A member of staff will normally be given at least seven working days written notice of the date
of an appeal meeting.
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3.6
In advance of an appeal meeting, the member of staff must provide, in good time, copies of
any documents on which he or she intends to rely on and/or his or her statement of case. The
member of staff will also receive copies of any documentation, which he or she has not
previously received, which the University intends to rely on.
ANNEX 9
Attendance Management Process
1. Introduction
a) The University Staff Sickness Absence Policy and Procedures contain an Attendance
Management Procedure, which outlines the procedure for managing short-term persistent
absence. The full University Attendance Management Procedure is set out within this process.
b) Within operational areas, levels of absence are monitored using the Bradford Factor and this
process details the Bradford Factor triggers which will be used for each stage of the
Attendance Management Procedure.
c) The advice is given in stages and should be referred to in conjunction with
i. The University Staff Sickness Absence Policy and Procedures.
ii. Guidance on undertaking a Return to Work Interview
2. Bradford Factor Calculation
For the purposes of monitoring absence levels only the Bradford Factor will be calculated on a ‘rolling
12 months’ basis. When calculating an individual’s Bradford Factor upon their return to work from a
period of sickness absence take account of all sickness absences in the 12 months up to, and
including, their day of return. It is important to look at the number of working days lost. At this point
the calculation is:
No of episodes of absence X no of episodes of absence X total no of working days lost
3. Attendance Management Procedure triggers
Trigger for action
Action
Level of responsibility
Bradford Factor of 80
points or concerns about
patterns of absence
Informal discussion in conjunction
with RTW interview.
Immediate supervisor/manager on
one-to-one basis
No satisfactory
improvement since
informal discussion and/or
Bradford Factor of 150
Informal action in line with Stage 1
of the Attendance Management
Procedure (detailed below)
Immediate supervisor/manager with
colleague
No satisfactory
improvement since
informal discussion and/or
Bradford Factor of 300
Consider Stage 2 Written Warning
in line with the Attendance
Management Procedure (detailed
below). Referral to OH if not
already taken place
Next level of management (Grade
6 or above) and Link HR support
(where possible.)
No satisfactory
improvement since written
warning
Consider Stage 3 Final written
Another manager (Grade 6 or above)
warning in line with the Attendance and Link HR support
Management Procedure (detailed
below)
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No satisfactory
improvement since final
written warning
Dismissal in line with the
Attendance Management
Procedure
Designated University Manager
(Keele Spine staff). For staff,
managers at Grade 8 or above and
Link HR support.
Whilst the table above aims to aid line managers in dealing with absence consistently, it is not
prescriptive; rather it is a guide as to where specific action may be appropriate when dealing with
frequent and persistent short term absence.
4. Attendance Management Procedure
SUMMARY OF THE STAGES OF THIS PROCEDURE
a) Whilst the primary aim of this procedure is to assist the member of staff to achieve satisfactory
attendance, continued failure to achieve the required standards may also result in relevant
warnings and ultimately to dismissal.
b) The stages in this procedure are:

Informal Process
o

Stage 1: Investigation of problem, identification of causes and provision of
guidance/advice
Formal Process:
o
Stage 2: First Formal Written Warning
o
Stage 3: Final Formal Written Warning
o
Stage 4: Dismissal
c) If, at any stage, there is a suggestion that the underlying cause of the absences may be linked
to a disability or medical condition, the matter must be discussed with Human Resources at
the earliest opportunity and the Sickness Incapability Procedure should be followed (Annex 9).
Where the issues directly or materially relate to a member of staff’s disability, managers will
need to give consideration to reasonable adjustments, taking advice from Human Resources.
d) For authority to take action under this Procedure please refer to the table above.
INFORMAL PROCESS
Stage 1: Investigation of the Problem, Identification of the Causes and Provision of Guidance/ Advice
a) Stage 1 should be handled informally as part of the normal line management
discussions with the member of staff.
b) Where a manager has concerns regarding a member of staff’s level of absence they should
give consideration to the following to ascertain whether it is reaching an unacceptable level:
i.
number of absences in a given period of time (normally referenced over a 12 month
rolling period) ;
ii. length of absences;
iii. cause of absences (e.g. whether the causes are linked, possibly suggesting an
underlying medical condition or disability, or whether they are unrelated);
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iv. whether there are any discernible patterns to the absences (e.g. recurrent absences on
Fridays and Mondays, or either side of holidays);
v. any other relevant information that may have been raised by the individual at a returnto-work meeting.
c) Where an informal investigation into the facts has determined that the individual’s absence
levels are reaching an unacceptable level an informal attendance review meeting should be
held (note: this meeting does not form part of any formal review procedure). Informal
attendance review meetings do not attract the right to be accompanied. However, should the
individual request to be accompanied this will normally be permitted, provided that it does not
delay or obstruct the process.
d) The aim of the informal attendance review meeting is to explain to the member of staff that his
or her current level of sickness absence presents a problem to the University and to explore
the reasons for the absences and to consider practical steps that might be taken to reduce his
or her absence levels and whether there is any support that the member of staff could be
given. Measures which may prove helpful include advice, guidance, coaching, training or
supervision. The meeting should be open and frank and the member of staff should be
encouraged to discuss any potential factors contributing to his or her sickness absence.
e) The manager should explain to the individual that once any identified supports/adjustments
are implemented, an improvement in absence levels will be expected within a reasonable,
specified period of time.
f)
The aim of attendance targets agreed at this stage is to improve attendance and should be
monitored on a regular basis during the specified period.
g) The member of staff must be advised at this meeting that failure to meet the agreed targets
may result in the formal process (see below) being invoked.
h) Before consideration is given to invoking the formal procedure it is vital that further expert
advice is sought from the Human Resources Department and/or the Occupational Health
Service.
i)
The member of staff will, following the meeting, be issued with written confirmation of
attendance targets (within a given time period which will usually be between 3 and 6 months)
rather than relying on the content of the verbal discussions.
j)
The manager should review the individual’s absence levels both during and at the end of the
specified period and determine whether the required improvements are being, or have been,
achieved. If they have been achieved no further action will be taken. If they have not been
achieved the formal process (see below) may be adopted. In some circumstances insufficient
progress (i.e. where it becomes clear that the targets cannot be met) towards the required
improvements will be evident before the end of the specified period and, following advice from
Human Resources, the manager may consider progressing to the formal process before the
end of this period.
FORMAL PROCESS
a) Where, following the informal stage above, the member of staff’s absence levels have not
improved to the required standard, or improvement has not been maintained, or the relevant
trigger has been reached, the formal process may be invoked. A move to the formal stages
will necessitate continued attempts to guide/advise a member of staff about attendance with a
view to improvement.
b) The expectation is that any of the formal stages short of dismissal will involve continued efforts
to assist individuals to improve their attendance through a mixture of monitoring and support.
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Warning and Monitoring Periods
a) As formal attendance review meetings held under this procedure may result in a warning or,
ultimately, dismissal, members of staff have the right to be accompanied by a work colleague
or trade union representative. The outcome of formal attendance review meetings will be
confirmed in writing, normally within five working days of the decision. For further details of
the general principles applicable to formal meetings, reference should be made to Appendix 1
of Annex D of the University Staff Sickness Absence Policy and Procedure.
b) Where a warning is issued at Stages 2 or 3 of this procedure, the manager will also specify a
monitoring period over which the member of staff’s attendance will be closely monitored and
reviewed. The monitoring periods specific to Stages 2 and 3 must be sufficient to provide a
reasonable opportunity for improvement and for any remedial measures to take effect. At
Stage 2 this will normally be no less than 6 weeks in length and at Stage 3 normally no less
than 8 weeks but may be longer, where appropriate.
c) Interim reviews will normally be conducted throughout the monitoring period to ensure that
performance is adequately supervised and monitored and to inform the member of staff of
progress. In some circumstances failure to improve will be evident before the end of the
monitoring period and, following advice from Human Resources, the manager may consider
progressing to the next stage before the end of the monitoring period.
d) Any warning issued shall be confirmed in writing and shall:
i.
state the reason for the warning;
ii.
state the nature of the improvement required and any steps that will be taken to help the
member of staff achieve the improvements;
iii. state the timescale within which the improvement is to be achieved and over which
attendance will be monitored (the ‘monitoring period’);
iv. state the duration of the warning;
v.
state the consequence of any further failure to improve and sustain the required
standards of attendance (including, where relevant, that the consequence of further
failure to improve may be an escalation of attendance warnings and ultimately
dismissal);
vi. remind the member of staff of his or her right of appeal and how this right may be
exercised.
e) Where a warning is given, a record of the warning will be placed on the member of staff’s file
in the Human Resources Department, and a copy of the warning shall also be kept on the file
kept by the member of staff’s line manager. These records will be removed at the end of the
designated duration of the warning (normally 12 months for a written warning and 24 months
for a final written warning).
f) The warning period extends beyond the monitoring period in order to give the member of staff
the opportunity to demonstrate sustained improvement. If, following the end of the monitoring
period, the member of staff’s attendance deteriorates to an unacceptable level, the manager
can consider progression to the next stage, provided the warning has not expired.
g) In most cases it is expected that the warning will result in the required improvement. If so, the
manager will write to the member of staff noting the progress made. The member of staff will
be reminded that he or she will be expected to sustain the improvement and that failure to do
so before the end of the expiry of the warning may result in progression to the following stage.
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h) Where a period of long-term absence, whether planned or unplanned, would render a warning
meaningless, the monitoring period and duration of the warning may be suspended during the
absence, thus extending the date on which the monitoring period and/or warning expires.
Alternatively, the date on which the period of warning will commence may be deferred until the
member of staff resumes his or her duties.
i) Where a member of staff with a current formal warning on file moves to an alternative role
within the University the warning will remain in place for the designated warning period. Where
a member of staff is on a fixed-term contract, and is given a formal warning, this can be
continued beyond the end of the fixed-term contract where the contract is extended or the
member of staff secures alternative employment within the University.
Stage 2: First Formal Written Warning
a) The member of staff will receive notice, in writing, to attend a formal meeting convened to
review his or her absence situation. The aim of this meeting, in light of the member of staff’s
failure to achieve the required improvements through the informal process, is to further explore
the attendance problems and any additional measures that can be taken by the member of
staff and/or the University to address any issues and ultimately improve his or her attendance.
b) The outcome of this meeting may be a first formal written warning.
Stage 3: Second Formal Written Warning
a) Where the required improvements set out as part of the final formal written warning have not
been achieved during the monitoring period, or appropriate improvement has not been
maintained throughout the warning period, the member of staff will be given notice, in writing,
to attend a formal meeting at Stage 3 of this procedure.
b) The aim of this meeting is to review the member of staff’s failure to achieve the required
improvements determined at the formal meeting held at Stage 2 of this procedure. The
member of staff will be given the opportunity to put forward any relevant information that he or
she wishes to be taken in to consideration. Consideration will be given to any further
measures that could be taken to assist the member of staff to achieve the required
improvements.
c) The outcome of this meeting may be a final formal written warning. The letter will emphasise
that unless improvement is achieved within the specified period, further formal action which
may include dismissal may be contemplated.
Stage 4: Dismissal
a) Where the required improvements set out as part of the final formal written warning have not
been achieved during the monitoring period, or improvement has not been maintained during
the warning period, the member of staff will be given notice, in writing, to attend a formal
meeting at Stage 4 of the procedure. The letter must advise the member of staff that an
outcome of the meeting could be dismissal.
b) At this meeting the facts of the case will be discussed with the member of staff. This meeting
will be conducted by a Designated University Manager (for salaried staff) or a manager at
grade 8 or above (for weekly paid staff.) The member of staff’s manager will also normally
attend the meeting to present details of the member of staff’s sickness absence history from
the commencement of the attendance management process, the measures that have been
implemented to assist the member of staff to improve his or her attendance and any support
that has been offered to the member of staff. Records of the meetings that have taken place
throughout the process will also be made available. The member of staff will be given the
opportunity to put forward his or her case.
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c) A decision will be taken, based on full consideration of the facts of the case and any other
relevant information, as to whether the member of staff’s employment should be terminated on
the grounds of incapability.
Appeals
a) Any member of staff who is issued with a formal warning or is dismissed under this procedure
will have the right to appeal to the designated Appeals Manager detailed in the letter
confirming the outcome of the meeting.
b) Appeals should be lodged, in writing, within ten working days of the date on which the letter
confirming the outcome of the meeting is sent. Where the appeal letter does not specify the
grounds for appeal, when the University acknowledges receipt of the appeal letter, the
member of staff will be asked to detail their grounds for appeal.
c) The member of staff will be notified of the date of the appeal meeting within ten working days
of the submission of the appeal (the meeting itself will not normally take place within this
timescale although every effort will be made to hold the meeting as soon as possible). This
timescale may be extended by mutual agreement.
d) A member of staff will normally be given at least five working days written notice of the date of
an appeal meeting, except in the case of an appeal against dismissal, in which case seven
working days written notice will be given.
e) In advance of an appeal meeting, the member of staff must provide, in good time, copies of
any documents on which he or she intends to rely on and/or his or her statement of case. The
member of staff will also receive copies of any documentation, which he or she has not
previously received, which the University intends to rely on.
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