Sickness Absence Procedure: informal stages

It would ordinarily be appropriate to initiate conversations under the Sickness Absence Procedure in cases where an employee has reached one or more of the University's review points:

Short term sickness absence

• been absent due to illness on more than 4 separate periods (of any duration) in a rolling 12-month period;
• absent for 12 working days (pro-rata for part time employees) or more in a 12-month period;
• matters discussed at a return-to-work meeting require more detailed discussions and/or further advice;
• a regular pattern of absence, for example regular Monday/Friday absence, days before or after a holiday, days that coincide with work pressures/deadlines and/or absence on dates where annual leave has been refused;

Long term sickness absence

• been absent for a continuous period of 4 weeks (28 days) or more.

Sickness absence is reviewed over a 12-month rolling period. The 12-month rolling period is calculated using the most recent date of sickness absence, minus 365 days.

Managers can check if one of their employees has reached a review point by looking at the “My Team report” on the MI Hub. 

A manager may wish to delay initiating the informal stages of the procedure because they already know enough about the employee's health to decide that there is no need to discuss further/cause further concern, or in cases where an exceptional circumstance may apply (see below). However, it is important that employees are treated in a fair and consistent way and there should be objective justification for not initiating the procedure in each case.

If an employee has a disability, prior to initiating the procedure managers should first consider if any periods of absences are directly related to their disability, and if so, whether there are agreed adjustments in place to support them with their attendance. Consideration should be given to this balanced with the effect on colleagues in the team, service delivery and impact on students. Managers should seek guidance from the HR Advisor team in these cases.  

Line managers should make it clear to the employee that the purpose of the meeting is an informal discussion to discuss recent episodes of sickness absence and/or ongoing ill health and should be considered part of an open dialogue between the manager and employee. An invite letter should be sent to the employee in advance of the meeting so that they are fully informed. The template letter for this is available on request to hradvisors@exeter.ac.uk.

Before speaking to the employee, the manager should prepare for the meeting and consider the following points:

• What are the facts, what is the total sickness absence record over the previous 12 months?
• What are the reasons for the absence(s), are they for the same/related reasons indicating an underlying condition?
• Is there a known medical condition/disability?
• If the employee has a disability and reasonable adjustments are in place, check if they are still effective or if they need to be revised.
• Have there been any recent temporary fluctuations relating to a disability that has caused a flare up and distorted the level of absence?
• Has there been an exceptional circumstances which has caused the level of absence? (see below)
• Is there a noticeable pattern of when absences are occurring? (e.g., are the absences before or after a bank holiday or pre-booked annual leave, or a period of annual leave that was declined)
• What are the standards of attendance expected? Are these standards clear, and have they been communicated to the employee?
• Are there any factors impacting ability to return to work? (e.g., awaiting an operation/date)
• Are there any other factors which may be relevant? (e.g., personal or domestic difficulties, lack of training and/or previous discussions)
• Remember that the objective is to support the employee with their heath, in turn improving attendance to the required standard or help facilitate a return to work.

It is anticipated that the review meeting will take place between the manager and the employee. There is no right for the employee to be accompanied at this stage; however, to reduce any potential anxieties or as a support measure, employees may be accompanied by a work colleague or trade union representative. The University will not postpone/delay the informal procedure due to unavailability.

It is not necessary for a member of the HR Advisor team to be present at an initial informal absence review meeting. This may be requested by exception if the manager believes this would help facilitate the conversation or provide further support. A member of the HR Advisor team may be present at any subsequent review meetings during the informal procedures to support both the manager and the employee.

During the review meeting the manager should explain the purpose of the discussion and identify the concerns over attendance with reference to the evidence. The manager should explore the reasons for the absence(s) and the employee should discuss the reasons for these, including any circumstances affecting their attendance (whether work related or otherwise) and/or any medical condition(s) which could be contributing towards absence levels. The line manager should also consider:

• any support or action that can be taken to help the employee’s attendance to improve or facilitate a return to work;
• any temporary changes or adjustments that can be made to the employee’s role, duties or working arrangements to support improved attendance on a sustained basis/a return to work (note that these are not the same as reasonable adjustments);
• reasonable adjustments where an employee has a disability and there are barriers which are affecting their ability to undertake their work or maintain attendance;
• whether a referral to Occupational Health might be appropriate for further support and advice;
• whether a phased return to work may be required to support a return to work (for long-term sickness absences);
• medical redeployment, where it has been identified the employee is unable to continue in their role and/or carry out their duties to the required standard long-term because of a disability.

Ideally, the manager should aim to reach an understanding with the employee on the following points, but where this is not possible, the manager should confirm the University’s expectations in-line with the procedure, including:

• the level of attendance required
• targets for attendance
• a defined review period during which attendance will be monitored
• date of a further review meeting (for long term sickness absence where an imminent return to work is unlikely)
• the consequences of not achieving the required standard

When setting targets for attendance within a review period, managers should consider whether it is appropriate to apply any reasonable adjustments to the target. 

Notes should be made of the meeting (date, details of discussion and agreed actions/next steps) and shared with the employee. To avoid misunderstanding, the manager should confirm the outcome of the discussion, including any agreed support and details of the review period set to the employee, in writing. This should also inform the employee of the consequences moving forwards, for example, application of the formal Sickness Absence Procedure if their attendance does not improve to the required standard within the timescale agreed/support put in place.

Managers should use the approved template letters to confirm the outcome of the discussion and agreed support/next steps to the employee in writing. These are available on request to hradvisors@exeter.ac.uk.

Following a review meeting, it is important that conversations continue to take place as required. Employees should speak with their manager during a review period if they have any concerns regarding their health or would like to discuss any support that may help them at work and/or prevent further sickness absence.

Following a review meeting, the manager should:

• continue to monitor the employee’s attendance over the agreed timescale
• arrange any reviews as appropriate to give feedback and/or discuss the employee’s health/wellbeing and where applicable, the date on which the employee expects to be able to return to work. Managers should ensure that these reviews take place and that an appropriate record is maintained
• carry out return to work conversations and review support in place following any subsequent periods of sickness absence
• make sure they deliver on any agreed actions. For example, referral to Occupational Health, changes to duties and/or any other support or agreed action

At the end of the review period, or sooner if attendance targets have been exceeded:

1. Where the employees’ attendance has improved in line with the set target, this should be acknowledged and noted, and no further action will then be required.
2. Where the employees’ attendance has not improved to the standard required, either if there is no improvement, or what improvement there has been still falls short of the standard required, or if an employee has not been able to return to work, then it will be necessary to speak to the employee again and hold a further informal absence review meeting. The manager will need to have detailed records and evidence of the employee's absence(s) since the previous informal review meeting. Managers should make the same considerations as advised under this section of the guidance.

If an employee’s attendance has not improved during the agreed review period, or if a return to work has not been possible, managers should take advice from the HR Advisor team as to whether it is necessary to move forward to the formal procedure or to continue to speak to the employee and agree a further review period outside of the formal procedure.

The University recognises there may be some exceptional circumstances which warrant a more flexible and supportive approach due to their unique or sensitive nature. The following guidance provides examples of such cases.  

Please note, this list is not exhaustive and is designed to act as supplementary guidance to support managers in cases where an exceptional circumstance may apply. Every situation will be unique and managers should take guidance from the HR Advisor team in such cases.

Management actions to take in exceptional circumstances

• Keep a record of the decision explaining the rationale not to initiate the Sickness Absence Procedure at the standard review points, referencing conversations with HR as appropriate.
• Support the employee’s well-being and recovery while balancing the needs of the area, colleagues and students.
• Maintain an appropriate level of welfare contact, to review the situation with the employee to ensure they feel supported and to assess their recovery progress.
• Taking a compassionate and case-by-case approach aligns with the University’s values and creates a supportive workplace culture while maintaining fairness and discretion.