December 13, 2005
SUBJECT: ANNUAL REVIEW - CODE OF ETHICS
REPORT IN BRIEF
On an annual basis the Code of Ethics (Attachment A) for elected and appointed officials is reviewed by the City Council and the City’s advisory boards and commissions. The purpose of the annual review is to consider the need for revisions and to enhance members’ familiarity with the Code. As a result of the 2005 review by the City’s boards and commissions, no revisions to the Code of Ethics are proposed. Staff recommends that the Council takes this opportunity to review the Code of Ethics for updates and/or modifications and directs staff to revise the Code accordingly.
BACKGROUND
In June 1995, the Sunnyvale City Council adopted a Code of Ethics for Elected and Appointed Officials. A committee of former members of Council and boards/commissions developed the Code, and each City advisory board or commission reviewed the draft prior to its adoption. When the Code was adopted, Council also approved an implementation plan including the specific review of the Code by boards and commissions as part of their 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, to be revised to reflect changed conditions or to incorporate suggestions made by the boards and commissions for its enhancement.
All City Council members and all appointed members of boards and commissions sign a “Model of Excellence Member Statement” (Attachment B) affirming that they have read and understand the Code of Ethics. In addition, a presentation on the Code of Ethics is included in orientation sessions for newly appointed board and commission members and information is included in the Sunnyvale Handbook for Boards, Commissions and Committees.
When Council adopted the Code of Ethics, it approved a consistent single set of guidelines and ethical standards for all members of the City Council and advisory boards and commissions. The Code was expressed as simple and positive principles of conduct, rather than as a detailed, legal ordinance. Since existing laws already deal with issues such as conflict of interest and fair political practices, the Code focused on guidelines for personal and official conduct that would strengthen both the overall integrity of government and the public’s confidence in it.
Consistent with the original intent and content of the Code of Ethics, no revisions have been made to the Code of Ethics since its origin in 1995.
EXISTING POLICY
There are essentially three documents that govern the conduct of Councilmembers as they conduct City business:
These documents represent Council policy and set a standard of conduct that is expected of each Councilmember.
DISCUSSION
When the Code was developed, 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. The principle regarding the independence of advisory boards and commissions reflects the traditions found in the City of Sunnyvale while political traditions in other communities may deal with this issue differently.
The Sunnyvale Code of Ethics is based on basic principles that are stated in the preamble. These include:
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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;
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They should be independent and impartial in their judgment and actions;
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Public office should be used for the public good, not for personal gain; and
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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, boards and commissions. All members are responsible for understanding the Code of Ethics and identifying areas of potential concern. The Mayor has a responsibility in regard to City Councilmembers and all members of boards and commissions.
Board/Commission Chairs have the 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.
If education and intervention are not effective in achieving compliance with the Code of Ethics, 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 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.
FISCAL IMPACT
There is no initial fiscal impact as a result of this report. However, if Council directs staff to modify the Code there will be printing costs for the production of revised pamphlets. Actual costs are unknown at this time.
Conclusion
With the exception of the Board of Building Code Appeals (did not meet in 2005) the Code of Ethics was reviewed by all boards and commissions for revisions or modifications. There were no revisions or modifications recommended as result of the review by the boards and commissions. Therefore, staff is not proposing revisions at this time.
PUBLIC CONTACT
Newly appointed 2005 members of boards and commissions reviewed the Code of Ethics as part of the new member orientation. The Code of Ethics was also reviewed at the regular meetings of City advisory boards and commissions, and no specific suggestions were made by individual board and commission members to revise the Code of Ethics.
Public contact was made through 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 Office of the City Clerk and the Sunnyvale Library.
ALTERNATIVES
1. Council reviews the Code of Ethics, reaffirms the Code as it is currently written and directs staff to return the Code of Ethics to Council in 2006 for annual review.
2. Council reviews the Code of Ethics for updates and/or modifications, directs staff to revise the Code accordingly and directs staff to return the Code of Ethics to Council in 2006 for annual review.
RECOMMENDATION
Staff recommends Alternative No. 1
Reviewed by:
Robert Walker, Assistant City Manager
Prepared by: Katherine Bradshaw Chappelear, City Clerk
Approved by:
Amy Chan
City Manager
Attachments (pdf)
A. Code of Ethics (as adopted June 17, 1995)
B. Model of Excellence Member Statement