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Table of Contents

PURPOSE OF THIS HANDBOOK ………………………………………………………….. 4

SECTION ONE: THE SUPERVISOR’S JOB

WHAT IS A SUPERVISOR? …………………………………………………………………. 5

WHAT MAKES A GOOD SUPERVISOR? ……………………………………………….. 6

Knowledge of the Job ….. ……………………………………………………………… 6

Interpersonal Relationships …………………………………………………………………. 6

EMPLOYEE PRODUCTIVITY AND MOTIVATION ………………………………..…. 9

Productivity/Work Performance…………………………………………………………… 9

Motivation……………………………………………………………………………………. 9

Good Planning and Coordination ………………………………………………………….. 10

Enforcement of Work Hours and Good Work Habits …………………………………….. 11

Monitor Work Progress …………………………………………………………………… 11

INSUBORDINATOIN – FAILURE TO FOLLOW ORDERS ………………………….. 12

Order of Events …………………………………………………………………………... 13

Issuing a Direct Order ……………………………………………………………………. 13

PUBLIC IMAGE …………………………………………………………………….….…… 15

FACILITIES, EQUIPMENT AND SUPPLIES ……………………………..…….….……. 16

Enforce Department Policy ………………………………………………………………... 16

Review Records ………………………………………………………………….………… 16

Security and Storage, Hazardous Materials ………………………………….…………….. 16

SERVICE RATINGS …………………………………………………………..…………….. 17

Description of Job Rating Elements ………………………………………..………….…… 17

Description of Performance Levels ………………………………………..…………….…. 18

Remarks/Comments/Explanations …..................................................................................... 18

Preparation and Review ……………………………………………...…………………….. 19

When to File ……………………………………………………..………………………… 19

Consequence of “Less Than Good” Service Rating …………..…………………………… 19

Service Rating as the End Result ……………………………………………………….… 20

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Discussion with the Employee ……………………………………………………………. 20

Processing Instructions …………………………………………………………………… 21

SECTION TWO: EMPLOYEE RELATIONS

COLLECTIVE BARGAINING …………………………………………………………… 22

The Labor Contract ………………………………………………………………………. 22

Employer-Union Relationships …………………………………………………………… 22

Past Practices ……………………………………………………………………………… 23

AFFIRMATIVE ACTION, DIVERSITY AND NONDISCRIMINATION ……………. 24

Policy Commitment by the Commissioner ………………………………………………. 24

Department Policy ………………………………………………………………………… 24

Americans with Disabilities Act (ADA) …..………………………………………………. 25

Role of the Affirmative Action Office ……………………………………………………. 26

Interviewing Job Candidates ………………………………………………………………. 26

Employee Work Assignments/Relationships ……………………………………………… 27

GRIEVANCES ………………………………………………………………………………. 28

Grievance Procedure ………………………………………………………………………. 28

Preparing for the Grievance Conference ………………………………………………….. 29

Stipulated Agreements …………………………………………………………………….. 30

Approving a Grievance at Step 1 …………………………………………………………... 30

Union Representation …………………………………………………………………..….. 30

ROLE & FUNCTIONS OF THE DOT HUMAN RESOURCES OFFICE ………...... 32

EMPLOYEE ASSISTANCE PROGRAM ……………………………………….………… 34

Alcoholism/Drug Abuse ……………………………………………………………..….… 34

Supervisor’s Approach to Worker Suspected of Being under the Influence ……………… 34

EAP Counselor ……………………………………………………………………..…….. 34

First Step in Identification …………………………………………………………..……. 35

Enforcement of Policies ……………………………………………………………..…… 35

Other Problems …................................................................................................................ 36

THE STATE JOB CLASSIFICATION AND MERIT SYSTEMS ………………….…. 37

Job Classification ………………………………………………………………………… 37

Reclassification ………………………………………………………………………….. 37

Merit System ………………………………………………………………………….…... 38

Filling Vacancies ………………………………………………………………………… 38

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SAFETY ………………………………………………………………………………..…… 39

TRAINING …………………………………………………………………………….…… 40

SECTION THREE: DEPARTMENT POLICIES

PERSONNEL MEMORANDA ……………………………………………………..…….. 42

APPROVING LEAVE TIME …………………………………………………….…..…… 43

ABSENTEEISM AND TARDINESS ……………………………………………....………. 44

Absenteeism …………………………………………………………………….….……... 44

Tardiness …………………………………………………………………………..……… 44

Timesheets ………………………………………………………………………..………. 44

SICK LEAVE ………………………………………………………………………..……… 46

Sick Leave Usage Table & Policy …………………………………………………….…. 46

Calling In ……………………………………………………………………………..…… 46

Medical Certificates ……………………………………………………………………… 47

WORKERS’ COMPENSATION …………………………………………………..….…… 48

Supervisor Responsibilities …………………………………………………………..…… 48

Injured Employee Responsibilities ………………………………………………….……. 48

Need to Follow-Up ………………………………………………………………….…….. 49

Light Duty ………………………………………………………………………….……… 49

Light Duty Job Bank ……………………………………………………………….……... 49

Reporting Questionable Cases ………………………………………………….….….….. 50

Long Term Cases ………………………………………………………….………..…….. 50

OVERTIME …………………………………………………………………………….…… 51

Use of Overtime ……………………………………………………………………….….. 51

Supervisory Authority and Selection of Employees to Work …………………………….. 51

Moonlighting ……………………………………………………………………………… 52

PAYROLL AND OTHER PAYMENTS …………………………………………………. 53

CORRECTIVE ACTION, COUNSELING AND DISCIPLINE …………………….…. 55

Counseling ………………………………………………………………………………… 55

Discipline ………………………………………………………………………………… 56

Issuing Corrective Action ………………………………………………………….…….. 57

Progressive Discipline …………………………………………………………...………. 57

Fact-Finding Meeting …………………………………………………………….……… 58

JUST CAUSE ……………………………………………………………………….……… 60

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PURPOSE OF THIS HANDBOOK

CONGRATULATIONS to you on being a supervisor with the Department of Transportation.

Whether you oversee one or two other employees, or an entire Division or Unit, you have accepted a

position of status, authority and responsibility to carry out the mission of the Department.

This handbook has been written to assist you in your role as a supervisor. It is intended to help you

more fully realize the responsibility of your position and understand what is expected of you as a

supervisor. It also describes some important Departmental policies, and gives you some helpful

information about how to handle certain supervisory situations which may arise on the job.

We strongly suggest that you read through this booklet and become familiar with its contents. Keep it

close at hand on the job so that you can reference it when you need it. We hope you will find that this

booklet will help you a great deal in developing as a supervisor.

Your supervisors and managers, as well as the Office of Human Resources, are also ready resources

for you and will be glad to answer any questions you may have.

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WHAT IS A SUPERVISOR?

To be a supervisor is to accept a special assignment of trust and responsibility from the Management

of the Department of Transportation. The Management of the Department, or of any large

organization, cannot be everywhere, assigning work to all employees, and checking to make sure it is

done properly. Therefore, Management must delegate and rely on a number of supervisors to perform

this very important function. In accepting this responsibility, the supervisor becomes the critical link

between Management and its employees. The supervisor receives the policies, directives, and priorities

from the Departmental officials, and makes sure that they are carried out among the employees.

Competent and dedicated supervisors ensure a smooth, efficient, productive and well-run organization.

A supervisor in the workplace has four distinct sets of responsibilities:

The supervisor’s first duty is to represent Management and the Department. He or she, then,

is the person who is responsible for assigning and overseeing the work of subordinate

employees and leading them toward meeting the mission of the Department.

A supervisor’s second important responsibility is to organize the unit, visualize future impacts

and needs, energize the employees to get their tasks done and supervise their work, ensuring

that the productivity and quality standards are met. This means that the supervisor must be

concerned about every aspect of the employees’ work to make certain that correct policies and

procedures are followed and that the job is done properly and on time. He or she must be

aware of the employees’ work habits, judgment, attendance, punctuality, care and use of

equipment and the employees’ behavior toward supervisors, other employees, and the general

public.

A third important part of the supervisor’s job is to act as a spokesperson for the unit and/or a

liaison between the employees who perform daily tasks and the rest of the organization who

are not directly involved in the day to day duties.

Lastly, a supervisor has a responsibility to provide a positive, respectful, harassment free work

environment where employees receive validation, support and recognition. This responsibility

includes ensuring that the workplace is free of safety violations, and that his or her employees

have the training, tools and materials necessary to carry out their duties.

Although many supervisors are “working supervisors” and work side-by-side with their

subordinates, the supervisor must take care that the other employees don’t consider the supervisor

as just another “co-worker”. This can result in frustration for the supervisor, a decrease in respect

for authority and lax enforcement of policies and procedures. Supervisors must remember that

their primary role is to supervise, set a good example for work ethics and demonstrate appropriate

methods to accomplish the work.

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WHAT MAKES A GOOD SUPERVISOR?

There are some practical skills that are necessary to be considered a good supervisor. Good

supervisors are able to get the job done well, manage their employees, are well respected by their

subordinates and are admired by their peers and superiors. Supervisors who fail to apply these skills

can have difficulties with subordinates and difficulties getting the job accomplished.

In order to be a successful supervisor you should be aware of some characteristics that will help

maintain harmonious work relationships and get the work accomplished. Exhibiting these

characteristics will lead you in the right direction to success in your new assignment.

A successful supervisor:

Is organized and structured.

Is an effective listener.

Communicates well with subordinates.

Follows up with staff.

Encourages new ideas and creativity.

Maintains confidentiality.

Delegates assignments.

Leads by example.

Knowledge of the Job

A good supervisor should be familiar with the technical knowledge required for completion of the

work being performed by their subordinate employees. Specifically, the supervisor should be familiar

with the basic principles, procedures and effort it takes to complete the tasks. The supervisor must also

be aware of the problems that their subordinate employees may encounter while completing their

assignments. Equipment Supervisors should be familiar with how all the equipment in their shop

operates. By understanding the tasks that are being performed, the supervisor will be better able to

judge how well the work is being accomplished. It will also make it easier to judge how much work is

being performed and will allow the supervisor to adjust deadlines, change assignments and develop

new ideas or procedures to increase work productivity and efficiency.

Interpersonal Relationships

A supervisor is expected to interact with other State employees at various levels, local officials and

with the public as part of the job. It is very important to develop and maintain effective working

relationships for the purpose of accomplishing the Mission of the Department. Developing an

effective relationship with subordinates will be extremely beneficial as it will improve the work

environment and enhance cooperation.

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Open-mindedness, honesty, sincerity and reasonableness, are basic to the establishing of interpersonal

relationships; however, for a supervisor, certain elements are critical for establishing good work

relationships with subordinate employees:

- Sense of Fairness/Consistency – It is very important to treat all employees fairly and

equally in terms of enforcement of work rules, assignment of duties and your behavior

toward them. Any appearance of favoritism can cause disruption in the workplace. If

your employees feel they are getting a “fair shake”, they will respect you and work

well for you.

- Set the Standards – A supervisor should let their subordinates know what is expected

from them. Once the expectations are set, the supervisor should monitor consistently

to reinforce the policies and goals for quality/quantity of work. If there are any

changes to the expectations, the supervisor should advise all the employees so that they

will adjust their performance accordingly.

- Communication – Communication is essential to a well-run unit. A supervisor should

maintain regular communication with his/her employees, and their other supervisors,

and be willing to clarify assignments, departmental policies and other employment

related subjects. Supervisors need to be good listeners and open to receiving input and

ideas from subordinate employees as part of the communication process. Employees

need to know they can bring issues to the supervisor and he/she will address them and

respond.

- Sensitivity to Work Environment – A good supervisor should know his or her

employees pretty well. Changes in an employee’s work production, mood or attitude

can mean an employee is just having an “off day”, or it might indicate that the

employee is having greater issues. A supervisor should be aware that there may be a

problem so he/she can communicate with employees to determine possible adjustments

or take the appropriate action.

- Setting a Good Example – One of the best ways a supervisor can influence his/her

subordinates to do good work and follow policies and regulations is to set a good

example. Supervisors must be hard-working, take their jobs seriously, and follow

Departmental policies themselves in order to put themselves in a much better position

to expect the same of their employees.

- Taking Appropriate Action – A good supervisor will consult with his superiors and

take prompt appropriate action to resolve a work-related problem. Supervisors must

act promptly to resolve situations in their unit. The problem will not go away by itself,

it will only compound and become worse.

- Confidentiality – As a supervisor, you may be made aware of and exposed to a variety

of confidential issues and information. Some of the issues may be job related or

personal in nature. You should not reveal or discuss this information with other

subordinates unless their safety is involved. Maintaining confidence builds trust with

your employees. It is also important to refer the employees to the appropriate

resources when necessary.

- Good Record Keeping – Supervisors must be organized and keep detailed

supervisory notes and documentation of their daily activities as well as the unit’s work

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operations. Employees’ work records, attendance, discussion and interactions, unit

activity reports, etc. are all necessary to document work production and history. It may

be necessary to utilize this information to resolve a dispute regarding activities of a

certain day.

Of special importance from a supervisory and human resources perspective is the

maintenance of employee counseling and disciplinary records. A supervisor should

record any employee counseling sessions and indicate the employee involved, the date

and the general subject matter. Such supervisory notes could be very important in

subsequent grievance hearings where the supervisor is expected to specify when an

employee had been previously counseled or warned. These notes do not go into the

employee’s personnel file but should be kept in a supervisory file or notebook.

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EMPLOYEE PRODUCTIVITY AND MOTIVATION

Productivity/Work Performance

An important part of a manager’s or supervisor’s job is obtaining effective job performance from

workers. The employees in a unit look to their supervisor for direction and leadership. The supervisor

provides this by identifying performance standards and providing motivation, employee development,

evaluation, training, recognition and discipline, if necessary. The purpose of this manual is to equip

DOT supervisors with the means to effectively manage and improve employee work performance.

Supervisors are responsible for instructing employees in what is needed to meet performance

standards and comply with policy and procedures. If this is properly done and problems are

recognized and solved early, the need for disciplinary action and/or a less than good service rating for

poor performance should be reduced. Effective discipline is the result of constructive leadership

exercised within the framework of clear and consistent policies and direction. It is inseparable from

other aspects of supervision and employee relations.

Handling performance issues well is a matter of using good judgment and common sense within the

context of DOT policies and work rules, State Regulations, accepted labor relations practices and

collective bargaining agreements. The information that follows is meant to inform the DOT

supervisor in procedures for improving and/or correcting employee performance through various

aspects of performance management, as well as the application of the concept of “Progressive

Discipline.”

At the onset, supervisors should communicate the concept that satisfactory performance is a minimal

expectation. Techniques of non-disciplinary action as well as progressive discipline should be used to

promptly address performance deficiencies or incidents of misconduct. If working violations or

performance issues are left unchecked, problems may escalate and become more difficult to handle. In

addition, the solution will probably be more difficult and time consuming to administer. The

supervisor should address all issues at the earliest possible step using the primary tools outlined in the

non-disciplinary section in this manual. If unsuccessful or repeated, then the progressive discipline

process described in this manual should be used.

Motivation

The first thing a supervisor can do to keep the productivity of your employees high is to motivate them

to be engaged in their work. If you can keep your employees excited about their work you can tap into

a very powerful resource that will serve you, the employees and the Department extremely well. You

can do this by being a good, fair and consistent supervisor, and by setting a good example. Employees

will work much better for a supervisor whom they perceive to be working hard. Also, be positive

about the job and the service your unit is performing for the general public. Some examples of ways

to instill pride in your unit are:

Announcing and sharing unit accomplishments with individual unit members to give them all

a feeling of belonging. Include the unit manager when possible.

Give the employees a sense of responsibility for their individual jobs and for their unit’s

function.

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Develop a good team spirit with your unit employees.

Present positive challenges or perhaps new responsibilities within their job specifications so

that the job does not become boring.

Ensure employees know the responsibilities for the whole job, not just small different parts of

the job.

Give credit where credit is due. If one of your employees does something special give him/her

some individual praise and recognition, possibly in front of the whole unit, to let the employee

and the rest of the unit know that you appreciate an extra special effort and accomplishment.

Encourage employees to work hard for possible promotional opportunity.

Seek advice from your employees about a particular problem at work or ask for their input on

how to perform a work operation better. This will give them a sense of participation and

feeling of worth and will make them personally committed to successfully resolving the

problem or improving the operation.

Try to get to know each of your employees individually and understand what it takes to motivate them

on the job. If you can do that, you will not only make the employees more productive, you will also

help them enjoy the job more and be happier, more satisfied employees.

Things like challenge, recognition, appreciation, advancement opportunity, a sense of belonging and

worth, responsibility, and a sense of influence or participation are much more effective in motivating

employees to do good work than just more money, because they fulfill professional goals.

The objective of a good supervisor is to maximize the efficiency and effectiveness of your work unit.

You must foster a work environment that respects and values all employees and encourages your

whole team to work toward the goal of meeting the Department’s mission. This can only be achieved

if you share information about our work and your expectations, commit to identifying problems and

resolving them early, share in the responsibility and accountability of your unit’s achievements, work

together to improve deficiencies and, most importantly, embrace open communication and

constructive feedback to enhance employee morale and job satisfaction.

Good Planning and Coordination

Another way you can improve productivity is to plan and coordinate your employees’ work

assignments properly. Make sure your employees have the necessary equipment, materials and

supplies on hand to do their job and that the equipment is functioning properly. Synchronize the

various parts of the job properly to avoid situations where employees are sitting or standing around

waiting for something else to happen. Have contingency plans so that if a problem develops you don’t

get stuck and if something does go wrong with the scheduled project employees can be reassigned to

some meaningful work. Avoid “make work” projects as much as possible. Know when your most

busy and least busy periods are, so that you can schedule your work accordingly. Poor planning and

lack of foresight causes wasted time, money and supplies and will contribute to employee frustration.

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Enforcement of Work Hours and Good Work Habits

Additional things which supervisors should do are to enforce the work hours, keep employees actively

engaged, make periodic field inspections, and discourage “goofing off”. Although many employees

will respond positively to good motivation efforts, and will appreciate good supervisory planning, a

few may take advantage of a lax supervisor or a remote work situation to reduce their activities.

Make sure that your employees adhere to the hours of work; start, end, lunch periods and breaks. You

may have a variety of schedules in your work unit and it is your responsibility to monitor the

schedules for accuracy in time reporting and consistency in adhering to schedules. You may have to

remind employees of your expectations regarding their work time and productivity. If there is a

problem and they do not improve, a more formal counseling and progressive discipline may be

necessary.

Monitor Work Performance

If you have field employees, ensure that you perform field visits to give the employees a greater sense

of responsibility that will also provide an excellent opportunity to instantly discuss the job’s progress

on site and any problems which may have arisen. You must also monitor your employee’s travel time

and mileage to ensure that the time and amounts are properly reflected on the documentation and

timesheets.

In summary, you are a supervisor and it is your job to see that employees do their jobs well.

Employee productivity should be of prime concern to you, because you are responsible for the work

output of your employees and your unit. Take this responsibility very seriously.

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INSUBORDINATION – FAILURE TO FOLLOW ORDERS

Supervisors ordinarily do not have to issue “direct orders”, “directives” or “commands” to have

employees perform their work. Employees will usually perform their everyday work tasks at the

request of the supervisor and respond willingly to any special supervisory requests to perform a certain

task or accomplish a particular piece of work. However, once in a while an employee, for one reason

or another, may be reluctant to do what he or she is told and may defy the supervisor and just refuse to

follow the supervisor’s orders.

Assuming that the supervisor’s orders to the employee are reasonable, proper, safe and work-related,

an employee has the obligation to follow the supervisor’s directions. When the employee refuses that

is considered a failure to follow a directive and it constitutes grounds for disciplinary action against

the employee.

As a supervisor, you have the right to give reasonable, work-related directives to your employees and

they must obey them. If they do not, you must enforce your own orders and issue a direct order.

Failure to follow a direct order is a serious form of employee misconduct. As such, it must be stated

that refusal to carry out a direct order may result in dismissal. A direct order should not be given

unless dismissal is definitely being considered and the infraction constitutes a dismissible offense.

In order for a direct order to be issued, the following conditions must be met:

1. The direct order must be clearly communicated by a supervisor.

2. The direct order must be given by an individual with the authority to give such an order.

3. The ordered employee must be, or clearly should be, aware that the supervisor giving the order

has the authority to do so.

4. The direct order cannot subject the employee to an unsafe or unhealthy condition beyond that

which would normally be expected. Some employees may refuse your direct order, stating

that what you are ordering them to do is “unsafe”.

In such a case, you should review the piece of equipment or work operation to see if it really is

unsafe. Consult with your supervisor and the DOT Safety Division, if necessary. If it turns

out that the situation really is unsafe, then obviously do not enforce your order. But if it is

determined that the situation is actually safe and the employee still disagrees with you, then

issue your “direct order”.

5. The direct order cannot require the employee to commit an illegal act; or be unrelated to the

orderly, efficient, and safe operation of the Agency’s business.

6. Prior to issuing the direct order, the employee must have clearly refused to carry out the

directive/instruction or order.

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Order of Events

The following represents the sequence of events associated with the issuance of a direct order:

1. An employee refuses to perform task or directive/instruction.

2. The supervisor questions employee to determine reason(s) for refusal.

3. The supervisor evaluates the situation and the validity of the directive. If the employee’s basis

for refusal is unacceptable or does not outweigh the need to perform the task, the supervisor

again directs the employee to carry out the order. If possible this order should be done in front

of a witness, typically another supervisor.

4. The employee is again asked to perform the task.

5. If the employee again refuses, the supervisor initiates the following steps:

a. Issues a direct order to the employee with another supervisory/management witness if

possible.

b. Warns the employee that refusal to carry out the order is grounds for disciplinary

action up to and including dismissal.

c. Once again, orders employee to perform task.

d. Follow-up to determine if task has actually been performed.

Issuing a Direct Order

A supervisor, prior to charging an employee with refusing to follow a direct order, must make the

following statements:

Statement A: I have given you a direct order. Failure to carry out this order will be

considered refusal to follow a direct order.

Statement B: You are hereby warned that failure to carry out this order is grounds

for disciplinary action up to and including dismissal.

Statement C: Following Statement “A” and “B”, the employee is again ordered to

perform the task or direction.

It is very important that you say the exact words outlined above, that you specifically say the words

“direct order” and that you advise of “disciplinary action” if the order is not followed. In some cases,

where such words are not specifically mentioned, the employee may infer some choice in performing

the task. Saying the exact words above should leave no doubt in the employee’s mind as to what your

intentions are in giving the order.

When an employee has been duly ordered and still refuses to perform the task: The supervisor advises

his superior and Human Resources and the employee is relieved of duty by the supervisor. The

supervisor should immediately write up a summary of the incident and confer with appropriate

administrative staff. A fact-finding investigation will then be conducted with the employee’s union

representative the next day to assess the merits of the charge.

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When giving the employee a direct order, never say to an employee, “do it or go home”. In past cases

where a supervisor stated this to an employee, the employee stated he thought he had a choice in the

matter and so elected the latter “option” of going home instead of following the order.

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PUBLIC IMAGE

State employees have an obligation to project a good image to the general public. Our salaries, fringe

benefits, equipment, materials, facilities and utilities are all paid for with public tax money.

We, in this Department, have occasion to deal with the public on many different fronts: maintenance

people working on the highways, engineers dealing with contractors, rights of way agents dealing with

property owners, transport personnel dealing with passengers and vendors, planners dealing with

townspeople, attorneys and clerical workers dealing with the public, to name a few. Each one of us,

by our behavior and the manner in which we do our job, makes an impression on the public, whether

good or bad, which reflects back on all DOT employees as a whole.

You, as a supervisor, have an obligation to ensure that your subordinate employees project a good,

efficient, courteous, positive public image to those with whom they deal with in their everyday work.

You must make your employees conscious of this need to create and then maintain a good positive

image, and take corrective action, in the form of counseling or discipline, when it is necessary. You

must also be very conscious to set a good example yourself. Your employees will be much more

likely to be courteous, helpful and positive in their jobs if they know that you are this way yourself.

The following examples represent observations that could lead to negative impressions but can be

avoided: a group of Maintainers sitting by a busy road waiting for a needed piece of equipment or

materials to arrive or a Clerk in a busy public office reading a newspaper on his/her rest break. The

public or coworkers will observe the employees as being unproductive and complain that their tax

dollars are being “wasted”. Be conscious of appearances and avoid having your employees act in a

manner which gives a negative or false impression.

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FACILITIES, EQUIPMENT AND SUPPLIES

This Department has millions of dollars-worth of assets including facilities, equipment and supplies

that are used every day by employees to carry on the work of the Department. It is the responsibility

of each employee to make sure that the materials and equipment assigned to him or her are used and

cared for properly.

Enforce Department Policy

The use of State time, equipment, materials and supplies for personal or private business, or other non-

State purposes is strictly prohibited (see Personnel Memorandum 96-2, “Employees Responsibilities

Regarding Usage of State Time, Equipment, Supplies and Materials”). This policy must be strictly

enforced. Investigate thoroughly any complaints of malicious, reckless, negligent, improper use, or

theft of equipment or supplies. When confronted with such situations, consult with your supervisors

and hold fact-findings.

Review Records

Make sure that proper records are kept of equipment and supplies, purchases and usage by your

employees, and review these records periodically. Regular review and comparison of records gives

you the opportunity to identify potential areas where efficiencies can be achieved and take whatever

corrective action is necessary.

Security and Storage, Hazardous Materials

Proper maintenance and security of equipment and supplies is also very important to maximize

possible use of these items. Store supplies properly so that they do not deteriorate or become damaged

and useless, lock buildings and stored items to ensure security of them.

Following safety protocols make sure that any hazardous substances are properly stored, secured and

labeled to prevent injury to employees and the general public. Ensure that employees who must work

with or handle these substances are trained in their proper use and that they use the proper safety

methods and protective gear. If any of the hazardous substances leak out or are spilled accidentally,

contact your supervisors and the DOT Safety Division immediately. They will assist you in the proper

response procedures.

In summary, you, as a supervisor, have a responsibility to oversee the use of State time, equipment,

facilities, materials and supplies to ensure such proper usage.

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SERVICE RATINGS

Personnel Memorandum number 2006-3 “Service Rating Instructions and Processing Procedures” is

updated and reissued regularly and should be reviewed in conjunction with this section.

A service rating is a written evaluation by supervisors of an employee’s productivity, work habits, and

general behavior on the job over a particular period of time. It is a statement of the employee’s

performance; how well he or she is doing the job. It is a very important document because it is a

written summary of the employee’s successes, problems, or failures on the job over time.

Description of Job Rating Elements

Traditionally, service ratings have been forms designed to record supervisory evaluations in a number

of different job elements or rating categories. These elements and the format of the service ratings

may vary from bargaining unit to bargaining unit. The more common rating elements are described

below:

- Quality of Work – measures the accuracy or completeness of the employee’s work. If

the work is high quality, with very few or no corrections required, then the employee

should be given a high rating in this area. But if the employee’s work is below

standard, filled with errors, or incomplete, then the employee should be given a lower

rating and cite examples.

- Quantity of Work – measures volume of work, how much work the employee does

and how quickly he or she works. Quality and Quantity of Work are both measures of

the employee’s productivity, how much accurate work actually gets accomplished.

- Dependability – measures how reliable or dependable the employee is, how much

supervision the employee needs to perform tasks, whether or not the employee can be

left alone to do a job well, or whether he or she needs continuous instruction and

direction from the supervisor; whether or not the employee begins another task on

his/her own, or waits to be assigned more work. Dependability includes attendance

unless the form has a separate “Attendance” section or “Other Elements” section under

which attendance is listed.

- Attendance – evaluates how well the employee conforms to the work schedule and

whether or not he or she comes to work as expected/scheduled. Punctuality/tardiness,

use of sick leave and leave without pay, and the employee’s record for reporting for

mandatory overtime work should be considered. The Department has established a

policy on use of sick leave and how abuse or excessive use can affect the element of

Attendance on the service rating (Review the section of this handbook entitled “Sick

Leave” and Personnel Memorandum 81-4 “Medical Leave – Use and Documentation”

and the appropriate bargaining unit contact for more on this subject). An employee

may perform well when he/she is at work – but if the employee is absent frequently,

then he/she is not producing as much as he or she could or should.

- Ability to Deal with People – measures how well the employee gets along with co-

workers, supervisors, and the general public. An employee may do his or her own

individual job well – but if the employee is disruptive, or is rude to co-workers or the

general public, then the employee should be given a lower rating. Courteous,

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professional and cooperative behavior should be recognized with high ratings in this

element.

- Supervisory Ability – should be used only to rate employees who actually supervise

other employees. This element measures how successful a supervisor is, whether or

not he/she is aware of and follows department policies, how effective he/she is in

dealing with subordinate employees and how much productivity comes out of his/her

unit.

Description of Performance Levels

In rating the employee, the supervisor is expected to evaluate the employee in each of the above job

elements. The supervisor may rate each job element in varying levels of performance ranging from

outstanding to unacceptable. Generally there are four levels of performance: Excellent, Satisfactory or

Good, Fair and Unsatisfactory. The service rating forms for some bargaining units have a fifth level

of Very Good or Superior, inserted between Excellent and Satisfactory/Good. A “Less than Good”

rating in any category is considered to be the levels of Fair and Unsatisfactory. The five levels of

performance are briefly described below.

- Excellent – Exceptional work performance, exceeds standards and expectations

consistently, little or no room for improvement. This is a very difficult standard to

meet and requires comments.

- Very Good or Superior – Performs significantly above the norm and expectations.

Some rating forms have a “Good” category in the same place normally used for Very

Good or Superior.

- Satisfactory or Good – This category denotes consistent and competent performance

that meets but does not exceed established standards. It is the appropriate category to

document that an employee exhibits good work habits and complies with relevant

work rules, policies and procedures.

- Fair – Poor, performs below what is expected, below standards, below average,

requires improvement. Employees should have been counseled during the rating

period and/or may have been disciplined prior to receiving a Fair rating.

- Unsatisfactory – Unacceptable, below minimum acceptable standards performs very

poorly, requires immediate and substantial improvement, job is in jeopardy. Employee

should have been disciplined prior to receiving an Unsatisfactory. Performance may

also be considered unsatisfactory if the prior service rating category was marked Poor,

no improvement occurred and more deficiencies were observed during the rating

period. Documentation of deficiencies, counseling and/or discipline must be included

and discussed with the employee when issuing an unsatisfactory rating.

Remarks/Comments/Explanations

Supervisors are required to explain any rating of Excellent, Fair or Unsatisfactory on the service rating

form. Such explanations should cite specific examples, be constructive in nature and must be

consistent with the rating given.

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In documenting Fair or Unsatisfactory ratings, be sure to specify any counselings (with dates), and

include any discipline (written warnings, suspensions, etc.), issued during the service rating period.

Preparation and Review

The supervisor has a very important responsibility in preparing service ratings properly and timely. In

conjunction with the rating preparation process, supervisors should consult pertinent policies such as

Personnel Memorandum 81-4 “Medical Leave – Use and Documentation” and 2006-3 “Service Rating

Instructions and Processing Procedures”.

Service ratings become a permanent part of an employee’s personnel file. Satisfactory or better

ratings are required for an employee to be promoted and may be reviewed as part of the interview and

selection process. It is therefore important that service ratings are prepared carefully and thoughtfully.

In some cases ratings may be considered void if not issued timely. Therefore, it is imperative to be

cognizant of deadlines and complete the rating and approval process in a timely manner.

The supervisor most familiar with the employee’s work prepares the rating. If an employee transfers

during the rating, both the prior and current supervisors should collaborate to prepare a joint rating.

The higher level manager or supervisor reviews the service ratings submitted by subordinate

supervisors to ensure that they are complete, well documented, accurate and that subordinate

supervisors are using the same general guidelines to rate their employees. The Human Resources

liaison should also be consulted to ensure all discipline and accurate attendance is reflected on the

rating. The overall rating must be consistent with the job element ratings.

When to File

Service ratings are filed at different points during an employee’s career; for the initial working test

period, annually thereafter, for any promotional working test period, or at any other time at which the

Department deems it necessary. Human Resources must be consulted when supervisors are

considering issuing an interim rating.

Consequences of “Less Than Good” Service Ratings

The definition of an overall “fair” rating differs by bargaining unit and appropriate contracts should be

reviewed as needed. Generally, an overall “fair” service rating is one in which the employee is rated

“fair” in two or more job elements, although some contracts state that two or more “fairs” is an overall

“unsatisfactory”. A “fair” rating in only one job element may be considered an overall satisfactory but

still indicates there is an area which requires improvement.

An overall “unsatisfactory” rating, is one in which the employee has been rated “unsatisfactory” in one

or more elements. Both the overall “fair” and the overall “unsatisfactory” ratings are considered to be

“less-than-good” service ratings. An “unsatisfactory” service rating usually precludes the normally

scheduled annual increment (step raise), and the lump sum in some contracts, as long as the rating is

issued timely; at least three months prior to the scheduled annual increment date (January 1 or July 1).

It may be appropriate to issue an amended rating if the employee shows significant improvement

during the three month period prior to the scheduled annual increment date. If the amended rating is an

overall “satisfactory/good” or better, the annual increment raise will be restored.

An overall “fair” rating on the initial or promotional working test period may result in an extension of

the working test period. An “unsatisfactory” working test period rating results in failure of the

working test period. For a new employee on an initial working test period, this means loss of job. For

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a permanent employee on a promotional working test period, this means loss of promotion, and return

to the former job title and pay. Two consecutive “unsatisfactory” service ratings filed within two

years of each other is grounds for dismissal from State service

Service Rating as the End Result

Throughout the rating period, it is the supervisor’s responsibility to bring any job performance issues

to the employee’s attention, tell the employee what is expected and how to improve, give the

employee a chance to improve, and provide counseling or other corrective action as necessary. A

“fair” or “unsatisfactory” service rating should not come as a surprise to the employee – he or she

should be able to expect it, based on communication with the supervisor during the course of the rating

period. If the supervisor has provided the employee with counseling and progressive discipline during

the rating period, and has documented these corrective actions, then the Agency should prevail in any

grievance filed on the service rating. It is imperative to prepare for the issuance of a service rating

throughout the entire rating period.

Discipline and poor work performance occurring during the course of the year must be reflected in the

employee’s service rating. However, one minor isolated incident for which the employee was

disciplined during the course of the year, especially if it occurred in the beginning of the rating period

and has not recurred since, may not result in an overall “fair” or “unsatisfactory”. Although the

incident should be referenced in the “remarks” space on the service rating, if the remainder of the

employee’s work performance during the year was good, the employee should not be penalized with a

“less than good” rating for one minor mistake. If the employee has made a series or a pattern of

infractions for which counseling or discipline was issued, then a “fair” or “unsatisfactory” rating may

be more appropriate. If the one incident was particularly egregious and/or serious and resulted in a

significant disciplinary action, it solely may be grounds for a “fair” or “unsatisfactory” rating.

A significant improvement in an employee’s work performance can sometimes mitigate or improve

the “fair” or “unsatisfactory” rating that would otherwise be given. If an employee had an

unacceptable work or attendance record during the first part of the rating period but has responded

positively and significantly to the counseling and progressive discipline that was provided, the rating

should recognize the employee’s drastic improvement. The “remarks” must explain the reason for the

satisfactory or better rating even though there was discipline in the rating period. Preparing the service

rating in this way should encourage the employee to continue to improve and help the employee

understand that the consequence of regressing back to prior unacceptable performance is subsequent

issuance of a “less than good” rating.

Discussion with the Employee

It is the responsibility of the designated rating supervisor to discuss the service rating with the

employee in an open, honest conversation about the employee’s work and resulting service ratings.

The supervisor should be able to explain the rating to the employee, citing reasons why the employee

received the rating he or she did, and offer recommendations or suggestions for improvement, as

appropriate. Since this discussion is not disciplinary in nature there is no obligation to notify the

employee of any right to union representation. However, if the employee wishes to have a union

representative present, it should be allowed. The employee must sign the service rating in the space

provided as confirmation that it has been discussed with him or her. If the employee refuses to sign, a

union steward may sign on the employee’s behalf. If a union steward is not available in a reasonable

amount of time or refuses to sign, a manager or another supervisor may sign as witness to the

employee receiving the rating and refusing to sign it. Some labor contracts require the employee to be

given a copy of the service rating at the time of the discussion and signing by the employee.

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Processing Instructions

The procedure for processing service ratings after they have been prepared in the work unit varies

depending on whether they are Good, Fair, or Unsatisfactory, and depending on whether they involve

a working test period or not. Personnel Memorandum 2006-3, “Service Rating Instructions and

Processing Procedures”, is updated regularly. Additionally, an “Annual Service Ratings” memo is

issued to managers and supervisors semi-annually to provide due dates and direction regarding the

preparation of the annual service ratings.

Questions regarding service rating processing may be directed to your DOT Human Resources

Liaison.

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COLLECTIVE BARGAINING

The Labor Contract

Most employees are members of formalized labor unions. It is important for you as a supervisor to

understand the basic concepts behind collective bargaining so that you can understand and deal with

labor contract issues better.

Collective Bargaining is a process whereby employees performing the work that has an identifiable

community of interest band together in a Bargaining Unit, elect a union or association to represent

them, and then negotiate wages, hours, working conditions, and a number of other important job

related items. When the negotiating process is completed, all items agreed to between the Union and

Management are written up as Articles and formed into a Labor Contract.

It is important for you as a supervisor to realize that just as Management has certain rights, so do your

employees under their labor contract. The employer/employee work relationship is not a unilateral,

one-sided arrangement in which Management and the supervisors can do whatever they want. It is a

bi-lateral, two-sided relationship in which Management and the Union both have rights.

You, as a supervisor, should be basically familiar with the labor contract for employees under your

supervision, so that you can understand what these employees’ rights are and what your rights and

restrictions as a supervisor may be. Read through the entire contract at least once, and then re-read

those Articles in the Contract which pertain to your work operations. If you are unsure as to what a

particular Article or Section means, consult with your supervisor, the HR Labor Relations unit, or your

DOT Human Resources Liaison for assistance.

As a supervisor, you are a representative of Management, even though you may be in a bargaining unit

yourself. You have an obligation to follow and enforce Management’s policies and be concerned

about the work that your employees are performing. Therefore, in matters of labor contract

interpretation, be sure to seek Management’s interpretation on the subject, and do not turn exclusively

to the Union for their interpretation and follow their advice.

Employer-Union Relationships

As much as possible, you should treat Union Representatives with dignity and respect. When your

subordinate employee, who is also a Union Steward, is acting in his or her capacity as a Union

Steward, you should treat him or her as a peer. Remember that the Union is the second party to the

labor contract agreement and has an equal status with Management in the contract. Just as you expect

and deserve respect and civil treatment as a supervisor representing Management, the Union Steward

or Union Staff Representative expects and deserves the same thing.

This does not mean, of course, that you have to agree with the Union Representative or accept

everything he or she says or does. But it does mean that even if there is disagreement, the interaction

should be professional.

It is in the best interest of the overall work environment to establish and maintain as good a

relationship with the Union as is possible. Good and communicative labor management opens

opportunity to resolve minor labor problems before they mushroom into big problems and grievances.

Otherwise, there is potential for little problems to become grievances and morale could deteriorate.

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Many times problems are misunderstandings on one person’s part about what the person’s intentions

are, and can be cleared up. Other times, the problems run deeper and are more difficult to resolve.

If the Union Steward or the Staff Representative is disrespectful, disruptive or hostile, you do have the

right to terminate the meeting and seek assistance or advice from your Managers, HR Labor Relations

unit and/or Human Resources Liaison.

Past Practices

Continuous and repetitive behavior constitutes what is termed a “practice”. It is important that you

follow Department policy and the contract as written to ensure we are consistent in our application of

work rules and do not create an undesirable practice.

It is important that you do not allow your employees to have some greater benefit than is described in

policy or the Labor Contract. Lax supervision, or supervisors who sympathize with the Union, or who

just didn’t seek clarification on a subject, allow employees to develop a practice or routine which may

provide the employees with a benefit that was never discussed or negotiated for, or granted under the

Labor Contract. This may create a “past practice”, which eventually develops into a procedural

“right” which the employees expect to continue. If this occurs and then Management tries to stop the

past practice, the employees can object and there may be a labor dispute.

As a supervisor, you should be familiar with the rights and benefits as provided in the labor contract.

Do not expand upon them, or allow any past practice benefits to develop. If you are not sure how to

interpret the labor contract, or are not sure whether you would be starting a past practice by taking a

certain action, you should contact your Managers or your DOT Human Resources Liaison. Likewise,

if you feel a past practice already exists, and you wish to stop it, contact your Managers or Human

Resources Liaison before you take any action to stop the practice. Human Resources will advise you

how to proceed.

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AFFIRMATIVE ACTION, DIVERSITY AND NONDISCRIMINATION

As a supervisor in this Department, you have a responsibility to be aware of, and follow, the

Department’s policies concerning Affirmative Action, prevent sexual harassment in your unit, and

create an environment that has respect for the diversity, talents and ideas of all your employees.

Supervisors should never allow the use of racial or ethnic slurs, or sexual remarks in the workplace.

Seemingly harmless remarks or “jokes” may be offensive to those who hear them and may be

interpreted as signs of underlying hostility and discrimination resulting in conflict, poor morale, and

low productivity. You must take your responsibilities seriously and positively to further the

Department’s Affirmative Action goals and make your unit a more productive and enjoyable place to

work. You should be aware that as a supervisor, if you fail to take action to correct or prevent

discrimination or sexual harassment in your unit, you can be held liable for such acts, even though it is

your employees and not you personally who are committing the offending acts.

Policy Commitment by the Commissioner

The Commissioner of the Connecticut Department of Transportation has stated that he pledges his full

support to the principles of equal employment opportunity and affirmative action. He assumes full

responsibility for ensuring that all programs, employment, and promotional opportunities within the

Department will be conducted in a non-discriminatory manner and will be consistent with the program

goals and timetables established in our Affirmative Action Plan. He also expects the full cooperation

of every member of the Department in implementing this policy and in sharing in the responsibility of

meeting the immediate and necessary Agency objectives of affirmative action and equal employment

opportunity.

Department Policy

All supervisory personnel are expected to carry out their affirmative action responsibilities with the

same vigor and effectiveness as all of their other responsibilities. The Department is committed to

promoting diversity in our workforce and achieving utilization of protected class employees

throughout the Department. Refer to the Affirmative Action Policy (Policy No. EX.O.-3).

It is the policy of the Department to implement the principles of equal employment opportunity and

affirmative action by providing employment and advancement opportunities for all current and

prospective employees solely on the basis of ability and job related skills. The principle of equal

employment opportunity applies to all aspects of the employer/employee relationship including, but

not limited to, advertising, recruitment, hiring, training, reclassification, promotion, benefits,

compensation, discipline, termination, layoff and terms and conditions of employment.

Equal employment opportunity is employment without consideration of the individual’s protected

class status such as their race, color, sex or national origin, etc. It is also the policy of the Department

that no person shall be discriminated against, be excluded from, or be denied the benefits of

participation in any program or activity for which Federal financial assistance is received.

Additionally, the Department of Transportation recognizes that sexual harassment is a form of sex

discrimination. Unwelcomed sexual advances, requests for sexual favors, or other types of verbal or

physical conduct which are used as conditions of employment decisions or which create an

intimidating, hostile or offensive working environment, will not be tolerated. The Office of Equal

Opportunity and Diversity (OEOD) conducts sexual harassment prevention training which is

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mandated for all new supervisors. If you have not attended, or been scheduled to attend this training,

contact the Center for Training and Staff Development.

It is the Department’s policy that all employees, volunteers, contractors, subcontractors, vendors,

visitors, parties, and others have a right to work and be in an environment free of discrimination,

which includes sexual harassment. Sexual harassment undermines the integrity of the workplace and

the personal dignity of the individual and will not be tolerated. For additional information refer to the

Department’s, “Sexual Harassment Prevention Policy and Reporting Procedure”, (Policy No. EX.O.-

4).

These policies are based on State and Federal Statutes and Executive Orders and Affirmative Action,

as defined in Federal and State law and governmental regulations. It is the intention of this

Department to adhere to both the letter and the spirit of these laws and regulations. The Department’s

Affirmative Action Plans provide the framework within which the Department and its managerial and

supervisory personnel will establish, work to meet, measure and evaluate appropriate Affirmative

Action goals. As a public document, the Department’s Affirmative Action Plans are available for

review by Department employees, candidates for employment and the general public.

No employee shall be coerced, intimidated or retaliated against by the Agency or any person for

exercising his/her rights under the Affirmative Action Policy. However, if an employee knowingly

makes a false accusation under the EEO/Affirmative Action Policy, he/she will be subject to

appropriate disciplinary action, up to and including termination.

Americans with Disabilities Act (ADA)

The Americans with Disabilities Act (ADA) is a Federal law which protects persons with disabilities

in the areas of employment, public accommodations, state and local government services,

telecommunications and transportation. It is the policy of the Department not to discriminate against

qualified individuals with disabilities in any of its employment practices, programs, services, or

activities, and accordingly, to comply with the Americans with Disabilities Act of 1990, as amended,

and Connecticut General Statutes Section 46a-60.

Title I of the ADA is intended to prohibit employers from discriminating against a qualified person

with a disability, if that person can perform the essential functions of the job, with or without a

reasonable accommodation. Please refer to DOT Policy Statement No. EX.O.-17 regarding ADA for

more detailed information and procedures regarding requests made under the ADA.

Under the ADA, a qualified person with a disability is one who possesses the necessary prerequisites

for the job such as education, work experience, skills, etc. Prior to conducting interviews the

supervisor must identify the essential functions of the specific position being filled. Essential

functions are those activities and tasks that are primary to the performance of the job.

If the employee becomes disabled and can no longer perform the duties of his/her job, the supervisor

must enter into an interactive process to determine what, if any, accommodation(s) can be made. The

interactive process is with the employee and the Department acting in good faith to identify the precise

limitations resulting from the disability and potential reasonable accommodations that could overcome

those limitations. Supervisors and managers are not to request medical documentation or ask about

the nature of the disability; they may only ask what the employee is requesting as an accommodation.

The Supervisor may consider redistributing the marginal tasks to another employee, acquiring or

modifying equipment or devices, or changing the work hours as reasonable accommodations under

ADA. A reasonable accommodation is a modification to a job, the work environment, or the way a

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job is done that will enable a qualified person with a disability to perform the essential functions of the

job. Reasonable accommodation does not require eliminating an essential job function.

While a person with a disability must show that he or she is qualified to perform the essential

functions of a job, the supervisor may have to prove that a job function is really essential to the

position which the person holds or desires. The supervisor’s judgment, the State classification

specification (refer to the “Job Classification” section) and a written job description constitute the

basis for such proof. The DOT Office of Human Resources has developed a special job description

form to assist supervisors in identifying the essential functions of a position. The position description

should be included in the advertising and/or interview process so that candidates are aware of the job

requirements. The description will remain valid for that position (or group of positions) until the

essential duties have changed.

Role of the Affirmative Action Office

The Department of Transportation maintains and staffs the Office of Equal Opportunity and Diversity

(commonly known as the Affirmative Action Office). Its many responsibilities include the

development of the Department’s Affirmative Action plans, career and employee rights counseling,

processing and investigation of all discrimination complaints, and assisting managers and supervisors

with affirmative action and discrimination related issues. Any questions or complaints pertinent to

affirmative action and equal employment opportunities should be referred to the Office of Equal

Opportunity and Diversity.

Interviewing Job Candidates

As a supervisor and representative of the Department, you are entrusted with making employment

related decisions that are in compliance with all State and Federal laws. These decisions begin with

the application and interview process. Therefore, one of your most important responsibilities will be

to interview candidates in a fair, consistent and lawful manner. Regardless of the type of job you are

seeking to fill, whether it is for entry level, promotion or transfer, there are a few general principles to

follow when conducting interviews:

Follow a structured interview plan to ensure fairness and consistency throughout the interview

process.

Identify the essential elements of the job (Essential Job Function(s) Descriptions form).

Coordinate development of the opening statement and interview questions that are job related

with Human Resources. Interview questions should be “Behavioral based” to the maximum

extent possible, such as, “Describe a project you …”

Notify the Office of Equal Opportunity and Diversity and Human Resources in advance of the

interviews. Human Resources and OEOD monitor/observe the process.

Conduct the interviews in the same manner for every candidate. Follow-up questions are

permitted to clarify a response, but not to probe or lead the candidate.

Write each candidate’s actual responses/answers to the questions rather than evaluating the

response.

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Do not discuss the candidates or their answers during the interview process.

After all the interviews are completed, evaluate and rank the candidates independently. Once

the panel has independently ranked their top choice(s), they should share their selections and

discuss the reasons for the selections. If there is a disagreement on the ranking, the panel

should discuss the reasoning for the ranking and then negotiate to determine a consensus of

the top candidates(s). This process must be documented.

Complete the Interview Report. Your HR liaison is available to assist with this process.

For additional information refer to the Department’s, “Guidelines for Interview Scheduling and

Selection, Determining the Best Qualified Candidate for the Position” and Personnel Memorandum

No. 2005-4, “Interview Report”.

Employee Work Assignments/Relationships

In an agency the size of the Department of Transportation, it is not unusual to employ more than one

member of a family. Although the Department does not have a blanket policy prohibiting the

employment of family members, supervisors should be aware of the Department’s policy concerning

employees whose job duties involve their interaction with other employees with whom they have a

personal, marital, family, or business relationship. The Department has two policies, “Employment of

Relatives” (No. EX.O.-26) and “Employee Work Assignment” (Personnel Memorandum 2006-2) to

avoid hiring, transferring, or promoting relatives of employees into situations where the possibility of,

or appearance of, favoritism or conflicts of interest might exist.

Any such situations or allegations of favoritism due to the relationships cited above should be brought

to the attention of your manager and Human Resources to be reviewed in light of both the

circumstances and the potential conflicts of interest in each individual case. This review will

determine whether corrective action, which may include transfer to another work assignment and/or

location, should be implemented.

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GRIEVANCES

Most labor contracts define a grievance as a written complaint filed individually or by a group of

employees that alleges a violation or dispute involving the application or interpretation of a specific

provision of the Contract. Some examples of alleged violations or disputes that would lead to a

grievance might be: when an employee receives an unsatisfactory service rating that he/she believes

wasn’t deserved; or when someone, or a group of people, feel that they were treated unfairly by their

supervisor; or when an employee believes he/she is working at a higher level without appropriate

compensation; or when an employee receives discipline and does not believe there was just cause for it

(See Section 4 for more on Just Cause). Sometimes a situation or change in the work environment

occurs, such as the implementation of a new procedure or policy, and a group of employees, or the

union without any employees, file what is called an Institutional grievance against the supervisor,

manager or the agency claiming that the terms of the contract or a past practice were changed without

first bargaining with the union.

Grievances may arise over a variety of issues but they all must be related to the contract. On the

grievance form itself the Union must indicate the facts, the issue(s), what specific contract article(s)

they are alleging was violated, the date of the alleged violation, and the remedy sought. Union

contracts also allow an employee to submit a grievance without Union representation, but the union

representative or steward must be notified of the grievance, given a copy of it and given the right to be

present at any discussions of the grievance, unless the employee does not want the union there. In that

case, the union shall not attend the grievance meeting but is provided a copy of the response(s) to the

grievance.

As a supervisor, you will more than likely be involved in a grievance at some point in your career

perhaps because you instituted a new call-out procedure; or gave someone a written warning; or

denied an employee’s request for leave; wrote some comments on a service rating that the employee

didn’t agree with; or for any number of other reasons. Do not be upset by the filing of a grievance and

do not take it personally. By filing a grievance, the employee is exercising a right given to him/her

under the contract and as long as you have not acted arbitrarily or unreasonably, you need not be

overly concerned. The filing of a grievance is a way of life and Management will consult with you

about the issue being grieved and defend against it if we believe that no contract violation has

occurred. Please remember, once a grievance is filed, you are barred from discussing the issue with the

employee directly; discussions must involve the union and Management and settlement discussions

must include Human Resources. When an employee wishes to meet with their union

steward/representative, the steward must first contact the supervisor and obtain permission. The

request should include the employee’s name, location and approximate time needed. Permission

should be granted unless operational needs or an emergency prevents it.

Grievance Procedure

The NP-2, NP-3, and P-4 contracts have a four (4) step grievance process (supervisor, Human

Resources, Office of Labor Relations, and then Arbitration) while the NP-5 and P-5 contracts have a

three (3) step process (Human Resources, Office of Labor Relations and then Arbitration). It is

extremely important for the supervisor or manager who receives a grievance at the first step to indicate

the actual date of receipt on the grievance form because all contracts have time limits that must be

followed or the grievance may be deemed waived. A grievance would be timely if filed within 30 days

from the cause of the grievance or, through reasonable diligence, would have known of the cause of

the grievance. Timeliness must be noted but the grievance still proceeds through the steps listed above.

An Arbitrator, who is someone hired with no connection to either party, is equally compensated by

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both the State and the Union and will be the ultimate decision-maker as to whether the grievance is

timely, whether the issue is arbitrable, and if so, will issue an arbitration award that is final and

binding on both parties.

For reclassification appeals involving an employee’s request for promotion or temporary service in a

higher class, the step 3 for NP-2, NP-3 and P-4 or step 2 for NP-5 and P-5 is held by the Department

of Administrative Services (DAS) and the final step is a special panel composed of state Human

Resources and union representatives in lieu of the Office of Labor Relations and the Arbitrator. Some

issues may be grieved but not arbitrated, such as compliance with health and safety standards covered

by OSHA or disputes of unlawful discrimination filed with CHRO. Some issues are not subject to

either the grievance procedure or arbitration, such as the decision to lay off employees or the dismissal

of non-permanent employees. Also, some contracts allow for expedited arbitration when time-based

issues are critical. Please consult the appropriate labor contract or your Human Resources liaison for

more details.

Preparing for the Grievance Conference

Depending on the structure of your specific chain of command, you may or may not be directly

responsible for a Step 1 grievance conference. However, even if you don’t conduct the conference

yourself, you may be asked to attend at any step and provide input or documents, especially if you

were a witness to an incident or were the person who took an action against another employee.

Please review any fact finding reports, supervisory notes you may have taken at the time and any other

documents, pictures, or reports that may be related to the matter. If the issue concerns discipline, you

will need to refresh your memory on what you said or did, what others said or did, what you were told

by whom, what dates were relevant, whether there was a history of similar conduct, what led up to the

event, what were the attitudes of those involved, or, in other words – you need to know who, what,

when, where and why. If it helps you to write notes to organize your thoughts, you may do so but

remember that if you bring anything in writing to the grievance conference and have it in front of you

when you testify, the Union can request copies of it. Therefore, it is recommended that if you do

prepare notes, then study them before the conference and do not even take them out during the

grievance but testify from memory.

If you developed or received documents after the fact finding, such as drew a map or received a police

report or final cost of repair of equipment, it is typically entered through testimony. Bring three copies

of each document to the conference or provide it to the agency designee ahead of time, and be

prepared to explain how and why it was obtained and the relevance to the issue at hand.

The Union has the opportunity to question anyone who gives testimony at the grievance conference.

Remember, it is the Union’s job to defend the grievant to the best extent they can. However, in doing

so, they may make you feel uncomfortable, maybe even attacked. Do not take this personally and do

not get upset, intimidated or confused. Tell the truth, answer the questions, and keep your cool. Don’t

let anyone put words in your mouth. If you are unsure of something, it is an acceptable answer to say

that you don’t know or to ask for clarification.

As a supervisor, your goal should be to assist management in winning the grievance. If you are unsure

of something or remembered something that did not come out in a prior process or have any questions,

please bring this information to the attention of the agency representative prior to the grievance

conference. Your supervisors and Human Resources are available to assist and advise you through the

grievance process.

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Stipulated Agreements

One way to resolve a grievance is through the negotiation of a Stipulated Agreement. When the parties

determine that it would be in the best interests of everyone to resolve an issue rather than go through

the grievance/arbitration process, the agency/state will enter into discussions with the union to try to

reach a mutual compromise which would be non-precedent setting and not affect any other matters

with any other employee. The supervisor/manager should not take it personally or feel that they did

anything wrong when the parties enter into a stipulated agreement.

Various factors are considered when determining whether a case should be resolved by an agreement.

For instance, discipline may be reduced by a stipulated agreement when there are mitigating factors to

be considered. If an employee had a fact finding which concluded that he was disrespectful to his

supervisor but; before the discipline could be issued, he is involved in a similar incident which is

sustained by a second fact finding; a stipulated agreement may be reached between the agency, the

union, and the employee whereby he would receive only one discipline for the two offenses and agree

not to grieve this action. Another example of when the settlement of a case may be beneficial to the

agency would be when a grievance takes several years to reach arbitration and by the time it does, a

major witness has retired and/or is no longer available to give testimony. In that case, the state and the

union may enter into a stipulated agreement to reduce or eliminate the discipline while including

language that this revised level of discipline would not be used as the norm for future similar

violations of policy in other cases.

Stipulated agreements are binding on the agency. Supervisors and managers are not authorized to enter

into them directly and any proposed terms should not be discussed directly with the employee by the

supervisor. If the union indicates to a manager that they are interested in stipping the case, then the

union representative should be referred to Human Resources.

Approving a Grievance at Step 1

In accordance with established policy, supervisors and managers who are responsible for responding

to grievances at Step 1, and/or wish to resolve the issue at the lowest possible level, must consult with

their superiors and Human Resources for guidance before a grievance may be sustained or an issue

settled. The reason for this is that a grievance resolved in a particular way in one section of the

Department may affect the way a grievance is handled in another area. The agency needs to have a

uniform and consistent application of policy and interpretation of the contract and Human Resources

has been designated with the responsibility for managing and directing the labor relations programs for

the agency (refer to F&A-9).

Union Representation

A bargaining unit member must be afforded union representation when being interviewed about an

incident or action from the moment it is recognized that the employee could be subject to discipline.

An employee may be initially questioned about a situation without the union in order to get some basic

facts as long as there is no indication that the employee did anything wrong. If the information starts to

unfold that the employee was involved in any policy violation, then the questioning must stop and

union representation be offered before continuing. For instance, a supervisor comes upon a scene

where there is a crew of three and one employee is injured. The supervisor can briefly ask each crew

member what happened, but once someone confesses to hitting the employee the questioning should

stop and union representation be offered. If the employee doesn’t want a union representative, then the

employee must sign a written waiver of representation before the questioning may continue.

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Union representation must also be offered if you request an employee to write or sign a statement that

may be used in a disciplinary procedure. Union representation does not have to be offered when

counseling an employee unless the employee specifically asks for it. In that case, the counseling

session should stop until a union representative is found. However, this must not unduly postpone the

counseling. Refer to the specific union contract for additional information.

Union contracts require that managers and supervisors deal exclusively with union designated

stewards or representatives once a grievance has been filed. In that case, you may not attempt to talk to

the employee directly about a grievance issue and if an employee approaches you to discuss an issue,

you should tell them to talk to their union who will then contact Human Resources.

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ROLE AND FUNCTIONS OF THE DOT HUMAN RESOURCES OFFICE

The Human Resources Office consists of the Human Resources, Labor Relations, Safety and Payroll

Divisions. The Human Resources Office provides professional level human resource assistance and

expertise to DOT Managers, supervisors and employees in the following areas:

“Recruitment and retention of a highly qualified and culturally diverse workforce;

administration of the State Civil Service System; interpretation and application of the

State Personnel Rules and Regulations, state and federal labor laws; labor relations and

Grievance administration; salary and benefits administration; employee assistance;

retirement; workers’ compensation; staff development and training; occupational health

and safety; provide customer satisfaction whenever possible for our employees and the

general public.”

As a supervisor, you should be aware of the variety of personnel related services which the DOT

Human Resources Office provides to DOT employees, supervisors, and managers:

Support managers and supervisors in meeting the operational needs of their units. Such

liaison services include assisting with staffing classification and organization, seeking

authority from central control agencies to fill vacancies, recruiting and interviewing job

applicants, recommending ways to deal with various employee issues, interpreting and

applying the personnel rules, regulations and labor contracts, reviewing overtime usage

for eligibility and efficiency purposes and advising on service ratings and employee

discipline.

Coordinate with the Department of Administrative Services to operate and administer the

State certification and job classification systems.

Serve on labor contract negotiating teams on behalf of Management, and then

administering and interpreting the labor contracts for all employees.

Act as the primary contact with the various labor unions for all labor relations matters.

Serve as liaison to several regulatory and oversight agencies.

Operate and oversee the grievance process for the entire Department, including serving as

the hearings officer at Step 2, the Department’s representative at Step 3 of the grievance

procedure, and serving on Step 4 Reclassification Appeal Panels.

Assist in developing and implementing Management policies for the Department.

Provide career counseling by identifying staff development, education and training

opportunities and programs that will increase the knowledge, skills, abilities and job

performance of DOT employees.

Facilitate a comprehensive safety awareness and enforcement program designed to

educate employees, improve operations from a safety standpoint, and reduce on the job

accidents and injuries.

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Collaborate with the Affirmative Action Unit in matters pertaining to diversity, equal

opportunity and affirmative action.

Manage all Human Resources records including personnel files, time and attendance,

seniority and longevity, position and classification transactions and coordinate with

Payroll on compensation matters.

Administer the Department’s Drug and Alcohol Testing Program.

Provide comprehensive Employee Assistance Counseling services and referrals to

employees with alcohol, drug or other specialized problems.

Offer information related to employee benefits including group life and health insurance

coverage and deliver individualized, detailed Retirement Counseling services to

employees.

Provide information related to FMLA and ADA; facilitate/review employee requests and

administer the programs.

Manage and implement the State system for employee compensation and payroll

reimbursement.

Manage the Workers’ Compensation claims administration program and act as liaison

between the employees, the supervisors, and the State’s Third Party Administrator (a

company under contract with the State of Connecticut to administer Workers’

Compensation program benefits for State employees).

Respond to requests for Human Resources records.

Serve on a variety of DOT Committees – such as Diversity Council, Education and

Training, Hazardous Duty, Safety and Training, etc.

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EMPLOYEE ASSISTANCE PROGRAM

This Department has a highly successful Employee Assistance Program. Many people believe EAP only

relates to substance abuse problems. The program however is much more extensive and provides assistance

resources in the areas of emotional distress, financial concerns, eldercare, marriage and family services and

virtually any personal problem that could negatively impact their personal lives and/or job performance. Refer

to Personnel Memorandum 86-2, “Employee Assistance Program”, for additional information.

Alcoholism/Drug Abuse

A person who suffers from substance abuse can be a person just like you and me working in maintenance,

clerical, engineering and other professional business areas of the Department.

We must be concerned about our co-workers because, first of all, they are our peers and we care about them,

their careers, families and well-being. Second, they are public employees and have an obligation and

responsibility to do a good job. Third, sooner or later, their behavior may cause injury or damage to

themselves, their co-workers, or the general public, or at least bring discredit and embarrassment to the work

unit and the Department.

Reporting to work under the influence is only one symptom that indicates an employee may have a problem.

Other symptoms are poor attendance and absenteeism (especially on Mondays and Fridays and after payday),

declining job performance, increased accident rates and Workers’ Compensation claims, breakdown of work

relationships, and unexplained changes in the employee’s behavior.

Supervisor’s Approach to the Worker Suspected of Being under the Influence

The supervisor’s approach to the suspected worker is to focus on the employee’s declining job performance

and absenteeism, factors which relate directly to the job. You are not a specialist in the diagnosis and

treatment of substance abuse. Therefore, you should not confront the employee and accuse him or her of being

an alcoholic or drug addict. You are a supervisor, and you do recognize an employee’s job performance and

attendance declining, and you have every right to counsel the employee, make him or her aware that you have

identified the poor job performance, and that you seek an improvement. Offer an opportunity to the employee

to explain the reason for the poor performance. You should make the employee aware of the Department’s

EAP Program and encourage him or her to participate in it. You may also contact the Department’s EAP

service provider for guidance and assistance.

If the employee admits to a problem and chooses to participate in our program, then arrangements are made to

assist the employee. If the employee either does not admit to a problem or admits to it but declines

participation in our EAP, then you should make it very clear to the employee that the Department will not

tolerate continued poor job performance, and if improvement is not shown, further steps may be taken

including a leave without pay and disciplinary action.

EAP Counselor

The Department contracts with a Third Party Administrator whose job it is to assist you in counseling

employees in these situations. The EAP counselors can arrange entry into the treatment program and will also

coordinate closely among you, Human Resources, the employee, his or her family, the medical treatment

facility and other support organizations, as appropriate.

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First Step in Identification

As the supervisor, working with your employees every day, you are in the best position to identify a change in

behavior or if an employee may be under the influence.

You must take this responsibility very seriously. Some supervisors are reluctant to take any action in such a

situation because they feel sorry for the employee, want to protect the employee or are afraid the employee

might be fired. Don’t look the other way and don’t make excuses for the poor performance. You are not

doing the employee any favors by ignoring the situation. You are doing the employee and their co-workers

great harm. The earlier substance abuse is detected and treated, the more successful the recovery usually is.

The longer the problem goes untreated, the deeper in trouble the employee gets. Eventually, the employee’s

job performance and absenteeism will become so bad that your other employees will start complaining and his

or her physical condition can deteriorate into some very serious health problems.

Enforcement of Policies

Drinking on the job, being under the influence of alcohol or drugs on the job, and possessing alcohol in State

facilities, equipment, vehicles or property is strictly prohibited and is cause for disciplinary action. Possession

and/or use of illegal drugs in State facilities, equipment, vehicles, or property are a violation of the

Department’s, “Drug Free Workplace Policy”, and will result in dismissal. Also, all DOT employees who are

required to possess and maintain a Commercial Driver’s License (CDL) in order to operate state equipment are

subject to mandatory alcohol and drug testing pursuant to Federal Motor Carrier regulations (see Personnel

Memorandum 94-2). These regulations contain numerous prohibitions against alcohol consumption both

before and during work hours and illegal drug use at any time.

If you suspect an employee is under the influence of alcohol or drugs on the job, do not let the employee

continue working, but remove him/her from their assigned duties immediately. Advise your manager and

Human Resources Liaison. Obtain a witness and union steward, if at all possible, and make special note of the

behaviors (i.e., the uncoordinated behavior, slurred speech, flushed face, bloodshot eyes, smell of alcohol on

the employee’s breath or clothes), and confiscate any hard physical evidence such as liquor bottles, cans, or

drug paraphernalia at the scene. Of course, if the situation involves illegal drugs, the police should also be

notified. If you have a union representative present, you may question the employee about the use of alcohol

or drugs at the scene to determine the extent of the problem. If the employee is a driver subject to alcohol and

drug testing, you must also arrange for a “reasonable suspicion” alcohol/drug test (see Personnel

Memorandum 94-2).

Confer with Human Resources and place the employee on Administrative Leave for the rest of the day. If the

employee is in no condition to drive, ask the employee for contact information for someone who can pick

him/her up. If the employee becomes uncontrollably belligerent or insists on driving home when he/she

shouldn’t, advise the employee you will contact the police and then follow through with this threat and call the

police if the employee chooses to drive. It is better to involve the police than to have someone killed by an

employee who is under the influence, but insists on driving home.

The same course of action should occur if the situation involves the possession of alcohol or drugs on the job

rather than being under the influence.

Some employees may claim their behavior is due to prescribed medication, rather than alcohol or drugs. If so,

the burden of proof is on them to bring documentation from their doctor or pharmacist, to the fact finding.

Human Resources may work with the treating physician on an alternate medication or dosage that would not

have a negative impact on the job. Although DOT does not control what employees do off the job, the

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condition of the employee on the job is the Department’s business, and if the employee reports to work in a

condition which affects or may affect his/her job performance, or the safety of the work environment, then the

Department has not only the right but also the obligation to address the situation.

Other Problems

Not all referrals to EAP involve alcohol and/or drug problems. Other non-substance abuse issues such as

stress and anxiety, family/relationship difficulties, grief and loss, financial/legal situations, depression and

other types of emotional problems, may also affect an employee’s job performance. Some personal problems

become so overwhelming that we lose interest in our jobs, find medical reasons (like headaches/stomach

aches) for not coming to work, argue with our co-workers, and become involved in incidents that can result in

disciplinary action.

In order to help employees deal with such difficult problems, the Department’s Employee Assistance Program

also provides resources in these areas. Although employees are encouraged to voluntarily seek confidential

assistance before their problems become major issues, it is most often you, the supervisor, who notices a

change in behavior and decline in job performance, and suggests that the employee contact the EAP.

Sometimes it is necessary for the supervisor to make the referral.

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THE STATE JOB CLASSIFICATION AND MERIT SYSTEMS

This section addresses the Job Classification and Merit System along with the process for filling

vacant positions.

Job Classification

The state, just like any employer who has a large number of employees, must systematically describe

and group jobs to ensure consistent and fair treatment when assigning, compensating and promoting

employees. Consequently, it has established a classification plan for all jobs in the executive branch of

state service, in which individual positions are grouped into job classes, with each classification

covering positions with similar duties, responsibilities and required qualifications. One position in a

class may be slightly different in duties from another position in the same class, but generally they are

the same level and type of work. For instance, an Office Assistant in the Purchasing division may do

slightly different work than an Office Assistant in Property & Facilities or the District I Construction

unit. However, because all three of these positions require highly complex and responsible clerical

work, they are assigned to the same classification of Office Assistant. A job classification is the

foundation for the employment process. Among other things, it lists the minimum qualifications

needed to be admitted into an examination or to be hired.

A job class may consist of only one specialized position by itself or it may consist of many positions.

Also, a particular job class may be exclusively used by a Department, or may be commonly used

throughout many State Agencies.

Only the Department of Administrative Services (DAS) and/or the office of Policy and Management

(OPM) have the authority to establish, modify, abolish job classes, and assign or re-assign positions to

job classes. Individual agencies, through their Human Resources offices, may request changes to job

specifications, the establishment of new classes, or reclassification of positions, but cannot implement

such actions without DAS and/or OPM approval.

Reclassification

A “reclassification” may be requested if significant changes are made to the duties and responsibilities

required by the work unit. In such a situation, the DOT Office of Human Resources reviews the level

and type of duties being required to ensure the request is in compliance with DAS guidelines. This

review may involve review of a duties questionnaire or performing a job audit, which is an on-site

inspection of the position, including interviews with the incumbent employee holding the position and

the supervisors. The reclassification may be to a higher level job class or a lower level one. If the

position is filled, usually the request is to reclassify the position to a higher level class in the same

career series. If the DOT Office of Human Resources agrees that the position warrants a

reclassification to the higher level class, a request will be made to DAS for approval. If approved, the

incumbent employee is promoted as long as he or she is eligible under the Merit system and has a

good work record. However, if DOT Human Resources or DAS Personnel disagrees that the majority

of duties and responsibilities being required are at the higher level job class, then the reclassification

request is denied, higher level duties, if any, may be removed and the employee may appeal such a

denial through the Reclassification Grievance procedure as provided for under the Union Contracts.

It is important to note two additional points regarding reclassification. First, the basis of the

reclassification should be a bona fide operational need within the unit to have the higher level duties

and responsibilities assigned. It should not be requested merely because the employee has passed a

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promotional merit system examination! In reviewing the requested reclassification, Human Resources

will take into consideration the need to assign the added duties, organization and function of the unit,

and the utilization of other employees within the unit.

Second, except in cases of progression to the working level/target class in the career series, the higher

duties and responsibilities should not be assigned by the supervisors until the requested reclassification

has been reviewed by Human Resources. If a supervisor has an operational need to perform higher

level duties due to a recent vacancy or the reassignment of the former higher level employee to other

duties, he or she must consult their Human Resources Liaison. A Temporary Service in a Higher

Class assignment may be considered to resolve an immediate operational problem, while a more

permanent request is being submitted to Human Resources for approval.

Merit System

Job classes that are designated competitive are filled from an exam list promulgated and certified by

DAS. An employee must pass a merit system examination in order to receive a permanent promotion.

If there is no list, then the agency may request to appoint “provisionally”. This means that the

employee may receive the promotion on a temporary basis, but he/she must take and pass the next

examination held for the class in order to retain the promotion. With non-competitive positions, i.e.

those not requiring an exam, the issues relating to examinations and candidate lists do not exist.

Filling vacancies

The refill of every vacant position must be individually requested from the Office of Policy and

Management (OPM) with full justification regarding particular duties and responsibilities of the

position and why the refill of the position is critical to the Department. Administrators and the Human

Resources Office coordinate this request and approval process with OPM. A lengthy period of time

may elapse before the position refill is approved. Therefore, during the period of time that the position

is pending OPM approval, supervisors must manage with a reduced work force by prioritizing the

work of the unit and introducing more efficient work methods.

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SAFETY

The safety of our employees and the general public which we serve must be a very high priority in the

jobs of all DOT employees. Therefore, it is critical that supervisors implement and enforce all safety

protocols.

Safety memos and reminders are published and can be found on the intranet under Office

Buildings/Bureau of Finance and Administration/Employee Health and Safety. In addition, the

“Guidelines for Safe Practices” handbook was developed, printed and distributed by our DOT Safety

Division to all field employees. Accidents and incidents are documented and investigated to

determine cause and discipline is issued for violation of safety policies. We do have a very active and

successful Safety Program, and for the size of our workforce and the types of services we provide, our

Department has a very good safety record.

As a supervisor, you must be safety conscious and make your employees safety conscious as well.

You must impress upon them the importance of doing tasks the recommended, safe way, and of

wearing the required protective safety gear by setting the proper example. You must also enforce the

safety policies. Employees will learn from what you do more than from what you say. You must be

on the lookout for unnecessary safety hazards and then do whatever you can to correct them. If an

employee complains about a situation or piece of equipment which he or she feels is unsafe, take a

look at it objectively. If necessary, consult with your supervisors, repair forces, or the DOT Safety

Division.

Do everything you can to identify potential hazards in the workplace. Being safety conscious at all

times will help prevent injuries from happening to your employees.

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TRAINING

In addition to managing and supervising others, you should assist your employees in developing

themselves to expand their abilities to perform at their peak. You have the task of keeping people

around you working efficiently and effectively. One tool to help you develop your employees is

ongoing education and training.

The Department of Transportation’s Training Division provides education and training opportunities

and programs that will improve the knowledge, skills and abilities of the Department’s employees.

Training of all kinds is recognized to be a necessary investment in the human resources base of

organizations. Technological advances impact on every phase of transportation and every

transportation employee. In addition to the technological changes, there are changes in organizational

culture, workforce demographics and economic factors which can all have an impact on how

employees perform their jobs. Training can help your employees keep up with these changes. Keep in

mind that, as a supervisor, you will also need to learn new skills to lead and manage within a changing

environment.

Supervisors are responsible for seeing that their employees receive the necessary training and

education to perform their jobs. Part of that education is done on the job by you or by other

experienced employees assigned that task. Other training can be provided by sending an employee to

a more formal training class. Supervisors play a major role in their employee’s development by

helping the employee identify training needs and by reinforcing what was learned.

Before one of your employees attends a training event, sit down with the employee to discuss exactly

what you, the supervisor, expect the trainee to get out of the training. This discussion can cover a

number of topics:

What the training will cover;

Why the employee was chosen to participate;

Why the training is important;

The supervisor’s assessment of the employee’s strengths and weaknesses as they relate to the

content and objectives of the training program; and

How you, the supervisor, will help the employee apply what was learned in the classroom to

the job.

Supervisors play an extremely important role in the transfer of new skills to the workplace after

returning from training. The supervisor should review with the employee what was learned, how it

will be useful, and how the new skills and knowledge can be implemented on the job. If the

supervisor doesn’t support the new learning, and doesn’t encourage the employee to use what was

taught in the training, then chances are that nothing will be different back on the job. You, the

supervisor, should:

Set goals with the employee for using the new skills;

Give the employee feedback on his/her progress;

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Encourage and praise the employee’s efforts to use their new skill;

Be available to coach and counsel the employee when problems arise;

Act as an appropriate model of how the skills are applied.

When employees under your supervision expand their contribution to the organization (work unit,

division, department), they expand your ability to get your job done and meet your own goals. In this

sense, their development is your development.

Part of being a successful supervisor will depend upon your own efforts to improve. Just as your

employees need to continually learn new skills, you too need to keep up with new techniques and new

ideas. Examine your strengths and weaknesses and constantly try to improve.

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PERSONNEL MEMORANDA

The Department of Transportation Human Resources Division issues Personnel Memoranda to cover

DOT Personnel Policy. The Personnel Memoranda are intended to give managers, supervisors and

employees a reference source of official Personnel Policy that supplements and explains the State

Personnel Act, Labor Contracts and State policies, regulations and procedures.. The policies include

leave, hours of work, service ratings, discipline, etc.

Personnel Memoranda are listed by number with the date of issue. The listing and memoranda are

available on the DOT Intranet > Office Blogs > Office of Human Resources > Valid Personnel

Memoranda, and under Inside DOT News > Valid Personnel Memoranda, for your convenience. Future

revisions and updates will be posted to the Outlook announcements folder and the DOT Intranet.

As a DOT supervisor, the Personnel Memoranda are an important source of information. You should

monitor new/revised Personnel Memoranda when issued, and become familiar with the Personnel

Memoranda that are on the intranet, as these are policy statements that guide expected workplace

behavior and actions. As a Supervisor or Manager it is your responsibility to enforce these policies and to

ensure that your employees are aware of these policies.

Any questions concerning the interpretation and application of the Personnel Memoranda and the Labor

Contracts may be directed to the DOT Human Resources Division.

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APPROVING LEAVE TIME

State employees must request leave time with reasonable advance notice. Leave time includes

vacation, personal leave, sick, and compensatory. The leave time is subject to supervisory approval

and the Agency’s operational needs, except for unscheduled sick leave. Each unit has procedures for

requesting the use of leave time including the amount of advanced notice required. Ensure that your

employees are aware of the procedures and your expectations to follow them. You must be fair and

consistent in your review and action regarding leave time requests.

Supervisors should accommodate the employee’s request for leave time, if possible, and not act

arbitrarily in granting or denying time off. If you must deny the requested time off, provide the

employee with the work related reason.

Time off may not be granted in situations that will disrupt work operations, or where it is impractical

(i.e., extended vacations for maintenance personnel during snow and ice season, and for construction

personnel during peak construction season). Leave time should not be used to routinely or regularly

shorten the workday.

There may be situations when the employee is not able to provide an advance request for time off such

as an emergency situation. If you believe the explanation to be reasonable and credible, you should

approve the time off. If there is a circumstance where you think that there is possible abuse of

requesting “emergency” or accrued time off without advanced notice or if the employee has no

accrued time to cover the absence, you should counsel the employee that such leave requests will not

be approved. You can request documentation to support the “emergency”.

For leaves of absence without pay for more than five (5) days for military, educational, or personal

leave reasons, Human Resources has the final approval. The employee must submit a written request

(Form PER-147) indicating the reason for the leave and the time period involved. The request should

be signed for approval or disapproval by the immediate supervisor and then forwarded up the chain of

command for review, and to Human Resources for approval. Appropriate documentation such as a

medical certificate or military orders must be submitted with the request.

All personal leaves of absence are granted at the discretion of the Department and the purpose for the

leave of absence must be extenuating. Failure to return to work upon the expiration of an approved

leave will be considered an unauthorized absence. An unauthorized absence of five (5) or more work

days is considered grounds for termination of employment.

The employee is required to use sick leave accruals for any medical absences and must exhaust his/her

sick leave balance prior to any medical leave without pay. The employee is required to exhaust all

accrued vacation leave prior to granting a personal leave of absence without pay. A request for a

personal leave of absence to work for another employer, to extend a vacation beyond the accrual

balances, or for the purpose of incarceration will not be approved.

Leave requested under the Family Medical Leave Acts is governed by statute and federal law.

Consult with your Human Resources liaison in this situation.

There are several Personnel Memoranda that specifically address the various leave situations cited

above. You should review the valid Personnel Memoranda for more detailed information.

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ABSENTEEISM AND TARDINESS

Absenteeism

State employees are expected to give a full day’s work for a full day’s pay.

Each DOT employee is responsible for maintaining a good attendance record by reporting to work on

time, observing the guidelines for breaks and lunch, and remaining at their workstation until the

established quitting time. Supervisors are responsible for monitoring their employees to ensure

adherence to the hours of work, breaks and lunch. Supervisors do not have the authority to change

schedules.

An absence is the time an employee is not at work during scheduled hours, regardless of the reason.

There are both scheduled and unscheduled absences. All absences should be scheduled in advance

with the supervisor including vacation, doctor’s appointments and funeral. Supervisors need to have

unit procedures that will inform employees of the acceptable notification time and procedure for a

scheduled absence.

An employee who calls after the scheduled start time will be charged with unauthorized leave from the

scheduled start time until the time the employee calls in. An employee who does not contact the

supervisor to notify of an absence will be charged with unauthorized leave for the day and subject to

progressive discipline. Five (5) or more consecutive days of unauthorized leave is grounds for

discipline, up to and including dismissal.

A supervisor is responsible for monitoring absences as to number of occasions and days, pattern of

absences and reasons in accordance with the applicable Personnel Memoranda and collective

bargaining agreement language. Supervisors must evaluate excessive absences and/or demonstrated

pattern of absences to be able to consider counseling the employee or pursue progressive discipline as

necessary.

If an employee has a medical condition or acts as a caregiver to a family member with a medical

condition, he/she may be eligible for Family Medical Leave. You should consult Human Resources

and possibly refer the employee to apply for FMLA. If you believe that an employee may be in need

of assistance or help for personal issues, you should refer to the Employee Assistance Program.

Tardiness

An employee who is going to be late for work needs to notify the supervisor as early as possible before

the start of the work day, and follow unit procedures. It is important to note that calling to say that

someone is going to be late does not make the tardiness excusable. The Supervisor should observe

employees and take corrective action and docking of pay for habitual tardiness starting with counseling

and proceeding to progressive discipline as necessary.

Timesheets

Supervisors have the responsibility to approve employees’ timesheets. As a Supervisor, you need to

carefully review timesheets for accuracy ensuring that the time is recorded correctly and the accrued

time is applied correctly.

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Supervisors should reference the Personnel Memoranda and bargaining unit contracts. Any questions

can be directed to the DOT Human Resources Division.

46

SICK LEAVE

Sick Leave Usage Table and Policy

The Department adopted a standard sick leave usage table and policy for all employees to serve as a

uniform guideline for all supervisors in evaluating sick leave usage. Supervisors use the sick leave

usage table as a guideline in judging the degree of acceptability of an employee’s sick leave usage; it is

not an absolute standard. The table is based on the annual service rating period, and represents the

frequency and total number of days of sick leave usage. This table provides a uniform, consistent,

objective, and equitable way to rate an employee’s sick leave usage. The same standard applies to all

DOT employees.

As a Supervisor, you should become familiar with the sick leave usage table and policy including

Personnel Memoranda 81-4, “Medical Leave – Use and Documentation”, 82-3B, “Use of Leave Time”,

82-4, “Leave of Absence Without Pay For More Than Five (5) Work Days”, and 88-5, “Federal

Medical Leave Under State Law” and the collective bargaining agreement language. You should make

your employees aware of the policies. It is critical that you review your employees’ attendance records,

and counsel them for frequency and patterns of usage. This will give the employee the opportunity to

improve their attendance early in the service rating period.

Sick leave information on number of days and occasions is included on the service rating, where

appropriate, along with any pertinent explanatory remarks. Any recommendations for promotion

should include a review of sick leave usage.

In cases where the sick leave usage is excessive, abusive, reveals a pattern, or fails to follow the unit

guidelines for reporting responsibilities, the supervisor may use progressive discipline and/or Medical

Certificate requirement. If counseling by supervisors for sick leave usage is unsuccessful, it is

important that supervisors start progressive discipline, and/or the Medical Certificate Requirement in

conjunction with the Sick Leave Usage Table. Supervisors should address sick leave usage with

employees throughout the service rating period to correct attendance problems.

The submittal of acceptable medical certificates to document absences does not serve as authorization

to excessively use sick leave. In such instances, supervisors should consult with the DOT Human

Resource Office for guidance regarding the appropriate application of progressive disciplinary

measures during the course of the rating period.

Calling In

An employee should schedule all absences in advance with the supervisor including use of sick leave

to cover medical, dental examinations, funeral, etc. The supervisor should have unit procedures in

place for employees to follow when an employee will need to take an unscheduled absence due to

being incapacitated. An employee has an obligation to call the supervisor as early as possible if unable

to work that day. The procedures to call in should include whom and when, the reason for the absence

and an estimate of how long the absence will be. If medical, the employee is not required to provide

personal confidential medical information.

An employee who does not notify his supervisor that he will not be in for the day will be charged with

unauthorized leave and subject to progressive discipline. Five (5) or more consecutive days of

unauthorized leave may result in discipline, up to and including dismissal.

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Medical Certificates

An acceptable Medical Certificate must be on the form prescribed by the Commissioner of

Administrative Services and signed by a licensed physician or other practitioner whose method of

healing is recognized by the state. The Medical Certificate is required of an employee to substantiate:

An absence of more than five (5) consecutive working days.

A request for sick leave of any duration during annual vacation.

Any absence if the employee has been put on a Medical Certificate requirement.

Any sick leave when evidence indicates reasonable cause for requiring a medical certificate.

Occasions when the employee is out sick but does not have accrued sick leave to cover the absence,

and requests use of other accrued time or an approved leave of absence without pay.

An employee is not required to provide a medical diagnosis; however, the doctor must validate there is

a medical reason for the absence. For an employee who wishes special consideration for the

confidentiality of the medical documentation, the certificate may be sent directly to the Human

Resources office for review.

For any employee who has a patterned or excessive use of sick leave, the supervisor may request

placing the employee on a Medical Certificate Requirement by writing a memo through the unit

Manager to Human Resources. The employee must be notified of the Medical Certificate requirement

in writing, citing the past use of sick leave and notifying the employee that any absence chargeable to

sick leave, leave without pay or other accrued leave for illness, regardless of the length of the absence,

will require submittal of a valid Medical Certificate. The employee must remain on the Medical

Certificate Requirement for a minimum of nine months.

If an employee fails to bring in medical documentation to cover an absence when required, the time out

of work will be coded to unauthorized leave without pay. The employee will be subject to progressive

discipline.

A Medical Certificate that appears to be altered in any way will not be accepted and the employee may

be subject to progressive discipline, up to and including termination from State employment.

It is important that Supervisors treat all employees consistently and fairly following the guidelines

presented. Any questions should be directed to DOT Human Resources.

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WORKERS’ COMPENSATION

Workers’ Compensation is a system established by the Legislature to take care of employees who are

disabled from working because of job related injuries or illnesses.

Workers’ Compensation provides a variety of benefits to the disabled worker, partial payment for lost

wages, additional subsidies for dependents, payment of all medical bills, and payments for permanent

loss or disability. Workers’ Compensation benefits for lost wages begin on the fourth day of

incapacity following the injury. If the employee is out more than six days, payment for lost wages is

retroactive to the first day of incapacity following the date of injury.

The injured employee can elect to use his/her accrued leave time during the first three days of

incapacity; in lieu of benefits pending approval of the claim; and/or to pay the difference between

what Workers’ Compensation pays (usually 2/3 pay) and his/her regular salary. Although lost wages

are not covered during the first three days of incapacity, except as described above, medical expenses

are covered from the date of injury upon receipt of the required medical documentation.

Supervisor Responsibilities

When an on-the-job injury occurs, your primary responsibilities are to:

1. Obtain medical treatment for the injured employee, within the managed care network.

2. Report the injury to the Workers’ Compensation Hotline (1-800-828-2717) and file an

accident report on the appropriate forms (DAS-WC-207) and (SAF-14) within 24 hours.

3. Provide the injured employee with a Workers’ Compensation Forms package with instructions

for completing the forms.

4. Report the employee’s time properly and follow-up on any medical documentation required

justifying the absence from work.

5. Maintain contact with the employee during his/her period of Workers’ Compensation and

forward any medical bills which the employee may send you to DOT Human Resources,

Workers’ Compensation Liaison in Newington.

6. Help coordinate the employee’s return to work. Call the DOT Human Resources Liaison on

the day the employee returns to work to avoid an overpayment of benefits and forward any

documentation.

Injured Employee Responsibilities

Employees must do everything possible to facilitate their recovery and return to work. They must:

1. Report the injury/illness immediately to their supervisor;

2. Complete the WC-211 & 1A, WC-715;

3. Keep their medical appointments and follow their doctor’s treatment plan;

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4. Keep their supervisor and the Workers Comp liaison advised of their progress and provide the

required medical documentation regarding their injury;

5. Provide their doctors with accurate descriptions of their job duties so that the doctor can

determine what, if any, work restrictions are necessary;

6. Return to work including a “light duty” assignment as soon as authorized by their doctor to

do so;

7. Inform the Department of any other employment during the period Workers’ Compensation

benefits are being received.

You should review the Personnel Memorandum No. 92-2 for more information on Workers’

Compensation procedures.

Need to Follow-Up

One of the responsibilities for supervisors is maintaining periodic contact with the employee who is on

extended Workers’ Compensation. In some cases, when there is no contact by the supervisor, the

employee slips into “limbo” and may stay out longer than he/she really has to. A friendly telephone

call to the employee, or a drop-in visit to the employee’s home will let the employee know that he/she

is needed at work and has not been “forgotten”, can encourage the employee to return to work sooner,

and can improve communications by discussing the possibility of “light duty”.

Light Duty

It is important for you as a supervisor to understand the concept of “light duty” and how this relates to

Workers’ Compensation. Light duty is some form of less strenuous, possibly sedentary yet still

productive, work which is available and which the employee is capable of doing, preferably a portion

of the employee’s regular job. Light duty enables a recuperating employee to return to work a few

weeks earlier than he or she would otherwise be able to. It gets the employee back in the habit of

coming to work, being productive and contributing to the work operation. It is actually an aid to

recovery, gets the employee off Workers’ Compensation a bit sooner, and gives you a productive

worker where previously you had no worker at all. Light duty is not a situation in which the

employee returns to work physically, but can do nothing or next to nothing.

Supervisors who have employees on Workers’ Compensation are asked to periodically review these

cases with the DOT Human Resources Liaison and/or Safety to determine the employee’s capability of

performing light or selective duty. Many times, a physician will be more likely to release an employee

to perform selective duty if a specific assignment is described. Our DOT Human Resources and

Safety Divisions can assist you in communicating with the doctor’s office. Additionally, an

Independent Medical Examination (IME) can be arranged in situations where there is a serious

question/concern about the employee’s degree of injury or incapacity. If you can make some

legitimate light duty work available, do so. It will benefit all concerned.

Light Duty Job Bank

Some injured employees are unable to perform any of their normally assigned duties during their

temporary incapacity, but may be able to perform well at another job. If there is no selective duty at

the employee’s usual work locations, there may be work available at another location that can

accommodate the employee’s temporary work restrictions. To this end, a “Job Bank” of

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light/selective duty assignments has been established to offer temporary, selective work to recovering

employees who do not have such work available in their own units.

Supervisors are asked to review their operations carefully to identify any selective work projects or

assignments that might be available. If you have work available, please contact the DOT Safety

Division or the DOT Human Resources Liaison in Newington for further details. They will coordinate

with you in placing recovering employees who are capable of performing selective work.

In these times of leaner budgets and a reduced workforce, your efforts to find selective work for

injured employees can accomplish much. They can accomplish work that otherwise wouldn’t get

done, reduce the Department’s Workers’ Compensation costs significantly, and actually aid in the

healing process by keeping the employee coming to work every day and feeling needed and

productive, instead of sitting home and potentially feeling useless and forgotten.

Reporting Questionable Cases

Of course, there will always be those few employees who would like to stay on Workers’

Compensation for as long as they can, and do not want to return to work. If you suspect having any

such employees, contact your supervisor and the DOT Human Resources Division. We will take what

action we can to resolve this problem.

If you have an employee whom you feel misrepresented or exaggerated an injury, or contributed to his

or her own injury by being reckless, or unfit for duty, make a notation of your suspicions on the

accident report and mention this when calling the claim into the hotline. This will give the Workers’

Compensation administrators a chance to investigate the case.

Likewise, if you have reason to believe that an employee is not actually disabled following an injury

and disability claim, i.e., the employee is seen working at another job, shopping, playing sports, doing

other strenuous work, etc., let Human Resources know and we will have the claim investigated.

Long Term Cases

If you have an employee who has been out on Workers’ Compensation for a very long time, i.e., in

excess of six months, and there is still no indication of his/her returning to work in the near future, let

Human Resources know to review the situation to determine if an alternative action may be

appropriate.

In summary, you have certain responsibilities in Workers’ Compensation matters. Work closely with

Human Resources and your supervisors to ensure prompt payment of cases which are legitimate, assist

the worker in returning to the job, investigate claims which are questionable, and resolve long term

case

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OVERTIME

Use of Overtime

Normally, because of budgetary restrictions, the only overtime which is approved is for unforeseen

emergencies which happened outside of normal work hours, such as snow and ice control or road or

traffic hazards. However, there are other types of situations in which the use of overtime can be

permitted:

To staff shifts required to serve the public as in ferry operations, airports, drawbridges and rest

areas;

To complete a project for the day;

Allow construction inspectors to work the same hours as the contractor in order to inspect

their construction work;

Permit representatives of the Department to conduct public hearings in the evening;

Allow administrative units to process large volumes of office work during especially busy

times of the year.

Most overtime must be requested and approved in advance before it can be worked or paid. This

approval must come from higher level management within the Department. In certain emergency

situations, higher and mid-level supervisors may authorize the working of overtime on the spot, but

then they must report the circumstances immediately afterwards to management.

Supervisory Authority and Selection of Employees to Work

If you have a need for overtime in your unit, and it has been approved by higher level management,

consider all of your employees who are classified, qualified and trained to do the work. Ask for

volunteers first, and try to distribute the overtime equally among those qualified and willing to work.

However, if the number of volunteers is not sufficient to meet the work production needs, you, as a

supervisor, do have the authority to require some or all of the no-volunteers to work the overtime,

depending on your work needs. Of course, you should provide as much advance notice to your

employees as is possible of any required overtime so that they can prepare for it.

In selecting which of the non-volunteers must work overtime, you should consult the Overtime

Section of the particular Labor Contract to see if the Contract prescribes who must be selected in such

a situation.

You should carefully review the Labor Contract Overtime section and perhaps other sections such as

Holidays, and become familiar with their provisions. Some contracts have special provisions such as a

minimum amount of overtime for being called in, overtime for working holidays, equalization of

overtime, rest breaks for extended overtime, recall after being released, etc. Also, be aware that higher

level employees whose base salaries are above the overtime cap cannot be paid for overtime, but may

earn compensatory time instead on an hour-for-hour basis. There are some exceptions that can be

made with the appropriate authority. For example, higher level supervisors working snow and ice

control overtime can be paid on a straight time basis (not time and a half), and under special

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circumstances, higher level engineers and administrative employees can be paid overtime “above the

cap” instead of having the work contracted out to private consulting firms.

Be sure to consult with your supervisors or DOT Human Resources Liaisons if you are not sure which

overtime rules apply to your situation.

In the end, though, you have the right to give a direct order to non-volunteers to work the overtime,

and if they refuse, it is insubordination, and they may be subject to disciplinary action.

Moonlighting

This Department does not prohibit its employees from having second full time or part time jobs, as

long as there is no conflict of interest in working the moonlight job. Where there is even the

possibility of, or the appearance of, a conflict of interest employees are obligated to notify their

supervisors, management and DOT Human Resources in writing of the nature of their jobs, so a

decision can be made as to whether holding that particular job constitutes a conflict of interest. Please

refer to F&A-10 and F&A-10A for details on reporting requirements.

It is the firm position of this Department that the employee’s DOT job must be the primary job and

must take priority and precedence over any other job. This means that if you require the employee to

work overtime for DOT, he or she must work the overtime, and cannot use as an excuse for not

working the overtime that he/she has to go to, or cannot leave, a second job.

53

PAYROLL AND OTHER PAYMENTS

As a supervisor, you have a considerable amount of responsibility and authority over the salary and

other payments made to your employees. Remember that the employee themselves, or a unit clerk on

behalf of the employee, prepares the biweekly time sheets using a wide variety of Time Reporting

Codes. These codes show how many hours were worked on each day, what kind and amount of leave

time was used, whether extra hours were worked resulting in overtime or compensatory time, or what

projects may have been worked on during the pay period. Since October 2003, the State has utilized an

integrated time, pay, benefit and employment computerized system identified as CORE-CT.

The correct coding and preparation of these time sheets is extremely important and this responsibility

should be taken very seriously. Make sure you are familiar with the proper CORE-CT Time

Reporting Codes, as well as DOT Human Resources Policy and Procedures related to attendance

and/or pay issues. Individual collective bargaining agreements should also be consulted and reviewed

whenever there is a question or concern regarding attendance and/or proper payment for holidays,

overtime versus compensatory time, sick leave, vacation leave, personal leave, funeral time, medical

appointments, etc. The DOT Human Resources Liaisons and Payroll Unit staffs are available to

answer any questions regarding proper payment, proper use of accrued time or coding of attendance.

Approval by the supervisor is your certification and authorization that the information is accurate and

that the employee is eligible to be paid for whatever is on that time sheet. Your electronic approval is

the equivalent of your signature approving the timesheet. Improper payments made to employees will

be investigated and discipline issued as appropriate to the employee and also to the supervisor

involved. Intentional improper payments made to employees, as well as the non-recording of time

taken off from work, will be considered falsifying the payroll and attendance time sheets and are

grounds for dismissal and possible criminal action as well.

Every supervisor should be keeping an accurate record of subordinates’ absence from work, how many

hours they worked and whether they are eligible for overtime or compensatory time. It is also equally

important to monitor whether the employee is coding to the correct work project if this is part of their

responsibility. Make every effort to ensure that the Resource Codes associated with each line of

project coding is accurately completed. Employees should not be coding to projects for any hours in

which they use leave time. This information is the basis for project cost controls and reimbursements

to the State from the Federal Government and other sources.

Familiarize yourself with the time frames for submission of biweekly time and attendance. Normally,

time sheets need to be approved by the supervisor no later than the Tuesday following the end of the

pay period. Changes to attendance can only be made up to this date. If you or the employee makes a

change to their time after Tuesday, this change will not be processed until the next pay cycle. Over or

under payments or improper recording of attendance may occur if the deadline is not met. If an

employee is under paid, they will not receive payments they are owed until the following pay period.

If they are overpaid, they will be contacted directly by the DOT Payroll Unit. Make sure your staff is

aware of when you expect them to complete their biweekly time sheet, in order to provide you enough

time to review and approve the timesheet, and make any adjustments that may be necessary. Daily

entry of time is the best practice to ensure proper recording of time worked or leave time taken.

The DOT Payroll Unit distributes e-mails to all DOT employees regarding the time frames for

approval of time sheets and notifies staff if there are any changes in the dates of time sheet approvals.

Please read these e-mails carefully or contact the DOT Payroll Unit if you are unsure of the dates for

approval of time sheets.

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Every supervisor should be reviewing and verifying the number of hours the employee has entered on

their biweekly time sheet and making sure they have the correct number of hours recorded, that each

day they actually worked is recorded, that they have documented the appropriate amount of time off

and used the proper leave time coding. You are encouraged to include comments in “Reported Time

Status” for special circumstances or to validate additional compensation.

Every supervisor should have a person designated as a back-up for approval of biweekly time sheets

for subordinates in case of absence. This person should be set up with CORE-CT as having approval

rights to biweekly time sheet submission. You should not share your password so it is critical for the

backup to have the appropriate CORE-CT security access to perform this function.

If you disagree with an employee over what he or she has coded on the time sheet, discuss the matter

with the employee and try to resolve it. If in the end you still disagree, you do have the authority to

change the employee’s time sheet and submit it to Payroll as changed. The employee may grieve the

issue but as long as you have an appropriate basis for taking the action, the Agency may be able to

defend your adjustment. Remember that the time sheet is not the employee’s personal property, but a

written record of what you have agreed is legitimate and appropriate. You, as the supervisor, are

ultimately responsible for authorizing its contents.

Any documents that the employee submits to you for payment (i.e., meal, mileage, documents for auto

usage reimbursements, etc.) should be reviewed for accuracy and appropriateness for payment. Make

sure that the subsequent entries of these payments are properly recorded on the biweekly time sheet.

Back up documentation for any reimbursements made to your employees must be retained by the

supervisor. You are responsible for ensuring that employees submit proper documentation prior to

entry of payment on their time sheets. If you are unsure as to what documents or information are

required for proper payment, review Human Resources and/or Fiscal Policy and Procedures. Contact

either your Human Resources Liaison or the DOT Payroll Unit for clarification.

If you have employees who are eligible for payments under specific Q-Items, make sure you and your

employees understand the proper use of the specific Q-Items and that you apply them properly to the

work situation. You are responsible for ensuring that the extra pay associated with the Q-Item is

expended for their intended purpose. Ensure that any overtime or compensatory time coded on the

time sheet has been worked and has been, or will be, approved by higher level supervisors and/or

Management.

Various Human Resources Policy and Procedures, as well as Payroll and Human Resources related

forms are available on the DOT Intranet. There are also documents and information on the DOT

Intranet related to CORE-CT.

The Department of Administrative Service’s website contains all the collective bargaining union

agreements. The Office of the State Comptroller’s website has information regarding state benefits

available to employees.

These websites are all available to assist you in understanding and implementing time or pay issues

associated with the employees you supervise.

If you have any questions about the proper interpretation or usage of any payroll or attendance related

policies or coding, consult with your supervisor or DOT Human Resources or Payroll staff, as

appropriate.

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CORRECTIVE ACTION, COUNSELING AND DISCIPLINE

It is the supervisor’s responsibility to address performance issues, enforce Department policies and

begin corrective action if necessary. If the problem is ignored, it will usually disrupt the entire work

unit or crew as employees witness others getting away with something and may follow suit. Morale

and work productivity fall quickly. The supervisor must address the problem head-on, and let the

offending employee and the rest of the unit know that the problem will not be allowed to continue.

The two primary tools which the supervisor has available to address these types of problems are

counseling and progressive discipline.

Counseling

Counseling is the first attempt by the supervisor to make the employee aware of a particular

continuing problem with the employee’s job performance, behavior or adherence to rules and

regulations.

The counseling should be an informal, private discussion between the employee and the supervisor,

designed to let the employee know that there is a problem, providing suggestions on how to improve

and specifying that improvement in that area is needed and expected. The discussion should be open

and honest and the employee given the opportunity to express his or her side of the story. There is no

obligation on the part of supervisors to notify the employee of any right to have union representation,

however, if the employee specifies a desire to have union representation present, the supervisor should

accommodate the employee and allow the steward or union representative to attend, provided that this

does not unreasonably delay the counseling session.

Supervisors should use good judgment in determining when counseling should be imposed.

Depending on the nature or seriousness of the problem, counseling might not be imposed until the

problem has occurred a few times, or it may be issued the very first time the problem arises.

Sometimes employees are unaware that there is a problem and will respond to the counseling by being

conscious of his or her behavior and will usually improve. That is exactly what the counseling session

is intended to do. If an employee does not improve, the situation requires further corrective action by

the supervisor, including further counseling or some form of discipline depending upon the

seriousness of the problem.

Repeated counseling sessions with individual employees may result in future discipline and/or poor

service ratings. One of the first questions asked at a grievance hearing is, “Was the employee

counseled?” If the supervisor, from his or her supervisor’s notes, can say, “Yes, I counseled the

employee on (date) and again on (date) about (specific problem)”, then chances are the discipline or

the poor service rating will be upheld. Documentation of the date, time and content of counseling is

critical to establishing a record of supervisory action to address a performance problem.

Putting up with an employee’s poor job performance throughout the year will only build to bigger

issues. When the supervisor decides to address the performance all at once with heavy discipline or a

poor service rating to the employee, it will not work. The supervisor has to do his/her homework by

counseling the employee throughout the year and giving the employee a chance to improve.

Even though a policy, procedure or work standard may have been generally discussed with a group of

employees, the supervisor must still provide individual counseling or discipline during the year to

56

those individual employees who violate the policy or standards. Otherwise, the employees may claim

that they were unaware of the policy, misunderstood it, thought they were exempt, or were not aware

that they were violating the policy or standard because their supervisor never told them they were, etc.

Providing counseling is one of the most important and basic functions of a supervisor. Used properly,

it can address a potential problem early, result in improved employee performance, or serve as the

foundation for discipline or poor service ratings later on. The need for good supervisory counseling as

a foundation for work expectations cannot be overemphasized.

Discipline

When the employee has been counseled and has not improved to acceptable levels, after being given a

reasonable chance to improve, it may be time for further, more severe corrective action, including

discipline. Discipline is a form of penalty taken against the employee to let the employee know that

the problem still exists, that improvement has not yet been achieved and that the Department is

serious.

The overall idea and intent of the further corrective action and discipline is to make the employee

more aware of the Department’s dissatisfaction with his or her job performance and to direct the

employee to improve. If the employee’s behavior changes, then the corrective action and discipline

have achieved their purpose. If ultimately the employee does not respond to more severe discipline,

and continues poor job performance, then the Department may terminate the employee’s services.

In order of least to most severe, the basic levels of corrective action and discipline are as follows:

- Written Warning – A written warning is a memo issued to the employee which describes the

offense, directs improvement, and indicates further discipline if improvement does not reach

acceptable levels. The employee must sign the Department’s copy of the memo to show that

he or she has received it. If the employee refuses to sign then the union steward must sign for

the employee. If the union steward refuses, then another manager can sign as a witness to

receipt. The written warning becomes a part of the employee’s official personnel file and can

be used as a basis for future discipline or poor service ratings. Check the appropriate union

contract on the length of time the written warning can remain in the file.

- Suspension Without Pay – A suspension is a significant level of discipline which results in

loss of pay for the employee. The length of the suspension depends on the particular

circumstances and the seriousness of the offense and is ultimately determined by DOT Human

Resources. DOT Human Resources prepares the suspension letter to be issued to the

employee with copies to the unit supervisors, managers and the employee’s union.

- Demotion – Used rarely, and specifically prohibited in some contracts, this forces the

employee to take a lower level job with lower level pay. This type of action is used when an

employee, because of the type and serious nature of the offense, is considered to be ineffective

in the higher level job. The demotion letter and action is arranged by DOT Human Resources.

- Dismissal – This is the most serious form of discipline in the employment setting. The

employee loses his or her job, pay and benefits. Dismissals are usually reserved for cases in

which the employee either committed a very serious offense, or refuses to improve a

continuing fault after previous corrective action and prior discipline has been issued. The

dismissal letter is prepared by DOT Human Resources and either hand-delivered or sent

certified mail to the employee involved, with copies to all concerned parties.

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Issuing Corrective Action

When criticizing, counseling, disciplining or otherwise discussing employee performance, it is

important that the supervisor discuss these matters with the employee privately, and not in view or

earshot of the other employees.

- Less-Than-Good Service Rating–Non-disciplinary – Service ratings are administrative

evaluations of an employee’s overall work performance, not a discipline. However, “Fair”

service ratings or “Unsatisfactory” service ratings can be issued with the same results as

discipline. They are formal notice to an employee that the employee is having problems, he or

she must improve and that monetary and promotional penalties may be imposed. Less-than-

good service ratings are issued to the employee with the same purpose in mind as discipline,

namely to achieve improved job performance. However, the State Personnel Regulations

provide that an employee can be dismissed for two consecutive unsatisfactory service ratings.

Service Ratings can be filed at the annual rating period, during or at the end of working test periods, or

in the interim if performance warrants it. The ability to file a service rating is defined in the collective

bargaining agreement. However, there should be a reasonable period of time between service ratings

to give the employee a chance to improve. During this interim period between service ratings, if the

employee is not making any progress you should conduct a fact finding and recommend either a

written warning or, if serious enough, recommend a suspension to once again let the employee know

he/she is still not meeting the required acceptable standards.

Progressive Discipline

“Progressive Discipline” is a technical term that describes the process of starting out with mild

corrective action against a particular employee, giving the employee a chance to improve, and then

gradually increasing the severity of the corrective action and the disciplinary penalty each time the

employee fails to improve, until the employee either finally does improve to acceptable levels or is

ultimately fired.

Service ratings are not disciplinary but usually parallel and reflect the progressive disciplinary steps

that have been imposed during the period covered by the rating. Therefore, an employee who fails to

improve may also be issued an unsatisfactory service rating, then another written warning or

suspension, followed by a second consecutive unsatisfactory service rating, and finally the dismissal.

As previously mentioned, there should be a reasonable period of time allowed after each stage of

corrective action or discipline for the employee to improve.

Progressive discipline is ordinarily used when there is a chronic continuing problem such as tardiness,

absenteeism, inferior work productivity or not following rules and procedures. In these types of

chronic problem situations the use of progressive discipline is required in order to establish that the

employee was given every chance to improve. However, progressive discipline is not required when

the employee has committed a more serious offense. Theft, fighting on the job, insubordination,

workplace violence, etc. are serious enough infractions to warrant suspension, or in some cases even

dismissal, without having to issue counseling or warnings first. In these situations, the level of

discipline to be imposed is decided by DOT Human Resources based on Departmental consistency and

practice.

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Fact-Finding Meeting

For the more serious types of offenses, the recommendation for discipline and the decision to issue

discipline is ordinarily made based on statements, evidence and facts brought out at a fact finding

meeting. This meeting is called together by a ranking supervisor or manager shortly after the event or

incident happened and is held for the purpose of determining just what happened and how, when, why

and who was involved.

The accused employee must be given advance verbal or written notice (preferably written) of the

meeting that includes a statement of the incident being reviewed, the time and place of the meeting,

and a statement that discipline may occur and therefore he or she has a right to union representation at

this meeting. If he or she declines representation, a written waiver should be signed by the employee.

If the employee wants a union steward or union staff representative present, but cannot obtain one

immediately, the fact-finding hearing can be postponed for a day or so to give the employee a little

more time to arrange the union representation. However, if the employee cannot obtain any union

representation within a relatively short period of time, i.e. two or three days, the employee should be

notified the meeting will proceed and they should seek an alternative representative. The only

exception is a fact-finder for an employee who tests positive for alcohol or drugs. Please refer to

Personnel Memo 94-2 for more information.

All who were involved in the incident should be questioned regarding what they know of the situation.

The supervisor, who is not a witness, conducts the meeting by questioning each person involved. This

may be accomplished through a group interview or individual interviews. The fact-finder gives the

employee or the union representatives a chance to ask questions. The supervisor should arrange to

have someone take good notes at the meeting. The supervisor then concludes the meeting without

expressing any opinions as to what the results will be, and prepares the fact-finding report. The report

should objectively describe the information gathered during the meeting and throughout the course of

the investigation. Please see the Fact-Finding Guide for additional information regarding preparing

and forwarding the report. Neither the employee nor the employee’s union representative should be

advised of the conclusion or given a copy of the report at this time. Any request for copies of the fact-

finding reports should be directed to the DOT Labor Relations Unit.

It is very important that the information obtained at the fact-finding meeting be as accurate and

complete as possible since this is the information on which the higher level supervisors, managers and

the Office of Human Resources must use to make their decision to issue the discipline. Supervisors

must be sure to draw out all the relevant facts and include them in their fact-finding reports.

- Employee’s Responsibility to Answer Questions – Generally, employees have the

responsibility to answer the questions put to them by their supervisor or manager.

Additionally, the manager/supervisor has a right to have the questions answered directly by

the employee, and does not have to permit the union or steward to speak for the employee.

Employees who are the subject of the charges may refuse to answer self-incriminating

questions without the threat of discipline; however, they should be advised disciplinary

decisions will be made based on the information available through the fact-finding. Employees

called as witnesses may not refuse to answer questions. Witnesses who refuse to answer

questions should be given a “direct order” to answer the questions and advised that failure to

comply can result in disciplinary action “up to and including dismissal”. Employees who

continue to refuse to answer questions after being told the above should be reported to DOT

Human Resources.

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- Administrative Leave – Occasionally, it may be necessary to send an employee home from

work for being unfit for duty, disruptive or insubordinate. Since we cannot “suspend” an

employee without “due process” the employee must be placed on paid Administrative Leave.

In most cases, employees who must be removed from the workplace in these situations can

return to work the next day, or immediately following the fact-finding meeting. Obviously,

Administrative Leave must be reserved for the most egregious behaviors in which the

employee is at risk or dismissal is being considered for the violation. You must consult with

your HR liaison prior to sending someone home on Administrative Leave.

In certain cases involving very serious charges of misconduct that could lead to dismissal, and

possibly even criminal activity, the employee may be placed on Administrative Leave in

accordance with State Personnel Regulations. Such action can only be taken when the

“employee’s presence at work would be harmful to the public or the welfare, health or safety

of the work environment”. If you think you have a situation which warrants this type of

action, consult your supervisors and DOT Human Resources.

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JUST CAUSE

Did the Department have “just cause” to take disciplinary action against the employee? This question

is asked by labor relations experts during all levels of grievances. Just cause is a standard or guideline

which is used to measure whether the discipline given was fair or not. The task of determining

discipline lies solely with the Human Resources Division as a result of fact findings. It is extremely

important for you, the supervisor, to understand what just cause is so you can be aware of when a fact

finding should be conducted which may result in disciplinary action.

In order for there to be just cause all of the following conditions have to exist:

1) Employee Awareness: The employee must have been made aware of the policy/procedure in

advance, and that discipline could/would result for violations. This is why it is so important

for supervisors to communicate and discuss policies, procedures and rules with employees on

an on-going basis. Individual counseling, where appropriate, should be provided before

serious discipline can be issued.

2) Reasonable Policy: The policy or rule which was broken must be a reasonable one and

related to the orderly, efficient and safe operation of the Department’s business.

3) Evidence: There must be substantial, good evidence that the employee did actually break the

rule or violate the policy. Such evidence need not be “proof beyond a reasonable doubt”, but

must be more than just a “hunch”.

4) Due Process: The employee must have had a fair and objective opportunity, before the

discipline is issued, to tell his or her side of the story and to defend himself or herself. This is

why the fact finding hearing process is so important. The supervisor or manager has the

obligation to ask detailed questions of everyone involved in the incident to try to find out

what really happened and why. Although the fact-finding meeting is conducted before the

discipline is issued, in some instances where the employee’s violation or behavior is

especially offensive, disruptive, or threatening, the Supervisor or the Manager should contact

their Human Resources Liaison immediately. The employee may be sent home immediately

on administrative leave with instructions on when to report back to work to attend a fact

finding meeting with union representation, if the employee chooses.

5) Consistent Discipline: Discipline is determined by the Human Resources Division. The

discipline must be consistent for similar situations. For example, two employees with the

same violation, same discipline record and equally at fault should be given the same

discipline. Of course, if there are different circumstances for each employee, then the degree

of the discipline can be different. Also previous violations and discipline of an employee

would factor into the level of discipline to be issued.

6) The Punishment Must Fit The Crime: The degree of discipline that is finally issued must

relate to the seriousness of the violation and the employee’s work record. The first level of

discipline is a written warning.

In a grievance or arbitration conference, the burden of proof is on the Department to show that it had

“just cause” to issue the discipline it did. If any one of the above six elements of just cause is faulty or

missing, then chances are the discipline will possibly be reduced or have to be removed.