Managing Attendance Policy
Document Control
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Document Ref: |
1.2 |
Date Created: |
1998 |
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Version: |
1.2 |
Date Modified: |
October 2021 |
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Revision due |
The service would aim to review policies and procedures every 2 years to ensure documents are up to date |
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Owning Service |
Human Resources |
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Approvals (if required)
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Date Employment Committee gave authorisation for changes (where necessary) |
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Version |
Date |
Description |
Changes made by |
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1.1 |
March 2019 |
Updated to include links to additional guidance |
Melissa Berry |
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1.2 |
October 2021 |
Amalgamated all information related to managing sickness absence into one document |
Sarah Darby/ Pauline Meredith |
MANAGING ATTENDANCE
8.2 Managing Short Term Absence
8.3 Managing Long Term Absence
8.3.1 Four Point Options Meeting
9 THE OCCUPATIONAL HEALTH SERVICE
11 EQUALITIES ACT - DISABILITY
12 DATA PROTECTION LEGISLATION
14 GENERAL ADVICE AND GUIDANCE
APPENDIX A - Formal Stage 2 Meeting Procedure
APPENDIX B - Ill Health Capability and Dismissal Hearing Procedure
APPENDIX C - Right of Appeal to Director - Procedure
APPENDIX D - Right of Appeal to a Member Appeals Panel Procedure
SAMPLE LETTER 1 - INVITE TO FORMAL STAGE 1 MEETING
SAMPLE LETTER 2 - OUTCOME FORMAL STAGE 1 MEETING
SAMPLE LETTER 3 - INVITE FORMAL STAGE 2 MEETING
SAMPLE LETTER 4 - OUTCOME FORMAL STAGE 2 MEETING
SAMPLE LETTER 5 - INVITE LONG TERM SICKNESS ABSENCE REVIEW MEETING
SAMPLE LETTER 6 - OUTCOME LONG TERM SICKNESS ABSENCE REVIEW
SAMPLE LETTER 7 – INVITE ILL-HEALTH CAPABILITY & DISMISSAL HEARING
SAMPLE LETTER 8 – OUTCOME ILL HEALTH CAPABILITY & DISMISSAL HEARING
SAMPLE LETTER 9 – OUTCOME ILL HEALTH RETIREMENT DISMISSAL
SICKNESS ABSENCE - FLOW
CHART
MANAGING ATTENDANCE
1 INTRODUCTION
This policy is recommended to Council staff as a guide to improve attendance and where necessary, to effectively manage absences.
The aim of this policy is to enable employees to attend work in line with their contractual obligations and to assist managers to reduce levels of absence among staff in a fair and consistent way. The policy aims to balance two considerations; the need for the Council to deliver high quality services, and the interests and rights of individual employees.
It is the responsibility of all managers to ensure they attend relevant training and awareness sessions to enable them to manage attendance in a mindful and compassionate manner, and for all managers and staff to promote wellbeing throughout the Council. Managers must be mindful of the impact to employee wellbeing of the new ways of working and of different working arrangements.
The policy contains separate sections covering managing repeated or frequent short term absences and managing long term absences of 20 days or more.
Where an employee is at work but is finding it hard to fulfil their hours or duties due to ill health, please refer to the Performance Improvement and Capability Procedure.
2 EQUALITY
At Bracknell Forest Council we are committed to encouraging equality, diversity and inclusion among our workforce, and eliminating unlawful discrimination. We want everyone that works for us to feel that their individuality is respected, and their unique contributions are valued.
The aim is for our workforce to be truly representative of all sections of society and our customers, and for each employee to feel respected and able to give their best.
The organisation - in providing goods and/or services and/or facilities - is also committed against unlawful discrimination of customers or the public.
3 PRINCIPLES
Each case will be treated on an individual basis. Individual employees have a duty to attend work in line with their contract, and consequently must take all reasonable steps to protect their own welfare, and to assist in the promotion of a healthy workplace. This policy should be considered alongside the Council’s Agile Working Policy as this provides greater opportunity to explore options where work is performed.
The impact of absence is significant, e.g. the impact on the service and the cost of absence to the Council. For these reasons maximising attendance for all employees is very important to enable the Council to provide consistent and high quality services.
Each case will be dealt with sensitively and with due fairness, and with regard to the interests of both the individual and the Council.
This policy should be used in conjunction with other relevant policies such as:
· Stress at Work
· Substance Misuse
· Domestic Abuse
· Agile working
4 CONFIDENTIALITY
Sickness, medical procedures and personal situations which may result in sickness absence should be dealt with confidentially. Conversations between manager and employee should therefore be undertaken in a meeting room. Similarly, telephone or video conversations to employees who are off sick, should not be held in an open plan office as this may breach confidentiality.
Whilst it is recognised that co-workers are interested in the well-being of their colleagues, managers must not discuss the reason for absence with staff unless pre-agreed with the member of staff.
5 SCOPE
This policy applies to all employees of Bracknell Forest Council, with the exception of:
· School based staff (see separate School policy)
· Employees serving a probationary period
· For individuals undertaking casual work
The procedures in this policy cover situations of absence only. If an employee is attending work but is unable to carry out their role satisfactorily due to ill-health then the Performance Improvement & Capability procedure should be used.
6 NOTIFYING ABSENCE
6.1 Notification Procedure
Employees who are absent from work are required to follow the reporting procedure set out below:
The employee should contact their manager on the first day of sickness, outline the reason for the absence and give an estimate of the duration of their illness. Where the manager is not available the employee should contact another senior manager or named officer in the team. Local arrangements may apply where shift and rota patterns are in place. In these circumstances the employee must notify the Shift Leader of the absence.
If the employee is seriously ill and unable to contact their Manager/Shift Leader, they should ask a family member or friend to do so as soon as it is possible.
The Manager should log into the employee record on iWork@BFC and input the start date and reason for the absence. For further information please see the Guidance for recording absence.
6.2 Fit Note
If the employee is absent for more than seven calendar days (including non working days), they must obtain a Fit Note from their doctor and forward a copy to the manager. The employee should retain the original of the Fit Note. Failure to submit a Fit Note (or failure to notify sickness absence) may result in sickness payments being stopped or suspended. It is important for the employee to keep the manager up to date on the likely return to work date. Repeated failures to notify absence correctly or failure to produce sickness certificates may lead to disciplinary action.
The Fit Note may indicate the employee would be able to return to some sort of work with certain restrictions. If the manager is unsure about whether they can comply with the recommendation then Occupational Health can provide additional advice. If the recommendations cannot be accommodated the employee is treated as unfit to return to work.
if the employee does not return to work on expiry of the first Fit Note, further Fit Notes are required to cover the period of absence. If an employee wants to return before the Fit Note expires the manager should discuss this with the employee and should either ask the employee to obtain a further Fit Note from their GP which shows they are fit to return or refer the employee to OH to obtain OH advice about their fitness to return.
6.3 Accidents at Work
All injuries, accidents, illnesses or diseases arising from work activity must be reported, regardless of the severity, to the manager as soon as possible after the incident. The manager must then follow the Health and Safety procedures to report the incident. Further information can be found at https://bfcouncil.sharepoint.com/SitePages/Report-an-accident-or-incident.aspx
7 RETURN TO WORK INTERVIEW
The supportive Return to Work Interview should take place for every occasion of absence. The purpose of the interview includes:
- To welcome the employee back and to check on their health and wellbeing. The manager should discuss with the employee any help or support they may require on their return to work.
- To check they are well enough to resume duties, focus on their value to the service and update them on any changes.
- To give the Manager opportunities to enquire what was wrong and possibly explore any problems (e.g. domestic, work) which may have contributed to the absence. To establish if anything can be done to prevent recurrence.
- To show the employee that the absence has been noted.
- To complete the self certification form.
- Where appropriate, to discuss the impact of the absence on the service or the team.
- A copy of the fit note should be taken by the manager and the original returned to the employee
- In cases where there is room for improved attendance, an employee must be told what is expected and the likely consequences if this does not happen.
A written record should be made of return to work interviews on the form provided on the intranet.
8 MANAGING ABSENCE
Please note that pregnancy related absences do not count towards sickness absence triggers and, depending on the individual circumstances, this may also be the case for absence resulting from conditions such as menopause and Covid.
The Council operates agile working arrangements and, where appropriate, employees may be well to undertake work duties virtually. This is one tool in supporting attendance in work. An example of this may be considered where an employee is fit to work but is infectious and attendance in the workplace is not recommended. Where virtual working can be applied this should be considered.
8.1 Informal Action
Formal action in relation to sickness absence should not be taken until all informal measures have been explored and support provided for improvement. Part of the accepted responsibilities of good management is to ensure that supervisory processes which fall short of formal action are observed before entering into formal review meetings. This can be done through the return to work interviews or during other informal meetings. It is recommended that file notes are made of informal actions as they may need to be presented as evidence if any future formal actions are taken.
8.2 Managing Short Term Absence
Short term absence will generally occur where there is no independent evidence of a medical condition. After the informal process has been exhausted and where the frequency, pattern or reasons for absence continue to cause concern, it is important that the Manager sets up a review meeting to discuss the problems with the employee.
Short term absence will usually be defined as follows, and could trigger review meetings:
- Time lost over a period (as a guide, 3 separate absences in 6 months; or 8 working days absence made up of short-term repeated absences in a 12 month period. NB any single period of absence over 20 days is considered long-term and should be considered under the Long Term Absence procedure further down in this document)
- Patterns emerging (e.g. regular Mondays/Fridays or sickness after a holiday)
- Combination of odd days, longer periods and patterns of absence emerging which cause the Manager concern.
These are guidelines only; for example, the particular circumstances surrounding the absence pattern may cause concern before a threshold number of days is met, in which case the manager should still hold a review meeting.
8.2.1 Informal Meeting
For repeated short term absences the manager should hold an informal meeting with the employee, with the following objectives:
- Drawing the employee’s attention to any concerns the Manager may have about their attendance record while being respectful and sensitive to their medical reasons. Enquiring about domestic or work-related pressures which may offer some explanation of absence problems and any help and advice necessary to support the employee, including and temporary change to their duties, location of work, etc.
- To review the attendance record of the employee with them, ensuring that it is up to date and accurate, and stressing the detrimental impact of these absences on the Section/Department.
- To discuss with the employee the extent of and reasons for their periods of absence, and how the level of absence can be reduced.
- To discuss with the employee the improvement that is expected, the course of action to be taken, the possible consequence if no improvement is made and to give a period within which an improvement should be made. The level of expected improvement will be on a case by case basis. A date should be fixed on which the next review meeting will take place. The Manager should confirm these points in writing.
· During the review period, the employee’s attendance should be closely monitored. If there is cause for concern, the Manager can deal with it at any time before the end of the review period.
The employee is not entitled to union representation during the informal stage but may seek advice and guidance from their union representative in preparation for the meeting with their manager.
A review meeting should be conducted at the end of the review period, to either refer to the first formal stage, extend the review period or conclude the process should attendance meet the required levels. The review meeting will:
· Assess attendance in the period since the informal meeting
· Assess the action that was agreed in the informal meeting
· Decide on any appropriate additional action.
Depending on the circumstances of each individual case, appropriate additional action at this time may include:
· Referral to the Occupational Health Service for an opinion on the underlying cause of the absence. The form to be used is an Occupational Health Management Referral form which is available on the intranet: Occupational health (sharepoint.com)
· If it is evident that there has been abuse of the system, it should be treated as a disciplinary issue rather than capability, and it should therefore be referred to the Designated Officer for disciplinary action.
If there has been a clear improvement which meets expected standards then the employee should be told that no further action will take place as long as the improvement is maintained, but that failure to maintain a satisfactory level of attendance will result in a further review meeting or further action. The Manager should not cancel the meeting simply because attendance has improved.
If no improvement or insufficient improvement has taken place then the Manager should conduct a Formal Stage 1 Meeting. The employee should be notified of the outcome in writing.
8.2.2 Formal Stage 1 Meeting
If an employee’s sickness absence levels have not improved despite being addressed informally, and the employee has reached the trigger points, the manager will invite the employee to a Formal Stage 1 meeting.
The manager will agree a date with the employee and will confirm the invitation in writing giving the employee at least 5 working days’ notice. See sample letter 1 below. The employee is not entitled to union representation during the Formal Stage 1 but may seek advice and guidance from their union representative in preparation for the meeting with their manager.
The manager should prepare for the meeting by ensuring that they have clearly identified the employee’s sickness absence levels and the support that has been provided.
The Formal Stage 1 meeting will be conducted by the manager, who will:
- Explain the concern about the absence level and reasons for that concern, such as the operational difficulties caused
- Listen to the reasons for absence and respond appropriately
- Consider whether to refer the case to Occupational Health, if not already done
- State that sustained improvement in attendance is required
- Identify any support required, and review what support has already been provided and the effect of that support
- State that sustained improvement in attendance is expected and set an appropriate monitoring period, agree targets for improvement and set a date and time for the next meeting. Targets will be set on a case by case basis and should be SMART where possible.
- Confirm the support available
- Explain that continued failure to improve attendance to the specified level may lead to further action
- Confirm the outcome of the meeting in writing. See sample letter 2 below.
- A full record of the meeting should be made
If the employee reaches an acceptable level of improvement during the monitoring period, monitoring should revert back to informal arrangements. The employee should be told that no further formal action will take place as long as the improvement is maintained, but that failure to maintain a satisfactory level of attendance will result in a further review meeting or further action.
If the employee has made insufficient or no improvement by the end of the monitoring period set at the Formal Stage 1 meeting or they have breached any targets before the end of the monitoring period the manager will refer the case to the Designated Officer to attend a Formal Stage 2 meeting.
8.2.3 Formal Stage 2 Meeting
This meeting will be carried out by the Designated Officer. It continues to follow a formal procedure and carries with it the right to representation and appeal (see sample letter 3 below). The Formal Stage 2 procedure in Appendix A outlines the necessary procedures to follow for this meeting.
Outcomes from this meeting may include formal warnings up to and including a final written warning (see sample letter 4 below). The Designated Officer may, if appropriate, repeat this Stage as necessary.
The Designated Officer will decide when to initiate this stage, which should be after sufficient time has been given for actions agreed in the Formal Stage 1 to be carried out and improvements to be made and reviewed. Where the problem is clearly persisting the situation will be discussed with the employee and the Designated Officer may choose to hold the Formal Stage 2 Meeting sooner. An HR Adviser will advise on individual cases as appropriate.
If the employee reaches an acceptable level of improvement during the monitoring period, monitoring should revert back to informal arrangements. The employee should be told that no further formal action will take place as long as the improvement is maintained, but that failure to maintain a satisfactory level of attendance will result in a further review meeting or further action.
If the employee has made insufficient or no improvement by the end of the monitoring period set at the Formal Stage 2 meeting or they have breached any targets before the end of the monitoring period the Designated Officer will normally arrange an Ill-health Capability Hearing which may lead to dismissal. See details of this process in Appendix B.
If an action short of dismissal is taken, and the problem persists, meetings at this or the preceding level may be repeated as appropriate at a future date.
8.3 Managing Long Term Absence
Long term absence cases are those where an employee has been absent continuously for a period of twenty working days or is likely to be absent for this period. If an employee is absent from work long term, the manager should keep in regular contact with the employee. Records should be kept of employee contact in long term absence cases.
Where the employee’s recovery period is uncertain or the absence is likely to go significantly beyond twenty working days, the case should be referred to the Occupational Health Service for a medical opinion of the case. This will include requesting information regarding the present health of the employee and the likely date of return to work. Once Occupational Health’s report has been obtained, the manager, in consultation with HR, will consider whether and when the employee is likely to return to work and the operational impact of continuing absence. Further appointments with the Occupational Health Service may be necessary.
8.3.1 Four Point Options Meeting
If the medical evidence is giving no clear prognosis or return to work within a reasonable period such as three months, the Manager will arrange a meeting with the employee formally. Having taken advice from the Occupational Health Service and HR, part of this discussion may be to discuss the options available.
The manager will agree a date with the employee and will confirm the invitation in writing. See sample letter 5 below.
During the meeting the following discussions will take place:
· When the employee considers they will be fit to return to work/any support needed;
· Any Occupational Health advice received;
· If the employee is unfit to perform his/her current duties but is capable of carrying out other work, suitable alternative work will be considered. However the Council will be under no obligation to create a job for the employee
It should also be explained to the employee that possible outcomes of the meeting are as follows:
· No further action (where the employee will be fit to work within a determined period, or there is a long term condition, for example, cancer, menopause or other conditions covered by the Equality Act, where a longer period of monitoring is needed)
· Considering adjustments or suitable alternative employment if the employee is temporarily unfit to carry out their normal duties but is capable of carrying out other work. Such changes may be on either a temporary or an indefinite basis as appropriate. If a disability has been identified then reasonable adaptations to the work will be considered, and these may include redeployment to more appropriate work. Searching for redeployment should commence immediately but should only continue for a maximum of 3 months.
· Consider retirement on grounds of ill health in accordance with the appropriate pension scheme, if a recommendation has been made by the Occupational Health Service. Criteria for ill health retirement are quite stringent and it will not always be possible for the Occupational Health Service to recommend this even where return to the same job is unlikely in the medium to long term.
· Where the employee is unfit for work and the above options are not applicable, and the job can no longer be held open, this may ultimately result in the dismissal of the employee. The Council cannot support indefinite sickness absence as the needs of the service must be considered. The Ill-health Capability and Dismissal Procedure outlined in Appendix B should be followed. Special arrangements should be considered according to the individual circumstances of the case.
After the meeting a letter will be sent to the employee confirming all the details of the meeting. See sample letter 6 below.
8.3.2 Redeployment
The employee will be invited to a personal interview with an HR Advisor, which may also be attended by a Trade Union representative and the manager, where the redeployment process will be explained. The individual’s skills, experience and abilities will be explored, and which types of posts may be suitable or unsuitable.
The individual employee has an equal responsibility to play a proactive role in the search for redeployment, and HR will ensure they have access to view all job vacancies across the Council.
Where a post is identified as potentially suitable, the individual should submit an application for the post, making it clear that they are in a redeployment situation. The HR Adviser must be informed that the application has been submitted and will be responsible for ensuring that the recruiting manager is aware of the organisation’s policy on redeployment which states that, if the individual appears on paper to meet the essential requirements of the person specification, the manager must shortlist them for interview to investigate their suitability for the post. The manager must give careful consideration to the suitability of the potential redeployee, and then make an appropriate selection decision.
Salary protection for a maximum of 2 grades may apply where an employee is being redeployed due to ill health to a post considered a reasonable alternative role. Further information about this will be provided by HR.
There may be the option for a 28 day trial period to ensure that you and the manager are satisfied that you are capable of carrying out the new role. Further information about this can be provided by HR where appropriate.
The Council cannot indefinitely employ an individual whilst seeking redeployment opportunities. Therefore, the redeployment process will operate for a limited time only, normally up to three months. If no suitable alternative post is found within this timeframe then an Ill Health Capability hearing will be arranged which may result in dismissal (see Appendix B)
9 THE OCCUPATIONAL HEALTH SERVICE
Advice on sickness absence from Occupational Health is intended to help managers reduce sickness absence.
The requirements of the Equalities Act in relation to disability will have an impact on decisions regarding sickness absence management. The Occupational Health Service can advise and, with the HR Section, provide guidance on how the issue should be dealt with (see following section entitled Equalities Act - disability).
The Occupational Health service is there to support both employees and managers, and attendance at an OH appointment is considered a reasonable management request. If the employee refuses to co-operate in providing medical evidence or undergoing an independent medical examination, the employee will be told that decisions will be made on the basis of any information available.
Further information about the Occupational Health Service is available on the intranet.
10 RETURN TO WORK PROGRAMMES
Where appropriate, Occupational Health may recommend a gradual return to work programme after a period of long term sickness. Such a programme would not normally last more than 8 weeks before normal working hours are resumed or pay is reduced accordingly. Should the employee be unable to return to normal work at the end of such an arrangement, further consideration should be given to the situation: light duties or reduced hours cannot be sustained indefinitely.
The manager should consider the recommendations and where possible adhere to them, however this may depend on the specific team or service (for example but not limited to teams where a shift pattern is worked) and some adjustments to the recommendations may be necessary.
After consideration, if the manager has any concerns or operational reasons which hinder the recommendation being actioned, they will consult with HR and the member of staff on alternatives. Ultimately if the OH recommended return to work cannot be supported or sustained by the manager and or department, the member of staff will not be allowed to return to work until a suitable return to work has been investigated and agreed
11 EQUALITIES ACT - DISABILITY
The Equalities Act 2010 requires managers to consider whether an illness is either caused by a long term disability or has created one.
A disability is defined as “a physical or mental impairment that has a ‘substantial’ and ‘long-term’ negative effect on an individual’s ability to do normal daily activities”.
In either case, as well as treating the employee fairly they need to consider whether there is a need to put in place a “Reasonable Adjustment” to the post or working conditions. The application of the Equality Act in respect of redeployment and/or job adjustment for employees is complex and it is essential for your HR Section to be consulted and for them to advise on individual cases.
12 DATA PROTECTION LEGISLATION
The Council processes any personal data collected during the sickness absence process in accordance with its data protection policy. Further details can be found in the Privacy Notice on the Council’s website. Any data collected is held securely and accessed by, and disclosed to, individuals only for the purpose of completing the sickness absence procedure.
13 SICKNESS PAY
Employees are entitled to sickness pay allowance as stated in their contract of employment. The payment entitlement is in place to assist employees who are absent due to sickness but does not imply a right to take the equivalent amount of sick leave nor does it mean the employer is unable to make an employment decision prior to the full allowance being exhausted.
14 GENERAL ADVICE AND GUIDANCE
The management of sickness absence is often sensitive and complex. Where any uncertainty exists on how to approach the issue or what action to take in any individual case, advice and guidance must be sought from HR.
Any right of appeal will be dealt with as detailed under Appendix C of this document and will either be the director of the department where the individual is employed or, where appropriate, a director from another area.
A members appeal panel may be convened to hear appeals from directors and assistant directors.
APPENDIX A - Formal Stage 2 Meeting Procedure
A letter giving at least 5 working days’ notice of the meeting will be sent to the employee outlining the matters to be dealt with at the meeting and reminding the employee of their right to representation and to call witnesses. The employee will also receive copies of any papers which are to be produced by the Designated Officer at the meeting, and the names of any witnesses.
The employee should supply to the Designated Officer, at least 3 working day prior to the meeting, copies of any documents which they intend to produce and indicate which, if any, witnesses are to be called.
The Designated Officer may ask for an HR advisor to be present at the meeting, but this is not compulsory.
The circumstances as supported by any documentary evidence and witnesses, will be put by the Supervisor/Manager to the Designated Officer and the employee and/or their representative. The Supervisor may call witnesses if appropriate.
The employee and/or their representative will be entitled to ask questions of the Supervisor and witnesses relating to that evidence.
The employee and/or the representative will put their case and be able to call such witnesses as they wish.
The Designated Officer will have the opportunity to ask questions of the employee, their witnesses and the Supervisor.
The parties will have the opportunity to sum up their cases if they so wish.
The parties and their witnesses will withdraw.
The Designated Officer (with the HR representative if attending as adviser), will deliberate in private, recalling the parties only to clear any points of uncertainty on evidence already given. If recall is necessary both parties should return, notwithstanding only one may be concerned with the point in question.
The Designated Officer will announce their findings and the action they intend to take, to the parties preferably immediately or within a reasonable time after the hearing. This will then be confirmed in writing, within 5 working days of the hearing.
The letter will specify the action taken, together with any review arrangements and right of Appeal (See Appendix C).
APPENDIX B - Ill Health Capability and Dismissal Hearing Procedure
When the appropriate steps outlined above have been taken, the manager or Designated Officer may have to consider proposing the dismissal of the employee on the basis that their continued absence can no longer be sustained. The manager or Designated Officer must be satisfied that they have considered any possible adaptations to the individuals’ work and have sought alternative work without success before this stage of the procedure begins. This hearing will be carried out by a Director or Assistant Director and is a formal procedure with the right to representation and appeal.
Special arrangements for the meeting should be considered according to the individual circumstances of the case (e.g. where the individual’s health may make it difficult for them to travel to the place of work). Employees should make their best efforts to attend but if this is not possible then the evidence may need to be heard in their absence.
References to Director may also mean Assistant Director.
HEARING BY DIRECTOR / ASSISTANT DIRECTOR - PROCEDURE TO BE FOLLOWED
A letter giving at least 5 working days’ notice of the Hearing will be sent to the employee (see sample letter 7 below), stating that their continued employment is to be considered, and reminding the employee of his/her rights to representation and to call witnesses. The employee will also receive copies of any papers which are to be produced at the hearing, and the names of any witnesses to be called by management.
The employee should supply to the Director/Assistant Director, at least 3 working days prior to the meeting, copies of any documents which they intend to produce and indicate which, if any, witnesses are to be called by the employee.
The circumstances as supported by any documentary evidence and witnesses, will be put by the Designated Officer to the employee and/or their representative.
The employee and/or their representative will be entitled to ask questions of the Designated Officer and witnesses relating to that evidence.
The employee and/or the representative will put their case and be able to call such witnesses as they wish.
The employee and/or witnesses may be questioned by the Designated Officer.
The Director will have the opportunity to ask questions of the employee and their witnesses and of the Designated Officer and/or his/her witnesses. The Director will wish to be satisfied that all reasonable steps have been taken under the Managing Sickness Absence guidance.
The parties will have the opportunity to sum up their cases if they so wish.
The parties and their witnesses will withdraw.
The Director (with a HR representative attending) will deliberate in private, recalling the parties only to clear any points of uncertainty on evidence already given. If recall is necessary both parties should return, notwithstanding only one may be concerned with the point of issue.
The Director will announce his/her findings and the action he/she intends to take to the parties preferably immediately or within a reasonable time after the hearing. This will then be confirmed in writing within 5 working days of the hearing.
The letter will specify the action taken, and right of Appeal (see Appendix D).
APPENDIX C - Right of Appeal to Director - Procedure
An employee has a right of appeal to a Director against action taken by a Designated Officer. The right of appeal may be for one of the following reasons and will be a complete review of the case:
- where the employee considers that the Designated Officer has unjustly found against them;
- where the employee contends that a matter of fact referred to at the hearing has not been properly taken into account by the Designated Officer in reaching their decision;
- where the employee feels that the action taken by the Designated Officer has been too severe.
The employee must exercise the right of appeal within 5 working days of receiving confirmation of action taken against them. The letter indicating the employee’s intention to appeal should be addressed to the Director.
The Appeal will be held within 10 working days of the written notification of intention to appeal. The Head of HR will act as adviser to the Director.
For decisions taken by the Designated Officer the matter will end at this stage - there is no further right of appeal.
Procedure to be followed at Appeal by Director
The Director will give notice in writing to the employee at least 5 working days in advance of the time and place of appeal. All documents relevant to the appeal will be attached to this letter, as well as names of any witnesses.
The employee should supply to the Director, at least 3 working days prior to the appeal, copies of any documents which they intend to produce and indicate which, if any, witnesses are to be called.
The Designated Officer will put the case to the Director in the presence of the employee and their representative (if any) and may call witnesses.
The employee (or their representative) will have the opportunity to ask questions of the Designated Officer and witnesses on the evidence given by them.
The Director may ask questions of the Designated Officer and witnesses.
The employee (or their representative) will put their case in the presence of the Designated Officer and call such witnesses as they may wish.
The Designated Officer will have the opportunity to ask questions of the employee and witnesses on the evidence given by them.
The Director may ask questions of the employee and witnesses.
The Designated Officer and then the employee (or their representative) will have the opportunity to sum up their case if they so wish.
The Designated Officer, the employee and their representative, and the witnesses will withdraw.
The Director together with a representative from HR will deliberate in private only recalling the Designated Officer and the employee to clear points of uncertainty on evidence already given. If recall is necessary, both parties are to return, notwithstanding only one may be concerned with the point in question.
The Director will if possible, announce the decision to the parties immediately or as soon as possible, and confirm in writing within 5 working days.
APPENDIX D - Right of Appeal to a Member Appeals Panel Procedure
A Director or Assistant Director has a right of appeal to a Member Appeals Panel against action taken by a Director. The right of appeal may be for one of the following reasons and will be a complete review of the case:
- where the employee considers that the Director has unjustly found against them;
- where the employee contends that a matter of fact referred to at the hearing has not been properly taken into account by the Director in reaching their decision;
- where the employee feels that the action taken by the Director has been too severe.
The employee must exercise the right of appeal within 5 working days of receiving confirmation of action taken against him. The letter indicating the employee’s intention to appeal should be addressed to the Assistant Director: Human Resources.
The Appeal will be held within 20 working days of the written notification of intention to appeal. The Assistant Director: Human Resources will be the officer appointed as Secretary to the Appeals Panel.
Procedure to be followed by a Member Appeal Panel
The Assistant Director: Human Resources will give the employee at least 5 working days’ notice of the time and place of hearing. All documents relevant to the hearing will be attached to this letter, as well as names of witnesses.
The employee should supply to the Assistant Director: Human Resources, at least 3 working days prior to the appeal, copies of any documents which they intend to produce and indicate which, if any, witnesses are to be called.
The Director will put the case to the Appeals Panel in the presence of the employee and their representative (if any) and may call witnesses. The Designated Officer and/or Supervisor/Manager will be available to assist the Director as necessary.
The employee (or their representative) will have the opportunity to ask questions of the Director and witnesses on the evidence given by them.
The Appeals Panel may ask questions of the Director and witnesses.
The employee (or their representative) will put their case in the presence of the Director and call such witnesses as they may wish.
The Director will have the opportunity to ask questions of the employee and witnesses on the evidence given by them.
The Appeals Panel may ask questions of the employee and witnesses.
The Director and then the employee (or their representative) will have the opportunity to sum up their case if they so wish.
The Director, the employee and their representative, and the witnesses will withdraw.
The Appeals Panel (together with the Assistant Director: Human Resources who is Secretary to the Panel) will deliberate in private only recalling the Director and the employee to clear points of uncertainty on evidence already given. If recall is necessary, both parties are to return, notwithstanding only one is concerned with the point in question.
The Chairman, on behalf of the Appeals Panel, will if possible, announce the decision to the parties immediately, or as soon as possible and confirm in writing within 5 working days.
The decision of the Appeals Panel will be final.
SAMPLE LETTER 1 - INVITE TO FORMAL STAGE 1 MEETING
Date
Dear
SHORT TERM ABSENCE: FORMAL STAGE 1 MEETING
You will be aware from the various discussions we have had, that I am concerned about your overall absence record. I would like to invite you to attend Formal Stage 1 meeting on………………..at……………………..in…………………
This meeting is to be held as the first formal part of the Council’s Managing Attendance Policy and will give us the opportunity to formally look at your attendance record, discuss any problems you may be experiencing with your health and explore options which may help you improve your attendance.
Please confirm to me that you will be attending this meeting, by (date).
Yours sincerely,
(Manager)
cc: HR File
Encl: Managing Attendance Policy
SAMPLE LETTER 2 - OUTCOME FORMAL STAGE 1 MEETING
Date
Dear
SHORT TERM ABSENCE: OUTCOME OF FORMAL STAGE 1 MEETING
Thank you for coming to meet with me on (date) to discuss your overall absence record. Please find attached the notes from the meeting detailing the discussions that took place.
At the meeting the following improvement in your attendance record was agreed:
(Insert expected improvement)
This improvement will be reviewed (insert how often it will be reviewed) with a final review meeting to be held on (date)
We also discussed what support will be available to you during this period:
(Insert support)
I need to make you aware that if the expected improvement is not made this may lead to a Formal Stage 2 meeting which will be conducted by a Designated Officer.
Please do not hesitate to contact me if you have any queries.
Yours sincerely,
(Manager)
cc: HR File
SAMPLE LETTER 3 - INVITE FORMAL STAGE 2 MEETING
Date:
Dear
SHORT TERM ABSENCE: INVITE TO FORMAL STAGE 2 MEETING
In line with the Managing Attendance Policy, you attended a Formal Stage 1 meeting on (date) to discuss concerns about your absence record. You were subsequently sent a letter stating that your attendance record would be monitored for X months.
This monitoring period has now been completed and unfortunately the expected improvement in your attendance has not been reached. I would therefore like to invite you to attend a Formal Stage 2 meeting on………………..…at………………… in…………….
At this meeting we will discuss progress made since the first meeting, your current position (including your views on your health in relation to your work) and further options which can be investigated in order to help you improve your attendance. I do need to make you aware one possible outcome of the meeting is that you will be issued with a final written warning to improve your attendance.
You are entitled to be accompanied at this meeting by a trade union representative or work colleague.
Please confirm to me that you will be attending this meeting, by (date).
Yours sincerely
(Designated Officer)
cc: HR File
SAMPLE LETTER 4 - OUTCOME FORMAL STAGE 2 MEETING
Date
Dear
RE: SHORT TERM ABSENCE: FORMAL STAGE 2 OUTCOME
Thank you for coming to meet with me on (date) to discuss your absence record at a Formal Stage 2 meeting. I have decided to issue you with a final written warning (or state alternative outcome). This warning will remain on your file for a period of one calendar year.
Please find attached the notes from the meeting detailing the discussions that took place.
At the meeting the following improvement in your attendance record was agreed:
(Insert expected improvement)
This improvement will be reviewed (insert how often it will be reviewed) with a final review meeting to be held on (date)
We also discussed what support will be available to you during this period:
(Insert support)
I need to make you aware that if the expected improvement is not made this may lead to an Ill-Health Capability and Dismissal hearing being convened and this could ultimately result in your dismissal from your post on the grounds of ill-health.
You have a right of appeal against this formal warning, if you wish to appeal please put your reasons in writing to me within 5 working days of the receipt of this decision.
Please do not hesitate to contact me if you have any queries.
Yours sincerely,
(Designated Officer)
cc: HR File