262 – Duty Status Evaluations
I. Policy
The Harris County Sheriff’s Office strives to provide a safe and productive work environment and ensure that all agency employees can effectively perform the essential functions of their jobs. Under limited circumstances, the agency may require a professional evaluation of an employee’s physical or mental capabilities to determine the ability to perform essential functions. This policy is separate from HCSO Policies #418- Behavioral Health Program, #220- Employee Assistance Program, and #227- Administrative Leave Following Critical Incident and is to be invoked to address suspected incapacity of an employee to perform their duties subjecting themselves or the HCSO to liability and/or in violation of Harris County Civil Service Rule #12.
II. Definitions
A. Duty Status Evaluation (DSE): A formal, specialized “medical” evaluation as required by TCOLE’s fitness for duty evaluation standards of an HCSO employee that results from:
- Objective evidence that the employee may be unable to perform a defined job function effectively; and
- A reasonable basis for believing that the inability to perform essential job functions may be attributable to a medical or psychological condition, or impairment.
B. HCSO Behavioral Health Division (BHD): The Division consists of embedded licensed behavioral specialists who provide evidence-based behavioral health consultation, outreach, education, and confidential mental health services to Harris County Sheriff’s Office (HCSO) employees as explained under HCSO Policy #418- Behavioral Health Program.
III. Employee Responsibilities
Each agency employee is responsible for maintaining sufficient physical stamina and psychological stability to effectively perform the essential duties of their position. Any employee who feels unable to perform their duties will promptly notify a supervisor. If an employee believes that another employee within the department is unable to perform their duties effectively, such observations or beliefs will be promptly reported by the employee to a supervisor.
Any subject employee ordered to undergo a DSE will comply with the terms of the order and cooperate fully with the examining practitioner. Failure to comply with such an order by not reporting or fully cooperating with the practitioner may be deemed insubordination and will subject the employee to discipline, up to and including termination, reassignment for the betterment of the department, or administrative dismissal per department policy.
IV. Supervisor Responsibilities
All supervisors should be alert to any indication that an employee may be unable to safely perform their duties due to an underlying medical or psychological impairment or condition.
A. Such indications may include, but are not limited to, the following:
- An abrupt and negative change in the employee’s usual or normal behavior that may create a pattern of irrational conduct;
- Personal expressions of instability;
- Inappropriate use of alcohol or other substances, including prescribed medication;
- A pattern of questionable judgment, impulsive behavior, or the inability to manage emotions; and
- Any other factor or combination of factors causing a supervisor to believe the employee may be suffering from an impairment or condition requiring intervention.
B. Supervisors will maintain the confidentiality of any information consistent with this policy.
V. Reporting
A. A supervisor observing an employee, or receiving a report of an employee, who has just cause to believe the employee is unable to effectively perform their duties, will promptly document all objective information or observations in a memo through the chain of command to their Division Commander or higher member of the chain of command as needed. The memo will detail the observation(s) in IV.A. above and how they relate to the employee’s ability to do their job.
B. The supervisor should attempt to meet with the employee to inquire about the conduct or behavior giving rise to the concerns. This meeting should be documented in a memo that will be kept in the employee’s confidential medical file within their HR personnel file.
C. If a meeting does not resolve the supervisor’s concerns or does not take place, the supervisor will promptly document observations and actions in writing and inform the employee’s supervisor within that employee’s chain of command if they are not that supervisor. Should the supervisor’s concerns be resolved, no further action will be required.
VI. Determination to Initiate Duty Status Evaluation
A. The Division Commander within the employee’s chain of command should make a preliminary determination regarding the employee’s duty status. The HCSO Administrative Disciplinary Committee (ADC) may also initiate a DSE.
- While Duty Status Evaluations (DSEs) can be a valuable tool for assessing an employee’s ability to perform their job duties effectively and safely, it is essential to recognize that a DSE is not a substitute for disciplinary actions.
- A consultation with the Behavioral Health Division Director should be considered regarding the appropriateness of a referral.
B. If a determination is made that a duty status exam is not needed, the employee should be returned to duty. Arrangements should then be made for appropriate follow-up within 30 days, which may include referral for employee assistance or support under other HCSO policies.
C. If a preliminary determination is made that there is a basis the employee’s conduct or behavior represents an inability to effectively perform essential job functions, the Division Commander should immediately relieve the employee of duty pending further evaluation after consulting with the Bureau Commander.
D. An employee’s relief of duty will comply with all other applicable provisions of HCSO Policy and Civil Service rules.
E. The Bureau Commander over the employee, the HCSO’s Legal Director, the Commander of Human Resources, and the Director of the Behavioral Health Division will be promptly notified if an employee is relieved pending a duty status exam.
F. The Bureau Commander will make the decision to return the employee to duty or to sustain the process to request a DSE. The Bureau Commander will contact Human Resources for the DSE request. If Human Resources agrees with the request, the DSE process will begin per Human Resources standard operating procedures for either a physical or psychological concern.
VII. Duty Status Evaluation Considerations
A. A Duty Status Evaluation (DSE) may be ordered whenever circumstances reasonably indicate that an employee is unfit for duty. Referring an employee for a DSE is indicated whenever there is an objective and reasonable basis for believing the employee, as a result of a medical or psychological condition or impairment:
- May be unable to perform one or more essential job functions or
- Poses a direct threat to themselves or others.
B. An objective basis is not merely speculative but derives from direct observation or other reliable evidence.
C. When deciding whether to conduct a DSE, both the department and examiner may benefit from considering its potential usefulness and appropriateness given the specific circumstances, and the employer may consider whether other remedies (for example, education, training, discipline, physical FFDE) are appropriate.
D. Depending on the employee’s case, a note from a physician or healthcare professional may not be sufficient to establish the necessary facts to proceed with the case.
VIII. Process
A. The following procedure will apply to all employees of the Harris County Sheriff’s Office.
B. Human Resources, upon the request of a Division Commander, may order an employee to undergo a DSE consistent with section VI. above whenever a question arises regarding whether the employee is medically or psychologically fit to perform their duties.
C. Human Resources will normally provide written notice to the employee to comply with the evaluation order at least ten (10) business days before the deadline to submit to the evaluation, but will do so as soon as reasonably possible in the event of an urgent employee welfare need requiring evaluation sooner. Special circumstances will be documented on a case by case basis. The written notice will include the reasons for the evaluation. The examination will be conducted by the employee’s personal physician, psychiatrist, or psychologist at the employee’s expense.
D. To facilitate the evaluation of any employee, the agency will provide all appropriate documents and available information to the person or entity responsible for conducting the evaluation.
E. The examining practitioner will provide the Human Resources designee with a report indicating whether the employee is fit for duty. If the employee is unfit for duty, the practitioner will include the existing restrictions or conditions in the report, and the employee’s case will be processed until disposition per Human Resources.
F. A second examination may be ordered by the appropriate authority of the employee, the civil service commission, or if the agency’s chief administrator for TCOLE questions the practitioner’s report. If the report of the appointed practitioner disagrees with the report of the initial practitioner, the final determination as to the employee’s fitness will be decided in accordance with procedure adopted by the Harris County Commissioners Court.
G. The case will proceed until a disposition is reached as per the provisions laid out in Sections E, F, and elsewhere in this policy.
H. All reports and evaluations submitted by the examining practitioner will be part of the employee’s confidential medical file.
- Any subject employee ordered to undergo a DSE will comply with the terms of the order and cooperate fully with the examining practitioner and the approved Human Resources process until the completion of their case.
a. In the event the employee’s case concerns physical disability, failure to comply with such an order by not reporting or fully cooperating with the practitioner or with Human Resources representatives may be deemed insubordination and can subject the employee to discipline, up to and including termination, reassignment for the betterment of the department, or an administrative dismissal per department policy.
b. In the event the employee’s case concerns psychological disability, failure to comply with such an order by not reporting or fully cooperating with the practitioner or with Human Resources representatives will create a presumption that the employee does not wish to continue employment with the Harris County Sheriff’s Office. They will not be allowed to return to duty and they will be subject to an administrative dismissal per department policy.
I. The maintenance of a TCOLE license is a condition of employment for certain jobs including Texas County Jailer, Peace Officer, or Telecommunicator and the loss or revocation by TCOLE of a required license will be considered to disqualify an individual from further employment in that position.
IX. Reporting to TCOLE
A. Human Resources will notify TCOLE upon a final determination that a license holder is unable to perform essential job functions effectively, with or without accommodation. This notification will be in writing and submitted to TCOLE within 30 days of the final determination.
B. Human Resources will notify TCOLE if a license holder fails to submit to an evaluation within the deadline set by the agency. This notification will be in writing and submitted to TCOLE within 30 days after the deadline set by the agency has expired.
C. Human Resources will notify TCOLE as soon as possible if a license holder has completed the required evaluation or received notice that the license holder’s circumstances have been successfully resolved.
X. DSE Minimum Standards per TCOLE
A. When conducting the DSE, it may be necessary for the examiner to receive background and collateral information regarding the employee’s past and recent performance, conduct, and functioning. The information may include, but is not limited to:
- Job class specifications or their job description,
- Performance evaluations,
- Previous remediation efforts,
- Commendations,
- Testimonials,
- Internal affairs investigations,
- Formal citizen or public complaints,
- Use-of-force incidents,
- Reports related to officer-involved shootings,
- Civil claims,
- Disciplinary actions,
- Incident reports of any triggering events,
- Health care records,
- Prior psychological evaluations, and
- Any other supporting or relevant documentation related to the employee’s psychological fitness for duty.
B. Collecting relevant information is indeed crucial during a Duty Status Evaluation (DSE) to ensure a comprehensive and accurate assessment of an examinee’s ability to perform their job duties safely and effectively. Typically, an examiner will ask the examinee to provide relevant medical or mental health treatment records and other data for the examiner to consider, for example.
- It is essential that all collected information is related to job performance issues or the suspected job-impairing mental condition.
- Gathering information from collateral sources, such as supervisors, coworkers, or family members, provides valuable insights into the examinee’s behavior and functioning.
- All collected information should be handled with strict confidentiality, following applicable laws and organizational policies. Examiners should ensure that records are securely stored and transmitted, and access is limited to those who have a legitimate need to know.
XI. Appeals
Employees disputing the application or interpretation of this policy may submit a grievance as provided in HCSO Policy #232 and Sheriff’s Civil Service Regulations Rule 13.
References
2018 Psychological Fitness-for-Duty Evaluation Guidelines from the IACP
The APA Professional Practice Guidelines for Occupationally Mandated Psychological Evaluations
2017 American College of Occupational and Environmental Medicine Guidance for the Medical Evaluation of Law Enforcement Officers
HCSO Policy #220- Employee Assistance Program
HCSO Policy #227- Administrative Leave Following Critical Incident
HCSO Policy #232- Employee Grievance and Complaint Resolution
HCSO Policy #238- Separation from Employment
HCSO Policy #301- Corrective Actions and Disciplinary Procedures
HCSO Policy #418- Behavioral Health Program
Harris County Sheriff’s Civil Service Regulations Rules 12 and 13
Revision
This policy has been revised on the below listed dates:
September 10, 2024