SICKNESS COUNSELLING PROCESS A Guidance Note for s Sickness counselling may be appropriate where an employee has had:- i) three or more periods of sickness absence or more than five days of sickness absence in any 13 week period. ii) five or more periods of sickness absence or ten or more days sickness absence in any 12 month period. iii) A recurrent pattern of sickness absence. Counselling is the stage prior to formal action being taken. Counselling Process The following points provide guidance on the sickness counselling process. Where letters are referred to, these are attached at Appendix 2. 1. The manager should ensure that they have reviewed all staff to identify those who have levels of sickness absence which necessitate counselling under the Attendance Management Policy. Guidance regarding calculating absence for non-standard working patterns is attached as Appendix 1. (s are advised to refer to the Policy specifically in relation to managing pregnancy related absence.) Note on disability-related absences The University has a responsibility to make reasonable adjustments to workplace practices including arrangements for attendance management to accommodate the needs of disabled staff. 1 For this reason, the Attendance Management Policy and documents for recording absence identify disability-related absence as a distinct form of sickness absence. This is to ensure: s have the discretion to discount periods of disability-related absence if this is an appropriate reasonable adjustment (for example, if a trigger is breached due to a period of medical treatment for the disability); Disability-related absences that require counselling or further action are managed within the context of the Equality Act; and Advice on potential adjustments can be obtained by contacting the Employee Disability Advisor. 2. Before any action is taken to set up meetings etc, the manager must supply Human Resources with all of the following information for each of the staff who are to be counselled:- the start and end date of each period of absence; the number of working days lost to sickness during each period of absence; 1 The Disability Discrimination Act (1995) defines disability as, a physical or mental impairment which has a substantial and long - term adverse effect on the ability to carry out normal day-to-day activities. SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 1 of 13
the reason given for each period of absence (by the employee verbally or on a personal sickness certificate, or on a medical certificate). 3. In consultation with Human Resources, the manager should consider whether an Occupational Health referral is appropriate at this point. This will be the case if a particular condition has caused more than one absence, where the condition is not a self-limiting illness, e.g. a cold i.e. there appears to be an underlying medical condition or disability, or a known condition or disability has worsened. It may be appropriate to withhold the referral until after the counselling meeting in order that more detail can be included in the referral. A referral should be made immediately if the person is currently off with stress, anxiety, depression, debility or malaise. 4. The manager should arrange the meetings with staff, ensuring that the HR representative is informed. The HR representative will not normally attend the meeting. The manager is responsible for inviting the member of staff to the meeting, and sending a copy to the HR representative for the file. (Letter A) 5. At the meeting, the manager should ensure each absence has been reviewed in sufficient detail and cover the following points: ensure that the employee is aware that their attendance levels are giving cause for concern, though at this stage the matter is being dealt with informally; explain that the University has an obligation to protect their health, safety and well-being in the workplace, and to provide a seamless service to its customers; explain that unacceptable absence levels have financial implications, place additional pressure on the remaining team, and result in loss of service provisions etc; review the individual absences; identify any support which can be provided to assist the employee in improving their attendance, for example, a referral to Occupational Health. Where absence is disability-related, identify if there are any reasonable adjustments that could be made to working arrangements to enable the staff member to return to work, for example by providing specialist equipment or making changes to working hours or the allocation of duties. The Employee Disability Advisor and Occupational Health can advise on what adjustments would be appropriate, or changes may be suggested by the staff member themselves or their GP. If there is a cost attached to any of the recommended adjustments, the government-funded Access to Work scheme may be able to meet some of these costs. Copies of the University Access to Work guidelines are available at www.intranet.birmingham.ac.uk/hr/documents/public/access-to-work.pdf or on request from Human Resources. Also explain that they can self-refer to the Employee Advice and Support Services if necessary; set clear targets for improvement. agree any adjustments which can be made (either temporarily or permanently) to support improved attendance. ensure that nothing the employee is being asked to do is likely to have a negative impact on a pre-existing medical condition. 6. At the end of the discussion, the manager will inform the member of staff whether a formal monitoring period is required. The options available to the manager are as follows: no monitoring at this stage SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 2 of 13
set a 3 month monitoring period set a 6 month monitoring period 7. The manager will prepare a letter for each individual who has been counselled, ensuring that the details obtained regarding the absences discussed and any agreements made in the meeting are recorded, including whether an Occupational Health referral will be made or reasonable adjustments put in place. The letters should be sent in the manager s name and copied to the HR representative. (Letter B or Letter B:2) 8. If an Occupational Health referral was determined to be appropriate, the manager should contact the HR representative, who will instigate the process. 9. Towards the end of any monitoring period set, or at the point when the triggers are reached during the monitoring period, the manager should invite the member of staff to a further review meeting, and send a copy to the HR representative. The member of staff should be given reasonable notice of the meeting, i.e. five working days, and informed of their right to be accompanied by a trade union representative or an employee of the University of Birmingham. (Letter C) 10. If it is clear that the required improvement has been achieved and the employee s attendance levels are no longer giving cause for concern, the manager should acknowledge the improvement, provide encouragement and praise, and review if there are any outstanding issues requiring support. The manager will send a letter to the member of staff confirming the matters discussed during the meeting, and confirm that no further action will take place. (Letter D) 11. If a significant improvement has been achieved but attendance levels are still giving cause for concern, the monitoring period may be extended. (Letter E) 12. Where the required improvement does not appear to have been achieved, the case should be referred for consideration in accordance with Section 3 of the Absence Monitoring and Attendance Procedure for Support Staff, which may include referring for disciplinary action. (Letter F) Human Resources February 2016 SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 3 of 13
APPENDIX 1 Working Patterns and Trigger Points 1. Part-time contracts: The trigger points cannot be pro-rated. For example: Jane works Monday to Wednesday from 9am until 11am, i.e. a total of 6 hours per week. Jane is absent on Monday and Wednesday due to sickness, which for the purpose of the trigger points equates to 2 workings days on 2 occasions. Jane is absent for a further day on the Wednesday of the following week, which makes a total of 3 working days absence on 3 occasions in a 13 week period. She has therefore hit a trigger point. Where a member of staff works for two or more departments, the absence rates in both areas should be aggregated. The appropriate departmental managers should share details of absence dates and any live attendance monitoring periods in order that attendance can be managed in line with the attendance policy. 2. Term-time only contracts: Attendance monitoring periods which coincide with vacation periods may be put on hold for the duration of the vacation. For example: John is placed on a 6 month monitoring period on 21 May. Summer term ends on 20 June and the Autumn term commences on 23 September. The period 21 May to 20 June is approximately 1 month. Therefore, John s monitoring period should continue for a further 5 months once he returns to work on 23 September. The 6 month monitoring period therefore ends on 22 February of the following year. Where a member of staff works for one department during term time and for a different department or budget centre during the vacation, the absence rates in both areas will be aggregated. The appropriate term time departmental manager should forward details of absences and any live attendance monitoring periods to the vacation period manager, and vice versa at the end of the vacation. SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 4 of 13
3. Annualised hours contracts: Overview: Actual annual working time for a full time member of staff on an annualised hours contract is 1584 hours, which is based on 36 hours per week x 44 weeks per year. A full time member of staff may be required to work more or less than 36 hours in any given week (subject to the requirements of the Working Time Regulations), and these hours will be aggregated towards the end of the year to determine whether the full 1584 hours have been worked. Trigger points: Staff on these contracts will have rostered working days and rostered rest days in any given week. The absence trigger points refer to working days only, not rest days. However, the requirement for personal sickness certificates and medical certificates is based on calendar days, which may include both working and rest days. Staff absent on a working day, which is then followed by a rest day, should contact their manager at the end of their rostered working day to confirm whether they are fit to return to work. Where a member of staff is not fit to return to work, the rest days will not be included when calculating the total number of days absent for the purpose of the trigger points; however, it will be aggregated for the above mentioned certification purposes. For example: John is rostered to work as follows: Day Work day/rest day Sick/Fit Total working days absent (for trigger points) Monday Work 5 hours Sick 1 1 Tuesday Work 5 hours Sick 1 1 Wednesday Work 8 hours Sick 1 1 Thursday Rest Sick 0 1 Friday Rest Sick 0 1 Saturday Rest Sick 0 1 Sunday Work 5 hours Sick 1 1 Monday Work 8 hours Sick 1 1 Tuesday Work 5 hours Sick 1 1 Wednesday Rest Fit 0 0 Total 6 working days Total calendar days absent (for Payroll) 9 calendar days John calls in sick on Monday. John contacts his manager either at the end of his rostered shift or on Tuesday morning to inform his manager he is not fit to work on Tuesday. SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 5 of 13
John contacts his manager at the end of his rostered shift on Wednesday to confirm that he is still not fit and doubts he will be fit for his next rostered shift on Sunday. John contacts his manager either at the end of his third rostered rest day (Saturday) or as soon as possible on Sunday to confirm that he is not fit to return to work on Sunday. John s manager asks him to forward a personal sickness certificate (required for absences lasting between four and seven calendar days). John contacts his manager at the end of his rostered shift on Monday to confirm that he is still not fit to return on Tuesday. John s manager informs him that he is required to submit a medical certificate covering the 9 calendar day s absence. John s manager records that he has been absent for six working days on one occasion. John has hit a trigger point in a 13 week period. Had John returned to work on Tuesday, he would NOT have hit the trigger. Please note, in the case of longer term absences, or where it is clear that a medical certificate will be required, the member of staff need not contact their manager on a daily basis, but rather, both parties should discuss how and when reasonable contact will be made, for example on a weekly or biweekly basis. Banked hours: Staff on annualised hours contracts may be rostered to work less hours per week than their contracted hours. For example, John, a full-time member of staff, may only be required to work 26 hours one week, and 36 hours another week, and he would therefore bank 10 hours. Towards the end of the year, these banked hours would be aggregated, and John would be required to carry out additional work to cover for absent colleagues. Where the full contractual working hours are not worked by the end of the year, the debit may be carried over into the next working year. Security Staff annualised hours differ here, in that the debit is written off at the end of the year. In the example above, John is required to work a total of 23 hours in the first week, therefore banking 13 hours. The 23 hours he was rostered but unable to work due to sickness would be deducted from his contractual requirement, e.g. 1584 working hours a year, minus 23 hours equals 1561 hours. The banked hours would remain banked and would not be deducted from the rolling total. SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 6 of 13
APPENDIX 2 LETTER A Our Ref: Date (give reasonable notice, i.e. 5 working days) M c/o UNIVERSITY OF BIRMINGHAM Dear M I have been monitoring the attendance levels for staff in the DEPT NAME, and I am concerned about your level of attendance and wish to discuss this with you in order that we can work together to achieve the necessary improvement. I would therefore be grateful if you would attend a meeting on at in.. to discuss your attendance during the period from. to You are entitled to be accompanied by a trade union representative, or a friend who is an employee of the University. I confirm that this meeting is not part of the University s formal Disciplinary Procedure, but may be regarded as counselling under the University s Attendance Management Policy... cc: HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 7 of 13
LETTER B DATE Name and address Dear Thank you for attending the meeting with myself and X, (if appropriate) on [date]. The meeting was also attended by your representative, [name]. The meeting was held to discuss your attendance during the period from [date] to [date], in which time you were absent for [number of days] working days. I explained that we were concerned about the level of your sickness absence and the purpose of the meeting was to try to identify any work-related factors which might be contributing to your sickness absence and any support which can be provided to assist you in improving your attendance. It was explained that our concerns stemmed from our obligation to protect your health, safety and well-being in the workplace, and to provide a seamless service to our customers. Clearly, high levels of sickness absence have a negative impact on service provision and place additional burdens on staff in trying to cover the work of absent colleagues. [Details of discussion about each absence reasons given, action taken by employee to resolve problem, support required/given by management to resolve the problem, likelihood of problem reoccurring etc.] I informed you of the facilities available to University employees including Employee Support, where employees can refer themselves if they have any issues/queries regarding their health that they would like to discuss further. After careful consideration of what we discussed, it was decided that you should be placed on a formal monitoring period of [number] months from [date of meeting] to [date] in which we would expect to see an improvement in your attendance at work. We will review your progress throughout the monitoring period. If your level of attendance is still unacceptable, the monitoring period may be extended for a further period of 3 or 6 months, or further action may be taken, which could include disciplinary action. If there has been a satisfactory improvement in your attendance, we will consider the matter closed. I would be grateful if you would attend a further review meeting at [time] on [date] in [location]. You may be accompanied at this meeting by a trade union representative or an employee of the University of Birmingham. If you have any further thoughts how we might support your improved attendance at work, please discuss these with me at the earliest opportunity. cc. HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 8 of 13
LETTER B: 2 DATE Name and address Dear Thank you for attending the meeting with myself and X, (if appropriate) on [date]. The meeting was also attended by your representative (if appropriate), [name]. The meeting was held to discuss your attendance during the period from [date] to [date], in which time you were absent for [number of days] working days. I explained that we were concerned about the level of your sickness absence and the purpose of the meeting was to try to identify any work-related factors which might be contributing to your sickness absence and any support which can be provided to assist you in improving your attendance. It was explained that our concerns stemmed from our obligation to protect your health, safety and well-being in the workplace, and to provide a seamless service to our customers. Clearly, high levels of sickness absence have a negative impact on service provision and place additional burdens on staff in trying to cover the work of absent colleagues. [Details of discussion about each absence reasons given, action taken by employee to resolve problem, support required/given by management to resolve the problem, likelihood of problem reoccurring etc.] I am pleased that you have now fully recovered and hope this will continue. After careful consideration, I have decided not to place you on a formal monitoring period. No further action will be taken at this stage, however, should your attendance levels give cause for concern in the future, we may need to commence the counselling process once more. Finally, I would like to take this opportunity of informing you of the facilities available to University employees including Employee Support, where employees can refer themselves if they have any issues/queries regarding their health that they would like to discuss further. cc. HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 9 of 13
LETTER C Our Ref: Date (give reasonable notice, i.e. 5 working days) M c/o UNIVERSITY OF BIRMINGHAM Dear M I am writing further to the meeting on (DATE) concerning your attendance from X to X, and during which you were placed on a formal monitoring period of X months. I would be grateful if you would attend a review meeting at [time] on [date] in [location]. You may be accompanied at this meeting by a trade union representative or an employee of the University of Birmingham. cc: HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 10 of 13
LETTER D Our Ref: Date: M c/o UNIVERSITY OF BIRMINGHAM Dear M. I am writing to confirm the outcome of our meeting held on.. to review your attendance during the monitoring period from. to I can confirm that I am pleased with the improvement in your attendance during the monitoring period. I hope that this improvement will continue. I can also confirm that no further action will be taken at this stage. Should your attendance levels cause concern at any time in the future, we will commence the counselling process once more. cc: HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 11 of 13
LETTER E DATE Name and address Dear Thank you for attending the meeting with myself and X on [date]. The meeting was also attended by your representative, [name]. The meeting was held to discuss your attendance during the period from [date] to [date], in which time you were absent for [number of days] working days. I explained again that we were concerned about the level of your sickness absence and the purpose of the meeting was to try to identify any work-related factors which might be contributing to your sickness absence and any support which can be provided to assist you in improving your attendance. It was explained that our concerns stemmed from our obligation to protect your health, safety and well-being in the workplace, and to provide a seamless service to our customers. Clearly, high levels of sickness absence have a negative impact on service provision and place additional burdens on staff in trying to cover the work of absent colleagues. [Details of discussion about each absence reasons given, action taken by employee to resolve problem, support required/given by management to resolve the problem, likelihood of problem reoccurring etc.] I reiterated the facilities available to University employees including Employee Support, where employees can refer themselves if they have any issues/queries regarding their health that they would like to discuss further. After careful consideration of what we discussed, it was decided that you should be placed on a further formal monitoring period of [number] months from [date of meeting] to [date] in which we would expect to see an improvement in your attendance at work. We will review your progress throughout the monitoring period. If your level of attendance is still unacceptable, the monitoring period may be extended for a further period of 3 or 6 months, or further action may be taken, which could include disciplinary action. If there has been a satisfactory improvement in your attendance, we will consider the matter closed. I would be grateful if you would attend a further review meeting at [time] on [date] in [location]. You may be accompanied at this meeting by a trade union representative or an employee of the University of Birmingham. If you have any further thoughts how we might support your improved attendance at work, please discuss these with me at the earliest opportunity. cc. HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 12 of 13
LETTER F DATE Name and address Dear Thank you for attending the meeting with myself and [HR rep s name] on [date]. The meeting was also attended by your representative, [name]. The meeting was held to discuss your attendance during the formal attendance monitoring period from [date] to [date], in which time you were absent for [number of days] working days. I explained again that we were concerned about the level of your sickness absence and the purpose of the meeting was to try to identify any work-related factors which might be contributing to your sickness absence and any support which can be provided to assist you in improving your attendance. It was explained that our concerns stemmed from our obligation to protect your health, safety and well-being in the workplace, and to provide a seamless service to our customers. Clearly, high levels of sickness absence have a negative impact on service provision and place additional burdens on staff in trying to cover the work of absent colleagues. [Details of discussion about each absence reasons given, action taken by employee to resolve problem, support required/given by management to resolve the problem, likelihood of problem reoccurring etc.] I once again informed you of the facilities available to University employees including Employee Support, where employees can refer themselves if they have any issues/queries regarding their health that they would like to discuss further. After careful consideration of what we discussed, it was decided at the meeting that an attendance investigation would be requested into your unacceptable level of absence. I explained to you that when making my decision, I considered the effect that your absence during the past 12 months has had on the service that we provide and whilst it is unfortunate that your ill health has resulted in a high level of absence, the business cannot continue to sustain it. You were advised that you will shortly be contacted by Human Resources with further details. Whilst this investigation is taking place, I will continue to monitor your attendance and meet with you should you have any further periods of sickness absence. If you have any further thoughts how we might support your improved attendance at work, please discuss these with me at the earliest opportunity. cc. HR rep SICKNESS COUNSELLING PROCESS: A GUIDANCE NOTE FOR MANAGERS Page 13 of 13