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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 (12/21/16)
Orange County Grand Jury • 2012-2013

Gene Kent, John Rodriguez, Nilima Gupta, Barbara Cleary Dianne Senechal, Christine Schaefer, Virginia Zlaket, Linda

Published: June 28, 2013 108 pages
View PDF View Full Original

Findings and Recommendations 11 findings

F1 Page 33
Public officials are stewards of the public trust and maintain it by placing the civic interest ahead of their own. Even the appearance of impropriety damages public faith in government. Citizens expect its officials to conduct business in a lawful and ethical manner.
Related Recommendations (1)
R1
Page 34
The Orange County Board of Supervisors creates a Blue Ribbon Commission to study ethics programs in California and around the nation. The Commission shall recommend an ethics reform program and oversight authority to the Board of Supervisors (F1, F3, F6, F7)
F2 Page 33
The unparalleled development of Orange County from an agrarian to world-class economy in the post-World War II era led to the creation of a “power elite” of land 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County developers and public officials. The influence of “development dollars” in the form of contributions to public officials resulted in a series of public corruption cases over a forty-year period. Other ethics scandals involved the abuse of power.
Related Recommendations (1)
R2
Page 34
The Orange County Board of Supervisors shall select Blue Ribbon Commission members based upon their knowledge of government ethics, ability to conduct research and desire to make positive change to Orange County government. Their selection should represent a cross-section of Orange County’s population and be free of political influence. Commission applicants should be vetted and randomly selected from an approved pool of candidates. (F2, F7)
F3 Page 34
Orange County reacted to the 1994 bankruptcy scandal by creating a patchwork of oversight offices to audit financial, performance and professional standards. These offices have varying levels of independence, jurisdiction and legislative support. They need to be accountable as well.
Related Recommendations (2)
R1
Page 34
The Orange County Board of Supervisors creates a Blue Ribbon Commission to study ethics programs in California and around the nation. The Commission shall recommend an ethics reform program and oversight authority to the Board of Supervisors (F1, F3, F6, F7)
R3
Page 34
The Board of Supervisors shall require that ethics reform recommended by the Blue Ribbon Commission address the following in their report: (F3, F4, F5, F7) 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County A. Goals a. The enhancement of public trust in government. b. The prevention of unethical conduct. B. Legislation The oversight authority has the power to review and recommend County ordinances related to ethics, including but not limited to: Conflicts of Interest, Preferential Treatment, Recusals, Gifts, Confidential Information, Misuse of Government Property, Patronage, Nepotism, Transparency, Procurement, Campaign Financing, Lobbying and Post-Employment of Government Officials. C. Advice and Training a. The oversight authority shall provide formal and informal ethics advice to public officials and employees. b. The oversight authority shall plan, develop, implement and facilitate regular ethics training for public officials and employees -- at all levels of Orange County government. D. Whistleblower Hotline a. The oversight authority shall create, maintain, monitor and publicize a hotline for citizens and County employees alike to report real or suspected unethical conduct. E. Enforcement a. The oversight authority shall ensure compliance through the use of administrative settlements and published annual reports that are available on their website. F. Independence and Jurisdiction a. The oversight body shall have the following powers: i. Be free to act without political interference. ii. Have jurisdiction over each County department, agency, commission, and board and joint powers authority – regardless of whether the head of such a body is elected or appointed. iii. Have ethics-related jurisdiction over the elected leadership of the County. G. The oversight body must have the authority to enforce compliance through the use of warning letters, administrative settlements and the issuance of annual public reports. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County REQUIREMENTS AND INSTRUCTIONS: The California Penal Code §933 requires any public agency which the Grand Jury has reviewed, and about which it has issued a final report, to comment to the Presiding Judge of the Superior Court on the findings and recommendations pertaining to matters under the control of the agency. Such comment shall be made no later than 90 days after the Grand Jury publishes its report (filed with the Clerk of the Court); except that in the case of a report containing findings and recommendations pertaining to a department or agency headed by an elected County official (e.g. District Attorney, Sheriff, etc.), such comment shall be made to the Presiding Judge with an information copy sent to the Board of Supervisors. Furthermore, California Penal Code Section §933.05 (a), (b), (c), details, as follows, the manner in which such comment(s) are to be made: (a.) As to each Grand Jury finding, the responding person or entity shall indicate one of the following: (1) The respondent agrees with the finding (2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons therefor. (b.) As to each Grand Jury recommendation, the responding person or entity shall report one of the following actions: (1) The recommendation has been implemented, with a summary regarding the implemented action. (2) The recommendation has not yet been implemented, but will be implemented in the future, with a time frame for implementation. (3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a time frame for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This time frame shall not exceed six months from the date of publication of the Grand Jury report. (4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation therefor. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County (c) If a finding or recommendation of the Grand Jury addresses budgetary or personnel matters of a county agency or department headed by an elected officer, both the agency or department head and the Board of Supervisors shall respond if requested by the Grand Jury, but the response of the Board of Supervisors shall address only those budgetary /or personnel matters over which it has some decision making aspects of the
F4 Page 34
Unethical behavior at the local government level is not something that “simply fixes itself.” The County needs an independent Ethics Program that provides training, advice and guidance to public officials and private persons seeking to do business with government.
Related Recommendations (2)
R3
Page 34
The Board of Supervisors shall require that ethics reform recommended by the Blue Ribbon Commission address the following in their report: (F3, F4, F5, F7) 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County A. Goals a. The enhancement of public trust in government. b. The prevention of unethical conduct. B. Legislation The oversight authority has the power to review and recommend County ordinances related to ethics, including but not limited to: Conflicts of Interest, Preferential Treatment, Recusals, Gifts, Confidential Information, Misuse of Government Property, Patronage, Nepotism, Transparency, Procurement, Campaign Financing, Lobbying and Post-Employment of Government Officials. C. Advice and Training a. The oversight authority shall provide formal and informal ethics advice to public officials and employees. b. The oversight authority shall plan, develop, implement and facilitate regular ethics training for public officials and employees -- at all levels of Orange County government. D. Whistleblower Hotline a. The oversight authority shall create, maintain, monitor and publicize a hotline for citizens and County employees alike to report real or suspected unethical conduct. E. Enforcement a. The oversight authority shall ensure compliance through the use of administrative settlements and published annual reports that are available on their website. F. Independence and Jurisdiction a. The oversight body shall have the following powers: i. Be free to act without political interference. ii. Have jurisdiction over each County department, agency, commission, and board and joint powers authority – regardless of whether the head of such a body is elected or appointed. iii. Have ethics-related jurisdiction over the elected leadership of the County. G. The oversight body must have the authority to enforce compliance through the use of warning letters, administrative settlements and the issuance of annual public reports. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County REQUIREMENTS AND INSTRUCTIONS: The California Penal Code §933 requires any public agency which the Grand Jury has reviewed, and about which it has issued a final report, to comment to the Presiding Judge of the Superior Court on the findings and recommendations pertaining to matters under the control of the agency. Such comment shall be made no later than 90 days after the Grand Jury publishes its report (filed with the Clerk of the Court); except that in the case of a report containing findings and recommendations pertaining to a department or agency headed by an elected County official (e.g. District Attorney, Sheriff, etc.), such comment shall be made to the Presiding Judge with an information copy sent to the Board of Supervisors. Furthermore, California Penal Code Section §933.05 (a), (b), (c), details, as follows, the manner in which such comment(s) are to be made: (a.) As to each Grand Jury finding, the responding person or entity shall indicate one of the following: (1) The respondent agrees with the finding (2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons therefor. (b.) As to each Grand Jury recommendation, the responding person or entity shall report one of the following actions: (1) The recommendation has been implemented, with a summary regarding the implemented action. (2) The recommendation has not yet been implemented, but will be implemented in the future, with a time frame for implementation. (3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a time frame for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This time frame shall not exceed six months from the date of publication of the Grand Jury report. (4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation therefor. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County (c) If a finding or recommendation of the Grand Jury addresses budgetary or personnel matters of a county agency or department headed by an elected officer, both the agency or department head and the Board of Supervisors shall respond if requested by the Grand Jury, but the response of the Board of Supervisors shall address only those budgetary /or personnel matters over which it has some decision making aspects of the
R4
Page 57
The County Human Resource Services Department shall re-write the job qualifications for any position of supervisor and above in the Human Resource Services Department to include mandatory certification, schooling, or equivalent experience in the human resource field. (F4)
F5 Page 34
Citizens need a clearinghouse to voice complaints about actual and perceived incidents of corruption and unethical behavior by public officials.
Related Recommendations (2)
R3
Page 34
The Board of Supervisors shall require that ethics reform recommended by the Blue Ribbon Commission address the following in their report: (F3, F4, F5, F7) 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County A. Goals a. The enhancement of public trust in government. b. The prevention of unethical conduct. B. Legislation The oversight authority has the power to review and recommend County ordinances related to ethics, including but not limited to: Conflicts of Interest, Preferential Treatment, Recusals, Gifts, Confidential Information, Misuse of Government Property, Patronage, Nepotism, Transparency, Procurement, Campaign Financing, Lobbying and Post-Employment of Government Officials. C. Advice and Training a. The oversight authority shall provide formal and informal ethics advice to public officials and employees. b. The oversight authority shall plan, develop, implement and facilitate regular ethics training for public officials and employees -- at all levels of Orange County government. D. Whistleblower Hotline a. The oversight authority shall create, maintain, monitor and publicize a hotline for citizens and County employees alike to report real or suspected unethical conduct. E. Enforcement a. The oversight authority shall ensure compliance through the use of administrative settlements and published annual reports that are available on their website. F. Independence and Jurisdiction a. The oversight body shall have the following powers: i. Be free to act without political interference. ii. Have jurisdiction over each County department, agency, commission, and board and joint powers authority – regardless of whether the head of such a body is elected or appointed. iii. Have ethics-related jurisdiction over the elected leadership of the County. G. The oversight body must have the authority to enforce compliance through the use of warning letters, administrative settlements and the issuance of annual public reports. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County REQUIREMENTS AND INSTRUCTIONS: The California Penal Code §933 requires any public agency which the Grand Jury has reviewed, and about which it has issued a final report, to comment to the Presiding Judge of the Superior Court on the findings and recommendations pertaining to matters under the control of the agency. Such comment shall be made no later than 90 days after the Grand Jury publishes its report (filed with the Clerk of the Court); except that in the case of a report containing findings and recommendations pertaining to a department or agency headed by an elected County official (e.g. District Attorney, Sheriff, etc.), such comment shall be made to the Presiding Judge with an information copy sent to the Board of Supervisors. Furthermore, California Penal Code Section §933.05 (a), (b), (c), details, as follows, the manner in which such comment(s) are to be made: (a.) As to each Grand Jury finding, the responding person or entity shall indicate one of the following: (1) The respondent agrees with the finding (2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons therefor. (b.) As to each Grand Jury recommendation, the responding person or entity shall report one of the following actions: (1) The recommendation has been implemented, with a summary regarding the implemented action. (2) The recommendation has not yet been implemented, but will be implemented in the future, with a time frame for implementation. (3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a time frame for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This time frame shall not exceed six months from the date of publication of the Grand Jury report. (4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation therefor. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County (c) If a finding or recommendation of the Grand Jury addresses budgetary or personnel matters of a county agency or department headed by an elected officer, both the agency or department head and the Board of Supervisors shall respond if requested by the Grand Jury, but the response of the Board of Supervisors shall address only those budgetary /or personnel matters over which it has some decision making aspects of the
R5
Page 57
The Human Resource Services Department, with input from County Counsel shall draft policies, procedures, and guidelines for all agencies and departments on handling the reporting of potential criminal conduct by County employees. (F5)
F6 Page 34
In California, the Cities of San Diego, Los Angeles, San Francisco and Oakland have ethics commissions that address similar ethics issues.
Related Recommendations (2)
R1
Page 34
The Orange County Board of Supervisors creates a Blue Ribbon Commission to study ethics programs in California and around the nation. The Commission shall recommend an ethics reform program and oversight authority to the Board of Supervisors (F1, F3, F6, F7)
R6
Page 57
The Human Resource Services Department should install a confidential communication source for employees who want to file complaints relating to discrimination or harassment with anonymity. The system should include multiple access paths such as mail, phone, fax, or email. Notification of this new County service should be accompanied by a vigorous email campaign and announcements by senior County management in meetings and their communications to their staff. Posters identifying how an employee can file a confidential complaint should be permanently posted in appropriate locations. The Board of Supervisors should support this effort with adequate funding. (F6)
F7 Page 34
Orange County lacks effective ethics oversight of its public officials.
Related Recommendations (4)
R1
Page 34
The Orange County Board of Supervisors creates a Blue Ribbon Commission to study ethics programs in California and around the nation. The Commission shall recommend an ethics reform program and oversight authority to the Board of Supervisors (F1, F3, F6, F7)
R2
Page 34
The Orange County Board of Supervisors shall select Blue Ribbon Commission members based upon their knowledge of government ethics, ability to conduct research and desire to make positive change to Orange County government. Their selection should represent a cross-section of Orange County’s population and be free of political influence. Commission applicants should be vetted and randomly selected from an approved pool of candidates. (F2, F7)
R3
Page 34
The Board of Supervisors shall require that ethics reform recommended by the Blue Ribbon Commission address the following in their report: (F3, F4, F5, F7) 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County A. Goals a. The enhancement of public trust in government. b. The prevention of unethical conduct. B. Legislation The oversight authority has the power to review and recommend County ordinances related to ethics, including but not limited to: Conflicts of Interest, Preferential Treatment, Recusals, Gifts, Confidential Information, Misuse of Government Property, Patronage, Nepotism, Transparency, Procurement, Campaign Financing, Lobbying and Post-Employment of Government Officials. C. Advice and Training a. The oversight authority shall provide formal and informal ethics advice to public officials and employees. b. The oversight authority shall plan, develop, implement and facilitate regular ethics training for public officials and employees -- at all levels of Orange County government. D. Whistleblower Hotline a. The oversight authority shall create, maintain, monitor and publicize a hotline for citizens and County employees alike to report real or suspected unethical conduct. E. Enforcement a. The oversight authority shall ensure compliance through the use of administrative settlements and published annual reports that are available on their website. F. Independence and Jurisdiction a. The oversight body shall have the following powers: i. Be free to act without political interference. ii. Have jurisdiction over each County department, agency, commission, and board and joint powers authority – regardless of whether the head of such a body is elected or appointed. iii. Have ethics-related jurisdiction over the elected leadership of the County. G. The oversight body must have the authority to enforce compliance through the use of warning letters, administrative settlements and the issuance of annual public reports. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County REQUIREMENTS AND INSTRUCTIONS: The California Penal Code §933 requires any public agency which the Grand Jury has reviewed, and about which it has issued a final report, to comment to the Presiding Judge of the Superior Court on the findings and recommendations pertaining to matters under the control of the agency. Such comment shall be made no later than 90 days after the Grand Jury publishes its report (filed with the Clerk of the Court); except that in the case of a report containing findings and recommendations pertaining to a department or agency headed by an elected County official (e.g. District Attorney, Sheriff, etc.), such comment shall be made to the Presiding Judge with an information copy sent to the Board of Supervisors. Furthermore, California Penal Code Section §933.05 (a), (b), (c), details, as follows, the manner in which such comment(s) are to be made: (a.) As to each Grand Jury finding, the responding person or entity shall indicate one of the following: (1) The respondent agrees with the finding (2) The respondent disagrees wholly or partially with the finding, in which case the response shall specify the portion of the finding that is disputed and shall include an explanation of the reasons therefor. (b.) As to each Grand Jury recommendation, the responding person or entity shall report one of the following actions: (1) The recommendation has been implemented, with a summary regarding the implemented action. (2) The recommendation has not yet been implemented, but will be implemented in the future, with a time frame for implementation. (3) The recommendation requires further analysis, with an explanation and the scope and parameters of an analysis or study, and a time frame for the matter to be prepared for discussion by the officer or head of the agency or department being investigated or reviewed, including the governing body of the public agency when applicable. This time frame shall not exceed six months from the date of publication of the Grand Jury report. (4) The recommendation will not be implemented because it is not warranted or is not reasonable, with an explanation therefor. 2012 – 2013 Orange County Grand Jury A Call For Ethical Standards: Corruption In Orange County (c) If a finding or recommendation of the Grand Jury addresses budgetary or personnel matters of a county agency or department headed by an elected officer, both the agency or department head and the Board of Supervisors shall respond if requested by the Grand Jury, but the response of the Board of Supervisors shall address only those budgetary /or personnel matters over which it has some decision making aspects of the
R7
Page 57
The Board of Supervisors, in conjunction with the office of the CEO, the Human Resource Services Department, and with input on legal perspectives from County Counsel, shall initiate a formal outreach program for persons who have experienced discrimination or sexual harassment. The outreach should include counseling, if wanted, and an assessment of possible retaliation against any of the victims. (F7) 2012 – 2013 Orange County Grand Jury The Culture Of Harassment: Change On The Horizon
F8 Page 56
Other than re-issuing a yearly statement on the County policy regarding discrimination and harassment, County elected officials and executive management have undertaken no pro-active measures to address and change the County culture that allowed the tolerance of inappropriate behavior that was present for years. This culture continues and needs leadership to change.
Related Recommendations (1)
R8
Page 58
The Board of Supervisors and the Office of the CEO will define and implement a series of steps to affirm their leadership in achieving a harassment free workplace: (F8) a. Refresh the current board resolution so that it contains clear complaint handling protocols. b. Evaluate whether a policy on office relationships is appropriate for the County especially when it concerns managers and subordinates. c. Display a more pro-active voice, more than once a year, on delivering the message that having a harassment free environment is important. d. Evaluate hiring/training discrimination and harassment contact officers. e. Discontinue negative comments on anonymous complaints. f. Personally attend different County department meetings that provide opportunities to express the County commitment to a harassment free workplace.
F9 Page 130
All police departments believe that on-going training should be supported by Mental Health Services Act funding.
No recommendations for this finding
F10 Page 130
All police departments adhere to written policy, procedure and/or protocol regarding contact with mentally ill persons.
No recommendations for this finding
F11 Page 130
Policy and lawmakers in the County of Orange continue to examine Laura’s Law in light of its potential impact on the mentally ill and all citizens for positive outcomes. 2012 – 2013 Orange County Grand Jury To Protect And To Serve A Look at Tools to Assist Law Enforcement in Achieving Positive Outcomes with the Homeless Mentally Ill
No recommendations for this finding

Commendations 14

Agency Responses 4

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

No Responses Found 1

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

Orange County County