California Code of Regulations › Title 15 - Crime Prevention and Corrections › Division 3 - Adult Institutions, Programs and Parole › Chapter 1 - Rules and Regulations of Adult Operations and Programs › Subchapter 5 - Personnel › Article 2 - Employees › Section 3392.5 - Employee Disciplinary Matrix

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Employee
					 Disciplinary Matrix Penalty Levels:
1.
Letter of Reprimand
4.
Salary Reduction 10% for 7-12 Qualifying
								Pay Periods; or
7.
Salary Reduction 10% for 31-45 Qualifying
								Pay Periods; or
Suspension Without Pay for 14-24 Qualifying Work
								Days.
Suspension Without Pay for 62-90 Qualifying Work
								Days.
2.
Salary Reduction 5% for 1-2 Qualifying
								Pay Periods; or
5.
Salary Reduction 5% for 25-36 Qualifying
								Pay Periods; or
8.
Temporary Demotion to a lower class for
								12-24 Qualifying Pay Periods; or
Suspension Without Pay for 1-2 Qualifying Work Days.
Suspension Without Pay for 25-36 Qualifying Work
								Days.
Permanent Demotion.
3.
Salary Reduction 5% for 3-12 Qualifying
								Pay Periods; or
6.
Salary Reduction 10% for 19-30 Qualifying
								Pay Periods; or
9.
Dismissal.
Suspension Without Pay for 3-12 Qualifying Work Days.
Suspension Without Pay for 38-60 Qualifying Work
								Days.
(b)
					 Employee Disciplinary Matrix Misconduct Categories and Penalty Ranges:
A. ATTENDANCE
BASE PENALTY
PENALTY RANGE
1) Excessive tardiness.
1
1 2 3
2) Unauthorized absence.
1
1 2 3
3) Excessive absenteeism.
1
1 2 3 4 5 6 7
B. CODE OF SILENCE or
								RETALIATION
BASE PENALTY
PENALTY RANGE
1) Intentional failure to report misconduct by another
								employee.
3
2 3 4 5
2) Intentional failure to report serious misconduct by
								another employee.
7
4 5 6 7 8 9
3) Intimidation, threats, or coercion that could interfere
								with an employee's duty to report misconduct, or an act of retaliation for reporting
								misconduct.
9
7 8 9
4) Any independent act(s) that prevents or interferes with
								the reporting of misconduct.
9
4 5 6 7 8 9
5) Any involvement in a concerted or coordinated effort
								with other employees to prohibit or impede the reporting of misconduct.
9
7 8 9
C. ALCOHOL, TOBACCO, AND
								DRUGS
BASE PENALTY
PENALTY RANGE
1) Use or possession of controlled substances on or
								off-duty, unless medically prescribed.
7
4 5 6 7 8 9
2) Use or possession of marijuana on or off-duty in
								violation of State or Federal law.
7
4 5 6 7 8 9
3) Sale or distribution of prescribed medications or
								controlled substances.
9
9
4) Theft of medication.
9
7 8 9
5) Use of over-the-counter or prescription medications
								while on duty which impairs an employee's ability to discharge his or her
								duties.
4
3 4 5 6 7
6) Use of medication prescribed to another.
6
4 5 6 7 8 9
7) Possession of alcohol on institutional grounds, while
								on duty, or in the presence of inmates, wards, or parolees.
6
4 5 6 7
8) Use of alcohol or drunkenness on duty.
7
4 5 6 7 8 9
9) Operating a private vehicle for state business, a state
								vehicle, or a vehicle rented for state business, under the influence of alcohol,
								controlled substances, or prescribed medication.
7
4 5 6 7 8 9
10) Use or possession of tobacco products in unauthorized
								areas of department owned or controlled property.
1
1 2 3 4
D. CONDUCT OR JOB
								PERFORMANCE
BASE PENALTY
PENALTY RANGE
1) Discourtesy toward inmates, wards, parolees, other
								employees, or the public.
1
1 2 3 4 5 6
2) Negligently endangering self, fellow employees,
								inmates, wards, parolees, or the public by violation of statutes, regulations,
								ordinances, or departmental policy, procedures, or training.
2
1 2 3
3) Intentionally endangering self, fellow employees,
								inmates, wards, parolees, or the public by violation of statutes, regulations,
								ordinances, or departmental policy, procedures, or training.
6
4 5 6 7 8 9
4) Leaving assigned post without supervisor approval.
2
1 2 3
5) Less than alert, inattentive, or distracted while on
								duty.
2
1 2 3
6) Asleep while on duty.
3
1 2 3 4
7) Gambling on duty.
2
1 2 3
8) Unauthorized use of department position, uniform, or
								equipment.
2
1 2 3
9) Use of identification or department position to solicit
								a gratuity or privilege.
4
3 4 5 6 7 8
10) Engaging in a relationship in violation of the
								department's nepotism or fraternization policy.
4
3 4 5 6 7 8 9
11) Failure to report a relationship in violation of the
								department's nepotism or fraternization policy.
3
2 3 4 5 6
12) Improperly accessing or unauthorized possession or
								disclosure of confidential information.
4
2 3 4 5 6 7 8 9
13) Improperly accessing or unauthorized possession or
								disclosure of confidential information with malicious intent or for personal
								gain.
5
3 4 5 6 7 8 9
14) Disruptive, offensive, or vulgar conduct which
								discredits the department.
3
2 3 4 5 6
15) Intimidation, threat, or assault without the intent to
								inflict serious injury toward a department employee, inmate, ward, parolee, or
								member of the public.
5
3 4 5 6 7 8
16) Intimidation, threat, or assault with the intent to
								inflict serious injury toward a department employee, inmate, ward, parolee, or
								member of the public.
7
5 6 7 8 9
17) Battery against a departmental employee or member of
								the public without the intent to inflict serious injury.
5
3 4 5 6 7 8
18) Battery against a department employee or member of the
								public with the intent to inflict serious injury.
7
5 6 7 8 9
19) Sexual misconduct involving staff or a member of the
								public.
6
5 6 7 8 9
20) Over-familiarity with inmate(s), ward(s), parolee(s)
								or inmate, ward, or parolee family member(s).
5
4 5 6 7 8 9
21) Sexual misconduct with an inmate, ward, or
								parolee.
9
9
22) Prostitution or solicitation of prostitution.
6
5 6 7 8 9
23) Bringing contraband into a secure area for personal
								use.
1
1 2 3 4 5 6
24) Bringing for or providing contraband to an inmate,
								ward, or parolee.
9
5 6 7 8 9
25) Failure to observe and perform within the professional
								standards, including community standards of care, applicable to a profession, or
								engaging in behavior that constitutes professional misconduct under professional
								standards.
3
3 4 5 6 7 8 9
26) Failure to observe and perform within the scope of
								training, post orders, duty statements, department policy, or operational
								procedures.
1
1 2 3 4 5
27) Failure to observe and perform within the scope of
								practice for medical, nursing, psychiatric, psychological, dental, or other health
								care employees.
3
3 4 5 6 7 8 9
28) Employee's failure to report discipline by a licensing
								agency.
3
3 4 5 6 7 8 9
29) Failure to intervene in or attempt to stop misconduct
								by another employee.
5
4 5 6 7 8 9
30) Failure to intervene in or attempt to stop misconduct
								by another employee directed at an incarcerated person.
7
5 6 7 8 9
31) Felony criminal conviction.
9
9
32) Misdemeanor conviction involving moral turpitude.
9
7 8 9
E. INTEGRITY AND
								DISHONESTY
BASE PENALTY
PENALTY RANGE
1) Petty theft.
4
3 4 5 6 7
Penalty shall be relative to value and circumstances
2) Grand theft.
9
7 8 9
Penalty shall be relative to value and circumstances
3) Making evasive statements, failing to report, or
								omitting material facts or information to a supervisor by non-sworn staff.
3
2 3 4 5 6 7
4) Making evasive statements, failing to report, or
								omitting material facts or information to a supervisor by sworn staff.
4
2 3 4 5 6 7
5) Making intentionally false or intentionally misleading
								statements regarding a material fact or intentionally omitting material facts to a
								supervisor.
7
4 5 6 7 8 9
6) Making intentionally false or intentionally misleading
								statements regarding a material fact, or intentionally omitting material facts,
								during an inquiry or investigation conducted by the department's Office of Internal
								Affairs.
9
7 8 9
7) Making intentionally false or intentionally misleading
								statements regarding a material fact or intentionally omitting material facts to a
								public safety officer on or off-duty.
7
5 6 7 8 9
8) Making intentionally false or intentionally misleading
								statements regarding a material fact or intentionally omitting material facts during
								an investigation conducted by any local, state, or federal entity; state or federal
								licensing agency; or professional peer review board.
9
7 8 9
9) False testimony under oath.
9
9
10) Falsification of material facts in reports or official
								records.
9
7 8 9
11) Falsification of a time record or financial record for
								fraudulent purposes.
9
4 5 6 7 8 9
12) False claim for Leave Entitlement.
5
4 5 6 7 8 9
13) Falsification by an employee of a medical note or
								record obtained from a dental, medical, mental health, or health care provider.
9
4 5 6 7 8 9
14) Entering false or intentionally misleading statements
								in a dental, medical, mental health, or other health care record.
9
4 5 6 7 8 9
15) Altering or destroying dental, medical, or mental
								health care records in violation of department policy or state or federal law.
9
5 6 7 8 9
16) Falsification, alteration, planting, or destruction of
								evidence.
9
7 8 9
17) Falsification, alteration, or destruction of
								department records, documents, or communications in violation of department
								policy.
9
7 8 9
18) Repeated unintentionally failing to start, shutting
								off, or disabling Audio-Visual Surveillance System or Body-Worn Cameras.
2
1 2 3
19) Intentionally failing to start, shutting off, or
								disabling Audio-Visual Surveillance System or Body-Worn Cameras.
9
7 8 9
20) Tampering with, altering, or destroying Audio-Visual
								Surveillance System or Body-Worn Camera equipment or recordings.
9
7 8 9
21) Cheating on a civil service examination; unauthorized
								possession, use, or distribution of examination materials; or participating in an
								examination for another person.
9
4 5 6 7 8 9
22) Falsification or intentional omission of information
								on applications or other documents submitted for employment or promotion.
9
4 5 6 7 8 9
23) Participating in hiring practices that violate the law
								or department policy.
7
4 5 6 7 8 9
F. FAILURE TO COMPLY
BASE PENALTY
PENALTY RANGE
1) Failure to obtain approval from or provide updated
								information to a hiring authority regarding secondary employment outside the
								department.
1
1 2 3
2) Accepting employment outside the department or engaging
								in activities inconsistent or incompatible with departmental employment as set forth
								in section 3413.
4
3 4 5 6
3) Failure to attend required training.
1
1 2 3
4) Failure to comply with an admonishment or other lawful
								instruction by the Office of Internal Affairs during an investigation.
6
5 6 7 8 9
5) Failure to follow lawful instructions as directed by a
								supervisor or higher-ranking official.
3
2 3 4 5 6 7
6) Failure to report a change in qualifications,
								licensure, or certification required for continued employment in a job
								classification.
4
3 4 5 6 7 8 9
7) Refusal to submit to or take any oath or affirmation
								required by law.
9
9
8) Refusal to take a medical or psychological examination
								or submit to drug or alcohol testing, as required by law, civil service rules,
								department policy, Memoranda of Understanding, or lawful order.
9
9
G. EQUAL EMPLOYMENT
								OPPORTUNITY
BASE PENALTY
PENALTY RANGE
1) Unsolicited, unwelcome, or offensive verbal or written
								comments that are derogatory, sexual in nature, or discriminatory based on protected
								status.
3
1 2 3 4 5 6 7 8 9
2) Unsolicited, unwelcome, or offensive physical conduct
								that is derogatory, sexual in nature, or discriminatory based on protected
								status.
4
1 2 3 4 5 6 7 8 9
3) Unsolicited, unwelcome, or offensive visual conduct
								that is derogatory, sexual in nature, or discriminatory based on protected
								status.
3
1 2 3 4 5 6 7 8 9
4) Displaying objects, cartoons, pictures, or posters that
								are derogatory, sexual in nature, or discriminatory based on protected status.
3
1 2 3 4 5 6 7 8 9
5) Making employment decisions or changing the terms,
								conditions, or privileges of employment based on an individual's protected
								characteristics.
3
1 2 3 4 5 6 7 8 9
6) Changing the terms, conditions, or privileges of
								employment in retaliation for engaging in activity protected by state or federal
								law, filing a discrimination, harassment or retaliation complaint; opposing unlawful
								discrimination, harassment or retaliation; or participating in the discrimination
								complaint process.
6
1 2 3 4 5 6 7 8 9
H. WORKPLACE VIOLENCE
BASE PENALTY
PENALTY RANGE
1) Conduct that is disruptive because it disturbs,
								intimidates, interferes with, or prevents normal work functions or workplace
								activities.
3
1 2 3 4 5 6 7 8 9
2) Threatened acts of violence with the intent to harass,
								intimidate, commit an injury to self or others, or damage or destroy property.
4
1 2 3 4 5 6 7 8 9
3) Stalking which consists of willful, malicious, and
								repeated following or harassing of another person, by any means direct or indirect,
								that causes a reasonable person to fear for their safety or the safety of their
								immediate family.
6
3 4 5 6 7 8 9
I. MISUSE OF STATE
								RESOURCES
BASE PENALTY
PENALTY RANGE
1) Unauthorized use of state equipment or services for
								personal use.
3
1 2 3 4 5 6 7
2) Failure to carry required equipment.
1
1 2 3 4 5
3) Misuse or non-use of issued equipment.
1
1 2 3 4 5
4) Misappropriation of state equipment, property, supplies
								or funds.
1-9
1-9
Penalty shall be relative to value of property and
								circumstances.
J. OFF-DUTY INCIDENTS
BASE PENALTY
PENALTY RANGE
1) Failure to report off-duty arrest to the hiring
								authority.
2
1 2 3
2) Drunk or disorderly conduct in public.
2
1 2 3
3) Off-duty driving under the influence of alcohol or a
								drug without collision.
2
1 2 3 4 5
4) Off-duty driving under the influence of alcohol or a
								drug with collision.
5
4 5 6
5) Off-duty driving under the influence of alcohol or a
								drug resulting in injury.
7
7 8 9
6) Carrying a concealed firearm off-duty without a carry
								concealed weapon permit or department authorization.
5
3 4 5 6 7 8 9
7) Possessing a department authorized off-duty firearm
								while impaired by alcohol or a drug.
6
4 5 6 7 8 9
8) Misuse of firearm while off-duty.
3
1 2 3 4 5
9) Illegal display or brandishing of firearm while
								off-duty.
5
3 4 5 6 7
10) Negligent handling of firearm without injury while
								off-duty.
2
1 2 3 4 5
11) Negligent handling of firearm with injury while
								off-duty.
6
3 4 5 6 7 8 9
12) Gross negligence in handling of firearm without injury
								while off-duty.
7
4 5 6 7 8 9
13) Gross negligence in handling of firearm with injury
								while off- duty.
9
4 5 6 7 8 9
14) Domestic violence.
6
4 5 6 7 8 9
15) Child abuse or endangerment.
6
4 5 6 7 8 9
16) Sexual misconduct involving, or sexual abuse of, a
								minor.
9
7 8 9
17) Intimidation, threat, or assault of a private
								citizen.
5
3 4 5 6
18) Battery of a private citizen without intent to commit
								injury.
4
1 2 3 4 5 6 7 8
19) Battery of a private citizen with intent to commit
								injury.
7
6 7 8 9
20) Other off-duty criminal conduct.
1-9
1-9
Penalty shall be relative to nature of criminal
								offense
K. ON-DUTY TRAFFIC-RELATED
								INCIDENTS
BASE PENALTY
PENALTY RANGE
1) Negligent driving while on duty.
2
1 2 3
2) Negligent driving while on duty with collision.
3
2 3 4
3) Dangerous, reckless, or wanton driving while on
								duty.
5
3 4 5 6
4) Dangerous, reckless, or wanton driving while on duty
								with collision.
7
4 5 6 7 8
L. USE OF FORCE
BASE PENALTY
PENALTY RANGE
1) Unnecessary use of force without injury.
2
1 2 3
2) Unnecessary use of force causing injury.
5
4 5 6 7 8 9
3) Unnecessary use of force causing great bodily
								injury.
9
6 7 8 9
4) Excessive use of force without injury.
3
1 2 3
5) Excessive use of force causing injury.
5
4 5 6 7 8 9
6) Excessive use of force causing great bodily
								injury.
9
6 7 8 9
7) Intentional unnecessary or excessive use of force.
9
7 8 9
8) Employee's failure to report their own use of
								force.
5
2 3 4 5 6
9) Employee's failure to report their own unnecessary or
								excessive use of force.
9
4 5 6 7 8 9
10) Employee's failure to report use of force
								observed.
4
2 3 4 5 6
11) Employee's failure to report unnecessary or excessive
								use of force observed.
9
4 5 6 7 8 9
M. WEAPONS--LETHAL & LESS-LETHAL WHILE
								ON DUTY
BASE PENALTY
PENALTY RANGE
1) Misuse or non-use of available weapons while on
								duty.
2
1 2 3
2) Inappropriate display of weapon(s) while on duty.
2
1 2 3 4 5
3) Negligent handling of weapon(s) without injury while on
								duty.
2
1 2 3 4 5
4) Negligent handling of weapon(s) with injury while on
								duty.
6
3 4 5 6 7 8 9
5) Unintentional discharge of weapon(s) while at the
								range.
1
1 2 3 4
6) Gross negligence in handling of weapon(s) without
								injury while on duty.
7
4 5 6 7 8 9
7) Gross negligence in handling of weapon(s) with injury
								while on duty.
9
4 5 6 7 8 9
(c)
					 Applying the Employee Disciplinary Matrix.
(1) The
					 Employee Disciplinary Matrix shall be used for all disciplinary actions to identify
					 the applicable matrix misconduct allegation(s) and determine the appropriate
					 penalty.
(2) Prior to assessing a
					 disciplinary penalty, the hiring authority must find the investigation or direct
					 action materials sufficient to make investigation findings, which must be documented
					 on CDCR Form 402 (Rev. 01/22), Hiring Authority Review of Investigation, which is
					 incorporated by reference. If the hiring authority finds the investigation or direct
					 action materials insufficient to make investigation findings, the Hiring Authority
					 shall document that finding on the CDCR Form 402 and refer the case to OIA for
					 investigation.
(3) The Employee
					 Disciplinary Matrix identifies a base penalty and penalty range for each misconduct
					 allegation. The base penalty contained in the base penalty column shall represent
					 the starting point for determining the penalty level of an adverse action.
(4) The Employee Disciplinary Matrix is based on
					 the assumption that there is a single act of misconduct at issue and this is the
					 employee's first adverse action. When multiple acts of misconduct occur, the hiring
					 authority shall utilize the Employee Disciplinary Matrix to determine which
					 allegation warrants the highest penalty. The hiring authority shall utilize the
					 penalty range for the most severe charge, and other acts of misconduct shall be
					 considered aggravating factors that may increase the penalty up to and including
					 dismissal.
(5) The hiring authority
					 shall impose the base penalty unless aggravating or mitigating factors, as set forth
					 in 3392.5, subsections (c)(9) and (11), are identified. The aggravating and
					 mitigating factors shall be considered in determining the appropriate penalty level
					 within the penalty range.
(6) If the
					 hiring authority sustains allegations against an employee in a supervisory or
					 managerial position, which renders that employee unfit to continue as a supervisor
					 or Manager in their position, the hiring authority may in addition to the identified
					 matrix penalty, impose a permanent or temporary demotion.
(7) No leniency shall be afforded when assessing a
					 penalty under the Employee Disciplinary Matrix because of an employee's high rank or
					 position.
(8) Aggravating and mitigating
					 factors may increase or decrease the penalty within the identified penalty range.
					 Mitigating factors may be used to reduce the penalty level from the base penalty.
					 Aggravating factors may increase a penalty from the base penalty up to and including
					 dismissal.
(9) The following mitigating
					 factors shall be considered when determining a penalty:
(A) The misconduct was unintentional and not
					 willful.
(B) The misconduct was not
					 premeditated.
(C) The employee had a
					 secondary or minor role in the misconduct.
(D) Based upon: length of service; lack of
					 training; inexperience; lack of written policy directives, post orders, or duty
					 statements; or the inherent nature of the act, the employee did not understand the
					 consequences of his or her actions.
(E)
					 Commendations received by the employee.
(F) The employee was forthright and truthful
					 during the investigation.
(G) The
					 employee was forthright and truthful in documents written or signed by the
					 employee.
(H) The employee was initially
					 untruthful, but later came forward with an explanation.
(I) The employee accepts responsibility.
(J) The employee is remorseful.
(K) The employee reported the harm caused or
					 independently initiated steps to mitigate the harm caused in a timely
					 manner.
(10) For any action
					 where the hiring authority identifies mitigating factors that would allow the
					 penalty under the Employee Disciplinary Matrix to be mitigated to a Letter of
					 Reprimand, the hiring authority may reduce the penalty to corrective action if the
					 hiring authority can specifically articulate why corrective action is appropriate to
					 address the misconduct. The justification for any penalty reduction to corrective
					 action, including identification of mitigating factors, must be specifically
					 articulated on CDCR Form 403 (Rev. 01/22), Justification of Penalty, which is
					 incorporated by reference, when reducing a penalty to corrective action.
(11) The following aggravating factors shall be
					 considered when determining a penalty:
(A) The
					 misconduct was intentional and willful.
(B) The misconduct was premeditated.
(C) The employee had a primary or leadership role
					 in the misconduct when committed in concert or coordinated with others.
(D) Based upon:
1. Length of service.
2. Training.
3. Experience.
4. Existence of written policy directives, post
					 orders, or duty statements.
5. The
					 inherent nature of the act, the employee knew or should have known that their
					 actions were inappropriate.
(E) Managerial and supervisory employees, licensed
					 professionals, and sworn staff shall be held to a higher standard of conduct, and
					 misconduct engaged by these employees shall be considered an aggravating factor for
					 the purposes of assessing disciplinary penalties.
(F) Serious consequences occurred or could have
					 resulted from the misconduct.
(G)
					 Conduct resulted in or, if repeated, is likely to result in harm to the public
					 service.
(H) The misconduct was
					 committed with malicious intent.
(I) The
					 misconduct was committed for personal gain.
(J) The misconduct resulted in injury to a person
					 or property.
(K) More than one act of
					 misconduct forms the basis for the disciplinary action.
(L) The employee has committed repeated acts of
					 misconduct resulting in prior sustained adverse action.
(M) The employee was evasive, dishonest, or
					 intentionally misleading during an inquiry or investigation.
(N) The employee does not accept
					 responsibility.
(O) The employee did not
					 report the harm caused or attempted to conceal the harm through action or
					 inaction.
(12) Suspensions
					 without pay are a more severe penalty than a salary reduction due to the loss of
					 pay, potential negative impact to employee benefits and seniority, and impact to
					 department operations, and shall be considered as such for Progressive Discipline
					 purposes.
(13) If the employee engages
					 in repeated acts of the same misconduct that have already resulted in sustained
					 adverse action, the hiring authority may impose a penalty above the Employee
					 Disciplinary Matrix penalty range, if the hiring authority can specifically
					 articulate why the higher penalty is necessary and appropriate to address repeated
					 misconduct. Justification for aggravating any penalty above the matrix penalty
					 range, including identification of aggravating factors, must be specifically
					 articulated on the CDCR Form 403.