Frederick County Ethics Commission Standard Operating Procedures

A Presentationto

Ethics Reform Task Force

The Ethics Reform Task Force has not been empanelled to litigate pastallegations against elected officials or rulings by the Commission.

However, the Ethics Reform Task Force cannot create an ethics futureby turning a blind eye to Frederick Countys ethics past.

Why I chose to make this Presentation to the ERTF

A Unique Perspective, based on

1. As an Investigator - Investigations of ethics, corruptionand criminal misconduct by elected officials and others in Frederick County and elsewhere.

Access to, and acquisition of, direct evidence regarding corruption and criminal misconduct by elected officials and others.

2. As a Complainant Filed multiple, multi-count complaints with the Frederick County Ethics Commission.

3. As an Investigator / Complainant Participant in closed door Ethics Commission processes witnessing, first hand, how the Ethics Commission conducts itself in closed session.

Frederick County Ethics Reform Task Force

Question everything

1. What we have and what we need.2. How its implemented and how it should be implemented.

Apply equal vigor to ethics reformation in Frederick County

Ethics Ordinance

Ethics Commission Standard Operating Procedures

Oversight of the ethics process Watching the Watchers

Ethics Oversight Must Be Safeguarded From Political Influence

Transparency Must Be The Best Practice

Perception Must Be The Reality

As political appointees

Ethics Commission panelists, can be perceived by citizens as instruments of a political ideology and / or agenda for those who appointed them.

Standard Operating Procedures

The Complaint must allege a violation of the Ethics Ordinance

On the surface, this language appears to be tightly written, however, it places subjectivity in the hands of citizen volunteer panelists to determine allege.

The Ethics Commission must exhibit common sense, objectivity and ethics curiosity when evaluating an ethics complaint.

Structural Problemswith

Ethics Process & Standard Operating Procedures

Ethics Complaints Deference to the Complainant

The Complainant should be allowed to argue the merits of their allegation(s) as a rule, not as an exception.

Caveat : Ethics Only Complaints - on a case-by-case basis.Criminal Offense Allegations automatically.

Ethics hearings should be treated in thesame manner as a legal deposition...

under oath and recorded.

A formal hearing before the EthicsCommission is not captured andarchived as an artifact of Countybusiness.

No notes. No video. No audio.No transcript. No record.

IF provides a subjectiveloophole large enough to drive a truck through.

Ethics Complaints Procedures - Section V (E)(1) : The Factor

If the allegations in the complaint or the facts obtained during the Commissions investigation suggest that criminal conduct may have occurred,the Commission will refer the matter to the Office of the Attorney General, the State Prosecutor, or the States Attorney for a determination as to whether a criminal investigation is warranted.

The risk to impartiality by the IF subjectivity must be taken out of the complaint referral process.

IF

COMPLAINANT ETHICSCOMMISSION

OFFICE OF THE STATE PROSECUTOR

STATE ATTORNEY GENERAL

If the allegations in the complaint suggest that criminal conduct may have occurred

orIf the facts obtained during the Commissions investigation suggest that criminal conduct may have occurred

the Commission will refer the matter to ...

The Factor pits the Complainants assertions and allegations against

a subjective examination by ethics panelists (citizen volunteers) who may not be fluent regarding state ethics law, investigative and / or prosecutorial processes.

NOTE: The Ethics Commission is an administrative body, not an investigative body.The word investigation should be replaced with examination.

Ethics Complaints Procedures - Section V (E)(1) : The FactorOR

OR

Ethics Complaints Government Body, Boards and Commissions

There is no mechanism, in the ordinance or standard operating procedures, tofacilitate a complaint filed against a council, board or commission as a body.

County Boards and Commissions, as a whole body or their individual members, should not be above ethics scrutiny.

Can the Ethics Commissionreview and rule on a complaintfiled against one of its own?

State Ethics Law : No Complaint(s) Against a Board or Commission

State Ethics Law does not allow an ethics complaint to be filed against a board or commission as a whole body

Individual members of boards and commissions are exposed to possible legal actions and personal expense.

affidavits can be filed, seeking criminal charges, against individual members of boards and commissions to the State Attorney General and / or the Office of the State Prosecutor.

Best PracticesTo Improve

Ethics Procedures

Ethics : Protect Those Who Serve on County Boards and Commissions

Through language in the Ethics Ordinance, Ethics Commission StandardOperating Procedures and / or legislative action by the County Council

those who serve on county boards and commissions should be protected from legal actions which have been, or may be, taken as a result of actions by the board or commission as a whole.

Caveat : If the board and / or commission, as a whole and by majority vote, has taken an unethical or illegal action, then the individual majority votingmembers should be held accountable.

Ethics Commission Subpoena Power

(a) Subpoena power should be used for the purposes of taking testimony from Complainant(s) and Subject(s), under oath, to support the preparation and filing of criminal referral documents.

(b) Subpoena power should be used for the purposes of taking testimony from Complainant(s) and Subject(s), under oath, to support allegations of unethical conduct.

(c) Subpoena power must only be exercised by majority vote of Commissioners.

Ethics Commission Criminal Investigation Authority

Criminal investigations should be conducted by external investigative entitieshaving the resources of personnel, skill sets and utilities to conduct forensicinvestigations of email, phone records, text messages, polygraph, etc.

Ethics Commission Subpoena Power and Investigative Authority

Ethics Commission Role in County Government

The Ethics Commission is empanelled as an administrative body, by citizenvolunteers, to facilitate processes associated with ethics management and oversight in Frederick County.

The Ethics Commission should not:

Be considered or utilized as a judicial branch of county government.

Be given powers of authority generally associated with investigativeand / or prosecutorial entities.

Function without oversight (review) of its actions.

Ethics Ombudsman : Citizen Advocate and Ethics Process Observer

Ethics Ombudsman

(a) As a Citizen Advocate

(i) Assist citizens with their understanding of applicable ethics laws.

(ii) Assist citizens with preparation of ethics complaint package(s).

(b) As a Check-n-Balance of the Ethics Commission and ethics process.

(i) Observe / witness the ethics process to ensure completeness, correctness and fairness of ethics complaint review and ruling process for all parties.

(ii) Administer and manage a traceable mandatory training module for newemployees and elected officials.

COMPLAINANT

OMBUDSMAN

Ethics Procedures : Summary

Ethics procedures must be written and implemented to provide citizens absoluteassurance that ethics complaints will be reviewed and resolved with impartiality.

The same must hold true for those identified as subjectsin ethics complaints.

Ethics and / or criminal misconduct,which is evident and evidenced, must not be set aside or dismissed, based on process ambiguity or misplaced subjectivity.

Ethics oversight must be built onclearly defined what and howguidelines written into the countysethics ordinance and standard operating procedures.

Frederick County Ethics CommissionStandard Operating ProceduresSlide Number 2Slide Number 3Slide Number 4Slide Number 5Ethics Oversight Must Be Safeguarded From Political Influence Transparency Must Be The Best PracticePerception Must Be The RealitySlide Number 7Slide Number 8Slide Number 9Slide Number 10Slide Number 11Slide Number 12Slide Number 13Slide Number 14Slide Number 15Slide Number 16Slide Number 17Slide Number 18Slide Number 19