CC Resolution No. 18-115 Adopting the City of Cupertino Code of Ethics and Conduct for Elected and Appointed OfficialsRESOLUTION NO. 18-115
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CUPERTINO
ADOPTING THE CITY OF CUPERTINO CODE OF ETHICS AND CONDUCT
FOR ELECTED AND APPOINTED OFFICIALS
WHEREAS, the City Council of the City of Cupertino has determined that a
Code of Ethics and Conduct benefits the public by increasing public confidence in
the integrity of local government and its effective and fair operations; and
WHEREAS, the Cupertino Code of Ethics and Conduct will guide the
conduct of Elected and Public Officials and support their independent, impartial,
and fair decision-making and ex ecution of policy; and
WHEREAS, City Council wishes to maintain an atmosphere of respect and
civility in the performance of City affairs and public business.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of
Cupertino hereby adopts the attached "City of Cupertino Code of Ethics and
Conduct for Elected and Appointed Officials"
PASSED AND ADOPTED at a regular meeting of the City Council of the City of
Cupertino this 2Qth day of November, 2018, by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
ATTEST:
Members of the City Council
Paul, Sinks, Chang, Scharf, Vaidhyanathan
None
None
None
APPROVED:
Grace Schmidt, City Clerk ~:yPaul,~~
City of Cupertino
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CUPERTINO
City of Cupertino
Code of Ethics and Conduct
For
Elected and Appointed Officials
Adopted November 2ot1,, 2018 by Resolution No. 18-115
PURPOSE
The Cupertino City Council adopts this Code of Ethics and Conduct as
guidelines for elected and appointed officials to exercise their office and conduct
themselves in a manner that instills public confidence and trust in the fair
operation and integrity of Cupertino's city government. 1
In accordance with State law and Title 2 of the Cupertino Municipal Code,
Cupertino's elected and appointed officials include the members of the City
Council, the Mayor, appointed officers of City boards and commissions, the City
Manager, the City Attorney, the City Clerk and the City Treasurer.
ETHICS
The citizens and businesses of Cupertino and the general public are entitled to
have fair, ethical, and accountable local government. To this end, the public
should have full confidence that their elected and appointed officials:
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Comply with both the letter and spirit of the law and policies affecting
the operations of government and their respective roles and
responsibilities; and
Are independent, impartial, and fair in their judgment and actions; and
Use their public office for the public good and not for personal gain; and
Conduct their deliberations and make their decisions in an atmosphere
of respect and civility, and during public meetings in accordance with
Open Meeting laws, except for confidential proceedings allowed by law.
Therefore, members of the City Council, City Boards and Commissions, the City
Clerk, the City Treasurer, the City Manager and the City Attorney (hereinafter,
"City Officials") should conduct themselves in accordance with the following
ethical standards:
1. Act in the Public Interest. Recognizing that stewardship of the public
interest must be their primary concern, City Officials will work for the
common good of the people of Cupertino and not for any private or
personal interest, and they will assure fair and equal treatment of all
persons, claims, and transactions coming before them.
1 These guidelines are intended to codify the values of the City of Cupertino relative to the conduct of its elected and
appointed officials and in no way distract from or supersede the many other rules and laws that govern city officials.
By their very nature, some guidelines apply only to legislative bodies and decision-makers as noted in the Code .
2. Comply with both the spirit and the letter of the Law and City Policy.
City Officials must comply with applicable federal, state and local laws
in the performance of their public duties. These include the United States
and California constitutions; the Cupertino Municipal code; laws
concerning financial disclosures; sources of income and gifts; conflicts of
interest laws; elections; campaign contributions; incompatible offices;
employer responsibilities; and open government rules.
3. Conduct of City Officials. The professional and personal conduct of
City Officials while exercising their office must be above reproach and
avoid situations that create the appearance of impropriety. Officials must
refrain from abusive conduct, personal charges or verbal attacks upon the
character or motives of other City Officials, city staff, or the public.
4. Respect for Process. City Officials will perform their duties in accordance
with the processes and rules of order established by the City Council.
5. Conduct at Public Meetings. City Officials will come prepared to
address items and issues at public meetings; will listen courteously and
attentively to all public discussions before the body; and will focus on the
business at hand.
6. Decisions Based on Merit. City Officials will base their decisions on
the merits and substance of the matter at hand, rather than on unrelated
considerations. When making adjudicative decisions that require
determination of the facts of a particular case and application of the law
and rules, decision-makers will maintain an open mind until the conclusion
of the hearing on the matter and will base their decisions on the facts
presented at the hearing and the law.
7. Communication. For adjudicative matters pending before the body, City
Officials will rely on the agenda materials and information received at the
public meeting to support their decision. To the extent substantive or
material information is received outside of a public meeting, decision-
makers must, at a minimum, publicly disclose the circumstances and
the outside source of information. Consultation with the City
Attorney is strongly advised to ensure the integrity and legality of
decisions made on adjudicative matters.
8. Conflict of Interest. To maintain independence and impartiality for the
common good and comply with the extensive set of conflict of interest
laws, City Officials will use caution and their best efforts to avoid the
appearance of impropriety in their actions and decisions. Consistent with
the law, decision-makers will not use their official positions to influence
government decisions in which they have (a) a material financial interest,
(b) an organizational responsibility to or personal commitment to others
that creates a conflict of interest or the appearance of one, or ( c) a strong
personal bias as to one party or position.
Potential conflicts of interest should be discussed with the City Attorney at
the earliest opportunity prior to a public meeting or hearing in order to
ensure time to research and analyze the facts. Decision-makers are referred
to the Cupertino Municipal Code, Section 2.18.030, which provides, among
other things, that the City Attorney may render informal advice to
individual Councilmembers regarding potential conflicts of interest, as
appropriate. However, it is understood that Councilmembers are protected
from potential liability for a conflict of interest only upon taking action that
complies with a written opinion issued by the California Fair Political
Practices Commission (FPPC).
If informed to seek formal advice from the FPPC or other State agency, a
member will not participate in a decision until the FPPC has issued a
written opinion that concludes there is no conflict. The member will
provide the City Attorney a copy of the written request to the FPPC and the
opinion, and will conform his or her participation to the advice given.
If a conflict of interest exists regarding a particular matter or decision, the
member will not participate in the decision or discuss the matter with other
decision-makers or other persons, unless otherwise permitted by law.
9. Gifts and Favors. Public Officials will not take advantage of services or
opportunities for personal gain, by virtue of their public office, which is not
available to the general public. They should refrain from accepting gifts,
favors or promises of future benefits, which might compromise their
independence of judgment or action or give the appearance of impropriety.
10. Confidential/Privileged Information. Public Officials have a duty to
maintain the confidentiality of privileged documents and communications
and the legal advice provided to or by them, in accordance with the law.
This includes information gathered during a closed session and advice
rendered by the City Attorney. Members will not disclose confidential or
privileged information without proper legal authorization, nor use such
information to advance their personal, financial, or other private interests.
11. Use of Public Resources. Public Officials should not use public resources
which are not available to the public in general (e.g., City staff time,
equipment, supplies, or facilities) for private gain or for personal purposes
not otherwise authorized by law.
12. Representation of Private Interests. In keeping with their role as
independent representatives of the City and stewards of the public
interest, Councilmembers should not appear on behalf of the private
interests of third parties before the Council or any Commission or
proceeding of the City, nor should members of Commissions appear before
their own bodies or before the Council on behalf of the private interests of
third parties on matters related to the areas of service of their bodies.
13. Advocacy. Members should represent the official policies and positions of
the City Council and Commission to the best of their ability when
designated as delegates for this purpose. When presenting their individual
opinions and positions, members should explicitly state they are speaking
in their personal capacity and not in their official capacity as members of
their respective bodies. When speaking in their personal capacities,
members should state their views do not represent their bodies' official
positions. Councilmembers and Commissioners have the right to
endorse candidates for Council seats and other elected offices; however, it
is inappropriate to mention or display endorsements during Council
meetings, Commission meetings, or other official City meetings, unless
otherwise allowed by law.
14. Policy Role of Members. Members should respect and adhere to the
Council-Manager structure of Cupertino City government as outlined in
the Cupertino Municipal Code. In this structure, the City Council
determines the budget priorities and policies of the City with input
provided by City staff and Commissions and the general public. Members
should not interfere with the administrative functions of the City or the
professional duties of City staff; nor should they impair the ability of staff
to implement Council policy decisions .
15. Independence of Commissions. Because of the value of the independent
advice of Commissions to the public decision-making process, members of
the City Council should refrain from using their position to unduly
influence the deliberations or outcomes of Commission proceedings.
16. Positive Work Place Environment. Public Officials should support a
positive and constructive work place environment for City employees and
for citizens and businesses dealing with the City. Members should
recognize their special role with City employees and in no way create the
perception of inappropriate direction to staff.
CONDUCT GUIDELINES
The Conduct Guidelines are designed to describe the manner in which City
Officials should treat one another, City staff, constituents, and others they
come into contact with while representing the City of Cupertino.
1. City Officials' Conduct with Each Other in Public Meetings and
Private Encounters
Elected and appointed officials are individuals with different
backgrounds, personalities, values, opinions and goals, who have chosen to
serve in public office to protect the City's interests and the wellbeing of the
community they serve. In all cases, this common goal should guide
officials' conduct with each other and with the public, particularly when
individuals may not agree on every issue.
(a) Respect and facilitate the role of the Chair in maintaining order
It is the responsibility of the Chair to keep comments of City Officials
on track during public meetings. City Officials should recognize and
assist the Chair to focus discussion on noticed agenda items. If there is
disagreement about the agenda or the Chair's actions, those objections
should be voiced politely and with reason, following procedures
outlined in parliamentary procedure.
(b) Practice civility and decorum in discussions and debate
Difficult questions, challenges and disagreements with a particular
point of view, and criticism of ideas and information are legitimate
elements of debate and public discourse of a free democracy in action.
Robust discussion and free debate, however, do not justify making
belligerent, personal, impertinent, slanderous, threatening, abusive or
disparaging comments.
( c) Work through the Chair to address offensive personal comments
If a member is personally offended by the remarks of another member,
the offended member should make notes of the actual words used and
call for a "point of personal privilege" that challenges the other
member to justify or apologize for the language used. The Chair will
maintain control of this discussion.
( d) Demonstrate effective problem-solving approaches
City Officials have a public stage and have the responsibility to show
how individuals with different points of view can find common
ground and seek a compromise that benefits the community as a
whole.
(e) Continue respectful behavior in private
The same level of respect and consideration of differing points of view
that is appropriate for public discussions should be maintained in
private conversations.
2. City Officials' Conduct with the Public in Public Meetings
Making the public feel welcome is an important part of the democratic
process. No signs of partiality, prejudice, or disrespect should be evident
on the part of individual City Officials toward an individual participating
in a public forum. Every effort should be made to be fair and impartial in
listening to public testimony.
(a) Chair's responsibility to establish proper decorum at meetings
The Chair will be responsible for informing the public of proper
decorum during meetings to facilitate a welcoming environment for
speakers. The Chair should establish an expectation of mutual respect
among City officials, the public, and speakers.
(a) Be welcoming to speakers and treat them with respect
Members' primary responsibility during public testimony is to listen.
Welcome all public speakers and encourage their active participation
in public meetings by listening to their comments. A void engaging
public speakers in debate, and call on the Chair whenever a point of
order or clarification is required.
(b) Be fair and equitable in allocating public hearing time to individual speakers
Consistent with legal requirements, the Chair will determine and
announce limits on speakers at the start of a public meeting or hearing
process.
( c) Practice active listening
It is disconcerting to some speakers to have members not look at
them when they are speaking. It is fine to look down at documents or
to make notes, but reading for a long period of time or gazing around
the room may give the appearance of disinterest. Members should try
to be conscious of facial expressions, and avoid those that-could be
interpreted as "smirking," disbelief, anger or boredom.
(d) Maintain an open mind
Members of the public deserve an opportunity to influence the
thinking of elected and appointed officials.
(e) Ask for clarification, but avoid debate and argument with the public
Only the Chair -not individual members -can interrupt a speaker
during a presentation. However, a member can ask the Chair for a
point of order if the speaker is off topic, exceeds the time allotted for
public comment, or engages in behavior or discussion/language that is
disruptive or violates the law.
(f) Avoid personal comments that could offend members of the public
Whether addressing an individual member of the public or the public
at large, it is never appropriate to make belligerent, personal,
impertinent, slanderous, threatening, abusive, or disparaging
comments.
3. City Officials' Conduct with the Public in Unofficial Settings
(a) Make no promises on behalf of the Council, Commission or City
Members will frequently be asked to explain a Council or
Commission action or to give their opinion about an issue as they
meet and talk with constituents in the community. It is appropriate to
give a brief overview of City policy and to refer to City staff for
further information. It is not appropriate to overtly or implicitly
promise Council or Commission action, or to promise that City staff
will do something specific for the constituent.
(b) Make no personal comments about other City Officials
It is acceptable to publicly disagree about an issue, but it is not
acceptable to make derogatory comments about other City Officials,
their opinions, or actions.
4. City Officials' Conduct with City Staff
Governance of a city relies on the cooperative efforts of elected officials
who set policy, appointed officials who advise the elected, and City staff
who implement and administer the Council's policies. Therefore, every
effort should be made to be cooperative and show mutual respect for the
roles and contributions made by each individual for the good of the
community.
The City of Cupertino operates under a Council/Manager form of
government as established in Cupertino Municipal Code Chapter 2.28
whereby the City Council controls the administrative services of the City
only through the City Manager. The Council/Manager form of government
is intended to provide the best of unencumbered professional/technical
staff input balanced with the collective oversight of elected officials. Under
the Council/Manager form of government neither the City Council, nor
individual Council members, can give orders to any subordinate of the City
Manager. The City Manager takes his or her orders and instructions from
the City Council only when given at a duly held meeting of the City
Council. No individual Councilmember can give any orders or instructions
to the City Manager. Interactions between City Council and City staff are
governed by Chapter 2.17 in the Cupertino Municipal Code.
(a) Treat all staff as professionals
Clear, honest communication that respects the abilities, experience,
and dignity of each individual is expected. Poor behavior towards
staff is not acceptable.
(b) Do not disrupt City staff from their jobs
City Officials should not disrupt City staff while they are in
meetings, on the phone, or engrossed in performing their job
functions in order to have their individual needs met. Do not attend
City staff meetings unless requested by staff -even if the elected or
appointed official does not say anything, his or her presence implies
support of a position, shows partiality, may intimidate staff, and may
hampers staff's ability to do their job objectively.
(c) Never publicly criticize an individual employee
City Officials should not criticize the performance of City employees
in public, to the employee directly, or to the employee's manager.
Comments about staff performance should only be made to the City
Manager through private correspondence or conversation. Appointed
officials should make their comments regarding staff to the City
Manager.
(d) Do not get involved in administrative junctions
City Officials acting in their individual capacity must not attempt to
influence City staff on the making of appointments, awarding of
contracts, selecting of consultants, processing of development
applications, or granting of City licenses and permits.
( e) Do not solicit political support from staff
City Officials should not solicit any type of political support (financial
contributions, display of posters or lawn signs, name on support list,
etc.) from City staff. City staff may, as private citizens with
constitutional rights, support political candidates, but all such
. activities must be done away from the workplace.
(f) Attorney-Client Relationship
The City Attorney provides advice to City staff, to Public Officials,
and to Councilmembers individually and collectively. In accordance
with law and Rules of Professional Conduct, the City Attorney
represents the full City Council and the City as a municipal
organization, and any attorney-client relationship established belongs
to the City, acting by and through the full City Council. To the extent
permitted by law, only the City Council as a body and not individual
councilmembers can waive the attorney-client privilege.
5. Council Conduct with Commissions
The City has established several Commissions as a means of gathering
more community input. Citizens who serve on Commissions become more
involved in government and serve as advisors to the City Council. They are
a valuable resource to the City's leadership and should be treated with
appreciation and respect.
(a) If attending a Commission meeting, be careful to only express personal
opmzons
Councilmembers may attend any Commission meeting, which are
always open to any member of the public. However, they should be
sensitive to the way their participation could be viewed as unfairly
affecting the process. Any public comments by a Councilmember at
a Commission meeting should be clearly made as individual
opinion and not a representation of the feelings of the entire City
Council.
(b) Limit contact with Commission members to questions of clarification
It is inappropriate for a Councilmember to contact a Commission
member to lobby on behalf of an individual, business, or developer,
and vice versa. It is acceptable for Councilmembers to contact
Commission members in order to clarify a position taken by the
Commission.
( c) Respect that Commissions serve the community, not individual
Cou ncilmembers
The City Council appoints individuals to serve on Commissions, and
it is the responsibility of Commissions to follow policy established
by the Council. But Commission members do not repqrt to
individual Councilmembers, nor should Councilmembers feel they
have the power or right to threaten Commission members with
removal if they disagree about an issue. Appointment and re-
appointment to a Commission should be based on such criteria as
expertise, ability to work with staff and the public, and commitment
to fulfilling official duties. A Commission appointment should not be
used as a political "reward."
(d) Be respectful of diverse opinions
A primary role of Commissions is to represent many points of view
in the community and to provide the Council with advice based on a
full spectrum of concerns and perspectives. Councilmembers may
have a closer working relationship with some individuals serving on
Commissions, but must be fair and respectful of all citizens serving on
Commissions.
(e) Keep political support away from public forums
Commission members may offer political support to a
Councilmember, but not in a public forum while conducting official
duties. Conversely, Councilmembers may support Commission
members who are running for office, but not in an official forum in
their capacity as a Councilmember.
6. Conduct with the Media
Commission members are not authorized to represent the City to media
outlets (including broadcast, print, and social media sites) outside of official
Commission meetings unless specifically authorized to do so.
(a) The Mayor is the official spok esperson for the City Council on City positions
The Mayor is the designated representative of the City Council to
present and speak on the official City position. If an individual
Councilmember is contacted by the media (including broadcast, print,
and social media sites), the Councilmember should be clear about
whether their comments represent the official City position or a
personal viewpoint.
(b) Choose words carefully and cautiously
Comments taken out of context can cause problems. Be especially
cautious about humor, sardonic asides, sarcasm, or word play. It is
never appropriate to use personal slurs or swear words when talking
with the media (including broadcast, print, and social media sites).
COMPLIANCE
1. Acknowledgement of Code of Ethics and Conduct
City Officials should sign an acknowledgement that they have read and
understand the guidelines contained in the Code of Ethics and Conduct.
2. Ethics Training for Local Officials
City Officials must comply with State or City mandated requirements for
ethics training. Ethics training must be completed prior to representing the
City on intergovernmental assignments or Council subcommittees.
3. Behavior and Conduct
The Cupertino Code of Ethics and Conduct sets forth guidelines and
standards of ethical conduct desired and expected for members of the
Cupertino City Council and Commissions and other City Officials.
Members themselves have the primary responsibility to assure that ethical
standards are understood and met, and that the public can continue to have
full confidence in the integrity of city government. The Chairs of
Commissions and the Mayor and Council have the additional
responsibility to intervene when actions of members that appear to be in
violation of the Code of Ethics and Conduct are brought to their attention.
(a) City Council:
Individual Councilmembers should point out to the offending
Councilmember perceived infractions of the Code of Ethics and
Conduct. If the offenses continue, then the matter should be referred
to the Mayor in private. If the Mayor is the individual whose actions
are being questioned, then the matter should be referred to the Vice
Mayor. It is the responsibility of the Mayor ( or Vice Mayor) to initiate
action if a Councilmember' s behavior is not in compliance with the
Code of Ethics and Conduct. If no action is taken by the Mayor ( or Vice
Mayor), then the alleged violation(s) can be brought up with the full
Council.
(b) Commission Members:
Counseling, verbal reprimands, and written warnings may be
administered by the Mayor to Commission members failing to
comply with City policy. These lower levels of sanctions should be
kept private to the degree allowed by law. Copies of all written
reprimands administered by the Mayor should be distributed in
memo format to the Chair of the respective Commission, the
Commission Staff Liaison, the City Clerk, the City Attorney, the City
Manager, and the City Council.
In accordance with law, the City Council may impose sanctions on
Commission members whose conduct does not comply with the
City's policies, up to and including removal from office. Any form of
discipline imposed by Council should be determined by a majority
vote of at least a quorum of the Council at a noticed public meeting,
and such action should be preceded by a Report to Council with
supporting documentation.
When deemed warranted, the Mayor or majority of Council may call
for an investigation of Commission member conduct. Also, should
the City Manager or City Attorney believe an investigation into a
member's conduct is warranted, they may refer the matter to the
Mayor or Council. The Mayor or Council should ask the City Manager
or the City Attorney to investigate the allegation and report the
findings.
These sanctions are alternatives to any other remedy allowed by law
to remedy conduct that violates this code or State or Federal law. In
order to protect and preserve good government, all members of the
City organization should be cognizant of their responsibilities and
duties to meet the requirements of the law and uphold the guidelines
contained in this Code.
IMPLEMENTATION
The Code of Ethics and Conduct is intended to be self-enforcing and is an
expression of the standards of conduct for City Officials expected by the City.
It therefore becomes most effective when City Officials are thoroughly familiar
with it and embrace its provisions.
For this reason, this document should be included in the regular orientations for
candidates for City Council, City Manager, City Attorney, applicants to
Commissions, and newly elected and appointed City Officials. Members
entering office should sign a statement (example below) acknowledging they
have read and understand the Code of Ethics and Conduct. In addition, the
Code of Ethics and Conduct should be periodically reviewed by the City
Council and updated it as necessary.
I affirm that I have read and understand the City of Cupertino Code of Ethics
and Conduct for Elected and Appointed Officials.
Signature Date