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Sickness Absence Policy
Contents:
• Policy Statement
• Management Statement
• References
• Version control
1. Principles
2. Delegation
3. Reporting Sickness Absence
4. Part Days Attendance
5. Sickness Absence and Annual Leave
6. Medical Appointments
7. Occupational Related Ill Health
8. Contagious Illness
9. Sick Pay
10. UKRI Occupational Sick Pay
11. Injury Benefits Scheme
12. Third Parties
13. Fit Notes
14. Return to Work
15. Return to work meetings
16. Reasonable adjustments
17. Inability to return to work
18. Monitoring Absence Reviews
19. Trigger points
20. Long-term sickness absence
21. Absence management meeting
22. Maintaining contact
23. Occupational Health Advice
24. Disability discrimination
25. Informal attendance review meetings
26. Formal stages in managing a short-term sickness absence
27. Dismissals and Ill Health Retirement
28. Appeals
Appendices
A. Return to Work Meeting
B. Inability to Return to Work
C. Monitoring and Absence Reviews
D. Attendance Review Meeting
E. Formal Stages in Managing a Short-Term Sickness Absence
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F. Second Formal Absence Management Review Meeting
G. Final Formal Absence Management Review Meeting
H. Maintaining Contact
I. Occupational Health Advice
Policy Statement
UK Research and Innovation (UKRI) is committed to promoting the health and wellbeing of its
employees. So, while encouraging employees to maximise their attendance at work, UKRI
recognises that they will on occasion be unable to come to work owing to sickness or ill health.
UKRI will deal fairly and sympathetically with employees who are absent from work because of ill
health; and aims to assist employees on long-term sick leave with their rehabilitation and eventual
return to work.
At the same time, UKRI must pay due regard to its operational needs: if an employee is persistently
or repeatedly absent from work, this can damage efficiency and productivity, and place an additional
burden on their colleagues.
The aim of this policy is therefore to strike a reasonable balance between the pursuit of UKRI’s
operational needs and the genuine need of employees to take time off work because of ill health.
The policy describes how short- and long-term sickness absence will be managed, including how
employees should report and record sickness absences, what to do when booking medical
appointments and the circumstances in which a fit note is required.
It provides guidance for line managers on how to manage return to work meetings, and chair
attendance review meetings if there is a need to discuss absence with an employee. The policy also
sets out UKRI’s occupational sick pay arrangements.
Before following this policy, please consult the supporting Policy Framework.
Management Statement
The Sickness Absence Policy and Procedure (the ‘Sickness Absence Policy’) has been agreed with
the Trade Union Side and complies with statutory legislation.
Version Number
Status
Revision Date
Summary of Changes
Version 1.0
Complete
January 2020
New policy created
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1. Principles
1.1 Employees must adhere to UKRI’s notification procedure and provide a doctor’s fit note
(also known as medical certificate) where required. Failure to comply with the notification
and certification procedures set out in section three will be treated as unauthorised
absence and sick pay may be withheld.
1.2 All managers and employees have the joint responsibility to identify and resolve (as far as
is reasonably practical) health issues that enable an employee to be fit for work.
1.3 Managers should adopt a proactive approach to managing sickness absence. The policy
includes the use of trigger points to help identify when levels of absence may be a cause
for concern. Where absence levels reach a trigger point, this will prompt managers to hold
an attendance review meeting. Trigger points vary depending upon the circumstances;
further information and examples are in paragraph 19.
1.4 All health or health related issues will be dealt with in strict confidence. However, in some
cases, there will be a need to inform HR, senior colleagues or medical professionals
about an employee’s condition, to protect and support them in their work.
1.5 UKRI is committed to supporting the health and welfare of its employees. Where
appropriate advice and/or guidance from occupational health or other medical advisers
should be sought with the employee’s consent.
1.6 UKRI defines a short-term absence as an absence of fewer than 28 calendar days. Long-
term absence is defined as 28 or more days.
1.7 Managers will maintain regular contact with absent employees.
1.8 Subject to the limits set out in this policy eligible employees will be paid Occupational Sick
Pay and/or Statutory Sick Pay (see paragraphs 9 and 10).
1.9 Upon the employee’s return to work, managers will conduct a return to work meeting to
discuss the employee’s health and welfare and update them on work activities as
appropriate and consider how to minimise the likelihood of future absences. Guidance on
return to work meetings is at paragraph 15.
1.10 UKRI will upload into the system any fit notes to correspond with the periods of absence.
1.11 Employees have the right to be accompanied by a work colleague or by a Trade Union
representative at any ‘attendance review’ or ‘formal’ meeting held in accordance with this
policy.
1.12 This policy will be applied fairly and consistently within the constraints dictated by the
business needs of the employee’s area of work. It is accepted that each case of ill health
is individual and relevant to specific personal circumstances.
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1.13 Underperformance issues will be dealt with under the following procedures:
TYPE OF ISSUE
PROCEDURE
Attendance issues due to ill health
Sickness Absence Management
Performance issues e.g. associated with
changes in job roles and/or capability
Performance management procedure within
the Managing Performance and Conduct
Policy
Performance issue caused by
Misconduct, for e.g. carelessness,
negligence, lack of effort or failure to
cooperate with management
Disciplinary procedure within the Managing
Performance and Conduct Policy
1.14 Where there is a combination of factors management, in consultation with HR, will decide
on the most appropriate policy to follow.
2. Delegation
2.1 For information on the delegated authority, please refer to the UKRI HR Delegated
Authority Framework.
3. Reporting sickness absence
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3.1 Employees absent from work due to sickness or injury must follow the sickness
notification and certification procedure.
3.2 On the first day of sickness, the employee must notify their line manager (or nominated
person), usually within one hour of their normal start time and afterwards as agreed, to
advise that they will not be attending work due to sickness, the nature of the illness and
anticipated duration of the absence. If the employee is not able to contact their line
manager personally, they should ensure that someone contacts their line manager or
nominated deputy on their behalf. The sickness absence should normally be input into the
system by the line manager on the first day of absence.
3.3 If the absence continues beyond the expected date of return the employee should update
their line manager, or nominated person, and provide a revised date for their return to
work.
3.4 If the absence continues or is expected to continue longer than seven consecutive
calendar days, the employee must obtain a doctor’s “fit note” and send to their line
manager. The line manager will inform HR (as applicable) immediately for the employee’s
record to be updated. (Refer to paragraph 13 for further information regarding fit notes).
3.5 The line manager should close the absence on the system following the employee’s
return to work, ensuring the whole period of absence is covered, using accurate
information.
3.6 Non-working days, including weekends and public/privilege holidays, will be included
when counting days of sickness absence if they fall during a period of absence but not if
they fall at the beginning or end of the period.
3.7 If the employee returns to work too soon after a period of sickness absence and
subsequently finds that they need to take additional time off to fully recover (on the day of
return to work), the absence periods will be linked and will be counted as one continuous
period of absence. However, each separate period of absence should have the start and
end date recorded on the system.
3.8 Apart from exceptional circumstances, where an employee fails to report their absence
promptly, fails to continue to report an ongoing absence or fails to complete and/or
provide the relevant documentation, the absence will be deemed unauthorised, and will
be dealt with under the Managing Performance and Conduct Policy – disciplinary
procedure.
4. Part days attendance
4.1 Employees who feel unwell during working hours and have to finish work early as a result
must notify their manager before doing so. Where part days are worked, employees will
receive normal pay for the whole day unless already on half or nil sick pay.
4.2 Full and part days are determined by the number of hours worked. Employees who work
less than half of their standard working day should record the absence as a full day of
absence in the system, while employees who work more than half of their standard
working day should record the absence as 0.5 in the system.
4.3 All sickness absences, full or part day, should be recorded in the system for the purpose
of identifying any patterns of sickness absence and maintaining accurate records. UKRI
has a duty of care to its employees and places great importance on their health and
welfare. Recording all absences will enable a full picture of the individual’s absence
record to be understood and for UKRI to provide the appropriate level of support.
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5. Sickness absence and annual leave
5.1 If an employee falls sick during a period of annual leave, they must comply with the
notification procedures for reporting sickness as normal. Provided they do this, the
employee may take the relevant period of annual leave at another time, including in the
following leave year, if it is not practicable to take it in the current leave year.
5.2 Employees continue to accrue contractual annual leave during periods of sickness
absence. Public and privilege holidays do not accrue during periods of sickness absence.
5.3 An employee on long-term paid or unpaid sickness absence may take paid annual leave
during this absence or when they return to work (in agreement with their line manager). If
it is possible for the leave to be taken on return to work in the relevant leave year, then it
must be taken.
5.4 However, where it is not possible for the employee to use their leave entitlement because
of insufficient time or for overriding business reasons, they will be able to carry forward up
to 20 days’ annual leave (including the normal 10-day carry-forward) to the following leave
year. This carried-forward leave must then be taken in that leave year. (Carried-over
leave will be pro-rated, as necessary, for part-time employees).
5.5 If an employee who is pregnant is absent due to pregnancy related illness in the four
weeks leading up to the expected week of childbirth, their maternity leave will commence
automatically. For more information see the Family Leave and Pay Policy.
5.6 If an employee is off sick at any other time because of her pregnancy she is entitled to
sick pay in the normal way. (Antenatal care does not count as pregnancy-related illness in
this respect).
6. Medical appointments
6.1 Where reasonable notice of medical appointments (e.g. doctors, hospital, dental, or
optician appointments) is given, paid time off should be granted.
6.2 Where possible medical appointments should be arranged outside of working hours or at
a time which will cause the least disruption to the employee’s work and the work of their
colleagues.
6.3 Managers may ask for proof of attendance for medical appointments.
7. Occupational related ill health (including accidents at work)
7.1 UKRI will support its employees in the workplace and endeavour to make it a safe place
to work.
7.2 Employees must report all work-related illness, accidents or injury, however minor they
may seem as soon as possible to their manager.
7.3 Local arrangements should be followed for reporting work related accidents.
7.4 Injuries sustained at work and illness that is potentially work related will be investigated,
and where appropriate, individual cases will be referred to the Occupational Health
Advisor.
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7.5 In addition, where:
7.5.1 an accident results in the employee being absent from work, or
7.5.2 an employee believes that they are suffering from an occupationally related
illness, the employee must update the system accordingly.
8. Contagious illness
8.1 Employees who believe that they may have been in contact with or who are known to be
carriers of a notifiable disease (any disease that is required by law to be reported to
government authorities) should advise their manager, or if unavailable a person of an
equivalent level, as soon as possible.
8.2 If they are advised to stay away from work, and are unable to work remotely, this will be
treated as paid special leave and not sickness absence. As such this will not be counted
towards any trigger point.
8.3 In such circumstances, HR should also be consulted as there may be additional
considerations for some employees (for example those who work with animals or in high
containment areas).
9. Sick pay
9.1 Sick pay may comprise of Statutory Sick Pay (SSP) and/or Occupational sick pay (OSP),
up to a maximum of the employee’s normal basic pay. Further information on SSP can be
found at www.gov.uk.
10. UKRI Occupational Sick Pay (OSP)
10.1 UKRI’s OSP scheme entitles employees to receive up to six months’ full pay (inclusive of
any SSP entitlement) within a rolling 12-month period. Once the first six months at full pay
has been used, within the rolling 12-month period, the employee will receive half pay
(including any SSP entitlement) for a further six months.
10.2 If an employee is sick for a cumulative total of 12 months within a four-year rolling period,
their entitlement to OSP will normally cease.
10.3 Once the entitlement to OSP is exhausted, further unpaid sickness absence may be
allowed (in exceptional circumstances paid sickness absence may be extended). Unpaid
sickness absence will not be treated as pensionable service but will be recorded and
count towards the trigger points.
10.4 Once the entitlement to OSP has been exhausted, it may be appropriate to make further
payments at the lesser of half pay or ‘pension rate’ (i.e. the amount of pension that the
employee would have received had they retired on ill health grounds). These payments
will only be made where there is a reasonable prospect that the employee will return to
work following a period of long-term absence. HR will make the decision on these
payments after consultation with the line manager and the Occupational Health Advisor.
10.5 All periods for which a sickness absence is recorded count towards the calculation for
entitlement to receive sick pay.
11. Injury Benefits Scheme
11.1 The Injury Benefits Scheme (as set out in the relevant UKRI pension scheme rules)
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provides a guaranteed minimum income to eligible employees, in the event of their ability
to earn being affected by injury or disease directly or mainly attributable to their
employment with UKRI.
12. Absence owing to an injury caused by a third party
12.1 If an employee is absent through injuries caused by a third party in respect of which
damages are recoverable, this matter should be reported immediately to HR.
12.2 During the period of absence, the employee will not be eligible for sick pay but sums
equivalent to the amount which would have been paid if the absence had been due to
ordinary sickness will be issued as an advance. The employee will be asked to sign an
undertaking as soon as possible, to return the advance where damages are successfully
claimed.
12.3 Where a claim for damages is submitted against the third party, the employee should
include a specific amount for loss of earnings.
12.4 If a claim for damages is wholly or partly successful, any advances received by the
employee during their absence have to be refunded to UKRI and their income tax and NI
contribution payment will be adjusted. In no circumstances will the employee be required
to repay a sum greater than the amount received from the third party as compensation for
the advance during the absence. If the employee does not claim any damages from the
third party or their claim is wholly unsuccessful, they will not be required to repay the
advance or any part of it.
12.5 When all or part of the advance of salary is repaid, the period of absence (due to the
injury) that is set against the maximum period of sick leave allowed will be reduced in
direct proportion to the amount of the advance that is repaid. Pending repayment,
absences should be recorded provisionally as paid or unpaid sickness absence and
notified in the normal way.
12.6 Employees are not eligible for sick pay but do receive an advance equivalent to the
amount which would have been paid. The employee should include an amount for loss of
earnings in a claim for damages; if successful, the employee will be required to repay the
amount received as an advance. If they are unsuccessful, there is no requirement for the
employee to repay the advance. Where all or part of the advance is repaid, the period of
absence due to injury that counts towards the limits of OSP, will be reduced in direct
proportion to the advance repaid.
13. Fit notes
13.1 Fit notes are issued by a doctor to provide evidence of the advice they have given about
an individual’s fitness for work.
13.2 The doctor may also indicate one or more of the following options, as appropriate, to
provide supporting information to the employer and what they could do to help facilitate a
return to work:
13.2.1 a phased return,
13.2.2 amend job duties,
13.2.3 altered hours of work; or
13.2.4 reasonable workplace adaptations.
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13.3 A fit note will usually be a starting point to initiate discussions between a manager and the
employee, to help identify any workplace issues or additional support that could be
provided. There may be other alternatives, in addition to the doctor’s suggestions, which
should also be considered.
13.4 There is no legal obligation for UKRI to comply with the recommendations contained
within a fit note. However, serious consideration will always be given to them. This will
normally be done in consultation with the employee at a return to work discussion. It may
also be necessary to seek occupational health advice.
13.5 If UKRI prevents or delays the employee’s return to work from the date on the fit note, this
time will be paid and not recorded as sickness absence.
13.6 Any changes to an employee’s working environment resulting from fit note
recommendations will only be implemented with the agreement of the employee.
14. Managing a return to work
14.1 Once the employee has received an indication from their doctor, or the Occupational
Health Advisor, that they may soon be ready to return to work, the manager should be
made aware as soon as is reasonably practicable. This will normally be in the form of a
statement of fitness for work (often referred to as a ‘fit note’). Please refer to paragraph 13
for further information about fit notes.
15. Return to work meetings
15.1 A return to work meeting will be conducted by the employee’s immediate line manager, or
nominated deputy, after each instance of sickness absence (including sickness whilst on
annual leave), irrespective of the length of absence.
15.2 Return to work meetings should be held on the first day of return or as soon as is
reasonably practicable, normally within one week of the employee’s return to work.
15.3 The purpose of a return to work meeting is to welcome the employee back to work and to
discuss the reason for the absence. During the meeting the manager should establish any
need for support and how this can minimise further recurrence of absence.
15.4 To ensure that return-to-work plans are properly understood and implemented they
should be discussed and agreed with the employee to include clear timeframes. This
should be in writing and include regular review dates.
15.5 The procedure for managing a return to work meeting and the points to be covered are
shown in detail at Appendix A.
16. Reasonable adjustments not related to disability
16.1 In considering the advice within an occupational health report, the manager in conjunction
with HR team will review reasonable adjustments to work practices, premises and/or
equipment that have been recommended.
16.2 It is the manager’s responsibility to implement reasonable adjustments to facilitate the
employee’s attendance at work. Possible adjustments may include:
16.2.1 adjusting the work environment,
16.2.2 relocating work,
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16.2.3 providing training,
16.2.4 providing more supervision/work plan,
16.2.5 being more flexible about working hours, including consideration of permanent
contractual changes such as flexible working pattern,
16.2.6 redeployment to another role within UKRI.
16.3 Where as a result of a medical condition and despite implementation of reasonable
adjustments to the existing job, an employee is unable to continue in their normal role,
advice should be sought from the Occupational Health Advisor in order to identify the
types of duties the employee could undertake that would not endanger their own health or
that of their fellow employees.
17. Inability to Return to Work
17.1 In extreme cases, an employee may ultimately be unable to return to work. If on the
advice of the Occupational Health Advisor and taking all circumstances into account,
there continues to be no indication of a likely return to work, a management decision in
consultation with the HR will be taken as to whether it is appropriate to consider:
17.1.1 ill health retirement; or
17.1.2 dismissal on grounds of ill health (Further information and guidance can be found
in paragraph 27.
18. Monitoring and Absence reviews
18.1 UKRI will monitor health-related absence closely to identify patterns of sickness absence
and areas where further support could be provided.
18.2 UKRI also expects managers to monitor employee attendance and absence as part of
their day to day responsibilities.
18.3 Action will be taken when absence levels become a cause for concern (see paragraph
below). Occupational health advice will be sought in these circumstances and
recommendations will be discussed with the employee and implemented where
appropriate.
18.4 A manager’s responsibilities in monitoring and absence reviews are detailed in Appendix
C.
19. Trigger points to prompt an attendance review meeting
19.1 UKRI has established ‘trigger points’ to help managers identify where absence levels are
of concern and therefore warrant further investigation. The ‘trigger points’ should be used
as guides, and individual circumstances should to be taken into account. These points
include:
19.1.1 an employee has been absent continuously through ill health for more than two
weeks with no indication of a return to work within the following two weeks,
19.1.2 an employee’s absence due to ill health reaches a total of 12 working days during
the preceding 12-month period,
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19.1.3 an employee has been absent due to sickness on five separate occasions in a six-
month period,
19.1.4 a discernible pattern of absence is giving cause for concern,
19.1.5 there are grounds for suspecting the nature of the work/work environment are
causative factors in an employee’s health.
19.2 In cases of absences that are attributable to an underlying condition (meeting the legal
definition of disability) that the employee has disclosed previously, the Occupational
Health Advisor may recommend reasonable adjustments that:
19.2.1 absences relating to that condition should not be used for assessing trigger point
levels; or
19.2.2 an enhancement to trigger points should be made. Line managers should discuss
the occupational health recommendations with HR and agree on the actions to
take.
19.3 It may also be appropriate to exclude any absence relating to a workplace injury,
contagious illnesses (any disease that is required by law to be reported to government
authorities) and potentially one-off injuries/illnesses from the calculation of trigger point
levels.
19.4 Managers will continue to monitor such absence levels and may, if the level of absence
resulting from a disability or other conditions that have been excluded is still a cause for
concern, hold a formal attendance review. In these cases, advice should be taken from
HR.
20. Long-term sickness absence
20.1 UKRI defines long-term sickness absence as 28 or more calendar days.
20.2 The primary aim in dealing with long-term absence should be to facilitate the employee’s
return to work at the earliest reasonable point. Managers have a duty of care to balance
the needs of the business and team, with support for an employee who is suffering from
long-term sickness.
20.3 UKRI will take a sympathetic and considered approach to long-term sickness absence. As
soon as it becomes clear that an employee’s absence will be long-term, managers should
meet with the employee informally, to discuss what support the organisation can provide
them to assist their recovery and a return to work and address any concerns they may
have about their employment.
20.4 In determining the appropriate management approach, UKRI will consider the following:
20.4.1 the likelihood of improvement in health and a return to work,
20.4.2 an assessment of previous and likely future absence due to ill health,
20.4.3 the possibility of redeployment to alternative work if this would be appropriate,
20.4.4 the feasibility of making reasonable temporary adjustments to the work, including
reduced working hours, part-time working and other flexible working arrangements
to facilitate a return to work.
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20.5 Where the absence is a result of or linked to a disability, considering reasonable
adjustments to the job and/or working environment to assist a return to work;
20.6 Options for rehabilitation.
21. Absence management meetings
21.1 Where appropriate, once advice has been received from occupational health, the
employee will be invited in writing to attend a meeting with their manager and a
representative from HR to discuss the following:
21.1.1 the advice from occupational health,
21.1.2 the employee’s view of their health situation,
21.1.3 the medical report from the GP or specialist (as applicable),
21.1.4 the prognosis and likely time scale for a return to work, if known,
21.1.5 support that could be offered by UKRI, prior to and/or on return to work.
21.2 At least five working days’ notice will be given of the meeting (unless the employee
agrees in writing to less).
21.3 At all stages of the formal procedure, the employee has the right to be accompanied by a
work colleague or a Trade Union representative. A Trade Union representative who is not
an employed official must have been certified by their union as being competent to
accompany a worker. Employees also have the right to request a postponement of up to
five working days if their chosen representative is not available to attend on the original
day or time.
21.4 Where employees are unable to travel, the meeting will be conducted via the telephone or
video conferencing, or a meeting may take place at an alternative venue nearer to the
employee’s home. Alternatively, a written representation can be submitted. A summary of
the discussion from the meeting will be produced, a copy of which will be provided to the
employee for information.
22. Maintaining Contact
22.1 A significant contributory factor to the effective management of long-term absence is
maintaining regular contact between the manager and employee. Those who are away
from work due to longer term health problems may miss the social interaction of
colleagues. Such feelings can sometimes hinder a speedy recovery, so it is important that
managers agree to keep in touch with employees on long-term sickness absence on a
regular basis (ordinarily weekly but this will be dependent on individual circumstances).
22.2 Contact may be by telephone, occasional meetings at a neutral venue or the employee’s
home, or via e-mail.
22.3 Managers can sometimes feel uncomfortable contacting employees who are away from
work due to illness as they don’t want to be seen to be putting undue pressure on the
employee. However, a lack of contact from a manager may be presumed, by the
employee, as a lack of interest in their wellbeing and can lead to them feeling
unsupported and abandoned. To avoid this situation, managers should write to the
employee indicating a desire to maintain contact.
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22.4 For details of and guidance on what the letter should include, see Appendix H.
23. Occupational Health Advice
23.1 Once an informal discussion with the employee has taken place, managers should
consider referring the employee to occupational health for a medical assessment to
determine:
23.1.1 The effects of the employee’s illness/condition,
23.1.2 the likely duration of the illness/condition, and
23.1.3 whether there are any steps that UKRI could take to facilitate a return to work.
23.2 For further guidance on when and in what circumstances to refer an employee to
occupational health, see Appendix I.
23.3 On receipt of a report from the Occupational Health Advisor the line managers should
discuss the occupational health recommendations with HR and agree on the actions to
take.
24. Disability discrimination: Considerations
24.1 The Equality Act 2010 contains a very broad definition of disability, which includes both
physical and mental impairments that last, or are expected to last, 12 months or more and
are substantial in terms of their effects on an individual’s day-to-day life.
24.2 The Equality Act 2010 provides protection to employees with disabilities from
discrimination. Whether or not an employee has a disability can be a complex area and
should be considered carefully in discussion with HR.
24.3 An employee with a disability is entitled to take time off during working hours and/or
agreed periods of leave for rehabilitation, assessment or treatment in connection with
their disability. Any such leave, depending on the circumstances, should be monitored
separately. The impact on the calculation of sickness absence, sick pay or trigger points
will be made known to the employee.
25. Informal Attendance Review meetings
25.1 The line manager should work informally with the employee to manage sickness absence
to ensure acceptable attendance levels are maintained. However, if an employee’s
absence levels are considered to be unsatisfactory and/or a trigger level has been
exceeded, the manager will normally arrange an attendance review meeting with the
employee to discuss their absence.
25.2 Attendance review meetings are informal however employees may be accompanied by a
work colleague or represented by a Trade Union representative.
25.3 The purpose of an attendance review meeting is to:
25.3.1 provide the employee with the opportunity to discuss any reasons for the
attendance issues and establish whether or not there is an underlying cause of
the absences,
25.3.2 identify the likelihood of further absence, including in the context of the
employee’s absence history,
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25.3.3 determine whether it is appropriate to seek advice from occupational health,
particularly where an underlying medical condition has been identified,
25.3.4 agree solutions to address causes of absence from work (either at the meeting or
following receipt of advice from occupational health),
25.3.5 agree reasonable targets and timescales for improved attendance (ensuring that
where appropriate, health issue(s) are taken into consideration),
25.3.6 make the employee aware that, where no specific health or disability issues have
been identified, a lack of improvement in their attendance may result in UKRI
instigating formal action as outlined.
25.4 Sickness absence may have psychological as well as physical aspects to be addressed. It
is important to create a sensitive and confidential environment in which the employee can
discuss sickness absence and any health issues or problems including whether the illness
is considered a disability.
25.5 Where health issues or concerns have been identified in the attendance review meeting,
managers should discuss the next steps with the employee and consider making an
occupational health referral, including for advice on:
25.5.1 any reasonable adjustments that might help alleviate the employee’s medical
symptoms; and
25.5.2 the likely timescale for improvements to their sickness absence record.
25.6 More detail on possible work adjustments and possible outcomes from an attendance
review meeting can be found in Appendix D.
26. Formal Stages in Managing Short Term Sickness Absence
26.1 First Formal Absence Management Review Meeting
26.1.1 Following an informal attendance management review, where there is no
improvement in attendance a formal absence management review meeting will be
held. For more details, see Appendix E.
26.2 Second Formal Absence Management Review Meeting
26.2.1 Where there is insufficient improvement in attendance within agreed time frames,
a second formal absence management review meeting will be held. As before, at
least five working days written notice should be given for attendance at the
second formal meeting.
26.2.2 The procedure for the second formal absence management review meeting is set
out in Appendix F.
26.3 Final Formal Absence Management Review Meeting
26.3.1 Where attendance remains unacceptable a third formal absence management
review meeting will be arranged to discuss the failure to improve. A
recommendation for dismissal is one of the options as an outcome; this will be
made to the person with delegated authority to dismiss.
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26.3.2 More details on this process and the rights of the employee are set out in
Appendix G.
27. Dismissals and Ill Health Retirement
27.1 Following the formal absence management review stages one of the outcomes could be
dismissal. The decision to dismiss will only be taken after a full review of all relevant
factors (by the person with delegated authority to dismiss in consultation with HR)
including the context of the whole employment history.
27.2 In normal circumstances the decision to dismiss will only be taken after three formal
absence management reviews. The decision to dismiss an employee will be taken in
accordance with the HR Delegated Authority Framework.
27.3 Dismissal on the grounds of Ill Health Retirement may be considered when an employee
is no longer able to discharge their duties effectively, due to frequent or lengthy sickness
absences or because their work performance has deteriorated to an unacceptable
standard through ill health.
27.4 When UKRI proposes to retire an employee on grounds of ill health, or where an
employee requests ill health retirement, and are no longer able to discharge duties
effectively, UKRI will seek advice from its medical adviser.
27.5 If it is decided that ill health retirement is appropriate, UKRI will notify the employee of the
decision and give formal notice of retirement. The employee will be informed of their right
to appeal against UKRI’s decision and be provided with details of the appeal procedure
(see paragraph 28).
27.6 The ill health retirement provisions of the relevant pension scheme will apply, including
the right of appeal.
27.7 The decisions to dismiss will only be taken after a full review of all relevant factors
including the context of the whole employment history.
27.8 Consideration of alternative solutions must be demonstrated and documented prior to
dismissal which should be considered only as a final option.
27.9 Such terminations will be either with notice or payment in lieu of notice.
27.10 Managers must consider re-deployment to alternative suitable work taking advice from
HR. UKRI is not obligated to create a special job, nor to be a medical expert, but to take
action on the basis of the medical evidence available.
27.11 Provided that UKRI has taken reasonable steps to secure the employee’s cooperation in
gathering medical evidence but has failed to secure that co-operation, it is entitled to take
action on the evidence available, even if that fails short of the full medical position.
27.12 In cases where the occupational health advice is that an employee has become
permanently incapable of carrying out their duties due to permanent ill health, managers
must liaise with HR to discuss ill health early retirement.
28. Appeals
28.1 All employees have the right to appeal against a formal decision at any stage of this
policy. The process is outlined in the HR Policy Framework.
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28.2 Details of the person to whom the appeal should be sent will be included in the outcome
letter.
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Appendix A - Return to Work meeting
A1. Managing a Return to Work
A1.1 The manager should arrange to meet with the employee to discuss their return to work. At
this meeting the manager and employee should:
A1.1.1 consider the appropriateness of a phased return to work,
A1.1.2 consider whether the employee will be fit to perform all normal duties or whether
adjustments should be made. In most cases the employee’s doctor, or
Occupational Health Advisor, will have provided advice with regards to any
appropriate adjustments that could be made for the employee to return to work.
This might be a reference to amended job duties, altered hours of work, workplace
adaptations or other advice. Managers should consider any such medical advice
when making this decision.
A1.1.3 Discuss and agree what type of support will initially be provided in the first few
weeks/months following the employee’s return to work and determine how their
progress will be monitored. These details will be confirmed in writing.
A1.2 Managers should give due consideration to the employee’s own assessment of their
condition, likely date of return and the work they would feel capable of doing upon return.
This needs to be balanced alongside professional medical opinion.
A1.3 Upon the employee’s return to work, the manager has a responsibility to monitor the
situation and informally discuss this with the employee for an agreed period of time to
ensure that the employee is coping adequately with their workload.
A1.4 Where it has been agreed on the recommendation of the Occupational Health Advisor
that the employee be allowed to return to work initially on reduced hours, the aim will be
to progressively increase the hours worked until normal working is resumed. Pay will be
calculated based on proportionate pay for the net hours worked plus proportionate sick
pay at the appropriate rate for the net hours not worked. The net hours not worked will be
aggregated and recorded as certificated sickness absence.
A1.5 To minimise the impact of inputting multiple absences on the employee’s entitlement to
sick pay. Managers should keep a local record of hours not worked under a phased return
and enter onto the system as a sickness absence whenever the total hours of the
employee’s standard day have been reached.
A1.6 If medical advice for an employee who is absent due to a long-term illness suggests a
phased return or a need to initially undertake light duties, a review period will be agreed.
A1.7 Any requests for a permanent change in hours/working pattern should be considered
under the Ways of Working Policy.
A1.8 During a return to work meeting with an employee, line managers should:
A1.8.1 confirm that the employee feels fit to return to work and implement any phased
return/reasonable adjustment,
A1.8.2 confirm with the employee any factors affecting their role which may have arisen
during their absence,
A1.8.3 establish the reasons/limitations, which may prevent the employee being able to
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attend work or carry out certain tasks,
A1.8.4 determine whether the employee is taking any medication that may cause side
effects that may impact on their ability to carry out their normal work,
A1.8.5 offer help to the employee if needed e.g. the UKRI’s Occupation Health Advisors
or other health facilities.
A1.9 Where absences are becoming a concern, the manager should also inform the employee
that further short-term absences and/or long-term absences could lead to a more formal
review.
A1.10 Managers should contact HR for further guidance or if training is required in managing
individual cases and for advice on current legislation, reasonable adjustments, and
external organisations that UKRI uses in managing sickness absence (e.g. Access to
Work).
A1.11 If the line manager is unsure of what follow-up action is required after a return to work
meeting they should contact HR who will provide advice and, if appropriate assist with any
necessary follow up action.
A1.12 Return to work meetings are informal, but the fact one has taken place should be noted
on the system.
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Appendix B – Inability to Attend a Return to Work Meeting
B1. It is expected that the employee (and if appropriate the chosen representative) will make every
effort to attend an arranged meeting. UKRI recognises that there may be occasions when this is
not always possible. However, it is important that the process is not unreasonably delayed at any
stage and therefore in these circumstances the following will normally apply:
B1.1 the employee has the right to request a postponement of up to five working days if their
chosen representative is not available to attend on the original day or time. Meetings
should not be unreasonably delayed due to the non-availability of a representative.
B1.2 Where the employee is unable to attend due to circumstances beyond their control (e.g.
illness) another meeting date will be arranged.
B2. In situations where an employee is unable to attend a meeting the following options may also be
offered to give the employee every opportunity to present their views:
B2.1 holding the meeting at the employee’s home,
B2.2 holding the meeting at a neutral location,
B2.3 holding the meeting via a telephone or video conference,
B2.4 going ahead with the hearing in the employee’s absence but with a Trade Union
representative or work,
B2.5 a colleague attending the meeting on the behalf of an employee, who will present the
case,
B2.6 going ahead with the hearing but taking into account any written representations that the
employee wishes to make.
B3. If all reasonable attempts to arrange an alternative meeting fail, the appropriate manager in
consultation with HR will take account of the following before making a decision on how to
proceed:
B3.1 the seriousness of the issues under consideration,
B3.2 the employee’s general work record, work experience, position and length of service,
B3.3 medical opinion from the Occupational Health Advisor on whether the employee is fit to
attend the meeting.
B3.4 UKRI reserves the right to proceed in the employee’s absence, but if this is the case the
employee will be advised of this in advance. The meeting will take into account all the
available relevant information and evidence and the employee will be notified of the
outcome in writing and made aware of their right to appeal, as appropriate.
B4. If, after consideration of all the facts, dismissal is recommended, notice of this action will be
issued in accordance with this policy, and will include a right to appeal against the decision. The
decision to dismiss will be taken in accordance with the HR Delegated Authority Framework.
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Appendix C – Monitoring and Absence Reviews
C1. When monitoring absences, line managers should:
C1.1 be aware of sickness levels within their team and seek to monitor and manage sickness
absence,
C1.2 ensure that full records of absence are maintained to provide accurate facts on which to
act if an employee’s sickness record gives cause for concern,
C1.3 view the system records to check reasons for absence,
C1.4 analyse records for trends/patterns of absence, to help identify potential issues to explore
with individual employees,
C1.5 be aware that sickness absence may have psychological as well as physical aspects to
be addressed. It is important to create a sensitive and confidential environment in which
the employee can discuss sickness absence and any health issues or problems.
C2. Managers should look specifically for any pattern of regular absences.
C3. Managers should follow the process for managing excessive sickness absence:
C3.1 short term – Informal stage; two formal review meetings; final review; appeal,
C3.2 long term - Informal; absence management meeting; if unable to return to work consider
options including redeployment, ill health retirement and dismissal, right of appeal.
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Appendix D– Attendance Review Meetings
D1. Managers who are concerned about an employee who has frequent short- term absences,
irrespective of whether a trigger level has been exceeded, or has concern about an employee’s
long-term absence should contact HR in the first instance for advice and guidance on whether an
attendance review meeting may be appropriate.
D2. The aim of the meeting is to:
D2.1 review and discuss the employee’s sickness absence record,
D2.2 allow the manager to explain why the level of absence is giving concern and the impact of
this on the work of the team/Unit,
D2.3 allow the employee to explain the reasons for absence(s),
D2.4 seek to ascertain if there are any underlying problems which might be causing the
absence(s),
D2.5 consider and agree reasonable adjustments (where possible) to help prevent a
recurrence,
D2.6 explain the potential consequences if the employee fails to achieve and maintain the
required level of improvement,
D2.7 agree next steps/date for review.
D3. The employee’s absence record over the last 12 months will be discussed at the review meeting.
Pregnancy related sickness will not be counted for the purposes of determining whether an
attendance review meeting is required.
D4. Pregnancy related sickness should be recorded separately on the system from other illness and
will not be counted towards a total sickness record for the purposes of determining whether an
attendance review meeting is required. Pregnancy-related sickness absence will not be used as a
reason for disciplinary action or redundancy selection.
D5. Possible outcomes from an attendance review meeting might be:
D5.1 the manager may review the sickness absence rate and decide that there is no cause for
concern,
D5.2 an agreed review period to monitor attendance,
D5.3 a temporary or permanent workplace adjustment and an agreed review period in a
specified time to monitor progress following implementation of the adjustments.
D6. Possible work adjustments may include:
D6.1 modification of work patterns or practices, equipment, management systems, or
workstations, which might assist the employee’s access to or confidence in the workplace,
D6.2 provision or support in any medical interventions, for example physiotherapy or time off
for other medical appointments which might alleviate the employee’s condition,
D6.3 that there are no appropriate adjustments that will assist or are possible at this stage. If
this is the case, the possibility of redeployment to another position to accommodate the
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employee’s health condition should be considered,
D6.4 a requirement to seek and consider occupational health advice. If this is the case, the
meeting needs to be adjourned and should be reconvened as soon as possible once the
occupational health advice is received. If occupational health advice suggests a phased
return or a need to initially undertake light duties, a review period would be agreed. This
reduction in duties would not normally exceed three months but in exceptional
circumstances consideration should be given to agreeing permanent reduced hours.
D6.5 The manager may consider it appropriate to adjourn the meeting to consider the
responses given by the employee and/or to arrange an occupational health referral if not
obtained. Following receipt of any occupational health advice, the meeting should be
reorganised as soon as possible,
D6.6 that there are no appropriate adjustments that will assist or are possible at this stage. If
this is the case, the possibility of redeployment to another position to accommodate the
employee’s health condition should be considered.
D6.7 To ensure that occupational health recommendations are properly understood and
implemented they should be discussed and agreed with the employee. Any actions
should be clear with timeframes and be reviewed regularly. Where a review period has
been agreed, managers should regularly meet with the employee to provide
encouragement and support.
D7. Following the agreed review period:
D7.1 where attendance has improved to a satisfactory level, no further action is necessary.
D7.2 where attendance has not improved to a satisfactory level, the employee will be invited to
attend a first formal absence management review meeting under the procedure as
outlined in Appendix E.
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Appendix E- Formal Stages in Managing Short Term Sickness Absence
E1. First Formal Absence Management Review Meeting
E1.1 If the outcomes from an attendance review meeting have not been met, it will be
necessary to hold a formal absence management review meeting.
E1.2 The manager will invite the employee to a formal absence management review meeting in
writing, giving the employee at least five working days written notice of the meeting.
E1.3 The employee also has the right to request a postponement of up to five working days if
their chosen representative is not available to attend on the original day or time.
E1.4 The aim of the meeting is to:
E1.4.1 review and discuss the employee’s sickness absence record,
E1.4.2 allow the manager to explain why the level of absence is giving concern and the
impact of this on the work of the team/Unit,
E1.4.3 allow the employee to explain the reasons for absence(s),
E1.4.4 seek to ascertain if there are any underlying problems which might be causing the
absence(s),
E1.4.5 consider and agree reasonable adjustments (where possible) to help prevent a
recurrence,
E1.4.6 explain the potential consequences if the employee fails to achieve and maintain
the required level of improvement,
E1.4.7 agree next steps/date for review.
E1.4.8 The employee’s absence record over the last 12 months will be discussed.
Pregnancy related sickness will not be counted for the purposes of determining
whether a formal absence management review meeting is required.
E1.4.9 Any occupational health reports may also be discussed.
E1.5 Possible outcomes from the formal attendance management review meeting might be:
E1.5.1 agreement of any reasonable adjustments to be made,
E1.5.2 an agreed review date to determine the level of improvement to be achieved,
E1.5.3 setting of agreed targets and timescales for achieving these,
E1.5.4 counselling / coaching,
E1.5.5 that there are no appropriate adjustments to their current role that will assist them,
or that are possible at this stage. If this is the case, the possibility of redeployment
to another position to accommodate the employee’s health condition should be
considered. Ill health retirement may also be considered.
E1.6 After the first formal absence management review meeting a First Stage Outcome letter
will be provided to the employee to confirm the main discussion points, targets set and
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review dates. The letter should also include the right of appeal and to whom any appeal
should be submitted.
E1.7 The letter should normally be issued within five working days of the meeting and will be
kept on file on the system. If after a period of 12 months improvement is maintained, the
letter will normally be disregarded.
E1.8 Managers should also:
E1.8.1 ensure any follow up action is taken and any agreed adjustments/support
implemented,
E1.8.2 monitor the employee’s attendance and performance e.g. through a work plan.
E1.9 The employee has the right of appeal against a decision at any stage of the formal
procedure.
E1.10 If a satisfactory level of attendance has been achieved together with the ability to carry
out necessary work duties, no further steps will be taken under the formal process
outlined within this policy. The employee should be reminded that the improvement must
now be sustained over an agreed period. Failure to do so may result in the formal process
being re-instated from this point.
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Appendix F- Second Formal Absence Management Review Meeting
F1. Managers will work with HR to decide whether further occupational health advice is needed.
F2. At the second formal meeting, the improvements/targets set at the first meeting will be discussed
and the reasons why attendance has not improved will be explored.
F3. After the meeting a Second Stage Outcome letter will be provided to the employee to confirm the
main discussion points raised and targets set. This should normally be issued within five working
days of the meeting and would be disregarded after a period of 12 months if the improvement is
reached / maintained.
F4. The employee has the right of appeal against a decision at any stage of the formal procedure.
F5. If a satisfactory level of attendance has been achieved, no further steps will be taken under the
formal process. The employee should be reminded that the level of attendance must now be
sustained over an agreed period. Failure to do so may result in the formal process being re-
instated from this point.
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Appendix G - Final Formal Absence Management Review Meeting
G1. At least five working days written notice should be given for attendance at the final formal
meeting.
G2. The employee has the right to be accompanied by a work colleague or a Trade Union
representative. The employee also has the right to request a postponement of up to five working
days if their chosen representative is not available to attend on the original day or time.
G3. Managers will work with HR to decide whether further occupational health advice is needed.
G4. After the meeting a Final outcome letter will be provided to the employee to outline the
decision/recommendation, reasons for the decision, and the right to appeal. This should normally
be issued within five working days of the meeting.
G5. The possible outcomes of the final formal meeting include:
G5.1 no further action will be taken at this time,
G5.2 agreement that the employee will return to work and maintain acceptable levels of
attendance; failure to do so will result in dismissal,
G5.3 retirement on the grounds of ill health,
G5.4 dismissal on the grounds of ill health.
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Appendix H - Maintaining contact
H1. Explain the letter is a request for contact out of concern for the employee’s wellbeing and to
reiterate any offer of support that is reasonable and practical; it is not to put any pressure on the
employee to return to work.
H2. Ask the employee for their preferred method of contact (i.e. by telephone, occasional visits at
home or at a neutral venue, email communication, or a combination of these).
H3. Outline that the employee’s wishes with regards to the method of contact will be taken into
account.
H4. Agree with the employee what information they would like to receive e.g. changes and
developments within the workplace.
H5. Maintaining regular contact with employees who are away from work due to long-term absence
not only allows manager to keep up-to-date with the employee’s state of health and their progress
with regards to a return to work but will also enable the manager to effectively plan for and
maintain temporary cover for the absent employee.
H6. Where circumstances make it difficult for direct contact (for instance where the reason for the
absence is of a sensitive nature or related to line management issues), advice should be sought
from HR.
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Appendix I - Occupational Health Advice
I1. Managers should always seek advice from HR to determine whether a referral to occupational
health is necessary. Where the employee can provide adequate information concerning their
absence and/or anticipated return to work it may not always be necessary to seek additional
advice from occupational health. This will be dependent on individual circumstances.
I2. Where the manager and HR (or the employee and HR) do consider a referral to occupational
health is appropriate, HR will make a request for a referral. Requests for referrals to Occupational
Health Advisors should be in writing and may include a description of the employee’s duties.
I3. Any referral will be made with the employee’s knowledge and will seek to encourage the open
exchange of information. The employee should be consulted on the information requested but
does not have the right to veto any information requested by UKRI.
I4. Occupational health referrals should be specific and request a written report covering:
I4.1 the reasons for the illness and why it prevents the employee from doing their regular
duties/attending the workplace,
I4.2 the nature of treatment and possible side effects,
I4.3 an indication of when the employee is likely to be able to return to work,
I4.4 whether on return there may be a limitation on the duties the employee should undertake,
including a phased return and the likely time span,
I4.5 whether there are any reasonable adjustments to help improve the employee’s
attendance or assist the return to work, including any reasonable adjustments to the
employee’s role or way of working that might accommodate a medical condition.
I5. In addition, UKRI may require the employee to undergo a medical examination performed by an
Occupational Health Advisor or a medical adviser appointed and paid for by UKRI. If the
employee refuses or is unable to attend the appointment, then a decision regarding management
of the case will be made based on the information available.
I6. Occupational health reports are sent, with the employee’s consent, to HR and discussed with the
employee and their line manager. All reports provided by occupational health will be treated in
strict confidence.
I7. If an employee does not consent to the disclosure of the occupational health report, decisions
about their employment will be taken without the benefit of knowing the full position.
