May 4, 2004
SUBJECT: Review Processes for Handling Council Questions of Staff (Study Issue)
REPORT IN BRIEF
This study issue was ranked first for the Office of the City Manager at the December 2003 Council Study Issues Workshop (See Attachment A, Proposed Council Study Issue: Review Processes for Handling Council Questions of Staff). In developing staff recommendations regarding policies on staff-Council communications, staff reviewed current City policies and the recommendations provided by a Council Subcommittee. This Report to Council outlines options available to City Council to improve clarity and consistency in City policies regarding staff-Council communications. Staff recommends that City Council revise City policy per staff recommendations described in this Report.
BACKGROUND
In October 2003, a City Council subcommittee investigated the alleged violation by a former Vice Mayor and former City Manager of provisions of the City Charter, Code of Conduct for Elected Officials and the Code of Ethics. The Subcommittee subsequently found no violation of any City policy (See Report to Council # 03-374). The Subcommittee also made several recommendations to revise City policies governing Council-staff communication.
On October 23, 2003, City Council affirmed the Subcommittee’s findings and recommendations, and directed the City Manager to review, evaluate and make appropriate changes to existing policies regarding staff-Council communications.
As a result, Council added a study issue to:
- Review existing policies and practices that staff follow in handling Council questions of staff, and make a recommendation, if appropriate, to change or augment existing City policies and/or internal procedures relating to Council questions of staff, and
- Explore the development of additional guidelines in the Code of Conduct for Elected Officials and Code of Ethics to clarify proper protocol for Council communications with staff.
EXISTING POLICY
Legislative Management Sub-Element Goal 7.3B: Assure that City policy is established, documented and enacted according to established procedures and legal principles.
DISCUSSION
The City of Sunnyvale, like most cities in the area, operates under a council-manager form of government, which provides for distinct roles between councilmembers and staff. Under this form of government, city councilmembers are elected to represent the community, and the city council as a body sets city policy. Generally, councilmembers' work is focused on policy issues. It is the City Manager's role, as chief administrative officer, to implement Council policy decisions and direction. In Sunnyvale, only the City Manager and City Attorney report to Council; staff in the Office of the City Attorney report to the City Attorney, and all other staff report to the City Manager. The primary focus of this report is on the communications between Councilmembers and the City's staff.
To ensure the effectiveness of the distinct roles held by city councils and their staff, communication protocol is often clearly defined. Most municipal codes or charters of cities with the council-manager form of government contain language that requires councilmembers to communicate solely with the city manager and not with the city manager's staff, except for the purposes of inquiry; they also often prohibit individual councilmembers from giving direction to staff, other than their direct employees (City Manager and City Attorney). In addition to focusing on "who is allowed to communicate with whom", cities may also have written guidelines regarding the types of communications that are or are not appropriate. These types of guidelines often serve to focus council on policy issues, and staff on administrative issues. For example, the City of Sonoma Municipal Code section 2.08.220 provides: "The city council and its members shall deal with the administrative services of the city through the city manager, except for purposes of inquiry, and neither the city council nor any member thereof shall give orders to any subordinates of the city manager."
Review of Current Policies
Staff-Council communications within the City of Sunnyvale, while broadly defined by its council-manager form of government, are more specifically defined by the City Charter, Code of Ethics, Code of Conduct for Elected Officials and Legislative Policy as discussed below.
Note: The City’s Administrative Policy Manual also address staff-Council communications. Any action taken by Council as a result of this Report will be reflected in the Administrative Policy Manual accordingly.
City Charter
Section 807 of the Sunnyvale City Charter requires that City Councilmembers communicate with City staff solely through the City Manager, except to solicit "routine information" that is "immediately available," or as part of a formal investigation:
Section 807. Prohibition Against Councilmanic Interference … Neither the City Council nor any member shall give orders to any subordinates of the City Manager, either publicly or privately. The City Council and its members shall deal with officers and employees in the administrative service under the jurisdiction of the City Manager solely through the City Manager except:
- For a specific question from a member of the Council concerning a matter either pending before the Council or which the member intends to present to the Council, and which can be answered by furnishing routine information immediately available from the records of the officer or employee to whom it is directed, and which does not require the officer or employee to discuss or express any opinion concerning any existing or proposed policy of the Council or the City Manager; or
- In connection with an investigation into the affairs of the City or the conduct of any City department or office which the City Council by the affirmative vote of at least four of its members has undertaken.
Code of Ethics
The City’s Code of Ethics, adopted in June 1995, provides guidelines on ethical issues for City Councilmembers and Board and Commission members. Among other things, it requires public officials to comply with the law, to be independent, fair and practical, and to conduct public deliberations openly.
The Code of Ethics does not directly reference staff-council communication. However, it does reinforce the notion that Sunnyvale’s City Councilmembers are the policymakers and should not interfere with the administration of City staff’s day-to-day duties. The Code of Ethics states that members of the City Council and Boards and Commissions "shall not interfere with the administrative functions of the City or the professional duties of City staff; nor shall they impair the ability of staff to implement Council policy decisions."
Code of Conduct for Elected Officials
The Code of Conduct for Elected Officials was adopted in April 2000 (See Report to Council #00-124). The Code of Conduct details the manner in which Councilmembers should treat one another, City staff, constituents, and others with whom they come into contact in representing the City. Specifically, the Code of Conduct limits Council questioning of staff in the following manner:
Limit contact to specific City staff
Questions of City staff and/or requests for additional background information should be directed only to the City Manager, City Attorney, Assistant City Manager, or Department Heads. The Office of the City Manager should be copied on any request, except those to the City Attorney.
Requests for follow-up or directions to staff should be made only through the City Manager or the City Attorney when appropriate. When in doubt about what staff contact is appropriate, Councilmembers should ask the City Manager for direction.
The Code of Conduct further provides the following guidance regarding Council-staff communication:
- Check with City staff on correspondence before taking action
Before sending correspondence, Councilmembers should check with City staff to see if an official City response has already been sent or is in progress.
- Do not attend meetings with City staff unless requested by staff
Even if the Councilmember does not say anything, the Councilmember’s presence implies support, shows partiality, intimidates staff, and hampers staff’s ability to do their job objectively.
- Limit requests for staff support
Routine secretarial support will be provided to all Councilmembers. All mail for Councilmembers is opened by the Council Executive Assistant, unless other arrangements are requested by a Councilmember. Mail addressed to the Mayor is reviewed first by the City Manager who notes suggested action and/or follow-up items. Requests for additional staff support – even in high priority or emergency situations – should be made to the City Manager who is responsible for allocating City resources in order to maintain a professional, well-run City government.
Legislative Policy
Legislative Policy 7.3.12, City Council Guidelines and Standards Relating to Staff Assistance, Travel and Other Resources, (approved by Council on May 14, 2002) contains brief language on the protocol for staff-council communications:
Citizen’s Complaints. Complaints dealing with the administrative affairs of the City should be directed by the Councilmember to the City Manager for appropriate information and follow-up…
General. The direct provision of routine, easily retrievable information to a requesting Councilmember by a staff member regarding an issue pending before the Council or which member intends to bring to the Council is permitted in compliance with the City Charter as long as such request for information does not require such staff person to discuss or express an opinion regarding the issue.
Subcommittee Recommendations
The City Council Subcommittee in its October 2003 report (Report to Council # 03-374) made several recommendations to revise City policies governing Council-staff communication. These recommendations included:
1. Setting some reasonable guidelines in the Code of Conduct for when [time of day] it is appropriate for a Councilmember to contact any member of staff, including the City Manager and the City Attorney.
2. Modifying the Code of Conduct to indicate that staff responses to operational or policy questions by Council raised outside of normal business hours should be expected no earlier than the next business day. Moreover, any Council question concerning ongoing operations should not be answered by staff until it is safe and practical to do so and does not jeopardize operational integrity.
3. Reviewing the process by which the Vice-Mayor’s questions were handled in Public Safety and determining what changes could be made to prevent a similar situation from occurring again.
4. Establishing additional policies outlining processes to be followed when Councilmembers ask questions pertaining to various types of incidents so that citizen complaint procedures and employee rights such as the Peace Officers' Bill of Rights are adhered to. The policies should include better checks and balances to determine if a line of questioning is more appropriately treated as a citizen complaint to be handled by internal affairs procedures.
5. Adding the following language to the Code of Conduct to address some of the issues brought forward: "A Councilmember has the right (per City Charter) to make an inquiry (ask questions) regarding operations (including Public Safety) in order to better understand current or future policy implications."
Analysis of Existing Policy and Subcommittee Recommendations
Councilmembers have an obligation to ask questions of staff and to use staff expertise to carry out the Council’s policy-making role. While it is inappropriate for any individual Councilmember to "direct" a City employee other than the City Manager or City Attorney, it is entirely appropriate to "inquire" since information is the basis for understanding and action. The goal is to develop guidelines that provide for needed Council inquiries without adversely affecting staff’s administrative function.
Effective communication between staff and City Council is essential for providing quality public services in Sunnyvale.
Written policy on staff-Council communications can be helpful in assisting staff and Council to avoid misunderstandings and to facilitate communications. Written policy also minimizes the potential for unfounded perceptions that Council or staff may be overstepping their roles as policymakers or administrators.
Although the Sunnyvale policies which touch upon Council-staff communication (City Charter, Code of Ethics, Code of Conduct, and Legislative Policy) provide a basic framework for how Council communicates with staff, more clarity and consistency is needed.
Below are three options available to City Council to improve clarity and consistency in City policies regarding staff-Council communications.
Option #1: Revise City Policies
Staff has developed two recommendations designed to clear up the ambiguity and inconsistency contained in the current City policies, and to reinforce staff and Council roles under Sunnyvale’s council-manager form of government. These two recommendations are based on a review of current policies regarding staff-Council communications and the recommendations provided by the Council Subcommittee.
The Subcommittee Recommendations (listed on page 5) are addressed by each staff recommendation as noted below. Note: The staff recommendations do not address Subcommittee Recommendation #4 because this recommendation concerns internal or administrative procedures for handling Council questions or inquiries. Any action taken by Council as a result of this Report will be reflected in the Administrative Policy Manual accordingly.
Under the heading, "Limit contact to specific City staff," staff recommends revising the Code of Conduct for Elected Officials to read [Note: new language is in bold]:
Limit contact to specific City staff
Questions of City staff and/or requests for additional background information should be directed only Councilmembers have the right to make routine requests for readily available information of City staff. Councilmembers also have the right to make an inquiry of the City Manager regarding City operations of any City department. Routine questions of City staff for easily retrievable information (other than those relating to designated staff support for IGR committee assignments and/or secretarial support from the Council Executive Assistant) should be directed only to the City Manager, City Attorney, Assistant City Manager, Deputy City Manager or Department Heads. The Office of the City Manager and the Council should be copied on any request on all Councilmember requests for information and inquiries except those requests made to the City Attorney.
Requests for follow-up or directions to staff should be made only through the City Manager or the City Attorney when appropriate. Any request or inquiry that requires staff to compile information that is not readily available must be directed only to the City Manager, or to the City Attorney, as appropriate. Any request for a meeting with staff must be directed to the City Manager or City Attorney as appropriate. When in doubt about what staff contact is appropriate the appropriateness of a communication with staff, Councilmembers should ask the City Manager for direction. For specific protocol on staff-Council communications, refer to the Legislative Policy Manual [staff is recommending a new legislative policy on staff-Council communications discussed below].
Note: Staff recommends that the Code of Conduct for Elected Officials be reviewed by Council on an annual basis each October along with the Code of Ethics. These recommended changes to the Code of Conduct, if approved by Council, will then be included in Council’s October 2004 annual review.
Staff Recommendation #2: Update Legislative Policy
Staff recommends updating the City’s Legislative Policy Manual in order to improve clarity and consistency in City policies regarding staff-Council communications. Specifically, staff recommends re-organizing Legislative Policy 7.3.12 (City Council Guidelines and Standards Relating to Staff Assistance, Travel and Other Resources) into two policies:
- One Legislative Policy to include Council guidelines regarding secretarial assistance, supplies, travel and expenses (See Attachment B, Legislative Policy 7.3.12 (Draft): City Council Guidelines: Secretarial Assistance, Supplies, Travel and Expenses), and
- A new Legislative Policy to include proposed guidelines regarding staff-Council communications (discussed below) as well as the provisions (which remain unchanged) from Legislative Policy 7.3.12 regarding staff support to Council (See Attachment C, Legislative Policy 7.3.18 (Draft): Staff Support for Councilmembers; Staff-Council Communications).
Staff recommends including in the new policy the following language under the heading, "Staff-Council Communications:"
General. Council communications with City staff should be limited to normal City business hours unless the circumstances warrant otherwise. Responses to Council questions posed outside of normal business hours should be expected no earlier than the next business day. [Addresses Subcommittee Recommendation #1 and #2]
Councilmember Requests for Information and Inquiries. Councilmembers have the right to make routine requests for readily available information of City staff. Councilmembers also have the right to make an inquiry of the City Manager regarding City operations of any City department. Routine questions of City staff for easily retrievable information (other than those relating to designated staff support for IGR committee assignments and/or secretarial support from the Council Executive Assistant) should be directed only to the City Manager, City Attorney, Assistant City Manager, Deputy City Manager, or Department Heads. The City Manager and the Council should be copied on all Councilmember requests for information and inquiries, except requests made to the City Attorney.
Any request or inquiry that requires staff to compile information that is not readily available must be directed only to the City Manager, or to the City Attorney, as appropriate. Any request for a meeting with staff must be directed to the City Manager or City Attorney as appropriate. When in doubt about the appropriateness of a communication with staff, Councilmembers should ask the City Manager for direction.
[Addresses Subcommittee Recommendation #5]
Community Member Complaints.
Councilmembers must route all community member complaints
dealing with the administrative affairs of the City to the City
Manager for appropriate information and follow-up. The City
Manager will prepare a written response to the community member
for the Mayor’s signature on behalf of the Council. If the issue is not resolved to the satisfaction of the community member, the Mayor or the Councilmember should follow-up with the City Manager to address the issue.
Responses to Councilmember Requests for Information, Inquiries,
and Community Member Complaints.
Information supplied to a Councilmember in response to a request,
inquiry, or community member complaint will be made available to all members of the Council and to the City Manager. Responses will be made within a reasonable amount of time depending on the nature of the issue, the difficulty in compiling the requested information, and other circumstances which may affect the timeliness of a response. Inquiries concerning any City incident or operation will not be answered until it is safe and practical to do so, and at such time as it will not jeopardize staff response to the incident or operation. [Addresses Subcommittee Recommendation #2]
Option #2: Hold a Council Workshop
City Council can hold a Council workshop to review staff recommendations contained in Option #1 of this Report to Council and/or to develop new recommendations for policy regarding Council-staff communications.
Option #3: Form a Council Subcommittee
City Council can form a Council subcommittee to review the staff recommendations contained in Option #1 of this Report to Council and/or to develop new recommendations for policy regarding Council-staff communications.
FISCAL IMPACT
There is no fiscal impact associated with this Report to Council.
PUBLIC CONTACT
Public contact was made through the posting of the Council agenda on the City’s official notice bulletin board, posting of the agenda and report on the City’s Web page, publication of the Council agenda in the San Jose Mercury News, and the availability of the report in the Library and the City Clerk’s Office.
ALTERNATIVES
1. Option #1 – Approve recommendations suggested by staff
2. Option #2 – Hold a Council workshop
3. Option #3 – Form a Council subcommittee
4. Approve any combination of options as directed by Council
5. Other action as directed by Council
6. Take no action at this time
RECOMMENDATION
Staff recommends Alternative 1.
Prepared by:
Peter Bassett
Legislative Analyst
Reviewed by:
Coryn Campbell
Manager, Neighborhood and Community Services
Approved by:
Amy Chan
City Manager
ATTACHMENTS
A) Proposed Council Study Issue: Review Processes for Handling Council Questions of Staff (pdf format)
B) Legislative Policy 7.3.12 (Draft), City Council Guidelines: Secretarial Assistance, Supplies, Travel, and Expenses (pdf format)
C) Legislative Policy 7.3.18 (Draft), Staff Support for Councilmembers; Staff-Council Communications (pdf format)