Waterford Title IV Compliant Process

COMPLAINT PROCESS 
All Title VI complaints will be filed in accordance with the following procedures: 
Any person alleging to be aggrieved by a discriminatory practice may in person or 
through a legal representative, obtain a Title VI Complaint Reporting Form, fill it 
out and file said complaint with the Title VI Coordinator.  Form must be filed 
within 180 days following the date of the alleged discriminatory action; or the 
date when the person(s) became aware of the alleged discriminatory action. 
Alternatively, the Title VI Coordinator may complete the Complaint Reporting 
Form and attach the Complainant's letter. 
The Town of Waterford’s Title VI Coordinator will be notified of all Title VI 
complaints. The Title VI Coordinator will review the complaint and inform the 
appropriate Department. 
Complaints must be in writing, signed by the Complainant or representative, and 
include the Complainant's name, address, and telephone number, or other means 
by which the Complainant may be contacted. Complaints shall explain as fully as 
possible the facts and circumstances surrounding the alleged discriminatory 
action, and identify the individual(s) and/or organization(s) responsible for the 
alleged discriminatory action. 
In cases where the Complainant will be assisted in converting an oral complaint 
into a written complaint, the Complainant is required to sign the written 
complaint. Signed allegations of discrimination received by facsimile or e-mail will 
be acknowledged and processed. Complaints received by telephone will be 
reduced to writing and provided to the complainant for confirmation, revision and 
signature before processing.  
The Title VI Coordinator receiving the written complaint will review the written 
complaint to ensure that the required information is provided, the complaint is 
timely, and is within the appropriate jurisdiction. The complaint will be accepted 
unless it is withdrawn, is not filed in a timely manner, or the Complainant fails to 
provide the required information after a written follow-up request for the missing 
information. 
Issues that do not involve discrimination or are not based upon a protected 
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basis will not be directed to the appropriate entity. Individuals should never be 
discouraged from filing a written complaint. 
COMPLAINTS FILED AGAINST THE TOWN OF WATERFORD 
Written complaints filed with The Town of Waterford will be investigated by the 
Title VI Coordinator. If the Town of Waterford is named as the Respondent in a 
complaint regarding the senior transportation program, the complaint will be 
forwarded to the CT Department of Transportation. The allegation(s) will be 
analyzed by CT DOT and the Complainant will be notified by CT DOT of the status 
of the complaint. The CT DOT Title VI Specialist may conduct an independent 
evaluation regarding affected Department policy and may direct actions be taken 
within the Senior Services Department to address any policy deficiencies 
regarding the transportation program. 
A complaint log will be maintained for all complaints filed with and investigated 
by the Town of Waterford. The Investigator will advise the Complainant of his/her 
rights under Title VI as amended and related statutes 
The Respondent (the TOW Department Head and employee related to the service 
area of the complaint) will be notified by the investigator that he/she has been 
named in a complaint. The letter will indicate the Investigator's name and inform 
the Respondent that he/she will be contacted for an interview. The 
complaint investigation will be completed within sixty (60) days of the date of
receipt. 
TITLE VI COMPLAINT INVESTIGATION PROCESS 
WHAT IS AN INVESTIGATION? 
An investigation is an official inquiry for the purpose of determining 
whether there has been a violation of the laws or statutes and includes a 
determination of appropriate relief where a violation has been found. An 
investigation requires an objective gathering and analysis of the evidence, which 
will ensure that the final decision is as accurate as possible. 
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WHAT IS THE ROLE OF THE INVESTIGATOR? 
 
The investigator is a neutral party provided by the agency to conduct an 
investigation of the issues raised in a complaint. The investigator's behavior, 
demeanor, and attitude reflect the agency and may affect the degree of 
cooperation received from the parties. The investigator has an obligation to 
identify and obtain relevant evidence from all available sources in order to resolve 
all of the issues under investigation. The investigator is not an advocate for the 
complainant or the respondent. The investigator is a neutral fact finder. 
 
WHAT ARE THE RESPONSIBILITIES OF THE INVESTIGATOR? 
 
The Investigator MUST: 
 Never tell the parties that the complaint represents a good case or that the 
complaint is frivolous 
 Always remain neutral. Do not take sides 
 Write the facts. State what the facts are based upon the evidence or 
testimony; 
 Stay in control at all levels of the process 
 Decide who is to be interviewed. If the Complainant or the Respondent is 
adamant about a witness interview, perform the interview 
 Decide when sufficient evidence has been gathered to begin writing the 
investigative report 
 Always remain professional and polite; 
 Be patient 
 Be a good listener 
 
THEORIES OF DISCRIMINATION 
 
A Theory of Discrimination refers to the Type of Discrimination as follows: 
 
INTENTIONAL DISCRIMINATION/DISPARATE TREATMENT 
 
The decision maker was aware of the complainant's race, color, national origin, 
sex, age, or disability and acted at least in part because of that information. The 
action was taken because of the complainant's race, color, national origin, sex, 
age, or disability. 
 
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DISPARATE/ADVERSE IMPACT 
 
Discrimination, which occurs when a neutral policy or procedure has a 
disproportionate impact on a protected class. The practice, even though applied 
equally to all, has the effect of excluding or otherwise adversely affecting a 
particular group. 
 
RETALIATION 
 
Discrimination against persons because of the filing of a complaint, participation 
in an investigation, or opposing a practice made unlawful pursuant to the laws.                             
 
ELEMENTS OF PROOF 
 
HOW DOES THE INVESTIGATOR PROVE DISCRIMINATION? 
 
ESTABLISH A PRIMA FACIE CASE - The complainant has the responsibility of 
initially establishing a prima facie case of discrimination. A prima facie case means 
that the complainant has provided information, which contains all of the 
elements necessary for a complaint of discrimination. Establishing a prima facie 
case requires the following elements: 
 
1. Complainant is a member of a protected group 
2. Complainant was harmed by some decision; AND 
3. Similarly situated persons of a different group were not or would not 
have been harmed under similar circumstances. 
 
These elements constitute an ideal complaint of discrimination and establish a 
prima facie case. However, in many situations, the Investigator will not initially 
have all of these elements. It is the Investigator's responsibility to obtain from the 
complainant all missing information. 
 
DURING THE INVESTIGATION 
 
One of the first items that must be determined by the Investigator from the 
Respondent is the reasons for the Respondent's actions against the Complainant.  
 
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In other words, establish the Respondent's legitimate non-discriminatory reasons 
for the actions taken against the Complainant.  
 
The Investigator must also obtain evidence to determine whether Respondent's 
reasons are true based upon the evidence or whether the reasons are an excuse 
(pretext) to discriminate against the Complainant. 
 
OBTAINING THE EVIDENCE 
 
 During the investigation, the Investigator should obtain as much of the following 
types of evidence as possible: 
 
1. Respondent's policies and procedures; 
2. Evidence establishing actions taken against the Complainant; 
3. Evidence establishing how others, not in the Complainant's group, were 
treated in   similar situations; 
4. Evidence establishing the normal policies and procedures and how 
respondent followed or did not follow the normal policies and procedures 
when making the decision/action involving the Complainant; 
5. Evidence establishing whether Respondent followed the normal policies 
and procedures for similarly situated persons; and 
6. A position statement from the Respondent outlining the reasons for the 
action taken against the Complainant. 
 
EXAMPLES OF ELEMENTS OF PROOF 
 
INTENTIONAL DISCRIMINATION 
 
 Complainant is a member of a protected group; 
 Complainant was excluded from participation in or denied the benefits of a 
program or activity; 
 Complainant was rejected despite his/her eligibility; 
 Respondent selected applicants, whose race, color, national origin, sex, age, 
or disability were different from the Complainant; or the  
 Program remained open and the Respondent continued to accept 
applications from applicants of a different race, color, national origin, sex, 
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age, or disability than the Complainant. 
 
DISPARATE/ADVERSE IMPACT 
 
 Respondent has a facially neutral policy or practice that has affected the 
Complainant; 
 The policy or practice operates to disproportionately exclude members of 
the protected group; 
 The policy or practice is a business necessity; or 
 There is an effective business alternative with a less adverse impact. 
 
 
RETALIATION  
 
 Complainant opposed any policy or practice made unlawful or participated 
in any manner in an activity pursuant to the laws prohibiting discrimination; 
 The individual who allegedly retaliated against Complainant knew or should 
have known of the opposition or participation; 
 An adverse action was taken against the Complainant subsequent to the 
protected activity; 
 There was a *causal connection between the opposition or participation 
and the decision made involving the Complainant; 
 There was a legitimate, non-discriminatory reason for the action taken; or 
 The articulated reason is a pretext for retaliatory discrimination. 
 
NOTE:  *Causal connection:  
 
To establish a causal connection, establish the following: 
  
 Did the treatment of the Complainant change after the protected activity; 
 Time line: How long after the initial protest did the adverse action occur; 
and 
 Compare the Complainant's treatment with others who were not engaged 
in the protected activity. 
 
 
 
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INVESTIGATION PROCESS 
 
The Investigative Process includes the following documents/actions: 
 
  Investigative plan 
  Request for information 
  Conducting interviews 
  On-site visit 
  Obtaining evidence 
  Analyzing data  
  Writing the investigative report 
 
 
INVESTIGATIVE PLAN 
 
The Investigative Plan is a working document intended to define the issues and 
provide a roadmap to complete the investigation. The Investigative Plan is an 
internal document for use by the Investigator and his/her supervisor to keep the 
investigation on track and focused on the issues. It is the Investigator's checklist. 
The following elements should be contained in an Investigative Plan: 
 
 Complainant(s) Name and Address/ Attorney For Complainant with 
Name and Address 
 Respondent(s) Name and Address/ Attorney For Respondent with 
Name and  Address 
 Applicable Law (i.e.) Title VI, Compliance Review under Regulations) 
 Basis 
 Issue(s) 
 Background 
 Name of person(s) to be Interviewed, including Questions for the 
Complainant, Respondent, and  Witness(es) 
 Evidence to be Obtained During the Investigation 
 
 
 
 
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REQUEST FOR INFORMATION 
 
To prepare the Request for Information (RFI), refer to the Evidence section of the 
Investigative Plan. The RFI is sent to the appropriate official(s) at the 
Respondent's facility. Contact the Respondent to advise him/her of the complaint 
and to determine the appropriate official(s) to whom the RFI should be sent and 
eventually interviewed. 
 
Prepare a cover letter to transmit the RFI. The cover letter should explain the 
process and provide information regarding any meetings that have been 
scheduled. Modify the cover letter to satisfy the circumstances. Provide the RFI to 
the Respondent prior to conducting the on-site visit. This will facilitate the 
availability of the evidence during the on-site visit. 
 
CONDUCTING INTERVIEWS 
 
When preparing for the interviews, the main objective is to obtain information 
from witnesses who can provide information that will either support or refute the 
allegations. A list of major questions will be prepared that address the issues 
involved in the complaint. During the interview, the following steps will be 
followed: 
Introduce yourself and outline the interviewing process (i.e., whether a signed 
statement will be requested, whether notes will be taken, etc.). 
 
 Place the person being interviewed at ease; 
 Listen effectively; 
 Differentiate factual information from opinions; 
 Ask questions best worded to provide factual responses; 
 Take clear and precise notes; and 
 Obtain a signed statement from the person being interviewed. 
 
 
COMPLAINANT  
 
The purpose of interviews is to gain a better understanding of the situation 
outlined in the complaint of discrimination. The Investigator needs to contact the 
Complainant to ensure that he/she understands the Complainant's allegation(s). 
It is recommended that the Investigator interview the  
 
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Complainant prior to preparing the Investigative Plan. If this is not possible, be 
ready to make any changes as appropriate to the Investigative Plan based upon 
any new information provided by the Complainant. Always inquire of the 
Complainant whether he/she desires to resolve the complaint. 
 
 
RESPONDENT  
 
Respondents are interviewed to provide an opportunity to respond to the 
allegations raised by the Complainant as well as to provide the Investigator the 
opportunity to understand the Respondent's operation or policies that 
Complainant cites in the complaint. As the keeper of the records, you will need to 
discuss the RFI with the Respondent and be able to explain the need for 
requesting any document on the list. Inform the Respondent that he/she has the 
right to submit a formal position statement addressing the Complainant's 
allegations. 
Question 
the 
Respondent 
regarding 
possible 
settlement 
opportunities.    
 
WITNESSES  
 
Complainant or Respondent may request that additional persons be interviewed. 
Determine what relevant information, if any, a witness has to provide prior to 
conducting an interview. Only interview persons who have information relevant 
to the allegations raised in the complaint of discrimination. Determine whether 
the testimony to be provided is relevant. Determine when sufficient interviews 
have been conducted.  
 
ON-SITE VISIT 
 
An On-Site visit will be conducted when: 
 
 Personal contact with the Complainant and the Respondent may yield 
information and clarification that might not otherwise be discovered by  
only reviewing the written documents or telephone contacts.  
 It is necessary to review the physical environment. 
 More effective communication can be established with representatives and 
witnesses of the Complainant and Respondent; and 
 Documentation can only be examined on-site for reasons of convenience, 
cost, format, or volume. 
 
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OBTAINING EVIDENCE 
 
Evidence requested shall be related to the issues cited in the complaint. An 
evidence request may contain some or all of the following: 
 
 The policies and procedures regarding the practice that Complainant has 
alleged. 
 All documents relating to Respondent's dealing with Complainant in the 
situation described in the complaint; 
 Documents which exhibit how others, not in the Complainant's group, were 
treated under similar circumstances; 
 Respondent's reason(s) for the action taken; and a formal position 
statement from Respondent addressing Complainant's allegations. 
 
The Types of Evidence include the following: 
 
 CIRCUMSTANTIAL EVIDENCE – Includes facts from which may be inferred 
intent or discriminatory motive and proves intent by using objectively 
observable data 
 COMPARATIVE EVIDENCE – A comparison between similarly situated 
individuals 
 DIRECT EVIDENCE – Related to the Respondent's motive, it is defined as 
any statement or action by an official of the Respondent that indicates a 
bias against members of a particular group 
 DOCUMENTARY EVIDENCE – Written material, which is generated during 
the course of normal business activity 
 STATISTICAL EVIDENCE – Statistics, facts, or data of a numerical type, which 
are assembled, classified, and tabulated so as to present significant 
information about a given subject 
 TESTIMONIAL EVIDENCE – Evidence which is provided orally 
 
 ANALYZING DATA 
 
Data will be analyzed to determine whether a violation has occurred. When 
analyzing data, you must: 
 
 Review what happened to the Complainant; 
 Compare Complainant's treatment with the appropriate policies and 
procedures; 
 Compare Complainant's treatment with others in the same situation; 
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 Review Respondent's reason(s) for the treatment afforded the 
Complainant; and 
 Compare Respondent's treatment of the Complainant with the treatment 
afforded 
others. 
 
 
WRITING THE INVESTIGATIVE REPORT 
 
The Investigative Report (IR) will contain the following sections: 
 
 Complainant(s) Name and Address 
 Respondent(s) Name and Address 
 Applicable Law 
 Basis 
 Issues 
 Findings For Each Issue with a corresponding Conclusion For Each Issue 
Recommended Decision 
 Recommendations (If Applicable) 
 
 
 
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