Fact

FINDING

Manual

Connecticut Department

Of

Transportation

September 2015

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Table of Contents

When to Conduct a Fact-Finding/Administrative Investigation ................... 1

Fact-Finding ....................................................................................................... 2

Before the Fact-Finding ..................................................................................... 2

Planning for the Fact-Finding/Investigation ................................................... 3

Conducting the Fact-Finding/Investigation ..................................................... 4

Tips for Interviewing Witnesses ....................................................................... 8

Writing the Fact-Finding Report ...................................................................... 9

Fact-Finding Review Process ............................................................................ 9

Employee Generated Complaints for Investigation ...................................... 10

Matters That May Not Require Fact-Finding ............................................... 11

Definition of Terms .......................................................................................... 13

Index - (Forms and Samples) .......................................................................... 15

ADDITIONAL FORMS MAY BE FOUND IN THE OFFICE OF HUMAN RESOURCES

OR ON THE INTRANET

DO NOT ALTER ANY OF THESE FORMS WITHOUT PERMISSION FROM THE OFFICE OF

HUMAN RESOURCES

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When to Conduct a Fact-Finding/Administrative Investigation

This “Investigator’s Guide to Conducting Fact-Findings/Administrative Investigations” is a guide to help

you gather relevant facts, and identify all the pertinent issues so that a determination can be made

regarding the allegations or charges in an investigation. An investigation is a Fact-Finding. This guide

is not inclusive of every possible scenario or situation, but is a resource tool to assist managers and

supervisors who may have to conduct an investigation.

If an employee’s conduct needs to be reviewed based on a complaint or your own observation, different

procedures should be followed based on the complexity of the matter. As detailed below, a full “Fact-

Finding” will not always be needed or effective. However, this does not eliminate your responsibility to

exercise sound managerial/supervisory judgment and look into the matter, take appropriate action, and

document the handling of the matter.

A Fact-Finding/Administrative Investigation should be conducted whenever the actions of an employee

may potentially lead to disciplinary action. It is an opportunity for the employer to gather the facts and

determine if a work rule, policy, procedure, regulation or practice has been violated and render a written

report to the Director of Human Resources or designee. This document sets forth, to the extent possible,

which matters require a Fact-Finding and which do not.

It should be noted that there are also situations where an investigation is conducted by the Department’s

Internal Audits unit, the Department Security unit, or a law enforcement agency. In such instances, it may

be that no further investigation will be needed and depending on the result of that investigation, a

Loudermill meeting with the employee, his or her representative and Human Resources will occur.

Incidents of Sexual Harassment will be investigated by the Office of Equal Opportunity and Diversity

(OEOD). If the allegations are substantiated by OEOD, the report is forwarded to the Office of Human

Resources for a determination regarding appropriate disciplinary action. A Loudermill meeting is

convened with the employee, union or legal counsel, Human Resources and the Manager if appropriate.

Managers and/or supervisors are required to report any allegations brought to their attention or

that they have witnessed regarding sexual harassment, to the Office of Equal Opportunity and

Diversity immediately. Failure to report may result in disciplinary action. This Manual is not

intended to cover such investigations. As a supervisor or manager, however, before starting any

investigation or Fact-Finding procedure, you should, as a preliminary matter, determine whether the

matter should be referred to the Security unit or OEOD.

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Fact-Finding

Matters requiring Fact-Finding:

The following list of specific conduct requires a Fact-Finding:

(1) Workplace violence or threatened workplace violence;

(2) Violation of the drug and alcohol policies;

(3) Fraud or misrepresentation relative to CORE-CT time sheet entries, workers’

compensation, employment applications, or personnel documents;

(4) Theft of property;

(5) Misuse of State property (e.g., vehicles, computers, maintenance equipment);

(6) Accidents, Safety Violations;

(7) Employee misconduct;

(8) Inappropriate behavior/language in the workplace;

(9) Repeated absenteeism, tardiness, or any unexcused absences;

(10) Expired and/or loss of license (when the license is required to perform the job);

(11) Repeated performance or behavior issues.

In cases of violence in the workplace, the Threat Assessment Team will convene to make an assessment

whether or not the situation poses an immediate threat to the workplace. A decision will be made whether

or not to remove the employee from the workplace, or separate employees until an investigation is

undertaken. If an employee is removed from the workplace, in most cases, they shall be placed on

Administrative Leave with Pay in accordance with the Regulations.

Before the Fact-Finding

Notify your supervisor, manager or the Office of Human Resources.

Gather preliminary information as close to the time of the incident as possible by recording basic

facts such as: names of the affected individuals, witnesses, dates, times and circumstances etc.

Determine whether the employee(s) should be placed on Administrative Leave. This

determination should be coordinated through the chain of command and the Office of Human

Resources.

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Fill out “Report of Pending Fact-Finding” (exception; DOT Drug and Alcohol Policy related

incidents; check with your chain of command and /or HR for instructions).

A copy of the “Report of Pending Fact Finding” should be forwarded to the respective Manager(s)

in the chain of command, HR Liaison and Bureau Chief. Under certain collective bargaining

agreements such as NP-5 and P-5, the subject employee has the right to know the complainant,

and has the right to a copy of the complaint (See Index G, regarding Collective Bargaining

Agreements and the Investigative Process). Consult with Human Resources for any obligation(s).

A Fact-Finding/Administrative Investigation will be conducted by someone in a supervisory,

managerial or HR position. Identify at least one manager/supervisor to conduct the Fact-Finding.

Depending on the situation, the Fact-Finding/Administrative Investigation may be conducted by

an individual or as a team. If a team is identified then identify who will be the chairperson.

Additionally, depending on the situation/incident, the investigation may need to be conducted by

an individual(s) outside of the work unit.

If at all practicable, an investigation should not be conducted by a supervisor or manager who may

have first hand knowledge and participated in or witnessed an incident.

Planning for the Fact-Finding/Investigation

Once a determination has been made that a Fact-Finding is necessary, the following steps should be

taken.

1. Notify participants (subject, witnesses to the event, and/or subject matter experts) either orally or

in writing; however, notification should include the following:

A brief statement of the allegations or the reason for the investigation, including whether any

policy has allegedly been violated.

Date, time and place of the meeting.

For any employee who may be subject to discipline as a result of the Fact-Finding, include this

statement: “Disciplinary action up to and including termination may result from this Fact-

Finding Investigation”.

Employee(s) right to union representation. (It is the employee’s responsibility to contact the

union for representation)

See sample notification letters, as well as “Waiver of Representation” in Index.

2. Scheduling and Arranging the Fact-Finding/Administrative Investigation

Schedule the fact finding/administrative investigation as quickly and as close to the incident as

possible. Document if any of the principal participants are unable to attend and the reason,

such as the employee is in the hospital or on Workers’ Compensation.

Take into consideration that scheduling a Fact-Finding may be difficult due to union

availability and/or alternate work schedules.

Document any requests to reschedule the Fact-Finding (who requested and why). Try to work

with the union for a reasonable date/delay; however, the delay should not be more than a day

or two so not to unnecessarily delay the investigation. Use email to confirm if possible.

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Arrange for a meeting room that will accommodate a private setting and that has sufficient

space for the person(s) conducting the investigation, the employee and union representative,

and note taker if needed.

Arrange for accommodations for employees that do not speak English and may need an

interpreter, someone to perform sign language or may need other special accommodations.

(Notify the Office of Human Resources or the Office of Equal Opportunity and Diversity for

assistance).

Obtain witness statements if possible and practicable, which should be signed and dated.

Review and make copies of pertinent policies, procedures, work rules and relevant union

contracts.

Review any relevant supporting documents such as incident or accident reports, receipts,

photographs of a work area or accident scene, emails, written complaints etc.

Review history of employee(s) work record, date of hire, and prior discipline for all similar

offenses.

Prepare an opening statement and an outline of questions. The opening statement should

include meeting ground rules listed below and the consequences of not adhering to the ground

rules. The opening statement, for the employee being charged, should also include the

following statement: “Information obtained at this meeting could result in disciplinary action

up to and including termination from State service.

Prepare questions. Before starting with questions pertinent to the incident, gather background

information regarding the interviewee, such as: How long has the employee worked for the

Department/State government, official job title and work history in other titles, work location

and immediate supervisor. Questions should be based on the preliminary report of information

and aimed at finding out who was involved, what happened, where it happened, how it

happened, and when it happened. This manual contains suggested questions (Index B - page

8) to ask of each witness and tips for interviewing. Suggestions for framing questions are:

Use open-ended questions to gather information, such as: what happened, who was

involved, where did it happen, when did you report the incident, why did you move the

truck, how many times have you accessed these internet sites.

Clarify situations and circumstances, for example: (Help me understand why you did

not renew your license, explain the procedure that is normally used.)

Use close-ended questions where you are expecting a yes or no answer to clarify what

the witness has said. (Did you utilize a helper when proceeding to back the vehicle, Did

you utilize the computer for non-work related use.) Close-ended questions should be

used sparingly.

Determine the chronology of the events if necessary. (Tell what you did starting with

when you reported to work.) Ask follow-up questions to determine if the information

is consistent and to assist in determining credibility of the witness. (Help me

understand how Joe harassed you on May 1, when the records indicate he was not at

work.)

Conducting the Fact-Finding Investigation:

A. The Chairperson of the panel should:

(1) Introduce him or herself and the panel members.

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(2) Have all attendees/participants sign in (Index E - Sign-In Sheet).

(3) Advise all participants that recording devices are not allowed pursuant to Personnel

Memorandum 2009-4 “Electronic Monitoring” and get an affirmation that no one is recording.

(4) Advise everyone to turn off their cell phones.

(5) Define acceptable behavior for the meeting (e.g., no interrupting, no raised voices; being

honest, etc.).

(6) Explain that your role is to gather and determine the facts and make conclusions as to

whether the allegation is or is not substantiated. Your role is not to answer questions, but

to ask them.

(7) Explain that you will be taking notes.

(8) Ask questions, clarifying questions, and follow-up questions. As a Fact-Finding team,

the chairperson should invite other panel members to also ask questions.

(9) Use diagrams, maps or pictures of an area or incident for clarification of where people

were at the time of the incident, or to document the physical layout of a location.

(10) Summarize as necessary, to make sure you understand the responses correctly.

(11) Offer the witness the opportunity to let you know anything else relevant to the matter.

(12) Interview each person individually, starting with the witnesses and concluding with the

employee(s) being investigated. Witnesses other than the employee(s) who are the subject

of the Fact-Finding meeting should not be in the room until the time that each witness is

asked to testify.

(13) If during the Fact-Finding investigation, you become aware of information that potentially

may lead to disciplinary action for any witness not the subject of the Fact-Finding, stop the

interview of such witness. Tell the witness, based upon the information being provided,

that he or she may need to seek union representation and ask the witness if he or she wants

the opportunity to obtain representation. If the employee wants union representation and a

representative is not available, you will need to postpone the questioning of this employee

and reschedule. If the employee declines representation, the employee must sign the

"Waiver of Representation" form (Index F). If the employee refuses to sign the form,

document the employee's refusal, note the names of all witnesses to this refusal, notify

your Human Resources Liaison and continue the investigation.

(14) Close the interview of each witness with the following:

a) Ask if there is anyone else you should talk to who may have relevant information, and the

contact information for such potential witnesses;

b) Ask if the witness has any questions;

c) Advise the witness that he or she may be recalled if additional information or clarification

is needed;

d) Advise the witness that the information gathered in the Fact-Finding should be treated

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confidentially and not discussed with co-workers, others involved in the investigation and

others that do not have a need to know;

e) Notify the witness of who he or she can contact if he or she should have subsequent

questions or relevant information to provide;

f) Thank the witness and excuse them to return to work.

B. Handling situations that may arise:

(1) If an employee or witness does not show up, immediately contact the unit where the

employee works. If there is a reasonable excuse, such as the employee is on approved

leave, reschedule the interview for that employee or witness. Notify the employee or

witness of the new date, if possible, via email, giving the time and place and contact person

to call should that date and time be unworkable. Copy your Human Resources Liaison and

the employee’s union representative on the communication. If the excuse is unreasonable,

such as a refusal to appear, contact your Human Resources Liaison to make a

determination on whether to proceed or reschedule. Document your efforts.

(2) If the employee’s union representative does not show up, determine if another union

representative is available (your Human Resources Liaison will assist you with this) and

ask the employee if he or she will be willing to use the available representative. If the

employee is willing, document this and continue with the Fact-Finding meeting once the

union representative shows up. If the employee does not want to use the available union

representative, ask the employee if he or she wants to proceed without union

representation, and if the employee does, have the employee sign the Waiver of

Representation (Index F). If the employee wants union representation by the

representative who did not show up, reschedule the Fact-Finding meeting for the first

available date.

(3) If the employee who is under investigation brings an attorney in addition to a union

representative, the employee must choose one or the other as his or her representative. If

employee chooses the attorney, the employee must sign the Wavier of Representation

(Index F). The union representative may stay and listen, but cannot actively participate. If

the employee chooses the union representative, the attorney can stay and listen, but cannot

actively participate. Make sure your notes reflect who is representing the employee and

that your notes reflect that all parties present understand who is representing the employee.

(4) If an individual becomes distraught, allow him or her a few minutes to regain their

composure and then resume the meeting.

(5) In cases where there may be criminal charges pending against an employee who is under

investigation, it may be that the employee will refuse to answer the questions because of

concerns of self incrimination (5th

Amendment Right). In those cases, the employee is not

obligated to answer. You should still ask the questions, however, and document the

response given by the employee, union representative or attorney.

(6) If an employee who is under investigation refuses to answer your questions under any

situation, whether because of concerns of self incrimination or for any other reason, tell the

employee that if he or she chooses not to answer, the Agency will draw conclusions based

upon the information that you gather or which presently exists. Ask the employee if he or

she understands and document his or her response.

(7) If an employee who is under investigation or the union representative becomes disorderly

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to the point that his or her conduct precludes you from gathering information, inform the

employee that you will close the meeting and make a determination based upon the

information that you have if he or she does not bring his or her behavior under control. If

the employee remains disorderly after you give this warning, close the meeting, document

the behavior, what you told the employee and the time that the meeting was closed. Note

all witnesses present.

(8) If a witness (as opposed to the employee who is under investigation) refuses to respond to

questions, the witness can be given a direct order to respond. If the employee continues to

refuse to answer, advise the employee that failure to comply with a direct order may result

in disciplinary action up to and including termination. Ask the employee if he or she

understand the direct order and repeat it, if necessary, then document the situation and

excuse the witness from the meeting if he or she continues to refuse to answer.

(9) If a witness claims that he or she does not know anything or did not see anything, have the

witness sign and date a statement to that effect and give it to you.

(10) If a witness or the subject employee offers a written statement, it should be dated and

signed by the individual. A written statement should not preclude you from asking

relevant questions to address the allegation or clarify the information presented. Advise

the subject employee(s) of the right to union representation when preparing a written

statement.

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Tips for Interviewing Witnesses

Interview all witnesses separately in a private room.

Begin the interview by introductions and the purpose for the interview/investigation.

Ask the employee, witness, Union Representative or Steward to sign attendance roster (see

sample in Index E).

Take notes during the interview, occasionally repeating or summarizing the

statements/information given to ensure accuracy.

Ask open ended questions; avoid yes or no questions.

Ask one question at a time, avoiding compound questions such as: “What happened after you got

to the job site, who was there and why weren’t you there sooner.” This example can be divided

into 3 questions so that the employee has the opportunity to answer each separately.

Ask follow up questions.

Use silence as a way to encourage employees and witnesses to give the most complete statement.

Do not answer your question for the employee or witness. Ask them if they want the question

repeated or if they understand the question.

The employee and witnesses should be encouraged to respond completely and truthfully.

If the “subject” employee refuses to answer the questions, he or she should be notified that the

investigator will make their conclusion based upon the facts available.

If DOT witnesses refuse to respond to questions, the witness can be given a direct order to

respond by the person conducting the Fact-Finding/Investigation. The employee should be

notified that failure to comply with a direct order may result in disciplinary action up to and

including termination. Ask if they understand the direct order and repeat it if necessary,

document the situation and excuse the witness from the meeting.

If a witness claims that they do not know anything or did not see anything, have the witness sign

and date a statement stating such information.

Ask the employee and witnesses not to discuss the incident or interview/investigation with co-

workers.

Ask the employee or witness if there is any other information that they want to offer to help you

understand what happened.

Ask questions and communicate without accusation, sarcasm, hostility or emotion.

Maintain your objectivity, control your temper and be business-like.

Focus on the issue at hand and do not become distracted by extraneous information. If the

employee or witnesses appear to not answer the question, repeat the question and ask them to

address the question as asked.

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Writing the Fact Finding Report

A format for the memorandum to the Assistant Agency HR Administrator summarizing the report with a

conclusion that substantiates or does not substantiate the allegations/charges is included in the Index H -

Fact-Finding/Investigation Summary, Employee(s) date of hire and disciplinary history.

The Fact-Finding/Administrative Investigative report should include all relevant documents that were

referenced, submitted, or may corroborate the facts, i.e. Attendance Roster, “Waiver of Union

Representation” if applicable, a copy of policies, procedures, manuals, employee handbook, timesheets,

witness statements, receipts, photographs, medical documents, police reports, accident reports, mileage

reports, phone logs, maps, diagrams, emails, and any other materials that were presented during the

investigation or that aided in gathering the facts. Please make sure that pictures and photo copies are as

clear as possible. .

Please note that in accordance with the State Agencies’ record retention/Disposition Schedule as

authorized by the State Library, “any recordings or notes made during the course of an investigation may

not be destroyed until 5 years after resolution and expiration of appeal period” (emphasis added).

Therefore all notes, including individual handwritten notes, taken as part of the fact-finding process must

be included with the report and submitted to Human Resources as part of the official investigation record.

When writing the report, to the extent that is it applicable, the report should include the following:

A description of what was being investigated.

Date of the Fact-Finding and a list of witnesses and representatives.

The facts found, including the basis for finding the facts (what evidence supports your

determination of the facts found).

Describe any inconsistencies between witnesses and identify and determine witness credibility.

Employee discipline history.

Signature of Fact-Finder(s).

Information must be clear, concise, objective and factual.

DO NOT include the following in the report:

Slang or jargon that may be unfamiliar to others that may read the report.

Assumptions or speculation (reasonable inferences from the facts, however, can be drawn).

If there are business practices that should be improved upon, policies and/or procedures that need

to be updated or implemented, it is important to note it in a separate document to the appropriate

party, not in the report.

Fact-Finding Review Process

The chain of command of the Fact-Finding subject should be copied in the Fact-Finding

memorandum. The report should be reviewed and initialed by the appropriate unit manager, and or

bureau designee as well as the HR Liaison prior to review by the HR Administrator or Assistant HR

Administrator or designee.

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The Fact-Finding/Administrative Investigative packet will be date stamped upon receipt in Human

Resources. The Human Resources Liaison and managerial chain of command will be notified of the

results of the HR review and conclusions and any further action to be taken. If there is a

determination of disciplinary action, the Human Resources Liaison will be notified and will

coordinate a Loudermill meeting that will include the affected employee(s), the Union Representative,

Steward or Legal Counsel and the manager of the employees unit, district, or bureau.

Note: The Loudermill meeting is not a reopening of the investigation. It is an opportunity for

the accused employee to hear the allegation(s), the facts or information that determined the

conclusion, and the potential discipline. The Loudermill is a final opportunity for the accused

employee to provide additional or mitigating information for the Agency to consider.

The existing practice for NP-2 will continue.

Upon completion of the Loudermill meeting, the Human Resources Liaison will submit a

written synopsis of the meeting and draw a conclusion of whether or not there are

circumstances that mitigate the disciplinary action that the Agency is considering.

Some Fact-Findings/Administrative Investigations may also be reviewed by the Department of

Transportation’s legal unit in concert with the Department’s Office of Human Resources.

Fact-Findings/Administrative Investigations may be forwarded to the State’s Office of Ethics,

Auditors of Public Accounts or other investigative/regulatory agencies separate and aside from

the Department’s disciplinary action.

Note: The Fact-Finding report is subject to the Freedom of Information Act and may also be

requested under the respective collective bargaining agreement.

Direct any questions or requests from employees, witnesses, union representatives, stewards,

or the public concerning copies of the report to the Office of Human Resources; Human

Resources Administrator or Assistant Human Resources Administrator.

EMPLOYEE-GENERATED COMPLAINTS FOR INVESTIGATION

When an employee raises an issue and/or complaint to a manager, supervisor, or their Human Resources

Liaison, that may necessitate an investigation, inform the employee that it must be put in writing. This

can be accomplished by the employee providing you with a written statement of the issue/complaint or

you taking down the pertinent information. In either case, the employee must sign and date the written

summary and it should include the following:

A clear and concise narrative of the employee’s issues, concerns and or complaints.

The relevant facts associated with the issues, concerns and/or complaints, such as dates and places

that support the claims.

The names and work locations of potential witnesses the employee believes may have relevant

information that supports the information brought to you.

Documentation that is relevant to support the employee’s issues, concerns and/or complaints such

as memos, service ratings, personnel memoranda etc.

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If an employee indicates he/she just wants to tell you something and doesn’t want to make a complaint,.

be clear to the employee regarding your obligations, as a supervisor, to act and/or report situations.

REMEMBER:

If the employee is raising a complaint involving Sexual Harassment, you must immediately

refer the complaint to the Department’s Office of Equal Opportunity and Diversity (OEOD)

for their review and investigation. This is not an option.

Complaints of discrimination should be referred to the OEOD.

If the employee is making a complaint of being threatened, verbally or physically, contact

your Human Resources Liaison immediately to determine if the Threat Assessment Team

may have to be convened.

Matters that may not require Fact-Finding

At the other extreme from the conduct set forth above, are allegations or observations that supervisors and

managers need to investigate and deal with as part of their routine supervision or management of staff.

The following list provides examples of such conduct:

(1) Employees disagreeing with one another.

(2) An interpersonal disagreement between employees.

(3) An employee not being responsive to his or her supervisor’s direction.

(4) Disruptive behavior, not falling within the list set forth on previous pages.

(5) Lack of professionalism.

(6) An employee complaining that he or she is not being treated with respect.

(7) An employee complaining that the work area is too noisy.

(8) Imposition of or removal of a medical certificate requirement.

(9) NP-2 Less Arduous Duties/Article 39 (although not disciplinary, a union representative should

be included).

For these types of allegation or observations, the responsible supervisor or manager should talk to the

subject employee or employees and, based on that, give such employee(s) clear direction on what will be

expected of him, her or them going forward. You should then get a commitment from the employee(s)

that they will conduct themselves accordingly and document the incident noting the following:

> The date and time of the alleged incident;

> What was alleged or observed;

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> Who was involved or affected;

> What such individuals said;

> What you determined, including whether any policy was violated;

> The direction you gave him, her or them;

> Identify next steps, if appropriate;

> Identify roles and responsibilities if follow-up is required.

If after giving such direction, incidents re-occur, you should continue to perform your role as a supervisor

or manager to handle the situation. Consultation with your Human Resources Liaison is always available,

but you are responsible for supervising your staff.

If, through your discussions with the subject staff, you realize the matter involves conduct that more fairly

falls within those matters that require Fact-Finding, a Fact-Finding procedure should be followed. In such

case, you should speak with your supervisor, consult with your Human Resources Liaison and proceed as

directed by him or her. Similarly, if the employee's or employees' unacceptable behavior continues after

repeated attempts to modify the same, a Fact-Finding procedure may be in order. Again, consult with your

Human Resources Liaison concerning this.

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Definition of Terms that are frequently used and/or

associated with a Fact-Finding/Investigation

Term Definition

Fact-Finding An administrative meeting to gather the facts usually regarding an incident

that has some relationship to the employee’s employment. The word Fact-

Finding or Investigation may be used interchangeably.

“Just Cause Standard” “Just Cause” means that before discipline can be imposed there is a reason

for the disciplinary action to be taken which is neither arbitrary nor

capricious, but should be supported by a thorough and fair investigation.

Witness Statements Statements generally prepared and submitted by a witness, or witness(es),

or person who may possess information related to the investigation. Such

statements should be dated and signed by the person making the statement.

If the statements are written by someone interviewing the witness, the

preparer should write the statements in the witnesses own words and read

back the statement for accuracy. The preparer should also sign and date as

the preparer or investigator.

Weingarten Rights The right to union representation when it is reasonably believed that the

individual may be the subject of discipline. If you reasonably do not have a

reason to “notice” a witness that he or she may need union representation

prior to the fact finding, and during the course of the fact finding it becomes

clear through the testimony that the witness may be subject to discipline,

stop the testimony immediately. Tell the individual that it appears that they

may need union representation. Reschedule the meeting with the employee

and their union representative, recap the information from the previous

meeting and continue to gather the relevant information.

Loudermill Meeting A meeting that affords an employee the opportunity to respond to the

charges against him/her and provide mitigation to the proposed disciplinary

action. The employee may respond orally or in writing why the proposed

action should not be considered. This administrative meeting is conducted

before discipline is imposed. The Loudermill will generally be conducted

by Human Resources and/or the appropriate manager or supervisor. Notes

should be taken and a conclusion articulated in writing to the Human

Resources’ Administrator and/or Assistant HR Administrator. The

conference can be conducted by HR and/or the appropriate manager or

supervisor. The employee has the right to have union representation or

legal representation. The Loudermill is not an investigation.

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A Loudermill meeting is required for bargaining unit employees as well

as employees not represented by a collective bargaining unit for

suspensions, disciplinary demotions or transfers, and terminations

including terminations related to two consecutive unsatisfactory service

ratings. It is recommended for written warnings and other lower

levels disciplinary actions.

Sperl Meeting A conference that affords an employee that does not have protected

property rights in continued employment, the opportunity to discuss his or

her side of what happened. The employee has the option to attend such a

conference with their union representative or their attorney. This is not a

grievance hearing. Therefore, it should not be conducted as such however,

notes should be taken and a conclusion articulated in writing to the Human

Resources’ Administrator and or Assistant HR Administrator. The

conference can be conducted by HR and/or the appropriate manager or

supervisor.

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INDEX OF FORMS/SAMPLES

A. Preliminary Report of Pending Fact Finding/Investigation………………….16

B. Involved Person or Witness Statement Form………………………………….17

C. Sample Notice Memo (Employee Subject of Investigation)…………………..19

D. Sample Notice Memo (Witness)………………………………………………...20

E. Attendance Roster for Fact Finding/Investigation (Sign-In Sheet)…………..21

F. Waiver of Rights for Representation…………………………………………...22

G. The Right to Union Representation (Contract Resources)…………………...23

H. Fact Finding/Investigation Summary………………………………………….24

I. Employee Discipline……………………………………………………………..25

ADDITIONAL FORMS MAY BE FOUND IN THE OFFICE OF HUMAN RESOURCES

OR ON THE INTRANET

DO NOT ALTER ANY OF THESE FORMS WITHOUT PERMISSION FROM THE

OFFICE OF HUMAN RESOURCES

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Index A

CONNECTICUT DEPARTMENT OF TRANSPORTATION

Preliminary Report of Pending Fact-Finding/Investigation

Employee(s) Involved Job Title Work Location Unit/Crews

(Please Print)

1.

2.

3.

4.

5.

Date of Observation/Incident:____________________________ Approx. Time: _________

Location of Observation/Incident:___________________________________________________

Person Reporting Incident:_________________________________________________________

_________________________________________________________

Work Location or Address Phone No.

Witnesses (if any) _____________________________________________

Name and Title (Print)

_____________________________________________

Contact Information

_____________________________________________

Name and Title (Print)

_____________________________________________

Contact Information

Attach a brief description of the incident observed/reported (include any equipment involved;

police report; pictures of the incident or accident scene…)

Manager or Supervisor Follow-up: Fact Finding Meeting Scheduled

Date: _______________ Time: __________ Location: ____________________________

Managers or Supervisor

_____________________________________________________ ___________________

Signature Date

___________________________________________________

Print Name

cc: Unit Manager/Administrator HR Liaison

18

Index B-1

INVOLVED PERSON OR WITNESS STATEMENT (Please print or write legibly)

(Attach additional sheets as necessary)

Involved Person: A person who is directly and significantly affected by or involved in an incident. In

addition to the Department’s employee, an involved person may be but not limited to, someone outside of

the Department, such as a member of the general public, contractor, another State agency or someone

doing business with the Department.

Witness: A person who observed the incident. A witness is usually not the person being charged.

Check One

Are you an Involved Person ________or Witness________?

Name: ____________________________________ Date: ________________________

Job Title: __________________________________ Work Unit: ____________________

It is important to be clear and factual to the following questions to the best of your ability. Any attempt to

be untruthful, purposely omit important and relevant information or misdirect the investigation will lead

to disciplinary action, up to and including termination.

Describe what happened. Include date(s); approximate time of day and location. Be clear and concise in

your description of the incident. Include a drawing, photograph or map of the area if needed.

Who was involved? (Identify other involved persons and witnesses) Include names, job titles, if known

and any other indentifying information. Were there any injuries, if so, describe the extent of the injury and

medical follow up, if known.

Was the incident reported? If so, who reported the incident and who was it reported to? What course of

action was taken?

Name:____________________________________________ Date:________________

Investigator’s Name:_________________________________ Date:________________

19

Index B-2

What equipment if any, was involved or damaged? Include equipment number if known.

In situations of bullying or threatening behavior, did you feel threatened, if so, describe specifically what

the person said or did to make you feel threatened or afraid.

If this situation involves workplace violence, bullying, an altercation or other type of dispute, determine

whether the individuals involved can continue to work together. If the employee tells you that he or she

cannot work with the other individual, determine the basis for their concern and offer them a temporary

reassignment if possible.

Was this situation reported to local law enforcement? Identify who was notified, when, and is there a

report that resulted, such as a police report, if so attach a copy of the report to this document.

Was a policy, procedure or regulation violated? If so, identify the policy, procedure or regulations.

Is there anything else that you want to add that was not asked or that you want to include? If so, please

include below or attach to this document.

Name:___________________________________________ Date:_______________

Investigator’s Name:________________________________ Date:_______________

20

Index C

SAMPLE MEMORANDUM

“Subject” Employee

To:

From:

Subject: Fact Finding Meeting

This memorandum is to inform you that you are required to attend a Fact-Finding meeting on

__________________________ at _________ in room _____________________________. The Fact-

Finding is regarding allegations that (Insert allegations and policy violations here)__________________

_____________________________________________________________________________________

_____________________________________________________________________________________

You are advised that you may bring a union representative as the Fact-Finding investigation may result in

disciplinary action against you up to and including termination. If you choose to waive your union rights,

you will be required to sign a Waiver of Representation.

If you have any questions concerning this Fact-Finding investigation, you may call me at

_________________.

cc: Union Representative (email or fax)

Employee’s Supervisor, Manager

Human Resources Liaison

21

Index D

SAMPLE MEMORANDUM

“Witness”

To:

From:

Subject: Fact Finding Meeting

You are required to attend a Fact-Finding meeting on __________________________________ at

__________ in room ___________________________________________. The Fact-Finding meeting is

regarding (Insert allegations and policy violations here)____________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

You are being called as a witness regarding this matter, and therefore, it does not appear to be necessary

for you to have union representation.

If you have any questions, please call me at ________________________.

cc: Human Resources Liaison

22

Index E

Attendance Roster Fact Finding/Administrative Investigation

Date: ________________________________

Name Job Title Location Phone # Union Rep. /Steward

1.

2.

3.

4.

5.

6.

7.

8.

Fact finding/Investigative Panel

Name Job Title Location Phone#

1.

2.

3.

4.

Human Resources Representative

Note Taker

Name Job Title Location Phone#

23

Index F

Connecticut Department of Transportation

WAIVER OF RIGHTS FOR REPRESENTATION

This document is to be signed if the employee is not represented by his or her collective bargaining

Steward or Staff Representative for the meeting referenced below.

I, _____________________________________________, have been advised that I have the right to

union representation (Steward or Staff Representative) and voluntarily elect to waive my rights to such

representation during this fact finding/Loudermill or other Administrative meeting/investigation.

At __________________________________________________ on________________

(Location or Office/Unit) Date

By_____________________________________________________________________

(Name and Title of Person Conducting the Meeting)

________________________________________________ __________________

Signature of Employee Date

_________________________________________ _______________ Signature of Witness Date

This document does not preclude the above employee from securing union representation in future

matters, or changing their mind in the above referenced matter. A copy of this document shall accompany

the report.

Copies of this form may be requested from your respective HR Liaison.

cc: Unit or District Human Resources Office

24

Index G

The Right to Union Representation

The right to union representation is not applicable to every meeting that the employer has with an

employee. It applies to an interrogation or an investigatory interview into an incident or action that the

employee reasonably believes may subject him or her to disciplinary action. This does not apply to the

giving of instructions, training or needed corrections of work performance.

If an employee comes to a supervisor or manager and confesses misconduct, and you as the supervisor

want to question the employee about the matter, it is important to immediately advise the employee of

their right to union representation because the discussion may lead to disciplinary action against the

employee.

Below are some of the contract articles of the respective collective bargaining that you should be aware of

before starting to question, investigate or interrogate an employee.

NP-2 (Maintenance & Service Unit)

Article 17, Investigatory Review

P-5 Administrative & Residual

Article 14, Dismissal, Suspension, Demotion or Other Discipline

NP-3 AFSCME – Clerical

Article 16, Dismissal, Suspension, Demotion or Other Discipline

P-4 CSEA Engineering, Scientific and Technical

Article 15 – Discipline, Suspension, Demotion and Dismissal

P-5 Connecticut Police and Fire Union

Article 17: Dismissal, Suspension, Demotion and other Discipline

General Principal: Any permanent employee, which includes those covered under collective bargaining,

confidential, or managerial, should be noticed of their right to representation during a meeting whereby

the employee is part of an investigation or interrogation concerning an incident or action which may

subject him/her to disciplinary action. If they decline, they are to sign the “Waiver of Representation”. If

the employee declines to sign the waiver, call the Office of Human Resources immediately.

25

Index H

STATE OF CONNECTICUT subject: Fact-Finding Meeting Summary

DEPARTMENT OF TRANSPORTATION

M E M O R A N D U M date: to: Wanda N. Seldon from:

Assistant Human Resources Administrator

Bureau of Finance and Administration

Employee: _____

Job Title: _____

Employee Number: _____

Location: CORE/HRMS Location #: ___________

Fact Finding Date: Date of Incident: Prior Discipline: (Yes) (No) (Employee History attached)

Allegation(s) and investigation information: (Attach an additional sheet if needed and label “page 2”)

Supporting facts that do or do not substantiate the allegation(s)/charge(s):

Conclusion based upon the facts being substantiated or not:

Reviewed by:

/ _________________________________ ___________

Print name / Signature Title Date

Human Resources Review & Disciplinary Decision:

Wanda N. Seldon / Asst. Human Resources Administrator 3 ____________

Print name / Signature Title Date

No Discipline Counseling Written Warning Suspension Termination Other

For suspension only: (# of days) Work/ Calendar

Comments:

cc: Revised 1/2010

26

Index I-1

Employee Discipline Normally “Progressive Discipline” is utilized when a manager or supervisor needs to bring a deficiency to

an employee’s attention. However, not all actions warrant progressive discipline. Neither coaching nor a

counseling are considered disciplinary and records of such are not placed in the employee’s official

personnel file; however, for purposes of performance evaluations and progressive discipline, managers

and supervisors should maintain such records. The manager’s or supervisor’s documentation should

include identifying the employee, date of counseling, issue discussed and any follow up or remedial

action if needed.

All offenses do not start with a coaching, counseling or written warning. There are offenses that would

automatically merit a suspension, demotion or dismissal. In determining the appropriate level of

disciplinary action, some of the factors to consider are:

The employee’s past work record which includes disciplinary history, years of State service and

whether or not the employee is on an initial or promotional working test period.

The effect of the offense on the Department’s efficient operation.

The seriousness or type of offense as it relates to the employee’s duties and responsibilities within

the Department including the possible impact on other employees or the public.

Any mitigating or aggravating circumstances surrounding the offense.

The nature of the policy, procedure or work rule violated.

The uniformity of enforcement of a policy, procedure, or work rule.

The most common types of disciplinary action that are in accordance with progressive discipline

constitute the following, and each is placed in the employee’s personnel file and is subject to grievance.

Written Warning:

A written warning shall normally be used when a first offense warrants some form of disciplinary action;

i.e., first violation of a safety policy. The purpose of a written warning is to place the employee on notice

that continued misconduct, unacceptable performance and certain violations of policies and procedures

may result in more severe disciplinary action. A written warning should be non- punitive in nature but

written to correct behavior. A policy, procedure, or work rule can be attached to the written warning as a

reminder or as an enforcement of the corrective measure.

Suspension:

A suspension shall be imposed for a specific and serious breach of policy, procedure, and work rule.

Examples include but are not limited to, misconduct, insubordination, violation of the DOT Backing

Policy, violation of the DOT Drug and Alcohol Policy, utilizing State equipment, materials and/or time

for personal use, neglect of duty, unauthorized leave of absence, failure to follow a directive, failure to

maintain a current CDL or MEC if required for your job, etc. A suspension may be warranted for a first

time offense as in some of the examples above. A suspension may also be the result of repeated offenses

that initially resulted in a written warning.

Demotion:

A disciplinary demotion should be considered when an employee has demonstrated that based upon their

work performance, inefficiency, incompetence or misconduct, the employee cannot effectively carry out

the duties and responsibilities associated with their job. However, the employee may be able to perform

satisfactorily in a lower level job. An unsatisfactory service rating may result in a demotion.

27

Index I-2

Dismissal:

Dismissal is the most severe action taken in the employee disciplinary process and is reserved for

situations when an employee has repeatedly demonstrated an inability to follow the Department’s and/or

unit’s directives, policies, procedures, work rules, orders and other forms of disciplinary action have been

exhausted. Dismissal is also a result of first offenses when the conduct is of such a serious nature that

dismissal is warranted. Examples of offenses that warrant dismissal would constitute but are not limited

to: falsification of a document such as a Medical Certificate, theft, violation of the Department’s Drug

and Alcohol Policy of a third positive, tampering with or falsifying a drug test, conviction of a felony,

illegal weapon and/or drugs in the workplace and/or on State property, unauthorized leave of absence for

five (5) or more days or failure to return to duty within five (5) days following authorized leave, two

consecutive unsatisfactory service ratings, etc.

The following are examples of offenses that may result in variable penalties, up to and including

dismissal from State service. The penalty imposed shall be determined by among other factors, the

severity of the violation. The following is by no means to be an exhaustive list, but represent the

more common offenses in the Department.

Sexual Harassment

Violence in the Workplace

Verbal and/or physical altercation with an employee or the public

Equipment damage or loss of equipment

Poor Judgment

Failure to report an incident in a timely manner

Fraudulent use of sick time

Off duty misconduct that may have a nexus to the job

Loss of License

Employee Misconduct

Violation of the Department’s Workers’ Compensation Policy

Violation of the Department’s Computer Acceptable Use Policy

Violation of the Department’s and Office of State’s Ethic Policy

Bullying and/or Harassment

Failure to be aware of surroundings

The following list of offenses associated with levels of discipline is a guideline. It is not all inclusive

and is subject to future policy changes. Other factors continue to be considered such as but not

limited to the extent of the damage, negligence of the operator etc… that may necessitate a more

severe level of disciplinary action.

Written Warning (1st offense for):

Safety Violations (wheel chocks, seat belts, torquing wheel lug nuts, wearing protective equipment such

as steel-toed shoes, hats, vests gloves, goggles etc.).

Damage to equipment due to:

Not aware of surroundings

Violation of traffic laws (following too close, traveling too fast for conditions, unsafe lane change)

28

Failure to keep vehicle under control

Index I-3

Failure to secure loads

Poor judgment

Careless operation of vehicle or equipment

Improper sign patterns

Failure to pre-trip vehicle

Missing equipment

Failure to report, or not accurately reporting an incident, accident, injury or damage

Unproductive

Failure to follow procedure

Inappropriate behavior/language

Employee conduct, such as inappropriate language, verbal confrontations/altercation

(non- physical)

Attendance and Tardiness Issues, including 2nd

no show for 100% snow call in

Misuse of computer (not involving pornography or other illegal activities)

First offense – Alcohol breath Test between 0.02 - 0.04

1-Day Suspension

1st Offense – Allowing Medical Card or CDL License to Expire (CDL Drivers)

2nd

Offense – Violation of Alcohol and Drug Test Policy

Alcohol Breath Test between 0.02 - 0.04

2nd

Violation of Safety Policies or 1st Violation when damage is excessive

2 – Day Suspension

1st Offense - Backing Policy

1st Offense – Violation of Alcohol and Drug Test Policy

Alcohol Breath Test at or over 0.04

3 - Day Suspension

2nd

Offense – Backing Policy

3rd

Offense – Violation of Alcohol and Drug Test Policy

Alcohol Breath Test between 0.02 – 0.04

29

Index I-4

5 – Day Suspension

3rd

Offense – Backing Policy

10 – Day Suspension

1st Offense – Violation of Alcohol and Drug Test Policy

Positive Drug Test

2nd

Offense Violation of Alcohol and Drug Test Policy

Alcohol Breath Test at or over 0.04

20 – Day Suspension

2nd

Offense – Violation of Alcohol and Drug Test Policy

Positive Drug Test

Termination

Falsification of Official Documents, such as but not limited to: Medical Certificate,

Employment Application

Theft

Excessive Pornography

Sexual Harassment, allegations substantiated by OEOD

3rd

Violation of Alcohol and Drug Test Policy

Positive Drug Test

4th

Violation of Alcohol and Drug Test Policy

Alcohol Breath Test between 0.02 – 0.04

3rd

Violation of Alcohol and Drug Test Policy

Alcohol Breath Test at or over 0.04

Tampering with or falsifying a drug test