Supervisor Handbook

See Memorandum No. 167 for the policy regarding provisional employment.

All clerical/service employees hired from outside the University will be subject to a 90-day provisional period of employment. Provisional employment always starts at the hire date for regular employment. Time worked as a temporary does not apply toward the 90 days, but does count toward eligibility for Family Medical Leave.

During the 90 Days

Clarify pertinent policies and procedures. Specify your performance expectations and factors on which the employee will be evaluated (i.e., behavior, attendance) at the end of the 90 days.

• Conduct 30-, 60- and 90-day employee evaluations. The employee may not use accrued vacation or personal holiday during this time nor generally may not seek a transfer. Call HFS-Human Resources regarding possible exceptions. Accrued sick leave may be used.
• If a provisional employee fails to meet your expectations anytime during the 90 days:
• Bring any deficiency to their attention as quickly as possible. Coach and guide them so they understand the problem and what they need to do to make improvement. Arrange to follow up and check on progress. Document the discussion and outline expectations. If warranted, begin the progressive discipline process, working with the HFS-Human Resource Office.
• If, after 60 days, an employee has not progressed, set up a meeting to outline the problems. Give notice to the employee that termination will take place at 90 days, or before, unless improvement or correction is made. Document the results of this discussion and give a copy to the employee. If you feel an extension of the provisional period is warranted, contact the HFS-Human Resources Office. An extension of the provisional period should typically be considered only for exceptional circumstances.
• If no improvement is noted, the employee should be notified of the termination to be effective by the end of 90 days. Normally, he/she will be given two weeks notice, followed with a letter of confirmation.

Please discuss with HFS-Human Resource Staff prior to terminating any employee.

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The Employee Assistance program was established as a unit of Human Resource Services to assist employees and members of their families in the resolution of personal problems. Concerns may be individual, marital, family or substance abuse issues. Contact a HFS-Human Resource specialist for assistance in working with the employee and EAP staff.

Referrals

Supervisors can use EAP services in dealing with troubled employees. The office is located at 501 Hayes Street, West Lafayette. There are two kinds of referral situations. One situation is where the employee does not have a job performance problem, and the other is where the employee's job performance has deteriorated.

In the first "informal" instance, you may learn directly from your employee about a personal challenge such as a relationship conflict, a problem with an out-of-control adolescent, illness or death in the family, a childcare or eldercare issue or some other significant private concern. In this instance, you can explain that EAP is a free, confidential, professional counseling service to address a wide range of individual and family problems.

In the second "formal" instance, you can take the initiative to recommend EAP to the employee based on declining or erratic job performance. In particular, note absenteeism, changes in appearance or grooming, emotional instability, memory lapses, agitation or lethargy, etc. This should be considered when the employee fails to respond to the standard coaching and disciplinary process. In this example, after you have followed and documented your progressive disciplinary measures, you need to let the employee know that use is voluntary, but that improving job performance is mandatory to avoid possible termination.

Pay Issues

An initial assessment interview is considered in pay status if it is scheduled during the employee's normal working hours. Subsequent visits by hourly employees should be on their time, including vacation or sick leave.

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"Purdue University is committed to maintaining an environment that recognizes the inherent worth and dignity of every person, fosters tolerance, sensitivity, understanding and mutual respect, and encourages its members to strive to reach their potential. The most effective way to work toward preventing harassment is through education that emphasizes respect for every individual." (Preamble to Executive Memorandum No. C-33 dated 9/16/94).

Harassment of any type will not be condoned or tolerated. Therefore, it is important that you treat any allegations of harassment seriously and respond accordingly.

Harassment is defined as any person's conduct that unreasonably interferes with another person's status or performance by creating an intimidating, hostile or offensive working environment. Harassment is frequently based on a person's characteristics, such as their sex, national origin, race, religion, age, disability, etc. It is important to contact the HFS-Human Resources Office promptly for assistance in dealing with situations involving harassment, or if you have reason to believe some type of harassment is occurring.

The University Anti-Harassment Policy (Executive Memorandum C-33) outlines specific responsibilities of supervisors. Please contact HFS-Human Resources for assistance.

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"Purdue University is committed to providing students, faculty, staff and visitors a safe and healthful environment. Accordingly, the University prohibits acts of violence or threats of violence in the campus community or the workplace. This prohibition extends to persons conducting business with or visiting the University, even though such persons are not directly affiliated with the University." (General Policy Statement, Executive Memorandum C-43).

The University Violence in the Workplace Policy (Executive Memorandum C-43 dated 8/19/97) outlines supervisors' specific responsibilities. Contact a HFS-Human Resources Specialist for assistance in dealing with situations that appear to have the potential for violent actions.

Anyone who experiences, observes, or otherwise knows of an imminent act or threat of violence should immediately call the Purdue University Police Department at 911.

Keep in mind that retaliation against anyone for reporting a violation of this policy or for cooperating in an investigation under this policy is prohibited. Retaliation includes, but is not limited to, acts of reprisal, interference, restraint, penalty, discrimination, intimidation, or harassment against an individual or group.

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Executive Memorandum 142 summarizes policies relating to termination of clerical and service staff. Executive Memorandum 141 outlines the suspension policy for clerical and service staff. Keep your own record of incidents and related discussions, including dates and times. It's important that discussions and any actions you take with the employee be timely. Discuss all situations involving suspension or termination, including gross misconduct, theft or insubordination with HFS-Human Resource Staff. HFS-Human Resource staff is available to discuss situations and review letters to ensure consistency within Housing and Food Services. The following steps, as listed below, serve as a general outline to disciplinary action. Each situation should be treated individually to determine the appropriateness of using these guidelines. Refer to Supervisor's Checklist in analyzing and administering progressive disciplinary action.

Verbal Discussion

Document the employee's problematic workplace behaviors. Remember, if you didn't document it, it didn't happen! Meet with the employee in private. Point out the difference between present performance or behaviors and agreed-upon expectations. Describe specifically the negative impact of the employee's performance or behaviors. Get the employee's view of the situation. Ask the employee for ideas on how he/she can correct the situation and then suggest your own. Explain any steps you plan to take and why. Explain the consequences if behavior or performance is not improved. Agree on an action plan and a date for follow-up. Express confidence that the employee can correct the situation.Keep notes of the dates and content of the discussion(s). Written Reprimand if the performance or behavior fails to improve, follow the same outline as above. Write a summary of your discussion, including the employee's comments on letterhead. Give to the employee within two working days of the discussion. Contact HFS-Human Resources for assistance in writing/reviewing documentation as needed. Send a photocopy of the signed original letter to the HFS-Human Resource Office.

Suspension

Meet with HFS-Human Resource staff prior to taking action. Typically, suspension is not used for attendance problems. If circumstances warrant immediate suspension, contact HFS-Human Resource staff as soon as possible thereafter. Confirm the suspension in writing.

Discharge

Meet with HFS-Human Resources prior to taking action. Normally when terminating staff, clerical/service employees are given two weeks notice, and administrative/professional staff are given 30 days notice. Employees may be terminated immediately under extreme circumstances. Executive Memorandum No. 142 outlines the termination of employment for clerical and service staff. Refer to Memorandum B-55 regarding the termination of administrative and professional staff. Schedule an exit interview prior to the employee's last day with HFS-Human Resource staff. Complete a Personnel Services Form 4 Report of Termination of Employment for your departmental business office as soon as possible. See also section on Termination (II-9).

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This checklist is intended to help you remain objective in analyzing and administering progressive disciplinary action. "No" answers may indicate that more information, further analysis, or non-disciplinary action is required before you move to the next progressive step. You should answer all questions before you decide on a plan of action; then consult your HFS-Human Resources Specialist.

1. Work Performance Problem (Answer: Yes or No)
   1. Is the employee adequately performing the work assigned?
   2. Does the employee understand your expectation:
      1. What to do?
      2. How to do it?
      3. Why to do it?
      4. When to do it?
   3. Does the employee have access to and know where to find written instructions/procedures?
   4. Has the employee ever demonstrated the skill?
   5. Is it a skill the employee can be taught?
   6. Based on experience/education, is it a skill the employee should possess?
   7. Could the employee perform the skill if he or she wanted to?
   8. Is the work expected reasonable?
   9. Has the job changed?
   10. Is there a pattern?
2. Behavior Problem (Answer: Yes or No)
   1. Is the employee's behavior appropriate/acceptable?
   2. Does the employee understand acceptable behavior?
   3. Has the behavior been acceptable in the past?
3. Supervisor's Responsibility (Answer: Yes or No)
   1. The University depends on supervisors to communicate University policies and practices. Since the supervisor determines job tasks/duties, he or she must communicate job performance expectations and departmental work rules.
   2. Have you provided adequate training?
   3. Are training resources available within the campus or community?
   4. Can the employee function within the work group without using the deficient skill?
   5. Do you reinforce acceptable behavior?
   6. Has acceptable behavior been communicated with understanding to the employee?
   7. What has been the past practice?
4. The Employee (Answer: Yes or No)
   Before administering disciplinary steps, be familiar with the answers to the following questions:
   1. Is the employee's work record above average compared to the rest of the work group?
   2. Is the rule that has been violated a reasonable one?
   3. Did the employee know the rule?
   4. Did the employee know your work expectations?
   5. Did the inappropriate conduct/behavior result in cost to others?
   6. Did the inappropriate conduct/behavior result in danger to others?
   7. Does the organization have a past record of strict enforcement with discharge for the same/similar offense?
   8. Have you discussed this problem with the employee to get his or her point of view?
   9. Has the employee been warned previously for violation of this rule?
   10. If previously warned, did you communicate the consequences if the employee did not correct the problem?
5. Appropriate Disciplinary Action (Answer: Yes or No)
   1. Have you defined the objective of the disciplinary action?
   2. Have you checked University policy?
   3. Have you imposed discipline to fit the employee?
   4. Have you imposed discipline that is progressive in nature and that fits the incident?
   5. Have you set a follow-up date to discuss with the employee?
   6. Have you received a commitment from the employee?

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Effective March 1, 2005, the Housing and Food Services Division implemented attendance guidelines as follows:

General

The Housing and Food Services (HFS) division recognizes the value of teamwork and the contributions made by dedicated employees who are on the job each and every scheduled workday. It is the Division’s expectation that each employee make a personal commitment to the organization regarding an acceptable standard of attendance. Regular attendance is a condition of employment, and it is expected that unscheduled absences and tardiness will be kept to a minimum.

The purpose of these guidelines is to support the efficient operation of the organization and to minimize unscheduled absences. These guidelines aim to reinforce our ability to provide excellent customer service during our hours of operation.

Application

All clerical and service staff are expected to be ready to work at their assigned workplace and assigned starting time each day they are scheduled. Employees also are expected to remain at work for their entire work assignment. Late arrival, early departure or other absences from scheduled hours are disruptive and should be avoided. Similarly, staff members on authorized breaks must return to their workplace within the allotted time.

Absence

Absence is the failure of an employee to report for work when scheduled to do so. Scheduled or authorized times away from work, as well as serious health conditions under the Family and Medical Leave Act (FMLA), will not be counted against an employee’s attendance record for the purpose of these guidelines.

• Scheduled absence occurs when both of the following conditions are met: (a) the employee provides sufficient notice according to department guidelines to his/her supervisor, and (b) such absence request is approved in advance by the supervisor based on business need.

When planning medical treatment, an employee should consult with his or her supervisor and make a reasonable effort to schedule the leave so as not to disrupt department operations. Typically, routine visits to a local medical provider should require no more than two hours for the appointment and travel time.

• Authorized absence is defined as those times when a supervisor may approve an absence that has not been pre-scheduled. Examples include:
• When a supervisor offers staff the option of leaving work early, such as the end of a shift when the workload is slow;
• Emergencies such as auto accident, weather-related safety issues, house flood, fire or other serious threats to life or property;
• Bereavement leave with proper notification.
• Family and Medical Leave Absences due to serious health conditions that qualify under the FMLA will not be counted against an employee’s attendance record. Medical documentation within the guidelines of the FMLA will be required in these instances. When the employee is on leave under the FMLA, accrued sick leave must be used concurrently. For further details, refer to Executive Memorandum C-47 Revised Leave of Absence Policies for Faculty, Continuing Lecturers, and Administrative, Professional, Clerical and Service Staff (1/01/99).

Unscheduled Absence

Although any absence can affect the efficiency and productivity of a work unit, the most problematic type is an unscheduled absence, because the supervisor has no advance opportunity to adjust schedules or arrange for other staff to cover the workload.

If it is necessary for an employee to be absent or late for work, s/he must notify the supervisor as directed by department guidelines or in the absence of such guidelines, no later than 60 minutes (University minimum notification) after the scheduled starting time on that same day. The employee is expected to provide a projected length of absence and a reason for the absence or tardiness. If the employee is unsure of the length of absence, s/he must call daily to report the continued absence. If the employee is unable to call, s/he should have someone else make the call for him/her.

• Occurrence: A single unscheduled absence, or a period of consecutive absences, regardless of the number of days duration. Any break in the absence will be counted as another occurrence. If an employee makes a reasonable effort to return to work and is unsuccessful, then the two absences are treated as one occurrence. This is only true if the two absences are for the same reason and the employee works less than their next scheduled full shift.
• Absence: Not at work for an entire scheduled shift.
• Tardiness (arriving late): Employees are expected to report to work on time. If an employee can’t report to work as scheduled, s/he should notify the supervisor as indicated above. This notification does not excuse the tardiness, but simply makes the supervisor aware of the employee’s status. For the purpose of these guidelines, two tardies of one hour or less equals one occurrence.
• Leaving Work Early: Employees are expected to work their entire schedule. This is when an employee, without advance authorization or notification, requests to leave work prior to normal quitting time. For the purpose of these guidelines, two leave earlies of one hour or less equals one occurrence.
• No call/No Show: Not reporting to work and not calling to report the absence is a serious matter and will result in disciplinary action up to and including termination.
• Job Abandonment: Any employee who fails to report to work without notification to his or her supervisor for a period of three days or more will be considered to have voluntarily resigned their position.

Documenation

The supervisor has the right to require an employee to provide a note from a medical provider or other written record to verify the reason for an absence. The supervisor also has the right to require documentation from the medical provider authorizing the employee to return to work, with or without restrictions.

Pay

Absences may be covered in paid or unpaid status. Refer to Executive Memorandum C-45 Revised and New Leave of Absence Policies for Clerical and Service Staff (1/01/99) which addresses paid sick leave, paid vacation leave, paid personal holiday and unpaid personal leave. In particular, sick leave may not be used for non-health related reasons. Please note that while paid vacation and the paid personal holiday are benefits of employment and are paid out in full, paid sick leave is similar to medical insurance in that it is intended to be used only when needed.

Performance Evaluation

Attendance is a highly weighted competency in the HFS performance management system. Unscheduled absences will affect the rating that may be assigned for the attendance competency.

Disciplinary Action

Employees who exceed the attendance guidelines are subject to progressive discipline. Unscheduled absences are counted as occurrences during a consecutive twelve (12) month rolling calendar. Multiple occurrences during any 12 consecutive month period will generally result in a verbal warning no later than the fifth occurrence and termination may follow 10 occurrences in a year.

Generally, employees who are terminated for cause are not eligible for rehire at Purdue University.

Supervisor Supplement to Attendance Guidelines

In an effort to maintain consistency among HFS departments, the following supplement is presented for dealing with excessive unscheduled absences. Related issues not addressed (such as whether an absence may be in paid or unpaid status) may be dealt with at the supervisor’s discretion within University policy. Alternatively, HFS-Human Resources staff are available for advice as needed.

Documentation

As a general rule, supervisors should not ask for medical documentation on a routine or automatic basis (i.e. after three days absence, etc.). Documentation should only be necessary when the supervisor has a reasonable suspicion that the explanation for absence is fabricated. In those instances when documentation is requested, any paperwork listing diagnoses or other medical details must be kept in the special medical files maintained by the HFS business office staff.

Coaching

The intent of the attendance guidelines is to address problems before they necessitate disciplinary action. Therefore the following suggestions are offered:

• During the initial discussion, employees must be given every opportunity to explain the circumstances surrounding the unscheduled absences. The supervisor should ask whether there is anything the supervisor needs to be aware of regarding the tardiness/attendance problem.
• The supervisor must clarify whether there is a medical reason for the employee’s absences that may fall under the Family and Medical Leave Act. The employee does not need to request FMLA protections; it is the supervisor’s responsibility to identify situations that may be eligible under FMLA.
• It is good management practice to speak with an employee any time a pattern of absences is observed (i.e. absences next to weekends, etc.). The purpose of the coaching session is to make the employee aware that he/she has been absent or tardy in a way to draw attention and to be certain that the employee understands these guidelines and the consequences of violation.

Progressive Discipline for Unscheduled Absences

It is the responsibility of the employee’s immediate supervisor to monitor and maintain a record of the attendance of staff. If an employee has an attendance problem such as chronic tardiness, unscheduled absence or a combination of both, the problem should be discussed with the employee as soon as it is noted.

Occurrences

A consecutive 12-month rolling measurement period begins from the date of the first unscheduled absence (occurrence). Additional occurrences during the period will be subject to disciplinary action according to the following:

• 5 occurrences Verbal Warning
• 7 occurrences Written Reprimand (Warning)
• 9 occurrences Final Written Warning
• 10 occurrences Termination of Employment

Five occurrences (absences, leave earlies and tardiness combined) will be the maximum to initiate a verbal discussion between the employee and direct supervisor. Seven occurrences in the same 12-month period will initiate a written reprimand putting the employee on formal notice of violation of the attendance guidelines.

Nine occurrences in the same twelve-month period will initiate a final written warning. At this stage the employee must be notified that his or her job is in jeopardy should the pattern continue.

Ten occurrences in the same twelve-month period may result in termination of employment. Prior to termination, the supervisor must contact Human Resources to discuss the final occurrence.

No Call, No Show

The first instance of a no call/no show will minimally result in a final written warning. The second separate offense may result in termination of employment. If the employee has already been disciplined for attendance/punctuality when a no call/no show occurs, the disciplinary process may be accelerated to termination of employment.

Job Abandonment

As with any terminable issue, supervisors are expected to contact Human Resources for authorization. Typically, a certified letter will be sent to notify the employee of the action taken.

Performance Rating for Attendance

To maintain consistency, the following guidelines will be used for the annual performance rating for the attendance competency.

• 1-2 NM Has received a written reprimand for attendance
• 3-4 AE Has received a verbal warning for attendance
• 5-6 ME Up to four occurrences in a twelve month period
• 7-8 SE Up to two occurrences in a twelve month period
• 9-10 EX No occurrences in a twelve-month period

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If you are aware that an employee may be considering grievance procedures, please contact the HFS Human Resource Office. For complaint and grievance procedures, see University Policy IV.8.1. Copies may be obtained at: http://www.purdue.edu/policies/pages/human_resources/iv_8_1.html

A brief overview of the grievance procedure follows:

Exclusions

The grievance policy does not apply to temporary employees, provisional employees or biweekly student employees. These employees should raise concerns through Human Resources. Graduate students (other than 0090A12) who are also employees may file a grievance under Executive Memorandum C-19.

Grievance Definition

A complaint by an employee, alleging that s/he has been, or is being, adversely affected by a specific:
• improper application of one or more University rules, regulations, or policies; or
• improper action, inaction, or decision of any supervisor, department head, or other persons with administrative control and responsibility.

The complaint must be directed toward the University, not toward a person, and the employee must not have raised the complaint through any other University policy or procedure.

Procedures

Purdue University encourages its employees to bring their complaints to the attention of their supervisors. Employees and their supervisors are expected to make every effort to resolve differences informally. If the conflict persists, employees may use the following steps:

Step 1: The employee may submit a written complaint and relief sought to his or department head within five workdays of the last informal discussion.

The department head or designee will conduct a hearing within 10 workdays of receipt of the written complaint. At the hearing, the employee and the supervisor may each have an advisor. The department head or designee will consider the facts, hear testimony of witnesses, conduct an investigation (if necessary), and review the matter with Human Resources. The department head will provide the employee with a written decision within five workdays of the date of the hearing.

Step 2: If the employee is not satisfied with the Step 1 decision, the employee may grieve the same issues at Step 2 and may not add new issues or complaints. Any issues resolved at Step 1 will not be considered at Step 2.

The employee begins Step 2 by submitting the same written complaint to the director of Human Resources within five workdays after receiving notice of the decision at Step 1. The director of Human Resources will determine whether the complaint meets the definition of grievance and whether the time limits of the policy have been followed.

If the director of Human Resources determines that the written complaint qualifies for a Step 2 hearing, the director or designee will select a grievance review committee, who will schedule a hearing at the earliest possible date. Normally, the hearing will be scheduled within 20 workdays of the date the director of Human Resources received the employee’s written complaint at Step 2. After the conclusion of the hearing, the committee will forward a written report of its findings and recommendations to the University President. Generally, this will be accomplished within 10 workdays of the conclusion of the hearing.

After receiving the findings and recommendations of the grievance review committee, the President will render a final decision in writing to the employee and department. This will generally be accomplished within 10 workdays of the President’s receipt of the written report of the committee.

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