301 – Corrective Actions and Disciplinary Procedures
I. Purpose
This policy establishes the principles, rules, and procedures supervisors must follow to lead employees to their highest level of performance on behalf of the Harris County Sheriff’s Office (HCSO). This policy includes procedures for employee training and development opportunities short of disciplinary action and procedures for when disciplinary action is necessary.
II. Definitions
Administrative Disciplinary Committee (ADC): A committee consisting of the bureau commanders or designees appointed by the Sheriff to review administrative investigations and make recommendations.
Administrative Dismissal: Action taken against an employee by the HCSO resulting in a loss of employment. This occurs due to performance issues, such as job abandonment, failure to perform to job specifications, or failure to maintain TCOLE licensure.
Blue Team: A module in the IAPro software for recording notes on employee performance and behavior including corrective and disciplinary actions.
Corrective Action: Any action by a supervisor short of disciplinary action that may include, but is not limited to: a frank conversation, a referral for training or the employee assistance program, a documented counseling (verbal or written), or a letter of reprimand (LOR). Corrective actions may not be appealed or grieved through Civil Service, nor is a corrective action subject to other appeal within the HCSO.
Disciplinary Action: Any action taken against an employee by the Department due to improper conduct by the employee that will result in termination, suspension, demotion, reduction in rank, or them being ineligible for rehire at the end of a contractual period. See Harris County Civil Service Regulations, Rule 12.
Finding: The recommended disposition of an investigation presented to the ADC for review.
Loudermill Meeting: A pre-disciplinary meeting in which an employee subject to disciplinary action will have an opportunity to communicate with a member of the Command Staff regarding the case before the employee is subjected to discipline. The employee may provide additional evidence or insight into the event. The Command Staff may alter the proposed action.
Suspension: A form of disciplinary action placing an employee on relief of duty without pay for a stated period of time. A one-day suspension is equal to eight hours of pay.
Termination: Loss of employment resulting from IAD investigation.
III. Policy
Mistakes and good-faith errors in judgment should not be confused with willful acts or omissions that violate HCSO policy and rules. Unprofessional conduct resulting from a mistake or a good-faith error in judgment may be an opportunity for training and employee development rather than for disciplinary action depending on the severity of the mistake or the degree of error in judgment.
A. Establishment of Corrective Action and Disciplinary Procedures:
The following procedures have been established in order that:
1. Every HCSO employee may have confidence that, while proper performance of duty will be insisted upon, due recognition of rights will be assured.
2. Complaints, grievances, or alleged abuse of authority involving any employee will be fully and fairly considered.
3. Supervisors can take proper steps to enforce HCSO rules and regulations affecting the proper performance of employees under their command to effectively correct conduct, encourage improved performance in the future, and accomplish suitable training.
B. The Sheriff expects all disciplinary actions will be administered in an equitable, consistent, and compassionate manner. Disciplinary action may not be initiated except for just cause.
C. Corrective and disciplinary actions have multiple objectives. The underlying purpose of corrective and disciplinary actions is to modify the employee’s conduct or behavior so that it complies with the agency’s policies and procedures and to ensure:
1. The HCSO work is handled professionally;
2. Unprofessional conduct will not be tolerated;
3. Employees who perform their assignments in a professional manner will not be adversely affected by the few who do not;
4. A mechanism exists, through suspension or termination, to protect the operational integrity and high ideals of the HCSO from those few persons whose actions or omissions reflect they should no longer be associated with the HCSO; and
5. The HCSO has an avenue for the exercise of accountability.
IV. Procedure – Corrective Actions
A. Whenever a supervisor observes or hears about an employee who has engaged in relatively minor behavior that is inconsistent with a HCSO policy that is not in the best interest of the HCSO or the employee’s career development, the supervisor should take action. The specific action imposed will be based on all of the facts and circumstances surrounding the situation.
1. A supervisor must refer any of the following allegations of misconduct to the Internal Affairs Division (IAD) for its consideration before taking any form of corrective or disciplinary action:
a. Any use of force;
b. Harassment based on race, color, sex, sexual orientation, national origin, age, religion, or disability (including claims of a hostile work environment based on any of those protected categories);
c. Any violation of the Texas Penal Code; and
d. Any other matter a supervisor believes may warrant consideration by Internal Affairs.
2. IAD will decide whether it will commence the investigation or refer it back to the bureau for handling.
B. Corrective actions can be as simple as a conversation with the employee to note the deficient performance or behavior and to remind the employee what the expected performance or behavior is. These conversations should include two-way communications between the supervisor and the employee to ensure the employee understands clearly the expectations and gives the employee a chance to ask questions, if necessary. Supervisors may choose to record the conversation in the Blue Team application for recollection.
C. If a supervisor has had more than one conversation with an employee on the same performance or behavior problem, the conversation will be documented in Blue Team as a verbal counseling. Verbal counseling is an excellent tool to remind an employee of the agency’s expectations and to encourage future behavior that meets expectations.
D. When an employee’s behavior or performance has not improved in response to a lower level of corrective action, or when an employee’s initial mistake is considered significant, the supervisor may initiate a documented counseling.
1. Supervisors may use the documented counseling form attached to this policy and record the event in Blue Team.
2. Documented Counseling Process: A supervisor will:
a. Prepare the documented counseling letter prior to the documented counseling session with the employee. Tailor the content of the document to reflect the situation, as appropriate.
b. Do not use the section listed as “optional ending” unless one or more counseling sessions have proven to be ineffective.
c. Meet with the employee and be prepared to discuss in detail the problems identified and a plan of action for correcting the performance or behavior at issue.
i. Explain that documented counseling is not discipline, but a way to make sure that there is no misunderstanding about what is expected of the employee. Also explain that this is another effort to enhance communication and eliminate potential issues.
ii. Explain that if the employee feels that the suggestions are completely unacceptable, they can suggest alternate solutions to the problems. Record any changes agreed upon into the document. This is an effective way to get commitment by both parties if the original suggestions are not workable.
iii. Schedule a follow-up meeting for a date and time that gives the employee a reasonable opportunity to improve performance or the behavior at issue. Explain to the employee that improvement or deterioration of the performance or behavior will be documented at the follow-up meeting and attached to the original counseling documentation.
iv. Explain that the matter will be closed if the expected improvements or changes are made.
v. Explain that while they may improve in some of the areas, any areas that are still identified as needing additional improvement will be documented further. Additional suggestions or agreements will be made for correcting any remaining performance or behavior issues, and a second follow-up meeting will be scheduled. All follow-up meetings will be documented and attached to the original documentation.
vi. Signatures required:
a) If both parties concur with the deficiencies identified and the plan of action for improvement, each should sign and date the documented counseling letter.
b) If changes or additions were made to the original documented counseling letter, those should be initialed along with the letter being signed by the supervisor and the employee.
c) If the employee agrees with the recommendation or outcome of the meeting but refuses to sign the letter, make that notation under the place for the employee’s signature and explain to the employee that you will schedule the follow-up meeting on the date and time stipulated in the letter.
d) Give the employee a copy of the original with the signatures obtained and place the original signed document in their divisional file. Record the counseling letter in Blue Team.
e) If, after all the above explanations, the employee does not agree there is an issue or indicates that they do not feel any need for improvement, it may be necessary to discontinue the documented counseling and proceed to the disciplinary process.
d. The grievance procedure established under HCSO Department Policy #232 – Employee Grievance and Complaint Resolution, does not apply to a documented letter of counseling. The employee may request a review from the bureau commander. The bureau commander’s decision on the matter is final.
E. A letter of reprimand (LOR) is documentation generated in response to a substantiated allegation requiring a stronger response than other forms of corrective action. It is more significant than a documented letter of counseling. The format for a letter of reprimand may vary, but it must always be signed by the supervisor. A copy is placed in the employee’s division, bureau, and HCSO personnel file and is always recorded in Blue Team.
1. A letter of reprimand and two copies will be prepared by the employee’s immediate supervisor and forwarded through the chain of command to the bureau commander. If the alleged censurable conduct is reported by another employee or a source outside the HCSO, the incident will be referred to the employee’s immediate supervisor who will have the responsibility to investigate and prepare the letter of reprimand.
2. The signed original letter of reprimand will be forwarded to the Human Resources Division (HR) and placed in the employee’s permanent personnel file. One copy will be given to the employee who is the subject of the report and one copy will be retained in the employee’s bureau file.
3. The grievance procedure established under HCSO Department Policy #232 – Employee Grievance and Complaint Resolution, does not apply to a letter of reprimand. The employee may request a review from the bureau commander. The bureau commander’s decision on the matter is final.
V. Procedure – Disciplinary Actions
A. Disciplinary action may be necessary in response to sustained employee misconduct after reasonable attempts to improve an employee’s work performance or inappropriate behavior when the application of corrective action is insufficient to achieve the desired results. Disciplinary action in response to a serious infraction of HCSO policy or procedure may be imposed without prior attempts of corrective actions. (Refer to Disciplinary Matrix).
1. Disciplinary actions include: suspensions, demotions, reductions in rank, terminations, administrative dismissals, and ineligible to rehire at the end of the employee’s contractual period.
2. Disciplinary action may result in the following actions including but not limited to: mandated training, job transfer, shift change, schedule change, or removal of take-home car privileges.
B. Reporting Misconduct:
1. Serious violations of any of the rules or regulations set in the Civil Service regulations, the HCSO department manual, any bureau procedural manual or standard operating procedures, in any applicable HCSO or bureau memorandum plus any violation of a federal, state, county, or municipal statute, regulation, ordinance, or a court order, may be the basis for an IAD complaint.
A complaint may be initiated by any ranking supervisor who deems it necessary in order to address any violation of HCSO policy.
2. Any allegations described in Section IV (A)(1) herein (list of allegations that must be referred to IAD) will be the basis for a complaint to IAD.
3. Procedures for completing a complaint will be as follows:
a. The employee’s supervisor who bears witness to the alleged violation (censurable conduct) or who is advised of the alleged violation by another employee or a source outside the HCSO will immediately create and prepare a complaint. The report will be entered in Blue Team and forwarded to the bureau commander or ranking supervisor in their absence.
b. The division commander (or ranking supervisor in their absence) will confer with the bureau commander promptly to determine whether immediate action is needed regarding the employee. The bureau commander (or ranking supervisor in their absence) may relieve an employee from duty promptly for any serious act or omission including but not limited to those listed in Section IV (A)(1).
c. A letter relieving the employee from duty will be issued to the employee with a signed copy to the Sheriff or designee. An employee relieved from duty will surrender their badge and identification card to the relieving supervisor, who will forward it immediately to the division commander.
d. With the exception in Section V (B)(2) (allegations that must be referred to IAD), the Internal Affairs bureau commander will determine whether the incidents described in the complaint will be investigated by the bureau or the Internal Affairs Division.
e. If the bureau conducts the investigation into the incident, the supervisor conducting the investigation will present the completed investigation to the Administrative Disciplinary Committee (ADC) for disciplinary action. The final disciplinary decision will rest with the Sheriff or his designee.
C. The Administrative Disciplinary Committee reviews all completed investigations not resolved at the bureau level.
1. The ADC will be composed of a quorum of at least three bureau commanders appointed by the Sheriff. A division commander may represent a bureau commander at the ADC chairperson’s discretion.
2. In most instances, the investigator will present the case for review. The IAD Bureau Commander may authorize any alternative investigative representative. Bureau commanders may attend the “investigator presentation” portion of the ADC.
3. All investigation violations will be identified separately with individual findings using the following dispositions:
a. Unfounded: The allegation is false or not factual.
b. Exonerated: The incident occurred but was lawful and proper.
c. Not Sustained: There is insufficient evidence to prove or disprove the allegation.
d. Sustained: The evidence is sufficient to prove the allegation.
e. Withdrawn: The complainant withdraws the complaint before the investigation is complete.
f. Referred: The investigation of the complaint is forwarded to an external entity or law enforcement agency.
g. Reviewed:
i. No action required
h. Administratively Closed: When the IAD commander determines the investigation may be closed for administrative reasons.
4. If a violation is sustained, the ADC will recommend appropriate disciplinary action. The ADC may recommend other appropriate measures such as, but not limited to: employee corrective actions, fitness for duty evaluations, and additional training. Such referrals or corrective actions will be referred to the bureau level with the authority to administer it.
5. Prior to the implementation of the action suggested by the ADC, the employee will be allowed the opportunity to have a Loudermill meeting; after which the action may, at the discretion of the Sheriff or his designee, be imposed per ADC recommendation, altered, or rescinded.
D. Administrative Dismissals
See Policy 238 – Separation from Employment.
VI. Additional Considerations
A. Supervisors will avoid censuring an employee in the presence of others as long as circumstances permit.
B. Employees will not be subject to disciplinary action except for just cause.
1. The cause for disciplinary action will be in writing and specifically state the reason or reasons for which the Sheriff has determined that disciplinary action is necessary.
2. Every employee receiving disciplinary action will receive a copy of just cause which will include the effective date of the disciplinary action.
3. Every employee receiving disciplinary action that results in termination of employment will receive notice of the cessation of benefits, be referred to the Harris County personnel regulations, and contact the Harris County Office of Human Resources and Risk Management to determine the status of fringe or retirement benefits.
C. At the completion of the disciplinary action process, whether completed at the bureau level or by the ADC, a copy of all reports and investigations will become a part of the employee’s personnel file.
NOTE: The HCSO retention policy for corrective action will comply with state law.
D. The employee being disciplined is entitled to representation at any meeting between the employee and supervisors, but only after a suggestion has been made to impose disciplinary action. This policy does not interfere with the employee’s right to legal counsel.
E. Lateral and upward movement within the HCSO may be affected by disciplinary histories.
Revision
This policy has been revised on the below listed dates:
April 21, 2009 June 15, 2021
April 23, 2013 August 19, 2024
April 21, 2014
October 16, 2015
October 28, 2015
March 28, 2016
Disciplinary Matrix
The disciplinary matrix outlines the guidelines and expectations for the HCSO Administrative Disciplinary Committee’s response to sustained complaints against employees. Click here to see it.
Documented Counseling Letter
This attachment provides a sample documented counseling letter.