Absence management: Establishing absence procedures

Section 5 of the Personnel Today Management Resources one stop guide to absence management, covering: reporting absence; collating and analysing absence data; implementing procedures for communicating with absent staff; and what to include in return-to-work procedures. Other sections.

As indicated in the previous section, the absence policy should list a clear set of procedures to be followed by both employees and managers in respect of any unplanned absence. These need to be designed to suit the operational needs of the organisation, while ensuring they are seen by employees as fair, reasonable and not unduly obtrusive. The core elements were set out in the description of the absence policy in Section 4 . Here, the key elements required under each procedure are explained.

Initial absence reporting

A clearly defined process for initial reporting of absence by the employee is needed - usually, a requirement to inform the line manager by telephone before a specified time on the first day of absence. The employee should also be required to provide an initial estimate of when they expect to return to work

The required time of the call will be dependent on the operational needs of the organisation. If the absence is going to cause immediate operational difficulties - for example, in a production or service environment where staffing levels are critical - then it is not unreasonable to require employees to provide notification before the normal start time or even earlier to allow time for cover to be obtained. In a more flexible environment, it may be sufficient for the employee to provide notification by some defined time after the start of the normal working hours

There should be no room for ambiguity in the specified requirement for notification, and the policy should state explicitly that failure to provide appropriate notification without good reason may be treated as a disciplinary offence, regardless of the justification for the absence.

Subsequent absence reporting

Employees should be required to update their manager on an appropriate basis about their condition and likely return date. Initially, employees should be required to update their manager if their absence extends beyond the estimate originally provided

The frequency of subsequent updating will then depend on the duration of the absence and the predictability of the return date. For example, if an employee has undergone a serious operation and is required to take several weeks off work, there will generally be little point in regular updates, unless there is a significant change in the employee's condition, though it may be important to maintain contact for other reasons. Conversely, if an employee is suffering from an illness where the prognosis is uncertain, it may be appropriate to provide updates every two to three days. The key requirement should be that the manager should never be left in a position of uncertainty about whether the employee is expected to attend work on a given date

There may be circumstances where it is difficult or even impossible for an employee to provide regular updates - for instance, if they are hospitalised. Nevertheless, it should normally be possible for managers to agree some appropriate arrangement - for example, updating by a relative or friend. The requirement for regular updates is entirely reasonable in a situation where occupational and statutory sick pay is being provided

The procedures should also state clearly and explicitly the point at which the employee is required to produce a medical certificate from their GP. Typically, this would be required if the individual has been absent for three or more working days, and the certificate will then normally indicate the predicted period of absence, with new certificates subsequently being obtained if required

Some organisations, as part of their efforts to reduce absence levels, have insisted that all absence should be certificated - in some cases, linking the provision of a certification to the payment of occupational sick pay. Although this will certainly reduce the incidence of casual absence, the requirement to produce a certificate, even for very short-term absence, arguably places an unreasonable burden on both the employee and the GP. It should be possible for the organisation to manage its absence levels effectively without resorting to this 'across the board' approach

Finally, the procedures should be explicit about who should be notified at each stage, and about where medical certificates should be sent. This is an obvious point, but an employee who is trying to 'play the system' in terms of taking unjustified absence may seek to exploit any ambiguities. In general, it is advisable that all communication and documentation on absence is sent in the first instance to the employee's immediate line manager. This ensures the manager has the required information to meet any operational needs, such as maintaining staffing levels and obtaining any necessary cover, while also reinforcing the manager's primary responsibility for monitoring and managing absence.

Collation and analysis of absence data

There needs to be an effective system for collating and analysing absence data at the organisational level. The development of integrated HR information systems has substantially simplified the processes for collating and sharing absence data between line managers and the HR function. Although line managers should generally take prime responsibility for monitoring and managing absence in their own areas, the role of the HR function should be to oversee absence levels and patterns across the organisation as a whole, and to provide support and direction to managers in dealing with absence issues

In practice, absence data will, in any case, generally need to be collated by HR, or an equivalent administrative function, for administrative purposes - notably, in respect of the payment of occupational and statutory sick pay. It is generally sensible therefore for the HR function to be the central repository for absence statistics and data, identifying trends and patterns that might not be evident to local line managers. For example, a line manager may initially be unaware that absence levels in their department are significantly higher than elsewhere in the organisation. This centralised data and analysis is needed to inform the continuing development and refinement of the absence management strategy

At a more immediate level, the HR function also needs to be in a position to audit the practical application of the system. Absence management systems often prove ineffective, not because of any major flaws in the formal policies or procedures, but simply because they are not being appropriately implemented. As we have already indicated, managers are often uncomfortable with addressing individual absence problems, and so may be tempted to avoid applying the procedures. In one large public sector organisation, for example, an investigation into the application of the absence procedures revealed that nearly 70% of instances of recurrent short-term absence had been categorised as 'special cases', which were therefore not handled under the established procedures. Unsurprisingly, the great majority of these cases turned out not to be exceptional, but had been inappropriately handled by untrained managers

To facilitate the operation and auditing of the procedures, there should also be an appropriate framework of 'triggers' or prompts for formal action. Most computerised systems will include some form of 'trigger' mechanism, which highlights automatically to the manager and to HR when key action or decision points have been reached. These should include the standard triggers for when formal management action is required - notably when short-term recurrent absence exceeds a defined number of instances in a given timescale. In addition, systems can be designed to highlight requirements such as the need for medical certificates, the need for updates or further certificates in cases of long-term absence, the need to initiate contact with an employee who had been absent for a defined period, or the need to record the outcomes of return-to-work interviews. These can be useful prompts to a busy manager, but also provide a basis for HR to review practice and ensure that appropriate actions are being carried out. The system should, for example, require a formal record of whether or not a specified action has been taken. If there is no record of formal action in respect of an employee who has exceeded the defined absence limits, then this can be highlighted and investigated.

Procedures for communicating with absent staff

The system should define clear requirements and standards for maintaining contact with absent staff. The need to maintain contact reflects no assumptions about the legitimacy or otherwise of the absence, although the nature of the contact may depend on the reasons for and expected duration of the absence. While such contact should not be unduly intrusive, appropriate contact is likely to be beneficial both to the manager and to the employee. From the manager's perspective, it helps ensure there is a full understanding of the nature and implications of the absence - for example, in terms both of its expected duration and any support that might assist the employee's return to work. From the employee's perspective, it provides a demonstration that the absence is being treated seriously by the organisation, as well as providing a stepping stone to assist the individual's return to work at the appropriate point. It is not uncommon, particularly in cases of long-term absence, for employees to feel detached from the working environment to the point where this itself becomes a barrier to return

As far as possible, contact with absent employees should be established as a standard routine in the organisation, so that employees do not feel they are being victimised or treated as a special case. If the organisation has no history of contacting employees at home, it may be necessary to establish and promote this as an explicit change in practice so that both parties - managers and employees - are encouraged to feel comfortable with such contact. It should be stressed that contact does not imply any suspicion of the legitimacy of the absence or any undue pressure for the individual to return to work, although it may help to identify actions that can facilitate attendance

Initial contact will normally be by telephone, but in cases of extended absence, the employer may initiate a home visit, either by the line manager or an HR representative. Again, there should be a trigger built into the system to prompt a home visit when the employee has been away for a defined period - for example, 15 working days - but it may be appropriate to initiate a home visit at an earlier point if, for example, the reasons for the absence remain unclear or ambiguous. Equally, if the reasons for the absence are very clear - such as in the case of an injury or planned surgery - it may not be necessary to initiate an early visit, but may be appropriate to visit the individual prior to return to work.

Return-to-work procedures

There should be a systematic process for managing employees' return to work after any absence - whether for a single day or for an extended period. The evidence of the CBI and CIPD surveys indicates that, in terms of impact on absence levels, this is the most critical aspect of absence management. In particular, the majority of employers report that the use of a formal return-to-work interview is the single most effective absence management tool

Return-to-work interviews should be conducted with employees following any period of absence. It is critical that this is seen as the norm for all employees who have been absent, although the precise form of the interview will depend on the duration and nature of the absence. In general, though, it should include:

Clearly, if the employee has been absent only for a short period and has no significant absence history, the discussion is likely to be relatively short and informal.

If the individual has been absent for an extended period, the focus of the interview is likely to be on facilitating a smooth return to work, both in terms of the potential psychological impact and any practice implications. If there is some history of recurrent absence, even though this may not yet be subject to any formal action, it may be appropriate to explore the reasons for the absence to ascertain if there are any underlying causes that can be addressed.

It may also be appropriate at this point to remind the employee that further instances of absence may lead to more formal investigation or action.