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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.
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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.
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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
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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.