The Code of Ethics for elected and appointed officials is reviewed annually by the City Council and the City’s advisory boards and commissions to consider the need for any revisions and to refresh members’ familiarity with the Code. As a result of the review by nine boards and commissions this summer, no revisions to the Code of Ethics are proposed. Staff recommends that Council reaffirm the Code of Ethics. Additionally, staff recommends that Council establish a formal process for conducting investigations of alleged Code violations and communication of investigation findings.

In June, 1995, the City Council adopted a Code of Ethics for elected and appointed officials (Attachment A). The Code was developed by a committee of current and former members of Council and commissions, and the draft was reviewed by each City advisory board or commission prior to its adoption. When the Code was adopted, Council also approved an implementation plan which included the specific review of the Code by boards and commissions as part of their regular annual work plans. Following the review by boards and commissions, the implementation plan calls for the Code to be reviewed by the City Council, and if necessary, be revised to reflect changed conditions or incorporate suggestions made by the boards and commissions for its improvement.

After the initial adoption of the Code of Ethics, all currently appointed and elected members of the City Council and boards and commissions signed a "member statement" affirming they had read and understood the Code of Ethics (Attachment B). As new members have been appointed or elected, they also have signed the member statement. In addition, a presentation on the Code of Ethics is included in orientation sessions for newly appointed board and commission members, as well as in the application and filing materials for applicants and candidates.

When the City Council adopted the Code of Ethics, it approved a single set of guidelines for members of both the City Council and advisory boards and commissions to achieve consistency using the same ethical standards for all City officials. In addition, the Code was expressed as simple and positive principles of conduct, rather than as a detailed, legal ordinance. Ordinances tend to deal with very specific material conflicts of interest, gifts, and campaign contributions, and they include specific and complex mechanisms for their enforcement. Since existing laws already deal with issues such as conflict of interest and fair political practices, the Code focuses on guidelines for personal and official conduct which would strengthen both the overall integrity of government and the public’s confidence in it.

When the Code was developed, therefore, a key issue was to distinguish between "ethical issues" and City policy issues or traditions of practice. For example, the first principle of the Sunnyvale Code of Ethics is fundamental, and it is included in other codes of ethics: members will serve the public interest over their personal interests. Yet, the principle regarding the independence of advisory boards and commissions reflects the traditions found in the City of Sunnyvale; different political traditions in other communities deal with this issue very differently.

The Sunnyvale Code of Ethics is based on several basic principles which are stated in the preamble. These include:

• Public officials, both elected and appointed, should comply with both the letter and spirit of all relevant laws and policies affecting the operations of government;
• They should be independent and impartial in their judgment and actions;
• Public office should be used for the public good, not for personal gain; and
• Public deliberations and processes should be conducted openly in an atmosphere of respect and civility.

Achieving members’ compliance with the Code requires ongoing education and appropriate intervention, both of which require support and action by all members of the Council and boards and commissions. All members are responsible for helping their colleagues to be aware of the Code of Ethics and identify areas of potential concern. Chairs of boards and commissions have an additional responsibility to address specific concerns raised by their colleagues, councilmembers or the public regarding actual or perceived conduct of individual members which may be in conflict with the City's ethical standards. The Mayor has a similar responsibility in regard to City Councilmembers, as well as to members of boards and commissions.

Finally, if education and intervention are not effective in achieving compliance with the Code of Ethics, then the Council can take more formal actions. These could include a public reprimand, censure, or other sanctions if a member seriously fails to adhere to the ethical standards adopted by the City. In the case of boards and commissions, the City Charter also allows the Council to remove a member with four affirmative votes. The Code identifies these formal measures as possible methods of enforcement for serious violations of established standards of conduct.

In order to be truly effective, a Code of Ethics should become integrated with the functioning of the City Council, boards and commissions. To this end, the Code is included in all orientations for Council candidates, board and commission applicants, and for newly elected and appointed members. In addition, the Code is reviewed annually by the City Council and the boards and commissions to assure that members of these bodies are familiar with the expectations expressed by these standards of conduct.

To strengthen public confidence in the Code as well as to clarify steps of how alleged Code violations are handled, staff recommends that Council establish a process for conducting investigations. Staff also recommends that Council adopt a process to communicate findings and decisions to those who have raised the issues and who are the subject of the investigation.

There is no fiscal impact.

Newly appointed members of boards and commissions reviewed the Code of Ethics as part of the regular new member orientation on July 1, 1999. The Code of Ethics were reviewed at the regular meetings of nine City advisory boards and commissions this summer (does not include Private Industry Council, the Advisory Council on Council on Aging, Board of Building Code Appeals. BBCA will review when they are next convened for a meeting). No specific suggestions were made by individual members or the boards themselves to revise the Code of Ethics.

Staff recommends alternatives 1 and 2.

Prepared by:

Sophie C. Horiuchi
Administrative Assistant

Reviewed by:

Amy Chan
Assistant City Manager

Approved by:

Robert S. LaSala
City Manager