Sickness absence - conducting a formal sickness absence meeting

• This is the first formal stage of the Sickness Absence Procedure, which could result in action being taken against an employee.

• This guidance note is applicable to conducting 1st, 2nd and 3rd Formal Sickness Absence Meetings.

• The 1st Formal Sickness Absence Meeting should not take place until the employee has received guidance relating to their level of sickness absence unless it is a one-off issue of sickness absence in which case guidance may not be necessary.

• The purpose of the Formal Sickness Absence Meeting is to:

o review the employee’s level of sickness absence
o ascertain the nature of the employee’s condition (sickness absence)
o determine whether there is an underlying cause
o examine what actions they have taken to reduce their level of sickness absence
o if and when they are likely to return to work
o discover whether there is any further action they or the Council can take to assist them to regularly attend work/reach the required level of performance.
o if appropriate, issue the employee with a warning and alert them to the consequences if their level of sickness absence does not improve.

• Consideration should be given to the manager visiting the employee at home if the employee is unable to attend the Formal Sickness Absence Meeting e.g. if they are not mobile. Home visits must only take place with the employee’s consent. Sensitivity and tact needs to be exercised in cases of serious illness.

13.1 Who will be present at the Formal Sickness Absence Meeting

• The employee’s line manager will conduct all of the Formal Sickness Absence Meetings provided they are MG1 or above for 1st and 2nd Formal Sickness Absence Meetings, and MG3 or above for 3rd Formal Sickness Absence Meetings or have been given delegated authority to issue an appropriate level of warning.

• If the manager does not have delegated authority to conduct a Formal Sickness Absence Meeting, the manager will be required to attend the Formal Sickness Absence Meeting to present the management case on the employee’s sickness.

• HR should be involved if a possible outcome from the Formal Sickness Absence Meeting could be dismissal.

13.2 Arrangements made for Formal Sickness Absence Meeting

13.2.1. Responsibilities of the Chair

• The employee should be informed, in writing, of the date, time and venue of the Formal Sickness Absence Meeting a minimum of 5 days in advance and should receive 2 copies of any paperwork relevant to the Formal Sickness Absence Meeting at the same time. The employee can then give a copy of the paperwork to their trade union representative or work colleague if they wish

• All relevant paperwork relating to the employee’s performance/attendance i.e. Self Certificates, Medical Certificates, Return to Work Interviews, Fit for Work or Council Occupational Health Service Reports, notes from any meetings, copies of letters, performance appraisal forms etc should be gathered Sickness Absence and given to the employee with the letter notifying of the Formal Sickness Absence Meeting.

• Advise the employee that if they wish to submit any documentation this should be submitted to them a minimum of 2 days prior to the Formal Sickness Absence Meeting.

• Organise who should be present (e.g. Line Manager, if the Chair is not the Line Manager, HR if the meeting could lead to a dismissal) make the necessary arrangements for the meeting taking into account any special requirements requested e.g. access needs and write all relevant letters in connection to the meeting taking place.

• Ensure that sufficient notes are taken of the meeting. The employee should be provided with a copy of the notes, if requested.

13.2.2. Representation

• The employee must be informed, in writing, that they may be represented at the meeting by their Trade Union representative or a work colleague. Their representative can present their case but cannot answer questions for them.

• It is the employee’s responsibility to inform their trade union representative / work colleague on the details of the hearing.

• If the employee chooses not to be accompanied by a work colleague or trade union representative, this needs to be recorded along with the employee’s agreement for the Formal Sickness Absence Meeting to go ahead.

13.2.3. Note Taking

• Notes must be taken at the Formal Sickness Absence Meeting which will be needed when formulating the letter confirming the outcome of the meeting. Notes will need to record what was said by either side and why the manager came to their decision.

• A manager may arrange, in complex cases, for a note-taker to attend the meeting to record the key points. The notes do not need to be verbatim, however should be comprehensive and accurate.

• Note taking is not the role of HR.

14.3 Format for the Formal Sickness Absence Meeting

14.3.1. Introductions

The Chair of the Formal Sickness Absence Meeting should confirm receipt by all present of any documentation, including copies of the Sickness Absence Procedure, and advise that the purpose of the meeting is to:

1. Establish facts
2. Consider the management case
3. Consider the employee’s case
4. Make a decision after considering evidence provided
5. Decide whether further action is necessary as a result

Refer to the Introduction Section for more detail on the purpose of the Formal Capability Meeting.

14.3.2. Main Case

• The manager should state the management case outlining specific areas of concern and attempts made to address these with the employee. N.B. on some occasions, the manager (graded MG1 or above) will chair the meeting and will therefore present the management case.

• The employee (and/or Trade Union Representative or work colleague) will be required to respond to the management case..

• The manager chairing the Formal Sickness Absence Meeting must attempt to identify whether there are any circumstances e.g. personal or health considerations that may affect the employee’s Sickness Absence.

In sickness absence cases, the following should be included:

o Whether the employee has an underlying medical condition
o Whether there are factors contributing to the employee’s sickness absence which are work related (working conditions, relationships, work related stress, working arrangements etc)
o Whether there is a likelihood of future sickness absences
o When or if the employee is likely to be fit to return
o Whether the employee may be covered by the Equality Act 2010

• The employee should be allowed to raise any points that they wish to be considered.

Before any decision is made, the manager chairing should adjourn the Formal Sickness Absence Meeting to consider the case and decide what appropriate action to take.

14.3.3. Adjournment

During the adjournment, the manager chairing should consider the options listed below:

1. No Further Action required - the employee’s sickness absence record is considered satisfactory or there are extenuating circumstances which have a material affect on the employee’s sickness absence record

2. Issue a Warning *

3. Redeployment - as an alternative to dismissal – if the employee is clearly unable to perform the duties of their role and agrees to redeployment – it is advisable to seek HR advice if this is the situation.

4. Dismissal - advisable to seek advice from HR prior to Formal Sickness Absence Meeting.

* In addition to a warning, a monitoring period should be set which is appropriate to the nature of the medical condition/recovery/hospital appointments/etc (e.g. 2 months) and how progress will be monitored. In addition, where relevant, the next Formal Sickness Absence Meeting should be scheduled (e.g. 2nd Formal Sickness Absence Meeting). It may also be appropriate to develop an Action Plan i.e. to assist the employee’s return to work and rehabilitation.

14.3.4. Decision-making

In making a decision the manager chairing the Formal Sickness Absence Meeting should be satisfied that:

o All relevant circumstances have been fully investigated
o The sickness absence procedure has been complied with
o The facts have been established
o Requirements of the Equality Act 2010 have been complied with (as appropriate)
o Mitigating or personal circumstances have been considered
o The action contemplated is justified in the circumstances of the case
o Previous current warnings under this procedure have been considered

14.3.5. Reconvene

The Formal Sickness Absence Meeting should be reconvened for all parties and the employee advised of the decision verbally and informed of their right to appeal against the decision.

However, if it is not possible re-convene the meeting with all involved within a short period of time, the employee should be advised that this will not delay the decision
e.g. if the employee or their representative are not at work for sometime.

14.3.6. Confirming the Outcome

The manager chairing the Formal Sickness Absence Meeting should confirm the outcome in writing, to the employee, within 5 days of the meeting and should advise of the Appeals process including who to send their appeal notification to.

Where a warning is issued, the letter should include details of any improvements required, an action plan, the monitoring period and how progress will be monitored, any reasonable adjustments to be made, any support available and depending on what stage the procedure is at, that any failure to improve performance/reduce sickness absence could lead to further warnings or ultimately dismissal and the date of the next Formal Sickness Absence Meeting.

14.3.7. Where a Sickness Absence warning is issued, the following may apply:
Set a monitoring period. During which time the employee is required to meet objectives to improve their performance/sickness absence record in all the areas of concern. Failure to improve during this monitoring period will mean progression to the next stage of the procedure (e.g. progression to a 2nd Formal Sickness Absence Meeting).

14.4 Progression from 1st to 2nd Formal Sickness Absence Meeting

A 2nd Formal Sickness Absence Meeting will be scheduled to be held at the end of the monitoring period, or earlier where appropriate (e.g. if the triggers set are reached), to ascertain whether sufficient improvement in sickness absence has taken place. This meeting could result in a Final Warning.

In sickness absence cases, it may be appropriate to re-refer the employee to Fit for Work or the Council’s Occupational Health Service to obtain further advice on when or if the employee is likely to be able to return to work and on whether early retirement on the grounds of ill-health is a possibility.

A meeting should be arranged with the employee to discuss the consequences of acting upon the advice received from Fit for Work or the Council’s Occupational Health Service, which may take place during the monitoring period.

14.5 Progression from 2nd to 3rd Formal Sickness Absence Meeting

A 3rd Formal Sickness Absence Meeting will be scheduled to be held at the end of the monitoring period, or earlier where appropriate, to ascertain whether sufficient improvement in sickness absence has taken place. This meeting could result in dismissal.

15. Process in Long Term Sickness Absence Cases

In long-term sickness absence cases, the employee’s likelihood of return to work will be a major factor in determining any action.

However, the employee must be alerted that a consequence of their continuing sickness absence is that their employment could be terminated.

This decision may be taken before their entitlement to sick pay has expired.

A decision to dismiss the employee should only be taken where every attempt has been made to enable the employee to return to work (in their own or another post) depending on the circumstances. The manager (graded SPM3 or above) must have taken into account advice from Fit for Work or the Council’s Occupational Health Service, particularly the most recent advice i.e. within one month of making a final decision. The employee should be offered support as appropriate.

An employee cannot be dismissed because of incapability due to high sickness absence levels unless warnings and a chance to improve have been given, with additional support if necessary.

16. Appeals

Employees have a right to appeal at each formal stage of the Sickness Absence Procedure.

All appeals must be lodged within 10 days of receipt of the letter confirming the outcome of the Formal Sickness Absence Meeting.

An appeal is not a re-hearing of the case.

Consideration should be given to visiting the employee at home if the employee is unable to attend the Appeal Hearing. Home visits must only take place with the employee’s consent. Sensitivity and tact need to be exercised in cases of serious illness.

16.1 Employee registers their appeal

The notice of appeal and supporting statement must be submitted in writing and addressed to the Chair of the previous Sickness Absence Meeting. The employee or their trade union representative or fellow work colleague must submit the appeal within 10 days of the letter confirming the outcome of the Formal Sickness Absence Meeting.

Appeals must set out clearly the reasons for the employee’s appeal which must fall within one or more of the following categories:

• There were procedural irregularities which may have prejudiced the decision;

• The manager took into account and relied upon irrelevant evidence, facts or factors, which may have materially affected their decision;

• The manager failed to take into account and rely upon relevant evidence, facts or factors, which may have materially affected their decision;

• Criticisms concerning the employee’s sickness were not adequately investigated or sufficiently substantiated;

• New evidence or information has come to light;

• The manager’s decision was unreasonable given the evidence and facts, mitigating circumstances including the employee’s length of service, which were presented at the hearing.

The manager who chaired the Formal Sickness Absence Meeting should write to the employee acknowledging receipt of the employee’s appeal and confirm the next steps.

16.2 The Appeal Hearing

Whenever possible, the appeal must be heard within 20 days of the receipt of the employee’s written notification of appeal. If there are any delays the employee and their trade union representative must be informed and of the reasons for it.

16.2.1 Responsibilities of the Chair of the Appeal Hearing

• Advise the Chair of the previous Formal Sickness Absence Meeting that they are requested to submit to them within 10 days, a Management Case Statement in relation to the outcome of the previous meeting and should also be invited to attend the Appeal Hearing to present the Management Case Statement.

• Organise who should be present (e.g. chair of previous meeting) make the necessary arrangements for the hearing taking into account any special requirements requested e.g. access needs and write all relevant letters in connection to the hearing taking place.

• Notify the employee, in writing, of the date, time and venue of the Appeal Hearing a minimum of 5 days in advance of the Appeal Hearing. The employee should be sent copies (unless agreed otherwise) of any paperwork relevant to their Appeal Hearing including the Management Case Statement submitted by the previous Chair at the same time.

• Ensure that sufficient notes are taken of the hearing.

16.2.2. Who will be present at the Appeal Hearing

• Appeals against First or Final Warnings will be heard by a Panel consisting a manager (graded MG3 or above*) and an HR representative.

• Appeals against dismissal will be heard by a Panel consisting a Director (graded D1 or above*) and HR representative.

*Delegated authority cannot be granted to managers below these grades.

• The manager who made the decision at the Formal Sickness Absence Meeting should also attend to present the management case.

16.2.3. Representation

• The employee must be informed in writing that they are entitled to be represented at the hearing by their trade union representative or a fellow work colleague. Their representative can present their case but cannot answer questions for the employee.

• It is the employee’s responsibility to inform their trade union representative / work colleague of the details of the hearing.

• If the employee chooses not to be accompanied by a work colleague or trade union representative, this needs to be recorded along with the employee’s agreement for the Appeal Hearing to go ahead.

16.2.4. Note Taking

• Notes must be taken at the Appeal Hearing which will be needed when formulating the letter confirming the outcome of the Hearing. Notes will need to record what was said by either side and why the Panel came to their decision.

• A manager may arrange, in complex cases, for a note-taker to attend the hearing to record the key points. The notes do not need to be verbatim, however should be comprehensive and accurate.