Chapter 3 – Personnel, Training, and Employee Relations

33030.20 Imposition of Penalty and Consultation

• After determining the investigative findings, or in cases where direct adverse action is taken without an investigation, the Hiring Authority shall consult with the Vertical Advocate, for all designated cases, and the SAIG, for all cases monitored by the BIR when determining a penalty. The following shall be considered:

  • The seriousness of the misconduct;

  • Harm or potential harm to the public service;

  • The circumstances surrounding the misconduct;

  • The likelihood of recurrence;

  • Whether or not progressive discipline has been taken in the past;

  • Other mitigating or aggravating circumstances.

• The Hiring Authority shall justify and document each penalty on the CDCRCalifornia Department of Corrections and Rehabilitation Form 403. The completed CDCRCalifornia Department of Corrections and Rehabilitation Form 403 shall be signed by the Hiring Authority at least fourteen (14) calendar days before service of the Notice of Adverse Action and shall be forwarded to the EROEmployee Relations Officer/Disciplinary Officer. The EROEmployee Relations Officer/Disciplinary Officer shall retain the original CDCRCalifornia Department of Corrections and Rehabilitation Form 403 in the Adverse Action file and shall forward a copy to the Vertical Advocate for designated cases and to the SAIG for cases monitored by the BIR. For designated cases, the Vertical Advocate shall provide to the Hiring Authority, SAIG, and AGC a written confirmation (i.e. memorandum or e-mail) of penalty discussions with the SAIG. The Vertical Advocate shall also document all communications related to penalty imposition in the legal database.

• For all cases for which the penalty is dismissal, the EROEmployee Relations Officer/Disciplinary Officer or Vertical Advocate shall provide to the AGC and the Hiring Authority shall provide to his/her immediate supervisor the following: written notification (i.e. memorandum or e-mail) regarding the proposed penalty; a copy of the CDCRCalifornia Department of Corrections and Rehabilitation Form 403; and any other requested documentation. The Hiring Authority shall delay service of the Final Notice of Adverse Action for three (3) business days following transmittal of the written notification, so there is time for Executive Review to be requested. At this time, the AGC, or designee, shall make a determination whether the non-designated dismissal case will be assigned to a Vertical Advocate for prosecution before the SPBState Personnel Board (see CalHR). This determination shall be based upon factors including the complexity of the case and whether the actual behavior prior to the investigation warrants a dismissal. The AGC shall notify the Vertical Advocate and the Hiring Authority of the case assignment and the reasons for the determination.