San Joaquin County Grand Jury
• 2017-2018
San Joaquin County Grand Jury San Joaquin County Municipality Ethics Policies “It takes 20 years to build a reputation
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⚠️ Este contenido ha sido traducido automáticamente. El texto original en inglés es la versión oficial. La traducción puede contener errores.
Findings and Recommendations 17 findings
F1
1 The City of Tracy does not have an ethics policy for its elected officials, appointed officials, and senior staff (city manager, city attorney, city clerk and their subordinate employees not represented by a bargaining unit). The lack of a policy has resulted in conflict, mistrust, and allegations of misconduct.
Related Recommendations (1)
R1
1 By October 31, 2018, the Tracy City Council develop and adopt an ethics policy that governs the behavior of its elected officials, appointed officials, and senior staff. 6 https://www.ci.tracy.ca.us/documents/20180320_CC_AP.pdf 7 http://www.fppc.ca.gov/learn/public-officials-and-employees-rules-/ethics-training.html 5 2.0 San Joaquin County The county has a written ethics policy from 2015. The Grand Jury interviewed members of the Board of Supervisors (BOS). Most are aware of the policy. The current ethics policy only governs the BOS. Often, recommendations, executive summaries, and insights are provided to the BOS by the senior staff (county administrator, legal counsel, clerk, and their subordinate employees). Decisions are made based upon information received. It is imperative these employees be held to the same ethical standards as the BOS.
F2
1 The San Joaquin County Board of Supervisors ethics policy does not include dependent boards and commissions. This could cause policy inconsistency across the county’s boards and commissions leading to a perception of differing values for each board in the county.
Related Recommendations (1)
R2
1 By October 31, 2018, the San Joaquin County Board of Supervisors develop and adopt an ethics policy that governs the behavior of dependent board and commission members.
F3
1 The City of Escalon does not have an ethics policy for its elected and appointed officials and senior staff such as the city administrator, city attorney, city clerk and their subordinate employees not represented by a bargaining unit. Failure to have an ethics policy could lead to poor judgement, public misconception and lack of trust.
Related Recommendations (1)
R3
1 By October 31, 2018, the Escalon City Council develop and adopt an ethics policy that governs the behavior of its elected and appointed officials. 7 4.0 City of Lathrop The Grand Jury interviewed several elected officials of the City of Lathrop to determine if the city had a written ethics policy and whom it governed. None were aware of a Lathrop CA City Hall policy. They all believe a written ethics policy is necessary and that it should cover elected and appointed officials as well as senior staff and most other employees. All interviewed have completed ethics training, but some are unsure as to how often the training occurs. All are unaware of any ethics violations by officials in Lathrop.
F4
1 The City of Lathrop does not have an ethics policy for its elected and appointed officials and senior staff such as the city manager, city attorney, city clerk and their subordinate employees not represented by a bargaining unit. Failure to have an ethics policy could lead to poor judgement, public misconception and lack of trust.
Related Recommendations (1)
R4
1 By October 31, 2018, the Lathrop City Council develop and adopt an ethics policy that governs the behavior of its elected and appointed officials and senior staff. 8 5.0 City of Lodi Lodi has an ethics policy. Officials are aware of the policy and the standards that it sets. Elected city officials consistently recuse themselves from matters when a potential conflict arises. Overall, members of the city council have trust and respect for each other and for members of city boards and commissions. All officials understand they are required to complete ethics training every two years as required by AB1234. They also believe the ethics training they receive is comprehensive. All officials are not aware of violations of the city ethics policy during their tenure. Lodi Mission Arch The Lodi ethics policy does not cover members of the city management team. The city management team is made up of the city manager, city legal counsel, city clerk, and their subordinates. Often, recommendations, executive summaries, and insights are provided to the city council by these employees, and decisions are made based upon this information.
F5
1 The ethics policy for the City of Lodi does not cover the city manager, city attorney, city clerk or subordinate employees not represented by a bargaining unit. These officials require the same guidelines as elected officials to ensure they are acting ethically.
Related Recommendations (1)
R5
1 By October 31, 2018, The Lodi City Council develop and adopt an ethics policy that governs the city management team. 9 6.0 City of Manteca Several elected and appointed officials of the city of Manteca were interviewed concerning any existing ethics policy. Not all are aware that the city does not have a written ethics policy for elected and appointed officials. Manteca does have a conflict of interest policy. Most are amenable to considering the adoption of a written ethics policy. City officials believe that if an ethics policy were developed, it should cover all employees as well as elected and appointed officials. All agree that the important principles listed in the Grand Jury’s Methods of Investigation Manteca CA Transit Center should be included. All are aware of the biannual requirement for ethics training and have completed it. They are unaware of any ethics violations. Overall, there is a high level of trust and mutual respect between members of the city council. All emphasized that policy disagreements were handled in a professional way, an important factor that helps the City of Manteca be successful.
F6
1 The City of Manteca does not have an ethics policy for its elected and appointed officials and senior staff such as the city manager, city attorney, city clerk and their subordinate employees not represented by a bargaining unit. Failure to have an ethics policy could lead to poor judgement, public misconception and lack of trust.
No recommendations for this finding
F7
1 The ethics policy for the City of Ripon does not cover senior staff (city administrator, city attorney, city clerk or subordinate employees not represented by a bargaining unit). These officials require the same guidelines as elected officials to ensure they act ethically.
Related Recommendations (1)
R7
1 By October 31, 2018, The Ripon City Council develop and adopt an ethics policy that governs the city senior staff. 11 8.0 City of Stockton The City of Stockton has an extensive and comprehensive ethics policy. Stockton’s code of ethics for employees and city officials was last updated November 2, 2017. The policy is written to include elected officials, appointed staff, appointed board and commission members, and employees. Stockton CA City Hall In addition to the mandatory Statement of Economic Interest Form 700, financial disclosure, the policy covers many topics such as the following: Incompatible outside activities Employee’s outside employment or activities Restrictions on city employment for elected officials after leaving office Some city officials are uncertain of the existence of an ethics policy. All know they are required to complete periodic ethics training but are uncertain about the frequency of the training. They rely on appointed staff to remind them and to organize the training. City officials characterized the city council as functional, unified, objective, and collegial.
F8
1 Not all individuals are aware of the ethics policy. Lack of awareness of the city ethics policy could lead to misunderstandings that violate the policy
Related Recommendations (1)
R8
1 By October 31, 2018, city council members receive a copy of the ethics policy and attend a briefing about its contents. 12
F1.1
The City of Tracy does not have an ethics policy for its elected officials, appointed officials, and senior staff (city manager, city attorney, city clerk and their subordinate employees not represented by a bargaining unit). The lack of a policy has resulted in conflict, mistrust, and allegations of misconduct.
No recommendations for this finding
F2.1
The San Joaquin County Board of Supervisors ethics policy does not include dependent boards and commissions. This could cause policy inconsistency across the county’s boards and commissions leading to a perception of differing values for each board in the county.
No recommendations for this finding
F2.2
The ethics policy for the County of San Joaquin does not cover the county administrator, county counsel, county clerk or their subordinate employees not represented by a bargaining unit. San Joaquin County Administrative Building These officials require the same guidelines as elected officials to ensure they are acting ethically.
No recommendations for this finding
F3.1
The City of Escalon does not have an ethics policy for its elected and appointed officials and senior staff such as the city administrator, city attorney, city clerk and their subordinate employees not represented by a bargaining unit. Failure to have an ethics policy could lead to poor judgement, public misconception and lack of trust.
No recommendations for this finding
F4.1
The City of Lathrop does not have an ethics policy for its elected and appointed officials and senior staff such as the city manager, city attorney, city clerk and their subordinate employees not represented by a bargaining unit. Failure to have an ethics policy could lead to poor judgement, public misconception and lack of trust.
No recommendations for this finding
F5.1
The ethics policy for the City of Lodi does not cover the city manager, city attorney, city clerk or subordinate employees not represented by a bargaining unit. These officials require the same guidelines as elected officials to ensure they are acting ethically.
No recommendations for this finding
F6.1
The City of Manteca does not have an ethics policy for its elected and appointed officials and senior staff such as the city manager, city attorney, city clerk and their subordinate employees not represented by a bargaining unit. Failure to have an ethics policy could lead to poor judgement, public misconception and lack of trust.
No recommendations for this finding
F7.1
The ethics policy for the City of Ripon does not cover senior staff (city administrator, city attorney, city clerk or subordinate employees not represented by a bargaining unit). These officials require the same guidelines as elected officials to ensure they act ethically.
No recommendations for this finding
F8.1
Not all individuals are aware of the ethics policy. Lack of awareness of the city ethics policy could lead to misunderstandings that violate the policy
No recommendations for this finding
Conclusions 1
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CL1Supreme Court Associate Justice Potter Stewart once said ethics is, “Knowing the difference between what you have the right to do, and what is right to do.”8 A written ethics policy is a tool to help city and county officials understand the difference between right and wrong and how to avoid even the perception of an ethics violation. A city receiving only one complaint of conflict of interest or an ethics violation can tarnish the reputation of both the member and the entire city council. It could take years for citizens to regain trust in their public servants. Ethics policies are designed to preserve the public’s trust in government and those who serve by setting a framework to guide conduct and behavior. The Institute for Local Government website9 has a collection of very good documents that can assist municipalities in the development of an ethics policy. The California Fair Political Practices Commission website10 has a series of guidelines that detail conflict of interest rules. Disclaimers Grand Jury reports are based on documentary evidence and the testimony of sworn or admonished witnesses, not on conjecture or opinion. However, the Grand Jury is precluded by law from disclosing such evidence except upon the specific approval of the Presiding Judge of the Superior Court, or another judge appointed by the Presiding Judge (Penal Code Section 911. 924.1 (a) and 929). Similarly, the Grand Jury is precluded by law from disclosing the identity of witnesses except upon an order of the court for narrowly defined purposes (Penal Code Sections 924.2 and 929). Response Requirements California Penal Code Sections 933 and 933.05 require that specific responses to all findings and recommendations contained in this report be submitted to the Presiding Judge of the San Joaquin County Superior Court within 90 days of receipt of the report. The Tracy City Council shall respond to all applicable findings and recommendations in Section 1.0. The San Joaquin County Board of Supervisors shall respond to all applicable findings and recommendations in Section 2.0. The Escalon City Council shall respond to all applicable findings and recommendations in Section 3.0. The Lathrop City Council shall respond to all applicable findings and recommendations in Section 4.0. 8 https://www.brainyquote.com/quotes/potter_stewart_390058 9http://www.ca-ilg.org/ 10 (http://www.fppc.ca.gov/learn/conflicts-of-interest-rules.html) 13 The Lodi City Council shall respond to all applicable findings and recommendations in Section 5.0. The Manteca City Council shall respond to all applicable findings and recommendations in Section 6.0. The Ripon City Council shall respond to all applicable findings and recommendations in Section 7.0. The Stockton City Council shall respond to all applicable findings and recommendations in Section 8.0. Mail or hand deliver a hard copy of the response to: Hon. Linda Lofthus, Presiding Judge San Joaquin County Superior Court 180 East Weber Avenue, Room 1306J Stockton, CA 95202 Also, please email the response to Ms. Trisa Martinez, Staff Secretary to the Grand Jury at grandjury@sjcourts.org 14
Agency Responses 1
Government agencies' official responses to this report's findings and recommendations. Click on a response to see the structured breakdown.