Houston Fire Department Code of Administrative Procedure PDF 2022

VOLUME NO. I ALL COMMANDS REFERENCE NO. I-01B SECTIONS I-VI Houston Fire Department CODE OF ADMINISTRATIVE PROCEDURE for Classified Employees Samuel Peña...

VOLUME NO. I ALL COMMANDS REFERENCE NO. I-01B SECTIONS I-VI Houston Fire Department CODE OF ADMINISTRATIVE PROCEDURE for Classified Employees Samuel Peña Fire Chief 2022  TABLE OF CONTENTS I. Introduction A. Definitions II. Supervisory Interaction A. Informal Procedures 1. Coaching/Informal Counseling/Motivating 2. Documented Session (Form 42) 3. Policy Awareness Program (PAP) B. Formal Procedures 1. Formal Counseling (Form 34) 2. Performance Improvement Plan (PIP) 3. Supervisor Discretion C. Discipline 1. Filing a Formal Complaint 2. Reporting Workplace Discrimination or Harassment D. Relief of Duty III. Administrative Investigation Process IV. Disciplinary Categories and Range Model V. Assigned Categories for Violations VI. Forms and References A. PIP “Pre-Plan Checklist” B. PIP “Post-Plan Summary” C. CAP Reference Sheet D. CAP Disciplinary Matrix I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 2 of 31 I. Introduction This Code of Administrative Procedure (CAP) states each member of the Houston Fire Department (HFD) is personally responsible to perform his/her prescribed duties within the parameters of professionalism and in compliance with the Rules and Regulations, General Orders, and Guidelines of the HFD, Executive Orders and Administrative Policies of the City of Houston, and laws of the City of Houston, State of Texas, and the United States. Each member should perform his/her duties with support from the administration coupled with the ability to self-regulate and self- motivate. Situations arise that call for intervention to rectify behavior that is not conducive to achieving the goals of the HFD. All officers are held strictly responsible for the conduct, morale, and efficiency of all subordinates under their command and shall adhere to and enforce the rules and regulations and guidelines of HFD, Executive Orders and Administrative Policies of the City of Houston, and laws of the City of Houston, State of Texas, and the United States. It is the responsibility of all officers to set a good example and require that their command measure up to the high standards of the Houston Fire Department. The purpose of discipline is to correct performance deficiencies and/or modify in- appropriate or unacceptable behavior. The concept of the disciplinary range model is based upon several factors; therefore, supervisors formulating a disciplinary category recommendation should consider the following: The department will maintain consistency in its application of discipline. Category recommendations for repeat or more serious infractions may warrant a more severe penalty. Recommendations of a disciplinary category may also consider mitigating and/or aggravating factors including, but not limited to, the following: o Past and present performance o Commendations received o Degree of culpability o Disciplinary history o Severity of infraction o Employee’s acknowledgement of error / violation o Employee’s acceptance of responsibility / culpability o Employee’s willingness to improve o Remorse/contrition I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 3 of 31  A. Definitions 1. Coaching: Guidance towards proper action. 2. Corrective Action: Measures taken by an officer to redirect behavior or improve work habits. This includes all actions from informal counseling to temporary suspensions. 3. Counseling: Advice or direction in order to reach a decision with a deliberate plan of action. 4. Form 34: A form used to document formal counseling that is stored permanently in the members station, district, and department file. PSO originated forms stay in the investigative file only. 5. Form 42: A permanent personnel form used by the Department to document personal data, leaves and absences, commendations and honors, informal and formal coaching and counseling sessions, and other pertinent information. Complaints of discrimination and confidential medical information should NOT be documented in the Form 42. Entries in a member’s Form 42 are not themselves considered discipline. 6. Indefinite Suspension: A suspension for an indefinite period of time for violations of civil service rules, Department rules, City policies, and/or Federal, State, or local laws. 7. Informal Discussions: An informal forum with a member to exchange ideas to resolve the problem. This occurrence may be documented in the Form 42. 8. Policy Awareness Program (P.A.P.): Program used to discuss matters at the Deputy/District Chief level that are brought to the attention of the Professional Standards Office absent a formal complaint. The appropriate supervisor discusses the matter with the member(s) to explore ways to avoid similar or more serious problems in the future. 9. Relieved of Duty: Action taken denying a member the privilege of performing his/her duties for reasons including but not limited to, dereliction of duty, breach of discipline, misconduct, behavior unbecoming a professional firefighter or violation of any rule or law. Relief of duty may be with or without pay. 10. Temporary Suspension: A temporary unpaid period of time when a member is not performing duties for disciplinary reasons. This action can be administered for violations of civil service rules, City of Houston and/or Houston Fire Department rules, regulations, policies, or orders, and/or Federal, State, or local laws. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 4 of 31 II. Supervisory Interaction Should it become necessary for an officer to institute steps to amend or correct action or inaction, the officer shall strictly adhere to the guidelines set forth. Every effort should be made to use these guidelines as a positive reinforcement tool. The steps below provide a guideline for changing attitudes. A. Informal Procedures: 1. Coaching, Informal Counseling, and/or Motivating: Should be the first methods employed to assist a member in becoming a productive HFD employee Consist of brief, informal discussions between a supervisor and an employee that provide positive guidance and/or training to the employee This discussion may be documented on a Form 42 2. Documented session (Form 42): If coaching the member does not have the desired results, then an informal session between the officer, a witness, and the employee should result. This should be done with a spirit of cooperation and positive attitude from the officer to assist the employee in changing his or her attitude, work ethic, and/or duty performance. Input from the employee is essential if positive results are to be obtained. Objective (factual) meeting details shall be entered on the employee’s Form 42. The member will be given the opportunity to read and acknowledge the entry. This applies to any negative entry made regarding a member’s performance/conduct. If a negative letter, memorandum, document, or other notation of negative impact is included in a member’s personnel file, the member shall be notified of this action within 30 days after the date of inclusion. Documentation of notifications shall be noted on the member’s Form 42 and acknowledged by the member. The member may file a written response to the negative letter, memorandum, document, or other notation on or before the 15th day after the date of receipt of the notification. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 5 of 31  3. Policy Awareness Program (P.A.P.): When the Office of the Inspector General (O.I.G.) or the Professional Standards Office receives a complaint, a preliminary review is conducted. If the complaint is not formalized, the case may be referred as a “P.A.P.” and may be assigned by the Professional Standards Office to the Deputy Chief, who may distribute it to the District Chief, Station Captain, EMS Supervisor, and/or other appropriate personnel. The appropriate supervisor(s) should discuss the matter with the member and explore ways to avoid similar or more serious problems in the future. The P.A.P. should be considered as education or training, not discipline. After the notification is complete, the P.A.P. form will be completed by the supervisor(s) and forwarded to the Shift Commander via the Chain of Command. The Shift Commander will then ensure the form is returned to the Professional Standards Office Complaint Intake Officer. Portions of formalized complaints may also be referred to a P.A.P. as necessary for supplemental/additional training, education, etc. B. Formal Procedures: 1. Formal Counseling (Form 34): If the unacceptable performance persists, the next step will include a formal counseling session between the member and immediate supervisor. This information should then be entered on HFD Form 34, “HFD Counseling Form.” The officer taking the corrective action will notify the District Chief, who will have the discretion to be present. The problem area must be re-identified and stated in specific terms. Concerns that may have contributed to the problem should be identified. Counseling shall include clearly stated corrective actions to be taken by the member and supportive actions to be taken by the officer. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 6 of 31  Documentation of a follow-up counseling session shall occur within 6 months. The member and the officer will sign this form, with a copy provided to the member and a copy placed in all appropriate files. Information regarding the issuance of the Form 34 will be entered on the member’s Form 42 and acknowledged by the member. If the member refuses to sign the Form 34, this will be noted on the Form 34 and accompanied by a witness’s signature attesting to the refusal. Formal counseling is also utilized by the Professional Standards Office at the conclusion of certain investigations. The Form 34 in this case is kept in the investigative file only. 2. Performance concerns or the inability to meet minimum standards not corrected through the use of coaching, informal counseling, and/or motivating should be addressed through a Performance Improvement Plan (PIP): Refer to HFD Guideline I-47 Classified Training. 3. Supervisor Discretion: If at any time an officer feels that a member’s behavior or performance is unacceptable, the officer may proceed directly to a formal counseling session (Form 34) or initiate a Performance Improvement Plan. C. Discipline: Supervisory actions, including the formal and informal procedures listed above, are not considered discipline. Disciplinary suspensions are imposed by the Fire Chief after a formal complaint is investigated and found to be sustained. 1. Filing a Formal Complaint: If the errant behavior or inadequate performance continues, or if the behavior/inadequate performance is not suitable for the informal process, and the officer decides further corrective action is needed, recommendations shall be made through the chain-of- command to the proper division District/Deputy Chief. The District/Deputy Chief and the recommending officer shall discuss the proper course of action, including filing a formal complaint with the Professional Standards Office. Disciplinary action could I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 7 of 31  be assessed to the member up to and including an indefinite suspension, as determined by the Fire Chief. A formalized complaint consistent with the requirements of Local Government Code 143.123 may result in a Written Reprimand or a disciplinary suspension up to and including Indefinite Suspension. Proper documentation (Form 42, Form 34, PIP) is essential in establishing a pattern of misconduct or performance deficiencies and provides a record of prior attempts to correct the errant behavior. 2. Any members who feel they have been subjected to workplace discrimination or harassment are encouraged to report the conduct at the earliest possible stage to a supervisor, Professional Standards Office, Office of the Inspector General, or the Designated Department Representatives (DDRs) assigned to the Department. Members may also report sexual harassment to the City of Houston’s Sexual Harassment Hotline (832-393- 7200). Members are encouraged, but not required, to report instances of possible discrimination or harassment through the chain-of-command. Supervisors who observe or receive a complaint of discrimination or harassment shall report the conduct to the DDRs assigned to the Department and/or to the Professional Standards Office. D. Relief of Duty 1. Under circumstances of emergency where a member is incapable of performing his/her duty, willfully refuses to obey orders, or commits such behavior that the interest of the department would suffer by him/her remaining on duty, the officer in command shall relieve the member from duty with pay, after receiving approval from the Deputy Chief, and then immediately notify the Fire Chief in writing, through the chain-of- command, of the circumstances and/or charges. After consulting with the chain of command, the Deputy Chief or his/her designee shall notify the member who has been relieved of duty of the date, time, and location the member is to report back for duty. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 8 of 31 III. The Administrative Investigation Process Legal Requirement Chapter 143 of the Texas Local Government Code governs many aspects of the Department's Administrative Investigation Process for classified personnel. Not later than the 30th day after the date that a complaint is received by an investigator, the investigator must inform the fire fighter in writing of the nature of the investigation and the name of each person who complained about the fire fighter, if known, concerning the matters under investigation unless: 1) a criminal investigation has been initiated as a result of the complaint; or 2) the disclosure of information concerning the name of the complainant or the matters under investigation would hinder a criminal investigation. At least 48 hours before an investigator begins to interrogate a classified member who is the subject of an investigation, that member will be given a 48-hour notice, along with a copy of the statement, affidavit, or complaint. Forty-eight hours advance notice may be voluntarily waived in writing with the signature of the member being investigated. Forty-Eight-Hour Advance Notice Before Meetings A 48-hour advance notice specifying the time and location of a meeting or hearing is required if i t is related to an internal investigation or if the meeting provides the member an opportunity to respond to charges before termination of employment. The 48-hour advance notice is considered received at the time it is personally delivered to the classified employee in person or at the official address on file with the department or emailed to the employee’s City of Houston email address with a verified delivery receipt. If the notice is sent by certified mail to the employee’s official address on file with the department, the notice is considered received on the verified USPS delivery date or the first date USPS attempted delivery. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 9 of 31  If the notice is sent by first class US mail to the employee’s official address on file with the department, the notice is considered received three (3) business days after the department deposited in the mail. Forty-eight hours of advance notice may be voluntarily waived in writing with the signature of the member. Representation Members are entitled to have a representative present during an interview or interrogation related to a formal complaint or investigation which may lead to disciplinary action. A representative’s participation may be limited or stopped if he/she hinders or compromises the interrogation. It is the member’s responsibility to notify the representative and provide the representative with the scheduled location, time, and all appropriate documents. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 10 of 31 IV. Disciplinary Categories and Range The purpose of the Disciplinary Process and the Disciplinary Range Model The purpose of the Disciplinary Process and the Disciplinary Range Model is to provide Fire Department supervisors a framework for determining the appropriate disciplinary categories. This model serves as a guideline to balance both the appropriateness and consistency of discipline decisions made in the Houston Fire Department. It is not the intent of this program to list or illustrate every possible example of an infraction or violation. Those charged with making disciplinary recommendations should analyze the misconduct and compare it with the infractions listed in the manual. As a general rule, where specific infractions are listed, users should give priority to the category listing the infraction unless other factors would enhance it to a higher category. When the infraction is not listed, it should be placed in one of the defined categories by considering the penalty for analogous misconduct. This manual provides general guidance for supervisors; however, the guidelines do not limit the discretion of the Fire Chief to take any disciplinary action deemed reasonable and necessary to protect and preserve order in the Department. Discipline will always remain a t the discretion of the Fire Chief, regardless of the severity of the offenses, consideration period, and whether the cited misconduct is similar to prior misconduct. Descriptions of Categories The Disciplinary Range Model classifies misconduct into five (5) categories of discipline based on infractions with progressive degrees of severity. Category 1 includes the lowest level of misconduct. Repetition of s a m e o r similar misconduct or more serious misconduct leads to progressively higher penalty ranges in Categories 2, 3, 4, and culminating in a Category 5, which includes indefinite suspension of employment. Each disciplinary category contains a consideration period, the period of time that previous sustained incidents of similar and relevant misconduct should be considered for purposes of enhancement to a higher category. The consideration period begins on the day the Department served the employee with discipline for the previous misconduct. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 11 of 31  Minor Infractions Most minor infractions should be handled at the supervisor level when possible. A written record of all minor infractions should be kept regardless of what action is taken. Documentation does not necessarily mean formal correspondence. Supervisors shall use the electronic Form 42 to record both positive and negative written notes, events, and/or incidents. These notes should be incorporated into the e m p l o y e e performance evaluation process and discussed with the employee. This type of documentation and discussion of minor infractions is not considered discipline. Disciplinary Category and Range The Disciplinary categories are listed from 1-5, with 1 being the least severe and 5 being the most severe infraction or rule violation. Within each category, a range of discipline is suggested that will be governed by the circumstances of each violation. Supervisory input may impact the final determination of a disciplinary category. Examples a r e provided of each d i s c i p l i n a r y category for supervisory guidance only and are not intended as an all-inclusive list of possible infractions or mandatory penalties. Disciplinary Categories (1 - 5) in Range Sequence Category One (1) Violation Description: A Category One infraction is generally a first occurrence of a minor rule violation. Generally, Category One infractions are handled at the supervisor level a n d a r e o n l y referred to the Professional Standards Office after other means have been exhausted, except for cases where p r o g r e s s i v e d i s c i p l i n e i s r e q u i r e d. Referrals to PSO must be accompanied with adequate documentation (ie. Form 42, Form 34, PIP). Period: Used for consideration in subsequent misconduct for one year from the date of prior discipline. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 12 of 31 Consequence: Form 42, Coaching, Informal Counseling, Motivating Form 34, Formal Counseling Performance Improvement Plan Written Reprimand (Issued by the Fire Chief) Category Two (2) Violation Description: A Category Two infraction is an offense deemed to be of moderate severity or enhanced violations from Category One. Same or similar violations of Category One offenses within a year or violations of two Category One violations will be considered a Category Two offense. Period: Used for consideration in subsequent misconduct for 2 years from the date of prior discipline. Consequence: 1 to 3 Day suspension Category Three (3) Violation Description: A Category Three infraction is an offense deemed to be a serious infraction or enhanced violations from Category Two. Same or similar violations of Category Two offenses within two years or violation of two Category Two offenses will be considered a Category Three offense. Period: Used for consideration in subsequent misconduct for 3 years from the date of prior discipline. Consequence: 4 to 6 Day suspension Category Four (4) Violation Description: A Category Four infraction is an offense deemed to be a very serious infraction or enhanced violations from Category Three. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 13 of 31  Same or similar violations of Category Three offenses within three years or violation of two Category Three offenses will be considered a Category Four offense. Period: Used for consideration in subsequent misconduct for 5 years from the date of prior discipline. Consequence: 7 to 9 Day suspension Category Five (5) Violation Description: A Category Five infraction is an offense deemed to be an egregious violation or enhanced violations from Category Four. Same or similar violations of Category Four offenses within five years or violation of two Category Four offenses will be considered a Category Five offense. Multiple violations of Category One through Four offenses (three or more violations of the same or similar offense or three or more violations of any combination of offenses from lower categories) will be considered a Category Five offense. Period: Will be considered in all subsequent misconduct. Consequence: 10-15 Day suspension 16 to 90 Calendar days suspension in lieu of Indefinite Suspension Involuntary Demotion Indefinite Suspension It is impossible to list all potential violations of rules, regulations, and unacceptable conduct and behavior; therefore, the following list of examples is not to be considered all-inclusive. Examples are organized under the title, section, and number of the Houston Fire Department Rules and Regulations pertaining to the specific violation listed. The category assigned as a guide for disciplinary category selection is listed i n p a r e n t h e s e s immediately to the right of each example listed. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 14 of 31 The Fire Chief reserves the right to review violations and assess discipline on a case-by-case basis as a part of his responsibility to discharge the duties of his office. The appropriate disciplinary range category and any mitigating and aggravating factors will be considerations upon which the Fire Chief determines the discipline to be imposed. I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 15 of 31 V. Assigned Categories for Violations Example(s) Category(s) Responsibilities 5.03 Duty Assignment Failure to report for duty or provide suitable substitute after assuming tour of duty for another member (2) AWOL – First occurrence of less than ½ assigned shift (ie. 1 assigned shift and up to end of 2nd consecutive assigned shift (ie. >24 hours up to 48 hours for members assigned to 24-hour shift, >8 hours up to 16 hours for members assigned to 8-hour shift, etc.) (3) AWOL – > 2 consecutive assigned shifts and up to end of 3rd consecutive assigned shift (ie. >48 hours up to 72 hours for members assigned to 24-hour shift, >16 hours up to 24 hours for members assigned to 8-hour shift, etc.) (4) AWOL – More than 3 consecutive assigned shifts without notification unless incapacitated due to injury/illness (5) Abandon post/walk off job (5) 5.04 Conduct and Behavior General rude and discourteous behavior (1) Very rude or discourteous behavior directed to individuals (members or public) (2-3) Bullying behavior (3-4) Conduct unbecoming a member (4-5) 5.05 Responsibility to Read, Understand, and Comply Failure to read, acknowledge, understand, and comply with all departmental rules/regulations, guidelines, general orders, memorandums, and other directives as issued and COH executive orders and administrative policies (1) 5.06 Obedience to Lawful Orders Failure to obey written directive from supervisor and/or the department (2) Flouting the authority of superior officers by displaying disrespect or by disputing their orders (3) Failure to obey or disputing a lawful order when in a non-emergency setting (4) Failure to obey or disputing a lawful order in an emergency setting (5) 5.07 Abide by Laws Violation of city ordinance(s) or city or department policy(s) (1-5) Conviction of a class C misdemeanor (including deferred adjudication) (2) Conviction of a felony or class A or B misdemeanor (including deferred adjudication) (5) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 16 of 31 5.08 Issuance of Proper Orders from a Designated Representative Failure to obey written directive from designated representative (2) Failure to obey or disputing a lawful order from designated representative when in a non-emergency setting (4) Failure to obey or disputing a lawful order from designated representative in an emergency setting (5) 5.09 Unlawful Orders Prohibited Giving orders that represent minor violations of city ordinance(s) or policy(s) (3) Giving orders that would result in committing a class C misdemeanor (4) Giving orders that would result in committing a felony, class A or B misdemeanor (5) 5.10 Conflict of Orders Failure to respectfully call to the attention of the issuing officer any conflict of orders (3) 5.11 Appeals from and Reporting Unlawful or Unjust Orders Frivolous appeals of orders (2) Failure to report unjust or unlawful orders at first opportunity (2) 5.12 Through Official Channels Failure to request and receive permission from immediate supervisor prior to contacting any higher level in the chain of command (1) 5.13 Performance of Duty Breaches of Patient Care Guideline (1-5) Failure to return to service as quickly as possible (1) Failure to perform duty due to lack of knowledge (1) Failure to perform duty due to simple mistake (2) Careless handling of equipment (2) Careless handling of patients. (3) Failure to perform duty due to carelessness/neglect (3-5) Failure to maintain all certifications, standards, and job knowledge skills as required of their position (4-5) Failure to perform at minimum accepted performance standards after PIP (5) Failure to pass final probationary test/credentialing (5) 5.14 Performance in a Higher Position Refusal to perform duties of the next higher position after being ordered (5) 5.15 Habitual or Gross Carelessness Carelessly endangering or losing equipment (1) Carelessly damaging equipment (excluding vehicular accidents) (2) Carelessly exposing citizens or members to danger (3) Carelessness or reckless behavior which results in injury to citizens or members (5) 5.16 Relieve from Duty Relieved from duty for just cause in non-emergency setting (4) Relieved from duty for just cause during an emergency incident or emergency setting (5) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 17 of 31 5.17 Recovery from Illness or Injury Failure to notify Department Supervisor of absence from place of confinement (1) Failure to comply with requirements for submitting a Form 48 and / or 73 (1) Absence from place of confinement for unauthorized reasons (2) Extra employment (working side job) while on injury or sick leave (5) 5.18 Compliance with Investigations Failure to comply and /or cooperate in investigations (5) Interference with an investigation or intimidation of complainants, witnesses, or participants (5) 5.19 Testifying in Departmental Investigations Refusal to answer questions, give statements, render material evidence, etc (5) 5.20 Notice of Suit Against Members Failure of member to properly notify the Fire Chief of any suit filed against the member by reason of any act performed or not performed in the line of duty (1) Failure of member to properly notify the Fire Chief of any suit filed against the member by reason of any act performed or not performed in the line of duty resulting in a default or penalty (3-4) 5.21 Notice of Arrest Failure of member to immediately notify his/her supervisor of the member’s arrest (2) Failure of Superior Officers to actively enforce the rules and regulations that pertain to a member’s arrest (2) Failure of member to notify the Fire Chief, in writing, of the member’s arrest within 24 hours of his/her release (2) Failure of member to notify the Fire Chief, in writing, of the member’s arrest involving a class A or B misdemeanor or felony before reporting back for duty (4-5) 5.22 Notice of Pending Criminal Investigation Failure of supervisor to provide required notification for a pending criminal investigation of a member (2) Failure to notify the Fire Chief, in writing, within 24 hours of becoming aware the member is the subject of a pending criminal investigation. (2) Failure to provide any notification to the Fire Chief that the member is the subject of any pending criminal investigations (4) 5.23 Notice of Court Disposition Failure of member to notify the Fire Chief, in writing, of any final court hearing results (ie. dismissal, pretrial diversion, etc.) not resulting in a conviction or deferred adjudication within 24 hours of receiving them (2) Failure of member to notify the Fire Chief, in writing, within 24 hours of receiving any court disposition resulting in conviction or deferred adjudication of a class C Misdemeanor (2) Failure of member to notify the Fire Chief, in writing, within 24 hours of receiving any court disposition resulting in conviction or deferred adjudication of a class A or B misdemeanor and/or felony (5) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 18 of 31 5.24 Reporting Violations Failure to report severe rule violation to immediate supervisor (2-3) Intentionally making a false report of a rule violation (5) Relationships 6.01 Workplace Discrimination and Harassment Minor incidents of rude or inappropriate behavior related to a member’s protected status (2) Serious or multiple incidents of prohibited behavior related to a member’s protected status (4) Harassment, such as hazing or physical/verbal abuse not related to a protected status. (3-5) Violation of Federal or State laws prohibiting workplace discrimination or harassment and/or violation of Mayor’s Executive Order 1-50 (5) Failure of supervisor to report or act on allegations of conduct which violates Executive Order 1-50 (5) 6.02 Discrimination based on Sexual Orientation/Gender Identity Minor incidents of rude or inappropriate behavior related to a member’s sexual orientation and gender identity (2) Serious or multiple incidents of prohibited behavior related to a member’s sexual orientation and gender identity (4) Violation of Federal or State laws prohibiting workplace discrimination or harassment and/or violation of Houston Executive Order 1-50 (5) Failure of supervisor to report or act on allegations of conduct which violates Executive Order 1-50 (5) 6.03 Aiding and Protecting Fellow Members Failing to aid and protect members in times of danger or impending danger (5) 6.04 Duty to be Kind, Courteous, and Patient General discourtesy to citizens and/or members of the department (1) Very rude or discourteous behavior directed to individuals (members or public) (2-3) Bullying behavior (3-4) Conduct unbecoming a member (4) Insubordination (4-5) 6.05 Respect for Fellow Members Failure to issue orders in a civil tone or understandable tone (1) Issuing orders that are not in pursuit of Fire Department business (1) Failure to respect a superior officer or address using proper title (2) Perform any act or make statements, oral or written, which are directed at any co-worker with the intent to destroy the morale, good order, and working relationship with such co-worker(s) (2-3) Perform any act or make statements, oral or written, which are directed at any officer with the intent to destroy the discipline and good order (3) Failure to cooperate, support, and assist other members in an emergency setting (4) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 19 of 31 6.06 Maintain Discipline Officer’s failure to report or document violations (1) Undignified relations with those of lesser rank (1) Failure to report violations listed as category 2, 3, 4, or 5 (excluding violations of Mayor’s E.O. 1-50 or involving felony criminal acts) (2) Use of violent, abusive or profane language in giving orders, instruction or in conversation with those of lesser rank (4) Failure to report violations listed as category 5 that involve felony criminal acts or violations of Mayor’s Executive Order 1-50 (5) Restrictions on Behavior/Conduct 7.01 Truthfulness Error on record (careless but honest mistake) (1) Making untruthful or slanderous statements about citizens or members in an unofficial setting or capacity (4) Making false or misleading statements in any official communication or in conversation with another member or citizen (4) Untruthfulness in official settings or capacities such as sworn testimony or in statements or responses to official investigative inquiries (5) Falsification of an official departmental record or any other government record (5) 7.02 Neglect of Duty Cowardice at an emergency incident (5) Being unfit for duty (5) Failure to fulfill employment agreement (5) Gross Negligence (insolence, indifference and evading duty) (5) 7.03 Immoderate Language General use of immoderate language (1) Use of immoderate language in an abusive or violent manner directed at any city employee (3) Use of immoderate language in an abusive or violent manner directed at any supervisor (4) Use of immoderate language in an abusive or violent manner directed at citizens (3-5) 7.04 Physical Altercations Fighting or engaging in physical altercations while on duty or in uniform (5) 7.05 Firearms in Fire Department Buildings or Vehicles Unauthorized possession of or causing or allowing firearms to be brought into any department building, station, or vehicle (4) Use of or brandishing of firearms in any department building or station (5) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 20 of 31 7.06 Smoking or Eating During Emergencies Smoking in city buildings or vehicles (1) Smoking outside designated area at incident scenes (2) Smoking inside incident scenes under investigation (3) 7.07 Intoxication and Self-Induced Disability Alcoholic beverage container in a department vehicle or department premises under your control (1) Loitering where alcohol is sold while in uniform (2) Possessing alcohol while on duty (4) Consuming alcohol in public while in uniform (4) Consuming alcohol or being intoxicated while on duty (5) 7.08 Drug Usage Failing to report to supervisor use of medication which may impair ability to perform safety sensitive job duties (4-5) Allowing non-prescription narcotics or illegal drugs of any kind onto HFD property (5) Possession or use of illegal drugs or any controlled substance, except as prescribed by a licensed physician or dentist, whether on or off duty. (5) Participation in any activities involving illegal drugs or substances, whether on or off duty. (5) 7.09 Gambling Wagering of money or anything of value while in uniform or on duty (2) 7.10 Theft Theft or unauthorized removal of anything from an incident scene or any Fire Department property (5) 7.11 Removal of Records Failure to note/report authorized removal of records in the station/Captain logs (3) Removal of records without the Fire Chief’s permission (5) 7.12 Accepting Payment or Gifts Accepting any compensation, gift, or reward for services rendered in violation of Executive Order 1-28 (2) Demanding any compensation, gift, or reward for services rendered or to be rendered in violation of Executive Order 1-28 (4) 7.13 Solicitation Soliciting discounts on purchases by reason of department affiliation (1) Unauthorized solicitation of money or selling tickets on department property or while on duty or in uniform (2) Allowing solicitation on department property without the Fire Chief’s permission (2) On-duty solicitation of members to join or support a political party, club, or charity (2) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 21 of 31 7.14 Political Activity Engaging in political activity for any candidate or issue on department property or in uniform (4) Engaging in political activity about guidelines or work conditions, off duty in uniform, without the Fire Chief’s approval (4) Soliciting or petitioning for promotion or change of duties (4) Failure to notify the Director of Personnel of political candidacy (4) Placing posters, placards, stickers, trailers, etc. advertising candidacy on HFD/COH property (4) Preparing, processing, or distributing political materials, signing petitions, soliciting votes, making speeches or public derogatory remarks about any candidate while on duty or in uniform (4) Requiring members to contribute money or service to political campaigns (5) 7.15 Media Interviews Unauthorized interviews, release of information, or expression of opinion on an official position or guideline of HFD (2) Representing HFD, in or out of uniform, at any social or public gathering without authorization (2) 7.16 Security of Fire Information Divulging incident information or making available information contained in an incident record to any person without authorization (4) Divulging incident information or making available information contained in an incident record to any person for profit or in violation of law (5) 7.17 Use of Social Media Breach of the City and/or departmental Social Media Policy (1-2) Multiple breaches of the City and/or departmental Social Media Policy (3-4) 7.18 Electronic Devices Use of any device, computer, smart phone, tablet, etc. at an incident scene not related to activities which safely and effectively resolve the incident (2) 7.19 Religious or Political Arguments Engaging in political or religious arguments while on duty or on department property (2) 7.20 Mail-Interdepartmental Unauthorized use of department mail for purposes other than departmental business (2) 7.21 Improper Images Possession, viewing, or exhibition of lewd or obscene material on duty or on Fire Department property (4-5) 7.22 Use of Computers Use of computers for purposes other than department business (1) Allowing another the use of personal passwords (3) Accessing, viewing or distributing pornographic or profane material via computer (4-5) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 22 of 31  Criminal access and/or distribution of pornographic materials via computer (5) 7.23 City Email Failure to check COH email while on duty (1) Unauthorized use of City email (2) Unauthorized/improper use of City email distribution lists (1-2) Regulations during Emergency Incidents 8.01 Emergency Response Delayed response to emergency incidents (2) Stopping to perform non-response related actions while on an emergency call (This prohibition extends to all phases of an emergency incident) (5) 8.02 Responding to Emergency Incidents Breach of II-35 Driving HFD Vehicles Guideline (1) Multiple breaches of II-35 Driving HFD Vehicles Guideline (2-4) 8.03 Discovery of a Second Incident while En Route to an Emergency Failure to notify OEC of the nature and location of the second incident. (2) 8.04 Recall to Duty Failure to respond after general notification, without valid excuse (4) Refusal to respond to a recall to duty after individual notification without valid excuse (5) 8.05 Relieving at Fire Scene Violation of general Relieving at Fire Scenes regulations (1) Using ambulance as a relief crew shuttle (2) Leaving incident scene without proper relief (4) 8.06 Fire Extinguishment of U.S. Mail-In Boxes or Trucks, Etc. Improper extinguishment of U.S. Mail Property. (1) Failure to notify OEC to inform the Postal Authorities or failure to standby (1) 8.07 Scene Safety Involving Weapons Unnecessary handling or moving of any type weapon found on an incident (1) 8.08 Response to Accidents and Fatality Investigations Failure to don the ANSI Class II work vest for all freeway incidents, day or night (1) 8.09 Fire Investigations and Request for an Arson Investigator Overhaul of property prior to release by the Arson Division (2) Interference with Arson investigation scene/destruction of evidence (3) 8.10 Leaving the Scene of a Suspected Arson Fire Abandonment of fire scene prior to arrival of Arson Investigator (4) 8.11 Finding a Deceased Person at a Fire Scene Failure to immediately notify the Incident Commander upon finding a deceased person at a fire scene (1) 8.12 Finding a Deceased Person at an EMS Scene Failure to immediately notify OEC upon finding a deceased person at an EMS scene (1) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 23 of 31 Department Vehicles 9.01 Operation of Department Vehicles Failure to wear Seat Belt (1) Violations of COH Administrative Procedure 2-2 (2-5) Use of non-departmental radios and other electronic devices (2) Failure of Commanding Officer to visually check the driver’s license of each member under their command every six (6) months (3) Failure of member to have valid state issued driver’s license/ License suspended/expired (3) Failure of member to have valid state issued driver’s license/ License revoked (5) Failure of member to immediately notify supervisor of revoked/suspended DL (5) 9.02 Disabled Vehicles Failure to contact OEC or remain with disabled vehicle (2) 9.03 Use of Cell Phones Use of cell phone and/or other devices while driving department vehicles (1) 9.04 Use of Spotters Violation of Use of Spotters regulations (2) Failure of the “spotter’ to properly aid the driver (2) Failure of highest-ranking member on apparatus to enforce Use of Spotters regulation (2) 9.05 Duty to Report Impairments Failure to report any conditions to immediate supervisor that might impair driving (3) 9.06 Use of Toll Roads Failure to use Toll Roads appropriately when responding to and returning from an emergency incident (1) 9.07 Securing of Department Vehicles Leaving heavy apparatus unattended at incident scene when not in use (1) Leaving heavy apparatus unattended when away from station and not on an emergency incident (2) Failure to remove ignition key/secure vehicle at incident scene/hospital where vehicle is left unattended and out of view (1) Failure to remove ignition key/secure vehicle when away from station and not on an emergency incident (2) Violation of securing of department vehicles resulting in theft of vehicle (3) Miscellaneous Duties 10.01 Subpoena to Court Failure to notify immediate supervisor of receipt of subpoena or submit court slip (1) Failure to review case and /or facts before testifying (1) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 24 of 31  Failure to appear at hearing after receiving a subpoena (2) 10.02 Enforcement of Codes and Ordinances Discourtesy while enforcing codes and ordinances (2) Failure to enforce codes and ordinances impartially (4) 10.03 Valuables Found at a Fire Violations of Valuables Found at a Fire regulations (1) 10.04 Personnel Information Divulging personnel information or making available information contained in personnel records to any person without authorization (4) Divulging personnel information or making available information contained in personnel records to any person for profit or in violation of law (5) 10.05 Bureau of Animal Regulation and Care Failure to notify OEC when a citizen’s pet will be unsecured during and/or after an emergency incident (1) I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 25 of 31 VI. Forms and References I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 26 of 31  HOUSTON FIRE DEPARTMENT PERFORMANCE IMPROVEMENT PLAN PRE-PLAN CHECKLIST (Completed by Supervisor prior to meeting) Employee Name _________________________ Date ____________ Supervisor ____________________ Type of issue: Attendance Behavior Performance Safety Prior Documentation: Form 42 Form 34 PAP Previous discussions (with dates) about the issue _________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Basic issue/overall concern _________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Desired performance/result ______________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Actual performance/result ___________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Impact (The positive business reasons why the issue must be solved.) __________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Action Plan (The steps that will be taken to help resolve the issue.) _____________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Consequences (The logical consequences/results the individual or department will face if he/she fails to correct the situation.) _____________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ Five Mandatory Questions: Did the employee clearly understand the misconduct or performance deficiency? Yes No Did the employee know in advance that such conduct would be subject to corrective action? Yes No Was the issue related to safe or efficient and orderly operation of the department? Yes No Is there substantial evidence that the employee actually violated a rule? Yes No Is the action planned reasonably related to the seriousness of the offense, the employee’s record with HFD and actions taken with the other employees who have committed a similar offense? Yes No I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 27 of 31  HOUSTON FIRE DEPARTMENT PERFORMANCE IMPROVEMENT PLAN POST-PLAN SUMMARY Employee Name___ __________________ Date ____________ Supervisor _____________________ Gaining Agreement Did the employee agree to solve the issue/correct the situation? Yes No Was the employee informed of the prior documentation? (Form 42, Form 34, PAP) Yes No Summary of Performance during Plan _______________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ Employee’s Results _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ Supervisor Comments _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ Employee’s Comments _________________________________________________________________________________________ _________________________________________________________________________________________ _________________________________________________________________________________________ Supervisor Signature __________________________ Plan End Date _____________________ Employee Signature __________________________ I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 28 of 31  HOUSTON FIRE DEPARTMENT CODE OF ADMINISTRATIVE PROCEDURE REFERENCE SHEET Action/Issue Initiator Prior Witness Documentation Documentation Approval Required Distribution Appeal Process INFORMAL PROCEDURES Coaching Immed. None None None Employee + Immed. Supv. N/A Motivating Supv. Informal Immed. None Optional Form 42 Employee + Immed. Supv. + Grievance Counseling Supv. Optional File a written response. See TLGC Chapter 143.089(d) Policy PSO None None Non-Formalized Copy of complaint to designated N/A Awareness Complaint supervisor. Return results to PSO. Program FORMAL PROCEDURES Formal Immed. Notify Chief Yes Form 34 1. Member 4. Department File Grievance Counseling Supv. or Officer 2. Station File File a written response. PSO 3. District File or PSO File Only See TLGC Chapter 143.089(d) Performance Supv or Chief Yes PIP 1. Member Grievance Improvement Chief Officer Pre-Plan Checklist 2. Station File File a written response. Plan Officer Post-Plan Summary 3. District File See TLGC Chapter 143.089(d) Formalized Member, None NA Notarized Completed by PSO N/A Complaint Supv, or complaint + Civilian documentation Written Fire Chief Fire Chief PSO or Formal Completed by PSO Grievance Reprimand AC Investigation File a written response. See TLGC Chapter 143.089(d) SUSPENSION Temporary Fire Chief Fire Chief PSO or Formal Completed by PSO CSC Appeal Suspension AC Investigation Indefinite Fire Chief Fire Chief PSO, HR, Formal Completed by PSO CSC Appeal Suspension Legal Investigation I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 29 of 31  Code of Administrative Procedure (CAP) Disciplinary Matrix Category 1 1st Offense 2nd Offense 3rd Offense 4th Offense 5th Offense AWOL < 2hours, AWOL 1 shift up to end of 2nd consecutive shift, Bullying behavior, Flouting authority, Improper orders representing 4 -6 Days 7 -9 Days 10-15 Days Ind. Suspension minor City or Dept. violations, Failure to respectfully report conflicting order, Careless handling of patients, 16-90 Cal. Days Careless/Neglectful performance of duty, Exposing others to danger, Failure to report suit against a member resulting in a In-Lieu *1 Inv. Demotion default or penalty, Hazing or physical/verbal abuse not related to protected status, Acts or Statements toward officer with Ind. Suspen *2 intent to destroy good order, Immoderate language directed at city employees, Smoking at a scene under investigation, Failure to document removal of record, Multiple social media violations, Allowing use of password, Interference w/ Arson investigation, No valid DL-expired or suspended, Failure of supervisor to check DL, Failure to report driving impairment, Violation of securing of vehicles resulting in theft of vehicle I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 30 of 31 Category 4 1st Offense 2nd Offense 3rd Offense *Note 1 AWOL > 2 consecutive shifts up to end of 3rd consecutive shift, Underlying conduct(Assault), Failure to obey lawful 7 -9 Days 10-15 Days*1 Ind. Suspension Time served for order/non-emergency, Giving improper order leading to Class C Misd., Failure to maintain all certifications/skills, Relieved 16-90 Cal. Days underlying from duty/non-emergency, Failure to notify FC of Class A or B msdm. arrest upon reporting back for duty, Failure to In-Lieu conduct will be Inv. Demotion deducted if provide notice to Fire Chief of criminal investigation, Serious/multiple violations related to protected class, Conduct Ind. Suspen *2 applicable unbecoming, Failure to cooperate/support fellow members in emergency, Profane/abusive/violent language when giving orders or in conversation with those of lesser rank, Untruthful/slanderous statements in unofficial capacity, Misleading statement in official capacity, Immoderate language/abusive or violent manner directed at a supervisor, Unauthorized firearm in/on city property or allowing such, Possession of alcohol on duty, Consuming alcohol in uniform, Failing to report use of medications that could impact safety sensitive duties, Demanding gifts(E.O 1-28), Violation of 7.14 Political activity, Divulging incident information without authorization, Possession or viewing pornographic/profane/lewd material, Accessing/viewing/distributing porn or profane material via computer, Failure to respond to general Recall to Duty, Leaving incident without proper relief, Leaving scene prior to Arson response, Failure to enforce codes/ordinances impartially, Divulging personal information without authorization Category 5 1st Offense 2nd Offense 3rd Offense *Note 2 Underlying conduct(Alcohol related/Felony), Failure to obey order/emergency, Conviction/Deferred Adjudication of Class 10-15 Days*1 16-90 Cal. Days Ind. Suspension Discipline for B Misd., Giving improper order leading to Class A-B Misd or felony. Failure to perform duty after PIP, Refusal to ride higher 16-90 Cal. Days In-Lieu underlying position, Behavior which results in injury to citizens or members, Relieved from duty/Emergency, Extra employment while In-Lieu Inv. Demotion conduct will Inv. Demotion Ind. Suspen *2 not reduce on sick leave, False report of rule violation, Supervisor failure to report felony criminal violations, Untruthfulness, Neglect Ind. Suspen *2 indefinite of Duty, Immoderate language directed at citizens, Brandish firearm, Failure to report medication that could impact safety suspension sensitive job duties, Removal of records, Requiring political contribution, Stopping during Emer. Resp., Failure to report revoked license, Failure to notify FC of Class B misd. arrest upon reporting for duty, Failure to notify of Class B misd. Conviction/Deferred Adjudication w/in 24 hours Category 5 Loudermill 1st Offense 2nd Offense Abandon Post/walk off job, Conviction/Deferred Adjudication of Class A misd., Workplace Discrimination/Harassment 16-90 Cal. Days Ind. Suspension violation and/or failure of supervisor to report such, Carelessness or reckless behavior resulting in serious injury or death In-Lieu to citizens/members, Failing to aid members in impending danger, Intentionally falsified reports/official documents, Inv. Demotion Ind. Suspen *2 Fighting /Physical altercations while on-duty, Consuming alcohol/intoxicated while on duty, Failure to respond to recall to duty, Divulging personal information or incident record for profit or in violation of law, Failure to notify FC of Class A misd. or Felony arrest upon reporting for duty, Failure to notify FC of Class A misd. Conviction/Deferred Adjudication w/in 24 hours Category 5 Loudermill Indefinite Suspension 1st Offense Underlying conduct related to arrest AWOL for > 3 consecutive days, Conviction of a Felony/ Deferred Adjudication/2nd DWI Conviction, Permanent loss of Ind. Suspen *2 Assault/Violence 7- Days certifications or driver's license, Failure to testify or comply w/investigations/interference or intimidation of complainants, Driving while Intoxicated 10-Days witnesses, Failure to notify FC of Felony conviction/Deferred Adjudication w/in 24 hours, Drug violation, Theft, Criminal Pornographic materials via computer, Failure to pass final probationary test/credentialing I-01B HFD Code of Administrative Procedure REV 3/14/2022 Page 31 of 31