HomeMy WebLinkAbout13 Policy to Handle Complaints about the District's Board Agenda Item 13
TRUCKEE DONNER
...... I I-t y D's t ri ct
P u b hc U G' I I
WORKSHOP
To: Board of Directors
From: Steven Poncelet
Date: July 18, 2012
Subject: Discussion Regarding a Policy to Handle Complaints about the
District's Board
1. WHY THIS MATTER IS BEFORE THE BOARD
This item concerns the Nevada County Grand Jury report published on May 25, 2012
and the Board's response to the Grand Jury's Findings and Recommendations.
2. HISTORY
At the June 6, 2012 regularly scheduled District Board meeting, staff provided
information to the Board regarding the Nevada County Grand Jury's report and the
recommended responses to the Grand Jury's Findings and Recommendations.
Based on feedback and direction from the Board, the attached formal response was
sent to the Grand Jury on June 8, 2012 (see Attachment 1).
In this formal response, the District agreed to implement a new TDPUD Board Policy
for handling Formal Complaints regarding Board members. This policy would address
the Grand Jury's Recommendations R2, R3, and R4. In each of these
Recommendations, the District's response was: "The recommendation has not yet
been implemented but will be implemented within 120 days.
3. NEW INFORMATION
District Staff and legal counsel have developed a draft TDPUD Board Policy for
Handling Formal Complaints Regarding Board Members Alleged Violations of District
Code or the Law (Attachment 2). When approved, this policy will be incorporated in
District Code and governance documents. The proposed draft policy establishes the
importance of public engagement in the District's activities and strives to protect the
interests of all parties involved in a complaint. The policy covers: Filing a Formal
Complaints; Acknowledgement and Notification; Investigation; and Resolution of
Formal Complaint. Staff believes that this draft policy meets or exceeds the intent of
the Nevada County Grand Jury's Recommendations.
Key elements of the draft policy include:
• The policy covers allegations of misconduct by any member of the District's
Board of Directors;
• Any member of the public or District Staff can make a formal, written complaint
should they have a concern that a Board member has or is violating District
Code or local, state, or federal laws;
• The policy defines what is a Formal Complaint and the process to file a Formal
Complaint;
• The policy sets forth a procedure for acknowledgement and notification;
• The policy sets forth a procedure for investigation;
• The policy sets forth a procedure for resolution of a Formal Complaint; and
• The purpose of this policy is to enable and describe the means for the
gathering of facts pursuant to any complaint; to ensure a complaint is
investigated and responded to in a manner that is timely, fair, and transparent.
A final policy will be brought back to the Board for formal action after feedback and
direction on the draft policy.
4. FISCAL IMPACT
There is no fiscal impact associated with this Workshop Item.
5. RECOMMENDATION
Receive this report and provide feedback and direction.
Steven Poncelet Michael D. Holley
Public Information & Conservation Manager General Manager
Attachment 1
. ..:: Truckee
Donner Public
Utility
District
Directors
Joseph R.Aguera
Jeff Bender
J. Ron Hem ig
June 8 2012 Tony Laliotis
' Vacant Position
General Manager
The Honorable Thomas Anderson Michael D. Holley
Presiding Judge of the Grand Jury
201 Church Street
Nevada City, CA 95959
Subject: 2012 Grand Jury of Nevada County report on the Truckee Donner Public
Utility District
Grand Jury Findings
Note: TDPUD Response in Bold
F.1.1. The District Code does not specifically address the process for responding to a
complaint concerning a member of the Board. Agree.
F.1.2. The District Code does not specifically require the GM to keep the Board
informed of a complaint concerning a member of the Board. Agree.
F.1.3. The GM's failure to notify the Board of the complaint regarding the Director
denied the Board the opportunity to address the complaint. Disagree. The Board
was given the opportunity to address the issue when Director Hillstrom made
his statements in open session. Additionally, there is no requirement,
regulation, or law for the GM to notify the Board in this circumstance.
F.1.4. After the Director's public statements at the December 15, 2010 and February
1 fi, 2011 Board meetings, the Board showed a lack of engagement and
responsiveness by failing to address the issues raised by the Director's statement.
Disagree. Director Hillstrom addressed the question of his residency multiple
times in open session, indicated that he had consulted with legal counsel on
this issue, and the Board was satisfied with his statements. The Board and GM
were aware of their responsibilities regarding this issue, followed District code
and State law, and took appropriate actions. The State of California, Office of
the Attorney General and the courts, have jurisdiction regarding issues relating
to residency requirements for local government officials.
F.1.5. The District Code does not require the complainant be notified of the disposition
of a complaint made concerning a member of the Board. Agree.
11570 Donner Pass Rd,Truckee,CA 96161—Phone 530-587-3896—wwwAdpud.org
Attachment 1
Grand Jury Recommendations
Note: TDPUD Response in Bold
R1. all members of the Board should seek out and attend training regarding the roles
and responsibilities of Board members in special districts. The recommendation
has been implemented. The District has an on-going program to train Board
members.
R2. The Board should develop written policy which clearly defines the roles and
responsibilities of the GM, the TDPUD legal counsel and Board in response to a
complaint concerning a member of the Board. The recommendation has not yet
been implemented, but will be implemented within 120 days.
R3. The Board should amend the District Code to require the complainant be notified
of the disposition of a complaint made concerning a member of the Board. The
recommendation has not yet been implemented, but will be implemented within
120 days.
R4. The Board should develop written policy that requires the GM to keep the Board
informed of a complaint concerning a member of the Board. The recommendation
has not yet been implemented, but will be implemented within 120 days.
R5. The Board should improve communications among TDPUD management,
TDPUD legal counsel and the Board. This recommendation will not be
implemented because it is not warranted. See the District's response to F.1.3
and F.1.4. The District strives to continually improve communications among
the TDPUD management, TDPUD legal counsel and the Board.
Feel free to contact me if I can be of any assistance.
Regards,
Tony Laliotis
Board President
Truckee Donner Public Utility District
11570 Donner Pass Rd,Truckee,CA 96161—Phone 530-587-3896—www.tdpud.org
Attachment 2
Title 2, Administration
Chapter 2.62
HANDLING FORMAL COMPLAINTS REGARDING BOARD MEMBERS ALLEGED
VIOLATIONS OF DISTRICT CODE OR THE LAW
Sections:
2.62.010 Introduction
2.62.020 Filing a Formal Complaint
2.62.040 Acknowledgement and Notification
2.62.050 Investigation
2.62.070 Right to Refuse or Terminate Investigation
2.62.080 Resolution of Formal Complaint
2.62.010 Introduction The District strives to conduct its business and achieve its
mission through the highest of ethical and legal standards. It recognizes the value of
and encourages input from the public and staff regarding the District's operations and
governance.
Any member of the public or District staff can make a formal, written complaint should
they have a concern that a Board member has. or is violating District Code or local,
state, or federal laws. Before a complaint is filed, however, it is recommended that the
complainant first talk with the District's General Manager or Board President regarding
the facts and circumstances giving rise o the complaint. If the situation remains
unresolved and the complainant proceeds to file a complaint, then the following
procedure will be followed;
This policy covers allegations of misconduct by any member of the District's Board of
Directors. Complaints will be investigated promptly and reported, recorded, and
resolved in accordance with the approved policy and procedures. In all cases, the rights
of all parties will be respected. Any complainant who submits a complaint will not be
subject to any form of retaliation or reprisal from the Board member or the District.
The purpose of the policy is to enable and describe the means for the gathering of facts
pursuant to any complaint; to ensure a complaint is investigated and responded to in a
manner that is timely, fair and transparent.
Subjects will be informed of the specific nature of allegations in a Formal Complaint and
will have a fair and reasonable opportunity to respond to the allegations.
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Attachment 2
2.62.020 Filing a Complaint In order to be considered and responded to, a complaint
must be submitted to the District's General Manager's office or to any Board member in
writing and signed by the individual(s) making the complaint. The complaint must be
specific in nature, describing the facts and circumstances giving rise to the complaint in
the clearest terms possible, and include a clear and concise description of and
submission of any relevant supporting evidence that a Board member has violated
District Code or any local, state, or federal law. The complaint must identify whether the
facts giving rise to the complaint are the subject of any complaint made to or are the
subject of any investigation by an administrative agency or are the subject of any
pending litigation.
The District will not act on complaints that are not in writing or which are anonymous,
nor will it consider complaints sent electronically or through facsimile transmission. In
addition the District will not act on complaints submitted on behalf of another individual
or complaints forwarded to the District by someone other than the complainant. The
District will not act on any complaint which Is based upon facts and circumstances or
contains allegations that are subject to an on-going investigation by a third party agency
or that are in litigation. Care must be given :toprotect the District's integrity from
frivolous, vexatious and or unsubstantiated complaints and from duplicating efforts to
address the complaint in other forums.
2.62.040 Acknowled ement and Notification Any complaint that the District receives
shall be acknowledged by the District In writing to the complainant within 10 days of
recei t of the complaint an
p d a copy of this policy will be attached. The Board will be
informed that a complaint has been received and provided a copy of it.
2.62.050 Investigation Within 0 days of receipt of a complaint, the District's General
Manager and legal counsel will conduct,a preliminary investigation to determine if the
complaint meets the above requirements for filing a compliant that will be reviewed and
acted upon, if resolution of the complaint falls under the jurisdiction of the District and
review the complaint with the Board President to determine how to handle the
complaint. If the complaint is against the Board President, the General Manager and
legal counsel shall review the complaint with the Board Vice President and decide how
to handle it. The President, or the Vice President if the complaint is against the
President, is authorized to direct the General Manager and legal counsel to further
investigate the complaint, including hiring an investigator.
2.62.070 Right to Refuse or Terminate Investigation The Board President, or Vice
President if the complaint is against the President, may direct that no investigation of a
complaint be commenced or may direct that an investigation be terminated if:
• The complaint is not within the jurisdiction of the District;
• The complaint is frivolous, vexatious, or made in bad faith;
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Attachment 2
• The complaint does not contain reasonable grounds or adequate evidence to
initiate an investigation; or
• The complaint is the subject of any investigation by an administrative agency or
the subject of any pending litigation.
2.62.080 Resolution of Complaint Upon completion of the investigation, the Board
shall be informed of the results of the investigation and determine the final resolution of
the complaint. Resolution of the complaint shall, at a minimum, include sending a
written response to the complainant describing:
• Summary of complaint;
Summary• of the District's preliminary investigation and any additional information
relevant to the complaint; and
• Summary any action that has been or may be taken with respect to the
Y
complaint.
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