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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: -6 (0/3/6)

Yolo County Grand Jury • 2013-2014

Yolo County Sheriff: Leadership Practices from the Wild, Wild West . . . 62 -

Published: June 30, 2014 43 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 72

Favoritism, nepotism and preferential treatment of employees have adversely affected employee morale of the Sheriff’s Department. These practices by the Sheriff involve hiring, promotion, assignments and discipline.

F2 Page 72

The Sheriff uses or creates provisional or extra help positions to employ personal friends and relatives.

F3 Page 72

The Sheriff has engaged in hiring immediate family, authorizing their assignments, determining their promotions and salary, and using final authority to determine disciplinary actions.

F4 Page 72

The HR Department conducted three ineffective investigations related to allegations of harassment and poor morale at the Sheriff’s Department.

F5 Page 72

The Sheriff’s Department, a military-like structure, with a clear and rigid chain of command operates with minimal external administrative resources, particularly the County HR Department and labor organizations.

F6 Page 72

The Sheriff’s micromanagement reduces Department supervisors’ and managers’ authority to lead and evaluate staff.

F7 Page 72

The Sheriff’s Department operates with unwritten work standards for deputies who are evaluated by these standards on a monthly and annual basis. These standards are inconsistently applied by supervising staff.

F8 Page 72

The Sheriff failed to observe County Code Section 2-6.44 Nepotism Policy by hiring immediate family members and determining their salaries, promotions, assignments, performance evaluations and discipline. 71 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT: INVESTIGATIONS 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT Yolo County Sheriff: Leadership Practices from the Wild, Wild West

F9 Page 73

The Sheriff was unaware of the contents and intent of the State of California Public Service Ethics AB 1234.

F10 Page 73

The Grand Jury was unable to determine the County’s compliance with the State of California Public Service Ethics AB 1234 mandated training for 2006-2011 for the Sheriff.

F11 Page 73

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 Page 73

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

F13 Page 73

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

F14 Page 73

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

Recommendations 9

R1
Page 73

By September 30, 2014, the HR Department shall review and revise the County nepotism policies and existing practices including prevention, monitoring and reporting of conflicts of interest.
R2
Page 73

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.
R3
Page 73

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.
R4
Page 73

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.
R5
Page 73

By September 30, 2014, the Sheriff’s Department in collaboration with HR shall develop a plan to reinforce the authority of the command staff. This plan shall define 72 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT: INVESTIGATIONS 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT Yolo County Sheriff: Leadership Practices from the Wild, Wild West the level of authority of supervisors and managers for supervising, evaluating and effectively recommending personnel actions for the staff they oversee.
R6
Page 74

By June 30, 2015, the leadership of the Sheriff’s Department, in collaboration with HR, shall develop and implement an internal training program to promote and encourage upward mobility within the department up to and including the elected official’s position. Such a training program will serve as a blueprint for department succession planning.
R7
Page 74

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
Page 74

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
Page 74

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 1

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

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

August 07, 2014 • 11 pages • 18 responses • Score: -6 (+0, 3, -6) View Details ▾

PDF

18 responses to findings and recommendations

Response: Disagree Score: -1

Disagree Hiring Process: All applicants submit their applications to Yolo County Human Resources (County HR) * County HR develops lists based off of tests they administer and forwards the results to Sheriff's Office Interviews are conducted by personnel from the Sheriff's Office and an internal list is established based upon ranking Background investigations are conducted Medical and Psychological exams are conducted Recommendations for hire are given to Sheriff by the Administrative staff Promotional Process: County HR posts promotional opportunities available to all q...

The Sheriff uses or creates provisional or extra help positions to employ personal friends and relatives.

Response: Disagree Score: -1

Disagree All Department Heads work with the County HR Director to hire provisional or extra help employees in order to carry out the duties of their office, providing their budget has funding for these positions and these positions are justified. All employees are encouraged to recruit qualified candidates to work within the Yolo County Sheriff's Office. Hiring is based upon knowledge, skills, and abilities inherent in and necessary for the position. Yolo County, CA Code of Ordinances Sec. 2-6.27.2. Appointments: Provisional. Sec. 2-6.28. Appointments: Extra Help Findings: F3. "The Sh...

The Sheriff has engaged in hiring immediate family, authorizing their assignments, determining their promotions and salary, and using final authority to determine disciplinary actions.

Response: Disagree Partially Score: 0

Partially Agree Two family members were hired by the Yolo County Sheriff's Office; however, these hirings followed policy and protocol, and selections were made based solely upon the knowledge, skills, and abilities of the candidates. One family member applied for a job, tested, and was hired in December, 2001, as a Provisional ID Technician, with the concurrence of County HR. Despite County HR's concurrence, in April, 2002, County HR notified the Sheriff's Office that this was a violation of the then nepotism policy. As a result, the family member immediately resigned from the Sheriff's Offic...

The HR Department conducted three ineffective investigations related to allegations of harassment and poor morale at the Sheriff’s Department.

Response: Disagree Score: -1

Disagree This Finding obviously applies to County HR and not the Sheriff's Office. However, there is no evidence, facts, or information provided to support this finding. Findings: F5. "The Sheriff's Department, a military-like structure, with a clear and rigid chain of command, operates with minimal external administrative resources, particularly the County HR Department and labor organizations." SHERIFF ~ CORONER'S

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.

Response: Unknown

Score: 0

While no specific issues were raised relative to the current evaluation standards, it should be noted prior to the Grand Jury's report, the Sheriff's Office's evaluation standards have been used as a model by County HR for the purposes of evaluating of employees within Yolo County. This carries the honor and responsibility of maintaining such standards of excellence, and as such, the Sheriff will continue to be actively involved in the review and improvement upon these evaluation standards within his organization with the goal of continuing excellence. Recommendations: R5. "By September 30,...

Response: Disagree Score: -1

Disagree Similar to other law enforcement agencies, the Yolo County Sheriff's Office is a paramilitary organization and works collaboratively with County HR. The Sheriff's Office is a Law Enforcement Agency and its mission is unlike any other county department. Since 1999 when the Sheriff won elected office, he has maintained an open communication with all labor organizations, allied agencies, community organizations and other collaborative partners. The Sheriff has also had a positive working relationship with employee organizations, especially with the Yolo County Deputy Sheriff's Associatio...

By September 30, 2014, the Sheriff’s Department in collaboration with HR shall develop a plan to reinforce the authority of the command staff. This plan shall define 72 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT: INVESTIGATIONS 2013 - 2014 YOLO COUNTY GRAND JURY FINAL REPORT Yolo County Sheriff: Leadership Practices from the Wild, Wild West the level of authority of supervisors and managers for supervising, evaluating and effectively recommending personnel actions for the staff they oversee...

Response: Unknown

Score: 0

The Sheriff's Office is a paramilitary organization. The command staff has five (5) levels of supervision within the sworn class of personnel, and the authority and duties expected and required within each of these levels are currently codified, in place, and followed. The Sheriff is committed to reviewing policy, procedures and practices and he will make modifications and improvements when necessary. Recommendations: R6. "By June 30, 2015, the leadership of the Sheriff's Department, in collaboration with HR, shall develop and implement an internal training program to promote and encour...

The Sheriff’s micromanagement reduces Department supervisors’ and managers’ authority to lead and evaluate staff.

Response: Disagree Score: -1

Disagree There has been no evidence, facts, or information provided which supports this finding. As a paramilitary organization, the Sheriff delegates authority and decision making down to the lowest supervisory level within the organization when and where appropriate. Each level has roles, responsibilities, and the authority to carry out their duties. Each level is accountable to the next level of command. In the management and supervisory ranks, the hierarchy is: Sheriff-Coroner, Undersheriff, Captain, Lieutenant, Sergeant, and Officer-in- Charge. These positions are defined within the Yolo ...

By June 30, 2015, the leadership of the Sheriff’s Department, in collaboration with HR, shall develop and implement an internal training program to promote and encourage upward mobility within the department up to and including the elected official’s position. Such a training program will serve as a blueprint for department succession planning.

Response: Unknown

Score: 0

Along with continually reviewing and adopting successful practices from succession planning programs within other California Law Enforcement Agencies, the Department also recognizes and promotes the many upward mobility options available to our personnel based upon an individual's knowledge, skills, abilities, life experience, background, and current work assignments. Past and current practice for promotion has been, based upon a supervisor's counsel and recommendations, employees are selected to serve as acting, in the supervisor's absence, allowing the employee to experience a higher le...

Response: Disagree Score: -1

Disagree There has been no evidence, facts, or information provided which supports this finding. There are no known work standards which are unwritten; however; there are job descriptions which define the roles, responsibilities and expectations of the deputies. Although sergeants have varying life experiences and educational backgrounds, all sergeants receive training - both internally and externally, from their lieutenants and POST-mandated classes covering such curriculum as supervision and the evaluation process. Supervisors are evaluated by the next level of command, in this case, the lie...

Response: Disagree Partially Score: 0

Partially Agree The current Yolo County nepotism policy authorizes the hiring of family members who meet minimum standards of the job, pass the required tests, and are approved by the County HR. Additionally, policy dictates there shall be two (2) levels of supervision between the Department Head and the relative. The sheriff has four (4) levels of supervision between himself and his family members, exceeding the county mandate by two (2). SALARY: The Sheriff does not set salary levels. This is done by County HR and the Board of Supervisors. ❖ PROMOTIONS: Refer to Finding 1 & 3 ASSIGNMENTS: E...

The Sheriff was unaware of the contents and intent of the State of California Public Service Ethics AB 1234.

Response: Disagree Partially Score: 0

Partially Agree Although the Sheriff did not have total recall of the contents of AB1234, the Sheriff has refreshed his understanding of the requirements contained in California Public Service Ethics AB1234. Findings: F10. "The Grand Jury was unable to determine the County's compliance with State of California Public Service Ethics AB 1234 mandated training for 2006-2011 for the Sheriff." SHERIFF ~ CORONER'S

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.

Response: Unknown

Score: 0

Currently, the many elected officials are not required to participate in the 360 evaluation process. Yet there are many feedback streams currently in place to advise, recommend, and enhance operations, the Sheriff as an elected official, is cognizant of his tremendous responsibility to the citizens of Yolo County who have repeatedly placed their trust in him as is evident by the fact he has been re-elected four times - the most recent being June 3, 2014. This is not something the Sheriff takes lightly, and to that end, the Sheriff remains responsive and accountable to those very citizens he ha...

F10

The Grand Jury was unable to determine the County’s compliance with the State of California Public Service Ethics AB 1234 mandated training for 2006-2011 for the Sheriff.

Response: Unknown Score: 0

Refer to County HR ❖ N/A Findings: 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." SHERIFF ~ CORONER'S

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.

Response: Unknown Score: 0

Refer to County HR ❖ N/A Findings: F12. "The HR Department serves in an advisory role lacks appropriate oversight and accountability of personnel matters at the Sheriff's Department." SHERIFF ~ CORONER'S

F12

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

Response: Unknown Score: 0

Refer to County HR ❖ N/A Findings: F13. "The CAO and HR have insufficiently monitored and audited the Sheriff's Department compliance with County Codes and Policies and Procedures." SHERIFF ~ CORONER'S

F13

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

Response: Unknown Score: 0

Refer to CAO and County HR ❖ N/A Findings: F14. "The CAO conducts a 360 degree evaluation for all appointed Department Heads. This evaluation process currently excludes elected officials." SHERIFF ~ CORONER'S

F14

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

Response: Unknown Score: 0

Refer to CAO ❖ N/A Recommendations: 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 job classifications held within the Department with the end goal of establishing a fair and objective set of written guidelines. These guidelines will then serve as the basis for fair, impartial, and timely evaluations, as well as the measure by which the Department assesses and holds expectations for job performance." SHERIFF ~ CORONER'S

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