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Title Administration / Policy B-28
Effective Date 05-02-08
Rescinds 03-01-07
Subject Early Warning Intervention
Purpose The primary goal of the Early Intervention Program is to improve and maintain employee performance. This written directive is intended to benefit police employees and assist police supervisors and managers in identifying personnel whose performance warrants review. Where appropriate, intervention may be necessary in circumstances that may have negative consequences for the employee, coworkers, the Department, the University, or for the general public.
Scope This directive applies to all personnel.
CALEA Chapter 35
It is the policy of this department to establish a program for tracking and reviewing incidents of risk to the department, its employees or faculty, staff, students, and visitors of the University of Texas at Austin. To this end, the Early Intervention Program shall be used as a means to identify and assess employee performance involved in designated behaviors and incidents and to intervene where appropriate.
  1. Definitions:
    1. Designated Behaviors / Incidents: Those actions that may result in negative consequences to the employee or the public, result in civil rights violations, increase the civil liability to the department, and/or cause this department to lose public support and confidence in its ability to perform its duty in a professional manner.
    2. Personnel Early Intervention Program: A program for the early identification of department employees who may need some type of intervention and a procedure for collecting and evaluating materials required for implementing such intervention.
  2. Program Goals:
    1. The primary goal of the Early Intervention program is to improve and maintain employee performance.
    2. The Early Intervention Program is designed to assist supervisory and management personnel in monitoring employee performance.
    3. Utilization of the Early Intervention Program does not alter the critical role of supervisors in directly monitoring the performance and behavior of personnel under their command.
    4. Supervisory and management personnel shall be familiar with alternatives and authorized actions they may take in response to personnel exhibiting behavioral and/or performance based problems with or without information provided by the Early Intervention Program.
  3. Responsibilities:
    1. Professional Standards Supervisor:
      1. Develop, implement, and administer the Early Intervention Program.
      2. Generate the following reports:
        1. Quarterly summary report to the Chief of Police identifying individual police personnel who exceed the established threshold of incidents including:
          1. Complaints lodged against employees in accordance with provisions of departmental directives and policy on investigation of employee misconduct
          2. Use-of-Force reports.
          3. Specified performance based activities.
          This report will provide a brief summary of complaints, uses-of-force incidents and/or performance indicators and their respective dispositions during the previous three-year period. The report shall draw no conclusions nor make any determinations concerning job performance.
        2. On-going notification to respective supervisors regarding specific employees who exceed established thresholds of incidents including the following categories when findings are sustained, chargeable, out of policy or not sustained:
          1. Complaints
          2. Time and attendance data
          3. Use of Force reviews
          4. Pursuit reviews
          This report will provide a brief summary of complaints, time and attendance, use-of-force incidents, pursuit data, and/or performance indicators and their respective dispositions during the previous three-year period. The report shall draw no conclusions nor make any determinations concerning job performance. The report is intended to assist supervisory personnel evaluate and guide personnel under their command. The report alone shall not form the basis for any action.
        3. Annual evaluation of the Early Intervention Program regarding its effectiveness in the identification of employees in need of intervention, the ability of the program to increase department accountability to the public, and the ability of the program to offer employees a better opportunity to meet the department’s values and mission statement.
          1. The evaluation:
            1. Will include a review of established thresholds to ensure they are reasonable as compared to historical norms of agency personnel functioning in the same or similar assignments.
            2. Must contain a statement of the number of incidents or combination of types of incidents and activities considered to be the threshold indicating a need for intervention.
            3. Will be completed each January, and is based on the previous calendar year.
        4. Maintain appropriate documentation related to personnel identification through the Early Intervention Program and their response or progress toward recommended actions.
        5. Other reports as directed by the Chief of Police.
    2. Supervisors:
      1. Review notification report that threshold has been reached with subject personnel and encourage the employee to provide insight to the itemized incident and problems identified in the report.
      2. Meet with their (supervisors) commander to discuss the notification report and other relevant information and determine if corrective actions are warranted.
      3. Complete a memo summarizing recommended action and justification for such recommendations. The memo shall be forwarded to the subject employee’s Division Commander through the chain of command, for their review and approval. Copies will be forwarded to the Professional Standards Supervisor and the Chief of Police.
      4. Upon the Division Commander’s approval, implement the recommended action plan by notifying the subject employee.
      5. Monitor and formally report on the progress of the subject employee in complying with the recommended action plan. Required reporting intervals shall be established by the Division Commander.
      6. Include copies of documentation regarding an employee’s involvement in the Early Intervention Program in the employee’s personnel file.
      7. Ensure that all complaint forms are routed to Professional Standards and a copy given to the employee.
      8. Refer employees who may not have reached established thresholds, at the request of the employee or a member of their chain of command.
    3. Chief of Police or Designee:
      1. Review and approve/disapprove recommended actions submitted by supervisory personnel.
      2. Review reports on employee progress toward compliance with recommended actions.
      3. Establish a reasonable program threshold prompting supervisory involvement.
    4. Employee:
      1. Once an employee has been identified by the Early Intervention Program and has been notified by their supervisor, the employee will cooperate with the supervisor and/or Professional Standards personnel in identifying reasons for and resolutions to departmental concerns regarding the employee’s actions.
      2. Follow the agreed upon plan of action to completion.
  4. Incidents to be considered in threshold count:
    1. The following activities/incidents shall be considered in identifying department employees who may require agency intervention efforts:
      1. Complaints lodged against employees in accordance with provisions in UTPD, University of Texas System, and University of Texas at directives, or statements of policy and/or procedures on investigation of employee misconduct, to include:
        1. Complaints (internal and external)
        2. Summary disciplinary actions taken against an employee by a supervisor, with or without a formal complaint
      2. Use-of-Force reports
      3. Performance based and related information to include but not limited to the following:
        1. Fleet Collisions
        2. Pursuits
        3. Officer reports of resisting arrest and obstruction
        4. Time and attendance issues.
  5. Activation:
    1. The Early Intervention Program shall activate when an employee has:
      1. Two or more sustained complaints of misconduct within a calendar year.
      2. Three or more complaints of misconduct within a calendar year.
      3. Three or more complaints of misconduct of the same nature in two consecutive calendar years.
      4. Two or more fleet collisions or incidents within a calendar year.
      5. Any use of force incident determined to be not appropriate.
  6. Potential outcomes:
    1. Conclusion that the employee’s actions do not warrant immediate need for corrective action.
    2. Referral to the Employee Assistance Program.
    3. Referral to a department authorized mental health professional or other mental health care provider authorized by the department.
    4. Requiring the employee to participate in department authorized training, targeting personal or professional problems that the officer may be facing (e.g., communications, cultural awareness, coping with stress, anger management).
    5. Reassignment.