2002_Annual_CHRO_Compliance

Commission on Human Rights and Opportunities (1999)

In March 1999, the Legislative Program Review and Investigations Committee authorized a study of the Commission on Human Rights and Opportunities (CHRO). The scope of the study approved by the committee called for an examination of the mission, policies, structure, and management of the commission related to the handling of illegal discrimination complaints. The scope excluded the contract compliance and state agency affirmative action plan responsibilities of the commission.

The study was prompted in part by turmoil at the commission in recent years, evidenced by: several discrimination lawsuits filed by CHRO employees against other CHRO employees and managers; controversial actions on the part of the former executive director, who held the position from 1991 to July 1998; and high turnover among CHRO commission members.

In the years immediately preceding the study, significant statutory amendments to the CHRO enforcement process were made. These include: the creation of the merit assessment review (MAR) system; the addition of mandatory mediation; and the tightening of the time frame within which investigators have to do their work. Other significant changes gave the complainant the unilateral right to seek a release of jurisdiction after a MAR dismissal, and full-time hearing officers were established.

In addition, considerable internal agency administrative change took place. In considering the most useful direction for the study in 1999, the program review committee balanced the fact of tremendous management change at the agency in the preceding 18 months with the concerns prompting the study, many of which predated the management changes.

During the course of the study, the committee made a number of findings related to the discrimination enforcement operations, including:

Over the years, the role of the commissioners in CHRO's original function -- enforcement -- has grown smaller.
Commission authority was strengthened, or at least clarified, regarding its authority over the executive director.
Overall, CHRO's commission structure is similar to other Connecticut commission structures, except appointed members are not approved by the legislature.
CHRO statutes have always contemplated both investigation and voluntary resolution of complaints.
The combination of mediation and investigation functions in a single CHRO investigator at a minimum can create a perception of conflict for the parties. Also, different skills and training are needed because the two activities are so different.
Policies and regulations related to several aspects of the complaint enforcement process are unclear, outdated, or nonexistent, and need further development.
The use of a quantitative production standard for enforcement staff carries some risks. In light of time frame standards, production standards may be irrelevant.
CHRO does not have a formally structured training program or a cohesive training manual for its enforcement workers.
The existing case tracking system has a number of deficiencies, including poor documentation and insufficient checks on data entry.
The internal CHRO staff discrimination complaint process is reasonable.

The challenge for legislative oversight purposes was to determine, at the time of the study, whether the solutions to CHRO problems called for further statutory change or whether the focus should be to give the new management a chance to work within the current statutory framework. In either case, the enforcement of Connecticut's civil rights laws is a critical function of state government, which cannot be allowed to flounder if only in perception.

The committee recommendations took into account the promise of new leadership, but also suggested ways to promote consistency and objectivity in the execution of the complaint enforcement process, along with increased focus on maintaining accurate data for management purposes. The program review committee findings and recommendations fell into three main areas: 1) commission structure; 2) the discrimination enforcement process; and 3) management. As the table below shows, CHRO has made significant progress in addressing the committee recommendations.


Summary of Compliance with Committee Recommendations
*Recommendation*	*Status*	*Comment*
CHRO commissioner appointments should be subject to the advice and consent of the legislature.	Full	P.A. 00-150 passed, requiring CHRO commissioners be approved on the advice and consent of both houses.
Investigation guidance documents should be reevaluated, training maintained, and MAR activities monitored to assure consistency among regions. Commissioners must be kept informed of MAR activities.	Full	The chief field officer conducts case reviews at weekly regional office visits. A committee established in the fall of 1999 to review all forms continues to meet monthly. In fall 2000, CHRO began tracking reasons for reconsiderations of MAR cases to determine if additional training was needed. MAR reports are submitted to commissioners as required.
Mediation and investigations components should be separate, and mediation policies should be established.	Partial	CHRO reports it still does not have sufficient staffing levels to allow for the creation of a separate mediation unit in each regional office. Regional managers have been directed to adopt a more active role in facilitating settlements at the very beginning of the complaint process.
CHRO should assure respondents are informed at complaint notification if complainant is represented by counsel.	None	The complaint service letter still does not specifically indicate to a respondent the name of the complainant's counsel if represented.
Uniform operating policies and procedures for the Public Hearing Office should be established, and all human rights referees should be trained in those policies to ensure consistent procedures in contested case proceedings.	Partial 02	P.A. 00-150 required the commission, in consultation with the executive director and chief human rights referee, to develop regulations and rules of practice per the Uniform Administrative Procedure Act. CHRO anticipates final proposed regulations will be submitted to the Regulations Review Committee no later than May 24, 2002.
CHRO should establish a follow-up evaluation form for feedback from parties to complaints, and responses should be reviewed, summarized, and shared throughout CHRO.	Partial 02	CHRO has given union members assurances the followup evaluation form will not be used for disciplinary purposes. CHRO expects the form should be implemented by Spring 2002.
Case performance standards shall be established.	Full	A performance standards review committee met monthly during 2000 to develop an alternative method of evaluating investigative staff performance different from the number of case closures. A form to rate quality of determinations has been developed and used in all regions.
Formal evaluation of training curriculm should be done, along with a training needs assessment. A comprehensive training and professional development program should be instituted.	Full	A needs survey was conducted and a training committee established to further assess needs and to develop a more structured approach to agency training. A roundtable discussion between field investigators and legal staff has been instituted at the quarterly agencywide meetings to discuss legal interpretations and procedures as well as other pertinent issues.
CHRO should re-examine its case coding system and fix accountability for data recording.	Full	Various user groups reviewed the status codes and modified them to be more precise and relevant. Regional managers and the chief of field operations are annually evaluated based on compliance with the Case Tracking System.
Establish a uniform automated management information system for regions.	Full	CHRO reports the Case Tracking System is designed to provide essential enforcement data for the regions and central office management.
Establish overall process performance measures, including time frames.	Partial	CHRO maintains insufficient staffing levels continue to preclude the establishment of specific timeframes for complaint handling. However, timely and accurate reporting, tracking of activities, and additional training have been stressed with regional staff to ensure effective caseload management.
Continue to assess technological resources and equipment needs for enforcement operations.	Full	CHRO plans to replace oldest computers in regional offices as soon as it receives approval from the Department of Information Technology. E-mail and internet access are available to all agency employees.
Proceed with plan to request additional staff resources.	Full	Most recent budget submission included several positions for regional office case processing.