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Extracted from Consolidated Report

This investigation was originally published as part of a larger consolidated report containing multiple investigations. View the consolidated PDF for the complete document.

Score: +4 (6/4/2)

Yolo County Grand Jury • 2013-2014

Investigations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 -

Published: June 30, 2014 17 pages

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⚠️ Translation Notice: This content has been automatically translated. The original English text is the official version. Translation may contain errors.

⚠️ Este contenido ha sido traducido automáticamente. El texto original en inglés es la versión oficial. La traducción puede contener errores.

Findings 14 findings

F1 Page 17

Yolo County currently operates according to Personnel Rules and Regulations that have been in draft form for a number of years. There is no definite timeline for completion by HR, review by employee union groups or adoption by the Board of Supervisors.

F2 Page 17

Although the oral interview is required and is one of the most important events in a departmental promotion process, Yolo County has no written rules, regulations or guidelines covering the selection or training of oral interview panelists, the confidentiality of interview materials or feedback to selected and non-selected candidates.

F3 Page 17

HR provides no oversight of department promotion practices unless requested to do so by a department. In this area, HR acts in an advisory role and assumes county departments are conducting promotional practices in a fair manner unless it learns otherwise. 16 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT: INVESTIGATIONS 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT Yolo County Promotion Practices: Need for Standards and Oversight

F4 Page 18

Human Resources has failed to adopt rules and regulations addressing departmental promotion processes. As a result, HR’s role in the departmental promotional process has been solely advisory.

F5 Page 18

In the absence of countywide rules and HR oversight, department hiring managers develop their own methods for conducting the oral interview and promotion selection process, which vary widely.

F6 Page 18

The department promotion process within Roads Division lacks written minimum standards for selection and training of oral interview panelists, method for recusal for bias, requirements for confidentiality or a process for meaningful feedback to non- selected candidates.

F7 Page 18

Although Roads Division has not violated any policy or code relating to promotions, the lack of standards, consistency and transparency in Roads Division’s promotion practices has led to a perception among some employees that the promotion process itself is unfair and biased.

F8 Page 18

Development of countywide policies covering promotion practices, including use of objective screening criteria, along with more HR oversight for policy compliance, would ensure a standardized promotional process, improving uniformity between departments, increasing fairness and decreasing potential legal risk to the county.

F9 Page 18

HR has taken steps to meet the need for more oversight of County promotions by offering elective courses through Yolo Training Academy in 2014.

F10 Page 18

Currently, HR reviews department promotion practices only if a problem is reported. HR has no prescribed complaint process that requires investigation, accountability and communication of investigation results to concerned employees.

F11

HR manages harassment and ethics online training courses for all employees to comply with state and federal laws. These outdated and repetitious trainings are found to be inadequate and ineffective.

F12

The HR Department serves in an advisory role and lacks appropriate oversight and accountability of personnel matters at the Sheriff’s Department.

F13

The CAO and HR have insufficiently monitored and audited the Sheriff’s Department compliance with County Codes and Policies and Procedures.

F14

The CAO conducts a 360 degree evaluation for all appointed Department Heads. This evaluation process currently excludes elected officials.

Recommendations 9

R1
Page 18

Within the next 90 days, HR should conduct a survey of each department’s current promotion practices to identify problem areas and to learn from departments that have created successful internal models that address promotional processes.
R2
Page 18

By October 1, 2014, HR should use the information obtained from the survey to develop and adopt, as part of its Personnel Rules and Regulations, unified policies that create minimum written standards for department promotion processes. These policies 17 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT: INVESTIGATIONS 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT Yolo County Promotion Practices: Need for Standards and Oversight should address selection and training of oral interview panelists, confidentiality and feedback to selected and non-selected candidates.
R3
Page 19

HR should work with Roads Division immediately to create comprehensive written guidelines covering department promotion and hiring and to provide training to department hiring managers and oral interview panelists. These guidelines should be shared with Roads Division employees to restore transparency and trust that the department promotion process is operating in a fair manner.
R4
Page 19

HR should ensure that courses recently added to the Yolo Training Academy on how to properly conduct hiring or promotional interviews become part of the Academy’s permanent curriculum and that all county staff participating in hiring or promotion interviews be required to attend.
R5
Page 19

Within the next 60 days, HR should develop and publicize a process by which complaints regarding personnel issues can be reviewed, evaluated and acted upon with results reported to complainants.
R6
Page 19

By December 1, 2014, HR should complete the Personnel Rules & Regulations and develop a specific timeline for review by employee union groups and adoption by the Board of Supervisors. HR should report bi-monthly to the Board of Supervisors on its progress until such time as the Rules & Regulations are finally adopted.
R7

By December 1, 2014, HR shall review and update Harassment and Ethics online training programs and implement a training program that includes classroom (in- person) training.
R8

By November 1, 2014, the CAO shall revise and extend the current 360 degree evaluation process to include an opportunity for all elected department heads to participate.
R9

The Grand Jury recommends that elected public officials submit themselves to the 360 degree evaluation process used by all other department heads in the County.

Agency Responses 2

Government agencies' official responses to this report's findings and recommendations. Click on a response to see the structured breakdown.

Yolo County Response to Promotional Practices: Need for Standards and Oversight

June 24, 2014 • 3 pages • 7 responses • Score: +3 (+3, 2, 0) View Details ▾

PDF

7 responses to findings and recommendations

Within the next 90 days, HR should conduct a survey of each department’s current promotion practices to identify problem areas and to learn from departments that have created successful internal models that address promotional processes.

Response: Will Implement

Score: +1

This recommendation will be implemented by August 29, 2014. R2 By October 1, 2014, HR should use the information obtained from the survey to develop and adopt, as part of its Personnel Rules and Regulations, unified policies that create minimum written standards for department promotion processes. These policies should address selection and training of oral interview panelists, confidentiality and feedback to selected and non-selected candidates. Director of Human Resources response: Written standards that address selection and training of oral interview panelists, confidentiality, and feedba...

By October 1, 2014, HR should use the information obtained from the survey to develop and adopt, as part of its Personnel Rules and Regulations, unified policies that create minimum written standards for department promotion processes. These policies 17 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT: INVESTIGATIONS 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT Yolo County Promotion Practices: Need for Standards and Oversight should address selection and training of oral interview panelists, c...

Response: Will Implement

Score: +1

Written standards that address selection and training of oral interview panelists, confidentiality, and feedback to selected and nonselected candidates will be developed and implemented by October 1, 2014. R3 HR should work with Roads Division immediately to create comprehensive written guidelines covering department promotion and hiring and to provide training to department hiring managers and oral interview panelists. These guidelines should be shared with Roads Division employees to restore transparency and trust that the department promotion process is operating in a fair manner. Director ...

Response: Unknown Score: 0

Human Resources will complete the Personnel Rules & Regulations, and submit them to employee union groups for meet and confer by December 1, 2014. Page 3 of 3

HR should work with Roads Division immediately to create comprehensive written guidelines covering department promotion and hiring and to provide training to department hiring managers and oral interview panelists. These guidelines should be shared with Roads Division employees to restore transparency and trust that the department promotion process is operating in a fair manner.

Response: Will Implement

Score: +1

In addition to the standards above, effective immediately and continuing until this recommendation can be implemented fully, a Human Resources staff person will sit as an oral interview panel member for every promotional interview process conducted at the Planning & Public Works department. May 28, 2014 response from Interim Planning & Public Works Director: The department concurs with Recommendation #R3. Because of the comprehensive nature of this recommendation, the department will need additional time to work with the Yolo County Department of Human Resources to implement this recommendatio...

HR should ensure that courses recently added to the Yolo Training Academy on how to properly conduct hiring or promotional interviews become part of the Academy’s permanent curriculum and that all county staff participating in hiring or promotion interviews be required to attend.

Response: Implemented

Score: 0

This recommendation has partially been implemented. Hiring Interview Panel training has been a part of the ongoing curriculum offered through the Yolo Training Academy since February 2014. An online option for oral interview panel training will also be developed by December 1, 2014, and every oral panel member will be required to complete training prior to participating in hiring or promotion interviews. R5 Within the next 60 days, HR should develop and publicize a process by which complaints regarding personnel issues can be reviewed, evaluated and acted upon with results reported to complain...

Within the next 60 days, HR should develop and publicize a process by which complaints regarding personnel issues can be reviewed, evaluated and acted upon with results reported to complainants.

Response: Implemented

Score: 0

This recommendation has been implemented. The County already has the AVENUES program in place for this purpose, and will continue to market and advertise the program to County employees. Page 2 of 3 R6 By December 1, 2014, HR should complete the Personnel Rules & Regulations and develop a specific timeline for review by employee union groups and adoption by the Board of Supervisors. HR should report bi-monthly to the Board of Supervisors on its progress until such time as the Rules & Regulations are finally adopted. Director of Human Resources and Board of Supervisors response: Human Resource...

By December 1, 2014, HR should complete the Personnel Rules & Regulations and develop a specific timeline for review by employee union groups and adoption by the Board of Supervisors. HR should report bi-monthly to the Board of Supervisors on its progress until such time as the Rules & Regulations are finally adopted.

Response: Unknown

Score: 0

Human Resources will complete the Personnel Rules & Regulations, and submit them to employee union groups for meet and confer by December 1, 2014. Page 3 of 3

Yolo County Response to Yolo County Sheriff: Leadership Practices from the Wild Wild West

August 06, 2014 • 3 pages • 9 responses • Score: +1 (+3, 2, -2) View Details ▾

PDF

9 responses to findings and recommendations

Response: Will Implement

Score: +1

This recommendation will be implemented by December 31, 2014. R2 The HR department will annually review nepotism practices in the Sheriff's Department. Such a review shall ensure ethical standards are established and a procedural firewall exists between related employees. This annual review will be presented to the Board of Supervisors with findings and recommendations by December 1, 2014 and each following year. Yolo County Deputy CAO/HR Director response: By December 1, 2014, and periodically thereafter, Human Resources will review adherence to the nepotism policy in the Sheriff's departmen...

Response: Implemented

Score: 0

By December 1, 2014, and periodically thereafter, Human Resources will review adherence to the nepotism policy in the Sheriff's department. R3 By September 30, 2014, the CAO shall review and revise the County's mandated training requirements and compliance with the State of California Public Service Ethics as directed by AB 1234. Yolo County CAO response: The recommendation has been implemented. Staff have completed a review of the mandated training requirements and confirm the County is in compliance with AB 1234. R4 By November 30, 2014, the Sheriff's Department in collaboration with HR shal...

Response: Unknown Score: 0

Human Resources stands ready to assist the Sheriff in implementing this recommendation if he so chooses. It is important to note, however, that Human Resources cannot unilaterally implement this recommendation as the State constitution provides independent authority to elected department heads thus limiting the role of County administration. Appointed county staff strive to provide advice and assistance whenever possible. Ultimately, however, the Sheriff is an independently elected department head and not directed or evaluated by County administration. Upon request of the Sheriff, County staff...

Response: Implemented

Score: 0

The recommendation has been implemented. Staff have completed a review of the mandated training requirements and confirm the County is in compliance with AB 1234. R4 By November 30, 2014, the Sheriff's Department in collaboration with HR shall review and revise the evaluation standards (written and unwritten) used for all department job classifications to establish a fair and objective set of written guidelines. Yolo County Deputy CAO/HR Director response: Human Resources has developed a set of written guidelines designed to ensure fair and objective evaluations. However, this recommendation w...

Response: Will Not Implement

Score: -1

Human Resources has developed a set of written guidelines designed to ensure fair and objective evaluations. However, this recommendation will not be implemented because it is not within the authority of Human Resources. The State constitution provides independent authority to elected department heads thus limiting the role of County administration. Appointed county staff strive to provide advice and assistance whenever possible. Ultimately, however, the Sheriff is an independently elected department head and not directed or evaluated by County administration. Upon request of the Sheriff, Coun...

Within the next 60 days, HR should develop and publicize a process by which complaints regarding personnel issues can be reviewed, evaluated and acted upon with results reported to complainants.

Response: Will Not Implement

Score: -1

This recommendation will not be implemented because it is not within the authority of Human Resources. The State constitution provides independent authority to elected department heads thus limiting the role of County administration. Appointed county staff strive to provide advice and assistance whenever possible. Ultimately, however, the Sheriff is an independently elected department head and not directed or evaluated by County administration. Upon request of the Sheriff, County staff are available to assist the Sheriff with this recommendation. R6 By June 30, 2015, the leadership of the Sher...

Response: Will Implement

Score: +1

By December 1, 2014, HR shall review and update Harassment and Ethics online training programs and implement a training program that includes classroom (in- person) training.

Response: Will Implement

Score: +1

This recommendation will be implemented. Like most cities and counties, Yolo relies on online trainings and coursework from organizations such as the Attorney General's Office. The AB 1234 training and Harassment Prevention training, though online, are updated annually. These mandated programs have been available online in Yolo County for six years; that timeframe makes now a good time to evaluate their effectiveness. Should Human Resources determine that a classroom training is a more effective method to deliver the training, those opportunities will be made available. By December 1, 2014, Hu...

By November 1, 2014, the CAO shall revise and extend the current 360 degree evaluation process to include an opportunity for all elected department heads to participate.

Response: Unknown

Score: 0

This recommendation has already been implemented. Since the implementation of 360 evaluations in October 2012, all Yolo County elected department heads have been extended the opportunity to be evaluated in this manner; only one has taken advantage of this opportunity to date. Page 3 of 3

No Responses Found 1

Government entities assigned to respond to this report. No response documents have been linked in our database.

Yolo County Board of Supervisors Elected County Office