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2021-02-11; City Council; ; City Council Goals Workshop –Day 2
CA Review CKM Meeting Date: Feb. 11, 2021 To: Mayor and City Council From: Scott Chadwick, City Manager Staff Contact: Sheila Cobian, Assistant to the City Manager sheila.cobian@carlsbadca.gov, 760-434-2917 Jason Haber, Director of Intergovernmental Affairs jason.haber@carlsbadca.gov, 760-434-2958 Subject: City Council Goals Workshop – Day 2 District: All Recommended Action Review Fiscal Year 2021-22 department priorities/capacity updates and utilize the workbook materials provided by the workshop facilitator. Executive Summary/Discussion In preparation for the Fiscal Year 2021-22 City Council goals workshops, staff prepared the attached Department Priorities and Capacity Update (Exhibit 1) to be reviewed with City Council as part of the staff presentations at the City Council goals workshops. At the Feb. 11 workshop, staff will be providing updates on the Public Works, Police and Fire departments. Staff are presenting these updates for the City Council’s review and to obtain any feedback and direction the council might wish to offer on its prioritization of tasks and items. In addition, workshop facilitator David Agran has provided a workbook (Exhibit 2) for council member’s use during the workshop. Also provided for the council members’ reference is the Institute for Local Government’s publication, “Developing a Local Agency Ethics Code: A Process-Oriented Guide” (Exhibit 3). Fiscal Analysis The cost of the work entailed in the goal setting process is included in current budget appropriations. Next Steps Staff will act on any direction the City Council provides. Environmental Evaluation (CEQA) In keeping with California Public Resources Code Section 21065, this action does not constitute a "project" within the meaning of the California Environmental Quality Act in that it has no potential to cause either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment. Therefore, it does not require environmental review. Public Notification Public notice of this item was posted in keeping with the Ralph M. Brown Act and it was available for public viewing and review at least 24 hours before the scheduled meeting date. Feb. 11, 2021 Item #1 Page 1 of 100 Exhibits 1.Fiscal Year 2021-22 Department Priorities and Capacity Update forms prepared by the Public Works, Police and Fire departments 2.Goal Setting Workshop Workbook 3.Developing a Local Agency Ethics Code: A Process-Oriented Guide Feb. 11, 2021 Item #1 Page 2 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 PUBLIC WORKS BRANCH | Public Works Administration Core services The work we do day in, day out to meet our core mission: •Leadership and management support •Operating budget oversight •Capital Improvement Program administration •Business systems and technology support •Public Works contract administration •Construction communications and outreach •Business Intelligence and Analytics •Project Management Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete Enterprise Asset Management Service Enhancement 10% Project Portfolio Management Service Enhancement 5% Contractor and Consultant Performance Evaluations Service Enhancement 10% Engineering Standards update Service Enhancement 30% *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Exhibit 1 Feb. 11, 2021 Item #1 Page 3 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 PUBLIC WORKS BRANCH | Construction Management & Inspection Core services The work we do day in, day out to meet our core mission: • Execution of safe, compliant, high quality, on-time and on-budget Capital Improvement Program (CIP) projects • Construction quality assurance through management and inspection services of private development grading and improvement projects • Management and oversight of projects and activity (including those of franchise utility operators) within the public right of way • Storm water protection management and inspection services to ensure the protection of our waterways and compliance with the Municipal Storm Water Permit • Management and inspection of private ownership Treatment Control Best Management Practices (TCBMP) structures City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete Various Transportation, Traffic & Mobility projects Traffic & Mobility Continuous Poinsettia Lane bridge and gap closure (P61) private development project Traffic & Mobility 90% Installation of infrastructure for the city’s new Digital Information Network Traffic & Mobility; Economic Revitalization 75% City of Vista (Buena Sanitation District) Outfall project on Palomar Airport Road and Paseo Del Norte Traffic & Mobility 90% Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete Major Update to the City of Carlsbad Engineering Standards Service enhancement 30% Development of Contractor Performance Evaluation process Service enhancement 10% Support in the revision of the Standard Public Works Contract template Service enhancement 50% Reimbursement of Aged Developer Deposits (in coordination with City Attorney’s Office & Finance Department) Fiscal responsibility 5% In-house development of an asset management database for all privately-owned TCBMP structures to ensure compliance with the Municipal Storm Water Permit. Service enhancement 75% *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 4 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 PUBLIC WORKS BRANCH | Environmental Management Core services The work we do day in, day out to meet our core mission: • Climate Action Plan (CAP) Administration and Conformance Monitoring • Sustainable Materials Management Regulatory Compliance and service provider contract management • Habitat Management Plan (HMP) Implementation and Preserve Management, Monitoring and Protection • Watershed Protection National Pollutant Discharge Elimination System (NPDES) Storm Water Permit Compliance City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete South Carlsbad Blvd. Climate Adaptation Project Enhance coastline experience and Env. & Sustainability Guiding Principles (Grant Funded) 15% Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete New franchise solid waste agreement Legal Requirement 75% Development of Sustainable Materials Management Implementation Plan Regulatory Requirement 50% Ward’s Weed Eradication Preserve Management and Protection 50% Upcoming work Projects planned but not yet started Project Type* Estimated timing Development of climate adaptation guiding principles and strategies, and incorporation into capital improvements and city operations Env. & Sustainability Guiding Principles FY 2021-22 Reissuance of NPDES Storm Water Permit Regulatory Requirement FY 2021-22 Water Quality Monitoring Agua Hedionda Lagoon Regulatory Requirement FY 2021-22 Implementation of Sustainable Materials Management Plan Regulatory Requirement FY 2021-22 Transition of franchise waste hauler Legal Requirement FY 2021-22 *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 5 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 PUBLIC WORKS BRANCH | Fleet and Facilities Department Core services The work we do day in, day out to meet our core mission: • Facility Engineering • Custodial Services • Safety Training Center Operations and Maintenance • Facility Maintenance • Fleet Maintenance and Management City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete New City Hall/Civic Center Council Goal CS lead New Village Arts Building Refurbishment Economic Revitalization 95% Fleet transition to zero or low emission vehicles Sustainability 15% Police and Fire Headquarters Renovation Public Safety 75% Design Fire Station 2 Replacement Public Safety 50% Design Fire Station 4 Refurbishment Public Safety 70% Design Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete Orion Center (Maintenance and Operations Facility) Traffic & Mobility 30% Design Senior Center Roof Replacement Service Enhancement 10% Design Calavera Hills Community Center Roof Replacement Service Enhancement 5% Design Monroe Street Pool Renovation Service Enhancement 10% Design Engineering Standards update Service enhancement 30% Upcoming work Projects planned but not yet started Project Type* Estimated timing New Village Arts Renovation Phase II Economic Revitalization 2021-2022 Maerkle Solar Study Sustainability 2022 Alga Norte Park defect repair project Service Enhancement 2021-2024 Las Palmas Roof Replacement Education/Service Enhancement 2021-2023 Safety Training Center defect repair projects Service Enhancement 2021-2024 New City Hall/Civic Center Council Goal TBD *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 6 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 PUBLIC WORKS BRANCH | Transportation Core services The work we do day in, day out to meet our core mission: • Traffic Engineering • Transportation Planning and Mobility • Streets and Storm Drain Maintenance • Transportation and storm drain engineering • Asset management of transportation drainage and other city infrastructure • Buena Vista Creek Channel Maintenance Assessment District • Lighting and Landscape District No. 2 • Streetlighting maintenance City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete Lower railroad tracks in a trench throughout the Village Traffic & Mobility <5% Transportation Capital Improvement Projects are provided in Attachment A (attached) Traffic & Mobility Varies Traffic calming projects for nine residential streets Traffic & Mobility 90% Hybrid pedestrian traffic signal at Tamarack Avenue and Valley Street Traffic & Mobility 90% Implementation of the adaptive traffic signal project on El Camino Real, Palomar Airport Road and Rancho Santa Fe Road Traffic & Mobility 90% Enhancement of communication network incorporating the Crown Castle fiber-optic project Traffic & Mobility 90% Speed feedback signs on College Boulevard between Cannon Road and north city limits Traffic & Mobility 50% Pedestrian and bicycle enhancements on Carlsbad Boulevard at the marked crosswalks at Army/Navy Academy, Oak Ave., Sycamore Ave, Maple Ave., Cherry Ave. and Hemlock Ave. Traffic & Mobility 50% Update of the city engineering standards in accordance with the General Plan’s Mobility Element Traffic & Mobility 30% Coordination with Caltrans on restriping Palomar Airport Road and the Interstate-5 interchange area to address active transportation initiatives Traffic & Mobility 50% Street striping plan for Carlsbad Boulevard (Manzano Drive to Island Way) to serve all roadway users Traffic & Mobility 10% Carlsbad Residential Traffic Management Program review and update Traffic & Mobility 10% Implementation of traffic-calming improvements on residential streets as outlined in the Carlsbad Residential Traffic Management Program Leader in Multimodal Transportation Systems 10% Coordination with Caltrans on traffic signals at interchanges Traffic & Mobility 10% Development of Local Roadway Safety Plan including a citywide analysis of traffic safety and collision data Traffic & Mobility 10% Sustainable Mobility Plan (SMP) Engineering and Feasibility Analysis of the top priority projects for future incorporation into the CIP Traffic & Mobility 10% Further development of Safe Routes to School (SRTS) plans initiated as a result of the Sustainable Mobility Plan Traffic & Mobility 10% Feb. 11, 2021 Item #1 Page 7 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 2 Transportation Demand Management (TDM) Plan and Ordinance in accordance with Measure K-1 of the climate action plan Traffic & Mobility 50% Implement an active transportation monitoring program to measure bicycle and pedestrian activity levels and guide development of CIP projects through data driven metrics Traffic & Mobility 5% Development of a bicycle education program to teach residents safe bicycling behaviors to improve active travel practices Traffic & Mobility 5% Prepare engineering designs for the portion of the Coastal Rail Trail on Avenida Encinas between Carlsbad Boulevard and Palomar Airport Road Traffic & Mobility 5% Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete Drainage Capital Improvement Projects are provided in Attachment A (attached) Health/safety need Varies Transportation Impact Analysis (TIA) Reviews of Land Development Engineering Projects General Plan Policy – City Goal Ongoing Upcoming work Projects planned but not yet started Project Type* Estimated timing Transportation Impact Analysis (TIA) Guidelines Update Council Goal FY 2021-22 Traffic Impact Fee (TIF) Update Council Goal FY 2021-22 Develop Funding Plan for Railroad Undergrounding (in coordination with SANDAG and NCTD) Council Goal TBD *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 8 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) • College Boulevard Reach A Extension – CIP Project No. 3636 – 10% - Become a leader in multimodal transportation systems o On May 5, 2020, City Council directed staff to pursue a city-led financing program, planning, and environmental review for construction of the College Boulevard extension, which would include the city undertaking a preliminary design and engineering assessment o On Nov. 2, 2020, staff presented the scope of work to the Traffic and Mobility Commission and solicited the commission’s input and feedback on the project o Currently soliciting consultant qualifications for preliminary design and environmental services o Target schedule – Select consultant (spring 2021) and initiate preliminary engineering design phase (mid-2021) • Pavement Management Program – CIP Project No. 6001 o 2020-21 Pavement Overlay - Project will resurface El Camino Real between Cannon Road and College Boulevard, El Camino Real between Arenal Road and Levante Street, and Batiquitos Drive between Poinsettia Lane and Camino De Las Ondas Plans and specifications were approved in 2020 Currently in construction contract procurement and award phase o 2020-21 Slurry/Fog Seal - Project will resurface streets throughout the city using slurry seal and fog seal treatments (Attachment A provides a list of streets included in 2020-21 Slurry/Fog Seal Project) Currently in engineering design phase o Target schedule: 2020-21 Pavement Overlay - Award of construction contract (early 2021) 2020-21 Slurry/Fog Seal - Approval of plans and specifications and authorization to bid (early 2021), award of construction contract (mid-2021) • Beach Access Repairs from Pine Avenue to Tamarack Avenue – CIP Project No. 3896 – 30% - Become a leader in multimodal transportation systems AND Enhance Carlsbad’s coastline to ensure an exceptional experience o Project will repair sidewalks, handrails, stairways, retaining walls and sea wall o Currently in environmental phase and 50% engineering design o Target schedule - Approval of plans and specifications and authorization to bid (mid-2021), award of construction contract (late 2021) • Carlsbad Boulevard and Tamarack Avenue Pedestrian Improvements – CIP Project No. 6058 – 15% - Become a leader in multimodal transportation systems AND Enhance Carlsbad’s coastline to ensure an exceptional experience o Project will widen sidewalk, add crosswalks, improve ADA access and improve traffic flow and transit stop o Currently in preliminary engineering and environmental phase o Project requires right-of-way coordination/resolution with State Parks Feb. 11, 2021 Item #1 Page 9 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) o Target schedule - Approval of plans and specifications and authorization to bid (mid/late 2021), award of construction contract (early 2022) • El Camino Real Widening from Arenal Road to La Costa Avenue – CIP Project No. 6051 – 10% - Become a leader in multimodal transportation systems o Widen southbound El Camino Real from Arenal Road to La Costa Avenue to prime arterial standards, add sidewalk and widen bridge o Awarded design contract and started project design and environmental o Target schedule - Approval of plans and specifications and authorization to bid (mid-2022), award of construction contract (late 2022) • El Camino Real (ECR) and Cannon Road Improvements – CIP Project No. 6042 – 50% - Become a leader in multimodal transportation systems o Construct a new bridge for pedestrian connectivity over the Agua Hedionda Creek along ECR and widen the sidewalk on the southside of the ECR bridge, and add additional northbound through lane o Project presented to Traffic and Mobility Commission o Project approved by Planning Commission o Target schedule: Phase I: Approval of plans and specifications and authorization to bid (early 2021), award of construction contract (spring 2021) Phase II: Approval of plans and specifications and authorization to bid (mid-2021), award of construction contract (late 2021) • El Camino Real and College Boulevard Improvements – CIP Project No. 6071 – 60% - Become a leader in multimodal transportation systems o Enhance intersection for pedestrian safety and Americans with Disability (ADA) improvements o Plans are complete and presented to Traffic and Mobility Commission o Target schedule - Award of construction contract (early 2021), Notice to Proceed for construction (early 2021) • Kelly Drive and Park Drive Complete Street Improvements – CIP Project No. 6075 – 50% - Become a leader in multimodal transportation systems o Provide traffic calming on Kelly Drive and Park Drive, enhance biking with dedicated bike path, and add trails and improvement pedestrian access o Construction plans are near final stage o Supplemental public outreach program (early 2021) o Finalize environmental documents (Initial Study (IS)/Mitigated Negative Declaration (MND)) for public review (mid-2021) o Traffic and Mobility Commission presentation is scheduled for the February 2021 meeting o Next steps are to submit the project to resource agencies for permitting process, then Planning Commission Feb. 11, 2021 Item #1 Page 10 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) o Target schedule - Planning Commission approval (July 2021), approval of plans and specifications and authorization to bid (fall 2021), award of construction contract (spring 2022) • El Camino Real (ECR) Widening from Poinsettia Lane to Camino Vida Roble – CIP Project No. 6072 – 50% - Become a leader in multimodal transportation systems o Federally funded project to widen ECR to the city standards and provide an additional northbound through lane from Cinnabar Way to Camino Vida Roble to increase capacity. The project also adds new sidewalks and medians o Plans are at 100% and permitting is under review o Presented to Traffic and Mobility Commission o Next steps are to get Caltrans approval on the National Environmental Policy Act (NEPA) due to federal funding requirement, determine California Environmental Quality Act (CEQA) process, conduct property appraisal for acquisition o Target schedule - Planning Commission approval (mid-2021), approval of plans and specifications and authorization to bid (mid-2021), award of construction contract (late 2021) • Palomar Airport Road and College Boulevard Improvements – CIP Project No. 6028 – 50% - Become a leader in multimodal transportation systems o Provide operational improvements to vehicles by adding an additional southbound through lane and improvement bike lanes o Construction plans are at 50% design o Presented to Traffic and Mobility Commission o Currently finalizing plans and preparing environmental/CEQA documents o Target schedule - Planning Commission approval (summer 2021), approval of plans and specifications and authorization to bid (fall 2021), award of construction contract (spring 2022) • Palomar Airport Road and Melrose Drive Improvements – CIP Project No. 6034 – 50% - Become a leader in multimodal transportation systems o Provide operational improvements to vehicles by adding an additional southbound through lane and improvement to bike lanes o Presented to Traffic and Mobility Commission o Project design at 100% with no environmental impacts o Target schedule - Approval of plans and specifications and authorization to bid (spring 2021), award of construction contract (summer 2021) • El Camino Real Widening from Sunny Creek Road to Jackspar Drive – CIP Project No. 6094 – 10% Become a leader in multimodal transportation systems o Project will widen ECR to the city standards and provide an additional northbound through lane to increase capacity. The project also adds new sidewalks o Currently in initial design phase, hiring design consultant o Target schedule - engineering design begins (early 2021) Feb. 11, 2021 Item #1 Page 11 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) • Avenida Encinas Widening South of Palomar Airport Road – CIP Project No. 6004 – 5% - Become a leader in multimodal transportation systems o Provide new bike lanes and sidewalks o Project funding will be addressed in the upcoming FY 2021-22 budget. Staff is working with Caltrans staff to rescope a $1.7 million active transportation project grant o Target schedule - engineering design initiation (summer 2021) • Village and Barrio Traffic Circles – CIP Project No. 4015 – 50% - Become a leader in multimodal transportation systems AND Enhance the health and vitality of the Village and Barrio o Construct six traffic circles in the Barrio area to calm traffic as shown in the Village and Barrio Master Plan o Project is in engineering design and environmental review process o Presented to Traffic and Mobility Commission o Public outreach newsletter mailed out in November 2020 o Target schedule - Additional public outreach (early 2021), approval of plans and specifications and authorization to bid (mid-2021), award of construction contract (late 2021) • Terramar Area Coastal Improvement Project – CIP Project No. 6054 – 25% - Become a leader in multimodal transportation systems AND Enhance Carlsbad’s coastline to ensure an exceptional experience o Construct roundabout at intersection of Cannon Road and Carlsbad Boulevard, sidewalks, crosswalks, increased parking and bluff improvements o Project is in environmental review process. Updating traffic analysis and preparing CEQA documents o Target schedule - Planning Commission approval (late 2021), Coastal Development Permit from California Coastal Commission (mid-2022), approval of plans and specifications and authorization to bid (early 2023), award of construction contract (mid-2023) • Valley Drive and Magnolia Avenue Complete Streets – CIP Project No. 6019 – 40% - Become a leader in multimodal transportation systems o Construct sidewalks, bike paths, green street features and underground overhead utilities along Valley Drive and Magnolia Avenue o Currently in engineering design phase o Presented to Traffic and Mobility Commission in December 2020 o Target schedule – Additional public outreach (early 2021), coordination with utilities for undergrounding and gas relocation (through late 2021), approval of plans and specifications and authorization to bid (early 2022), award of construction contract (mid-2022) • Barrio Lighting Project – CIP Project No. 4013 – 40% - Become a leader in multimodal transportation systems AND Enhance the health and vitality of the Village and Barrio o Phase 1 of the project, which will install 14 streetlights to dark areas in the Barrio, is currently in the bidding phase Feb. 11, 2021 Item #1 Page 12 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) o Phase 2 of the project, which will install pedestrian lighting to the Barrio, is in the design phase o Public outreach newsletter mailed out in November 2020 o Target schedule: Phase 1 - Award of construction contract (early 2021) Phase 2 - Additional public outreach (early 2021), approval of plans and specifications and authorization to bid (mid-2021), award of construction contract (late 2021) • Palomar Airport Road Widening at Paseo Del Norte – CIP Project Nos. 6043/6044 – 95% - Become a leader in multimodal transportation systems o Extend the existing dual left-turn lane pocket by 150 feet from eastbound Palomar Airport Road onto northbound Paseo Del Norte o Construct a new 250-foot long right-turn lane pocket from eastbound Palomar Airport Road onto southbound Paseo Del Norte o Signal improvements to create two additional left/right turn overlap movements to improvement intersection efficiency o Target schedule - construction completion (early 2021) • Drainage Master Plan Project BCB – Magnolia Avenue Drainage Improvements – CIP Project No. 6608 – 20% - Become a leader in multimodal transportation systems o Proposed 30-inch diameter storm drain pipeline on Magnolia Avenue from Brady Circle to Monroe Street o Preliminary design proposed four curb inlets to improve drainage conditions of the corridor to achieve compliance with city drainage standards o Associated street improvements include street resurfacing from curb to curb, sidewalk replacement, ADA curb ramp upgrades and potential traffic calming improvements o Professional services agreement for final design awarded to O’Day Consultants in December 2020 o Target schedule - Approval of plans and specifications and authorization to bid (early 2022), award of construction contract (early 2022), target start of construction (summer 2022 during academic summer session of Carlsbad Unified School District due to nearby schools) • Fire Station Nos. 1 and 5 Drainage Improvements – CIP Project No. 6616 o Proposed Best Management Practices (BMPs) soil filtration facilities to capture and treat fire truck wash water prior to entering the drainage system, per the regional municipal storm water permit o Design completed in November 2020 and construction is expected to start in early 2021 • Buena Vista Creek Concrete Channel Maintenance Project – CIP Project No. 6619 – 40% - Become a leader in multimodal transportation systems o Proposed dredging of debris and clearing of vegetation within the concrete-lined portion of Buena Vista Creek between the bridges of South Vista Way to approximately 200 feet upstream of the El Camino Real bridge Feb. 11, 2021 Item #1 Page 13 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) o Associated repair to concrete lining anticipated as part of project o Engineering design completed in November 2020. Extensive environmental review in the interim is expected o Applications for Special Use and Habitat Mitigation city-issued permits will be submitted in January 2021. Resource agency permits will be pursued upon issuance of city permits o Target schedule - Award of construction contract (fall 2022) • Park Drive Street and Drainage Improvements – CIP Project No. 6611 – 40% - Become a leader in multimodal transportation systems o Remove and replace 500 feet of existing retaining wall and repair back slope with 2,000 cubic yards of imported fill. Project also includes brow ditch and storm drain improvements, and sidewalk replacement o 0.75 acre of compensatory habitat mitigation required offsite due to impacts to coastal sage scrub. Five-year maintenance and monitoring required upon completion of initial planning and six-month plant establishment period o Target schedule – Design completion (early 2021), Hillside Development and Habitat Mitigation Plan permit applications will be submitted to the city’s Planning Division upon design completion (early 2021), application for a Coastal Development Permit issued by the California Coastal Commission will be submitted upon issuance of city permits (mid/late 2021), award of construction contract (mid-2022) • Corrugated Metal Pipe (CMP) Replacement North of Encinas Creek – CIP Project No. 6607 o Removal of 200 feet of CMP and replacement with reinforced concrete pipe storm drain within Carlsbad Boulevard north of Encinas Creek. Project includes installation of two standard curb inlets, slope repair and outlet improvements o Design and environmental contracts executed in December 2020 for creation of final plan and environmental studies o Target schedule – Design completion (mid-2021), award of construction contract (late 2021) • Surface Drainage Improvements Project – CIP Project No. 6608 o Project will improve surface drainage conditions on several streets within the Northwest Quadrant area of the city. Improvements include installation of concrete curbs, gutters and swales o Final design completed in October 2020 o Target schedule – Approval of plans and specifications and authorization to bid (December 2020), award of construction contract (spring 2021) • Drainage Master Plan Update – CIP Project No. 6623 – 75% - Become a leader in multimodal transportation systems AND Enhance the health and vitality of the Village and Barrio AND Enhance Carlsbad’s coastline to ensure an exceptional experience o Update to the city 2008 Drainage Master Plan (DMP). Effort will update the list of master planned projects, create a new fee schedule and amend existing Program Environmental Impact Report (EIR) document Feb. 11, 2021 Item #1 Page 14 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) o Geographic Information System (GIS) updates to entire city drainage inventory completed in fall 2020. Drainage modeling supported by the GIS update, providing an updated analysis of proposed projects from the 2008 DMP and a recommended list of new projects to be added to the plan o Currently reviewing drainage modeling of the existing and proposed projects o Target schedule – preliminary approval of projects to be included in the plan update (early 2021), fiscal analysis will follow approval of project list to determine modifications to the current fee schedule (mid-2021), amendment to the program EIR will also follow approval of the project list (mid-2021), Council approval of the Drainage Master Plan update (late 2021) • Calavera Dam Vegetation Maintenance – CIP Project No. 5049 o Vegetation removal from the embankment, spillway and outlet of the Lake Calavera Dam o Last clearing occurred Sept. 15, 2020 o Currently vegetation being monitored for next clearing event. Vegetation will also be cleared in advance of the contractor mobilizing for the Lake Calavera Outlet Replacement Project (CIP Project No. 5054) so that a work area can be established o Annual report will be created in January 2021 and submitted to California Department of Fish and Wildlife (CDFW) for review o Associated compensatory mitigation site in year 4 of 5 of mitigation. Annual report will be created and submitted to CDFW in January 2021. Approval of mitigation site expected in spring 2022 • Agua Hedionda Creek Vegetation Maintenance – CIP Project No. 6629 o Half-acre section of Agua Hedionda Creek between the bridges of Cannon Road and El Camino Real cleared of vegetation in November 2020 to improve creek conveyance capacity o Annual report to be created in January 2021 and submitted to CDFW for review o CDFW-issued 1600 permit only allows for stream clearing once a year. At the request of the Rancho Carlsbad Owners Association, staff has submitted inquiry to CDFW asking to clear section multiple times a year. Budget will need to be updated in FY 2021-22 should CDFW approve • Buena Vista Creek Assessment District – Operation Project 1636312 o In November 2020, one acre of vegetation was removed from the northern half of Buena Vista Creek immediately upstream of Jefferson Street bridge (year 1 of 5). Vegetation also cleared around the areas of three storm drain outfalls. Trash removal and non-native treatment of the entire 11.2-acre site occurred in September and November 2020 o Annual report being drafted and will be submitted to CDFW in January 2021 for review per permit conditions o Next upstream acre, year 2 of 5, to be cleared in November 2021. Trash removal and non- native treatment scheduled for September 2021 • Romeria Street Drainage Channel Replacement – CIP Project No. 6604 o Compensatory mitigation consists of one plot within the Romeria Preserve and two plots within the Lake Calavera preserve. All plots are in mitigation year 4 of 5 and are on track for Feb. 11, 2021 Item #1 Page 15 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) agency approval in spring 2022. Annual report will be drafted in March 2021 and submitted to the U.S. Army Corps of Engineers (USACE) and Regional Water Quality Control Board (RWQCB) for review o USACE approved proposed restrictive covenant which protects the mitigation sites from future development in perpetuity. Council approval of Restrictive Covenant anticipated in early 2021. Document will be recorded at County Recorder Office upon authorization • Drainage Master Plan Project BFB-Upper – CIP Project No. 6622 – 10% - Become a leader in multimodal transportation systems o Proposed project includes drainage improvements to an existing city-owned earthen drainage channel on the east side of El Camino Real from just south of Chestnut Avenue to Tamarack Avenue o The objective of the project is to restore the channel by stabilizing slopes to mitigate against erosion during storm events and help reduce sediment transport to Agua Hedionda Lagoon o Request for Qualifications for design services of DMP Project BFB-U is scheduled for release in mid-2021 • Storm Drain Maintenance and Repair Program FY 2021-22 – CIP Project No. 6607 o Removal of six CMP pipe drainage pipe systems throughout the city and replacement with reinforced concrete pipe systems o Target schedule – Approval of plans and specifications and authorization to bid (spring 2021), award of construction contract (fall 2021) • Storm Drain Condition Assessment Program – CIP Project No. 6620 o 32,000 feet of storm drain pipeline to be inspected with closed circuit technology by mid- 2021 o Inspection results will create list of repair and maintenance projects to be executed by CIP Project No. 6607 o Program is also used on an as-needed basis to inspect drainage systems requiring immediate inspection • Sidewalks Improvement Program – CIP Project No. 6002 – 40% - Become a leader in multimodal transportation systems o Program to design and construct missing links of sidewalk throughout the city o Currently in design phase for FY 2020-21 project. The FY 2020-21 project locations are: Garfield St (east side) between Redwood Ave and Tamarack Ave Monroe St (east side) between Marron Rd and southern mall driveway entrance (near bus stops) Tamarack Ave (north side) between Kirkwall Ave and Edinburgh Dr Target schedule - Approval of plans and specifications and authorization to bid (March 2021), award of construction contract (June 2021) Feb. 11, 2021 Item #1 Page 16 of 100 Attachment A Semiannual Transportation Report Transportation and Drainage Capital Improvement Program (CIP) Project Status Update (with status of percent complete and City Council Goals) • Concrete Repairs Program - CIP 6013 o Miscellaneous concrete repairs to sidewalks, curb and gutter, pedestrian ramps, driveway approaches and cross gutters o Currently finalizing citywide locations for FY 2020-21 project, o Target schedule - Approval of Plans and Authorization to Bid (March 2021), Award of Construction Contract (June 2021) • ADA Ramp Improvement Program - CIP 6049 – 45% - Become a leader in multimodal transportation systems o ADA improvements throughout the city o Currently in design phase for FY 2020-21 ADA Ramp Project and for Parking Lots ADA Compliance Project o Target schedule: FY 2020-21 ADA Ramp Project - Approval of Plans and Authorization to Bid (April 2021), Award of Construction Contract (July 2021) Parking Lots ADA Compliance Project - Approval of Plans and Authorization to Bid (July 2021), Award of Construction Contract (Oct. 2021) • Segovia Way Pavement Distress Project – CIP 6081 o Construct drainage improvements and pavement overlay in distressed area o Currently in engineering design phase for project o Target schedule - Approval of Plans and Authorization to Bid (March 2021), Award of Construction Contract (June 2021) Feb. 11, 2021 Item #1 Page 17 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 PUBLIC WORKS BRANCH | Utilities Core services The work we do day in, day out to meet our core mission: • Ensure high quality, safe and reliable drinking water is delivered to CMWD customers • Operate and maintain the potable and recycled water distribution and storage system • Produce and deliver high quality, safe and reliable recycled water; study and implement additional recycled projects such as North County One Water • Maintain the wastewater collection system so that sewage is conveyed efficiently and effectively to the treatment plant and the environment is protected • Compliance with the many regulations of the State Department of Water Resources, San Diego Regional Water Quality Control Board, Air Pollution Control District and other national, state and local regulatory agencies • Water conservation including compliance with new State-set water efficiency targets • Design of water, recycle water and wastewater Capital Improvement Program (CIP) projects • Collaborate with Encina Wastewater Authority Joint Powers Authority, San Diego County Water Authority and other cities and districts on regional utility issues • Operate an asset management system to extend the useful life of water and wastewater infrastructure with a replacement value of $2.1 billion • Conduct water and wastewater engineering review of private and business development plans City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete Analyze water demand and supply availability and sewer capacity for development and businesses Housing & Homelessness Economic Revitalization Ongoing Roundabout Projects Support (planning stage) Traffic & Mobility 5% Green Streets Projects Support (planning stage) Traffic & Mobility 5% Integration of Utilities projects with Traffic and Mobility projects Traffic & Mobility Ongoing Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete Segment 5 – Recycled Water Main Replacement & Extension Health/safety need 95% Buena Sewer Outfall Project Health/safety need 95% Large water meter exchanges Health/safety need 10% Condition assessment of water and wastewater pipelines Health/safety need 15% Urban Water Management Plan Regulatory requirement 50% Risk and Resilience Assessment (potable water) Regulatory requirement 80% Sanitary System Survey Regulatory requirement 90% Cost of Service Study update for rates Regulatory requirement 5% Pressure Reducing Station Rehabilitation and Upgrades Health/safety need 10% D-4 Recycled Water Tank Project Service enhancement 50% Lake Calavera Dam Outlet Valve Replacement Project Health/safety need 50% Replace generator at Poinsettia sewer lift station Health/safety need 5% Force main rehabilitation for Batiquitos sewer lift station Health/safety need 10% Force main surge protection at Poinsettia sewer lift station Health/safety need 90% Replace generator at Chinquapin sewer lift station Health/safety need 10% Flowmeter vault at Cannon sewer lift station Health/safety need 10% SCADA system replacement Health/safety need 10% Engineering Standards update Service enhancement 30% Feb. 11, 2021 Item #1 Page 18 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 2 Upcoming work Projects planned but not yet started Project Type* Estimated timing Valve Replacement Program Health/safety need Feb to Aug 2021 Backflow Mobile Management System Service enhancement FY 2022 Meter reader processing software upgrade Service enhancement Feb to May 2021 mCare Service Order System Upgrade Service enhancement FY 2021-22 SmartWorks Data Analytics Installation Service enhancement FY 2021-22 Potable Distribution System Leak Survey Health/safety need FY 2021-22 Wastewater pipeline repair contract Health/safety need FY 2021-22 Compliance with ongoing and new State legislation regarding water conservation and consumption Regulatory requirement Ongoing Water loss audit Regulatory requirement Ongoing *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 19 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 POLICE DEPARTMENT Core services The work we do day in, day out to meet our core mission: • Patrol • Investigations • Communications • School Resource Officers • Homeless Outreach • Traffic • Public Communications • Crime Suppression • Administration City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete Office of Traffic Safety Grant Traffic & Mobility Annual Expansion of Traffic Supervision to 7-Day Week Traffic & Mobility 50% Mitigation of Loud Exhaust on Carlsbad Blvd Traffic & Mobility Continuous Timed Parking Enforcement in the Village Area Traffic & Mobility Continuous Updating Homeless Response Plan from 2017 Housing & Homeless 50% North County Homeless Action Committee Housing & Homeless Continuous Regional Homeless Task Force (Flexible Housing Pool) Housing & Homeless 50% Community Resource Center (CRC) Grant for Homeless Intervention Housing & Homeless 50% Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete Safety Center Remodel Health/Safety Need 20% Computer Aided Dispatch (CAD) Upgrade Regulatory/Legal Requirement 25% Racial and Identity Profiling Act (RIPA) Regulatory/Legal Requirement 25% Transition to Electronic File Records Service enhancement 75% Transition to Hybrid Vehicles in Patrol Fleet City Council Goal 30% Upcoming work Projects planned but not yet started Project Type* Estimated timing Crisis Management Development Service Enhancement 1-2 years Community Collaboration of Policing Service Enhancement This Year Hotel Voucher Grant Application Housing & Homelessness This Year Body Worn Camera Update Service Enhancement Nov 2021 *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 20 of 100 FISCAL YEAR 2021-22 Department Priorities & Capacity Update 1 FIRE DEPARTMENT Core services The work we do day in, day out to meet our core mission: • Fire Suppression • Emergency Medical Services • Technical Search and Rescue • National Disaster Deployment • SWAT Medics • North Beach Lifeguard Program • State Mandated Fire Inspection Program • Hazard Reduction Program • Construction Plan Submittal Review • New Building and Remodeling Project Inspection • Arson Investigation Program • Emergency Operation Center • Emergency Preparedness • Care & Shelter City Council priorities How our department supports the City Council’s 2021-22 budget priorities: Name Council goal % Complete COVID-19 Regional Vaccination Program Public Health Ongoing COVID-19 Task Force Public Health Ongoing Lagoon Safety Program Public Safety 75% EKG Monitor Replacement Program Public Health 75% Mutual Aid Deployments Public Safety Ongoing Park Fire Recovery Public Health 50% Major projects/initiatives Significant one-time projects currently underway: Project Type* % Complete North Zone Technical Rescue Team Program Public Safety 75% Fire Station 4 Remodel Capital Project 25% Fire Station 2 Rebuild Capital Project 25% EOC and Fire Administration Remodel Capital Project 25% Internal Arson Investigation Program Service Enhancement 50% Upcoming work Projects planned but not yet started Project Type* Estimated timing Standard of Cover Service Enhancement FY 2021-22 Best Practice-Based Response Time Policy Service Enhancement FY 2021-22 Hazard Reduction Program Expansion Service Enhancement FY 2021-22 Ambulance Fee Study Legal Requirement FY 2021-22 Community-Driven Strategic Plan Service Enhancement FY 2021-22 *City Council goal, City budget priority, minute order, service enhancement, regulatory/legal requirement, health/safety need, other Feb. 11, 2021 Item #1 Page 21 of 100 Goal Setting Workshop Workbook Feb. 11, 2021 Exhibit 2 Feb. 11, 2021 Item #1 Page 22 of 100 City of Carlsbad – Strategic Goal Setting Process Feb. 11, 2021 Introduction: Thank you for committing to this first phase of the City of Carlsbad’s Strategic Goal Setting Process. Facilitated events such as this are always interesting, and emergent. Surprises and agreements and disagreements always arise – it is part of the process. Conducting these sessions via Zoom is more challenging. Typically, one facilitates setting up an informal, collaborative space – Zoom facilitation makes this more formal and challenging in many ways. Patience and listening to others’ points of view and asserting your points of view are important to success. The country is politically more polarized than it was a few years ago, and the same goes for San Diego County and most would contend that Carlsbad is too, even given its long nonpartisan history. The entire Carlsbad community (North County) and the districts you serve and the staff that you lead and serve will benefit from a robust, honest, trusting collaborative process. Buckle up and let’s actively listen and enjoy the dialog. Leadership Workshop Agreements from 2019, updated February 2021: In 2019 the City Council participated in leadership workshops facilitated by Danell Scarborough which included discussions and agreements regarding effective working relationships and governance. These agreements in how we will work together, were reviewed and adjusted in an effort to revitalize our commitment. 1.Remember our common goal is serving the community – all of Carlsbad, not just our district. 2.Utilize a process for working through big issues with respect and transparency. 3.Listen carefully to each other's perspective to see what's in common. Enter the conversation and listen with an open mind. 4.Be succinct 5.Ask and actively listen to fellow council members opinions. 6.Ask questions for clarity if you hear a disagreement. Ask questions in the midst of the conversation in order to bridge gaps. 7.Be honest about where you stand on an issue. 8.Use flexibility and a willingness to do things both differently or the same. 9.Use transparency and dialogue. 10.Recognize our own frameworks & biases, transcend beyond them with this awareness. 11.Have a full and robust conversation about the issue so the public learns too, and they see Council using a thorough and thoughtful decision-making process. 12.Provide an inclusive, humanity-based government focus on the well-being of its constituents. 13.Explore all ideas and options so decisions are made considering the entirety of the issue and are data- driven and people centered. Feb. 11, 2021 Item #1 Page 23 of 100 Decorum, Respect & Trust: You also reviewed and revised your Group Agreements. Are you willing to incorporate these into your daily interactions with each other, with staff and in the community? 1. Demonstrate respect by: Asking questions to understand Using positive tone of voice Listening with an open mind to staff & community speakers Listening actively to other perspectives, valuing other experiences and walks of life and diversity of perspective Respectfully containing outward expressions of disagreement 2. Set aside ego, be honest and truthful with each other. 3. Vote based on your own independent analysis (5 to 0 is not the goal for every vote). 4. Do not fear any kind of negative feedback. 5. Communicate if you feel disrespected. 6. Reflect on your own biases: each person is responsible for being self-aware. 7. Find and appreciate common points. Finding commonality on our common goals of leadership & service to the Carlsbad community. Value other perspectives. 8. Explaining reasons for a different vote. 9. Concentrating on commonalities. 10. Assuming everyone brings an enriching role, speak up and say how you are feeling. 11. Do not make assumptions, assume others mean well, give colleagues the benefit of the doubt. 12. Analyzing issues as opportunities rather than weaknesses. 13. Conduct ourselves within the community in ways that embody professionalism and trust 14. Lead with purpose. Chinese Symbol for Listening Feb. 11, 2021 Item #1 Page 24 of 100 Carlsbad City Council Strategic Goal Setting Process Day 1: February 4, 2021 Bike Rack Items for further discussion: (This list is a draft of what you shared and what I heard, if anything is incorrect or needs editing, we can clarify on Feb. 11, 2021) These are numbered for ease in discussion, not due to any considered priority 1. Prioritization / timing and timelines AND balanced workloads 2. Be aware of Staff workload – consider what to take off their plates (permanently or temporarily) to free up capacity for new priorities o Gain greater clarity on what staff capacity truly is: is there a natural segmentation of: work they must do legislatively and in running the City; work that is special project based, and a segment where changing priorities can redeploy their focus 3. As we discuss and decide - we must keep our Core Values connected and part of the conversation 4. Consider affinitizing the bike rack list into three categories o Category 1: Process o Category 2: Current project and priorities o Category 3: Goals 5. How does Council develop more effective working relationships with staff and with each other? 6. How do we work together as a council, collaborate and have a united front WITHOUT it being a conversation around power and control? 7. Discuss how to use minute motions more efficiently in prioritizing action -- balanced w/ staff capacity and workload 8. Address our changing finance revenue model 9. Barrio and Village masterplan 10. Comprehensive Coastal Plan update 11. Parks and open space must continue to be an important part of the conversation 12. Ethics related ordinance (Considering the ILG process ) 13. Digital transformation 14. Economic revitalization is a high priority 15. Addressing the Pandemic and vaccinations 16. Homelessness 17. Growth management 2050: part of the conversation must include equity and inclusion must include discussion around changing legislation must include discussion around climate change, sea level rise, and resiliency Feb. 11, 2021 Item #1 Page 25 of 100 *Most Likely you will find that your Strategic Goals will easily connect to one or more of Carlsbad’s Core Values. Where we are not taking time this week to edit Mission, Vision & Values: This is feedback you noted for future discussion: Equity and Inclusion needs to be incorporated into these documents Open Space, Natural Environment and Sustainability are foundational elements of our values Mobility and Sustainability are connected Core values are still a valuable framework, are so interrelated and need to make connections to them (I.e. in staff reports) Excellent quality of life is important to emphasize. Vision “A world class city” Mission The City of Carlsbad enhances the lives of all who live, work, and play in our city by setting the standard for providing top quality, efficient local government services. 1. 9 Core Values*: 2. Small town feel, beach community character and connectedness 3. Open space and the natural environment 4. Access to recreation and active, healthy lifestyles 5. The local economy, business diversity and tourism 6. Walking, biking, public transportation & connectivity 7. Sustainability 8. History, the arts, and cultural resources 9. High quality education and community services 10. Neighborhood revitalization, community design and livability Feb. 11, 2021 Item #1 Page 26 of 100 Strategic Planning Process: A Working Glossary of Terms Vision: Defines an organization’s purpose but focuses more on aspirational goals and objectives. What do we hope to achieve? What do we want to be known for? Mission: Answers “Why do we exist?” and “What is our fundamental purpose and primary objective(s)?” Short, clear and powerful. Values: Support and inform the vision, shape the culture, and reflect the core beliefs that inspire and guide choices in the way you operate and work with one another. Strategic Goals: Are the foundational Goals to create a unifying vision for the City’s focus over the next 3 or 5 years. They define the desired future condition the City aspires to achieve. Policy: Is often regarded as a mini – mission statement, is a set of principles and rules which directs the decisions of the organization. Often serving as a guideline for operational decision making, and highlights the rules, value, and beliefs of the organization. In addition to this, it acts as a basis for guiding the actions. Objectives: Are the actions that will contribute to meeting our Goals, to deliver the desired Outcomes. Measures: Are specific measures of success. A measure is a number or percent used to determine if we are moving towards achieving our overall result Initiatives: Initiatives are specific, time-bound projects we undertake to meet performance targets. Key Activity is a task that requires effort, resources and has a concrete outcome. Key Performance Indicators (KPIs): Describe what we will have accomplished as a result of achieving the Outcome(s). Outcomes: Describe what we are trying to achieve with the Plan, the results of completing the Goals effectively. • Objectives are measurable, action-oriented statements that describe how we plan to achieve the goal. Policy documents are often part of an objective. • Measures are the standard used to evaluate performance against expected results. • Initiatives are specific, time-bound projects we undertake to meet performance targets. • A Key Activity is a task that requires effort, resources, and has a concrete outcome. Each Strategic Goal has a High-level aspirational deliverable: Feb. 11, 2021 Item #1 Page 27 of 100 Staff Presentation _________________________________ While listening to, and engaging in the staff presentations, please make notes of: Reactions Questions Challenges Sense of Priority The goal is to capture your ideas, perspectives, connections real-time for brief discussion now, and deeper discussion on February 11, please use the space below as a general template: Goals Objective /Policy Measure Initiative Feb. 11, 2021 Item #1 Page 28 of 100 Staff Presentation _________________________________ While listening to, and engaging in the staff presentations, please make notes of: Reactions Questions Challenges Sense of Priority The goal is to capture your ideas, perspectives, connections real-time for brief discussion now, and deeper discussion on February 11, please use the space below as a general template: Goals Objective /Policy Measure Initiative Feb. 11, 2021 Item #1 Page 29 of 100 Staff Presentation _________________________________ While listening to, and engaging in the staff presentations, please make notes of: Reactions Questions Challenges Sense of Priority The goal is to capture your ideas, perspectives, connections real-time for brief discussion now, and deeper discussion on February 11, please use the space below as a general template: Goals Objective /Policy Measure Initiative Feb. 11, 2021 Item #1 Page 30 of 100 Staff Presentation _________________________________ While listening to, and engaging in the staff presentations, please make notes of: Reactions Questions Challenges Sense of Priority The goal is to capture your ideas, perspectives, connections real-time for brief discussion now, and deeper discussion on February 11, please use the space below as a general template: Goals Objective /Policy Measure Initiative Feb. 11, 2021 Item #1 Page 31 of 100 Staff Presentation _________________________________ While listening to, and engaging in the staff presentations, please make notes of: Reactions Questions Challenges Sense of Priority The goal is to capture your ideas, perspectives, connections real-time for brief discussion now, and deeper discussion on February 11, please use the space below as a general template: Goals Objective /Policy Measure Initiative Feb. 11, 2021 Item #1 Page 32 of 100 DEVELOPING A LOCAL AGENCY ETHICS CODE: A PROCESS-ORIENTED GUIDE Exhibit 3 Feb. 11, 2021 Item #1 Page 33 of 100 WASTE MANAGEMENT FOCUSES ON INTEGRITY The Institute for Local Self Government is profoundly grateful to the Waste Management Charitable Foundation for providing funding for Developing a Local Agency Ethics Code: A Process-Oriented Guide. The partnership is especially meaningful given Waste Management’s process-oriented commitment to its own code of ethics and values. Waste Management is California’s largest solid waste company, providing collection, recycling, transfer and landfill services to residential, commercial and industrial customers in over 260 communities. Waste Management’s code outlines the company’s core values of honesty, respect, responsibility, citizenship, environmental stewardship and excellence while emphasizing the need for fair and honest business dealings in all aspects of the company’s business. The company regularly communicates these values to its employees through its “Focus on Integrity” program. Implementation strategies include: • Assuring each employee has copies of the code (also available online at http://www.wm.com/NewWM/about/Code_of_Ethics.pdf); • Training programs; • Workplace posters, wallet cards and magnets with the company’s ethics hotline number; and • Regular features in the company’s employee newsletter and other employee communications relating to ethics issues. Waste Management has a Business Ethics and Compliance Department that takes the lead on these activities; the department also investigates and resolves ethical lapses. The company’s Vice President of Business Ethics and Compliance briefed the Institute’s Ethics Advisory Panel on the company’s practices. Waste Management’s provision of both funding and expertise materially assisted the Institute in making this guide available to local officials. Feb. 11, 2021 Item #1 Page 34 of 100 All final decisions about the content and formatting of this report were made by the Institute for Local Self Government. DEVELOPING A LOCAL AGENCY ETHICS CODE: A PROCESS-ORIENTED GUIDE Prepared by JoAnne Speers Special Thanks to the Following Individuals Whose Time and Effort Contributed to this Publication: Jennifer Sparacino City Manager, Santa Clara Steve Dorsey City Attorney, Norwalk, San Marino and Buena Park Richards, Watson and Gershon Yvonne Hunter Legislative Representative, League of California Cities Production Assistance: Charles Summerell Feb. 11, 2021 Item #1 Page 35 of 100 DEVELOPING A LOCAL AGENCY ETHICS CODE: A PROCESS-ORIENTED GUIDE © 2003 by the INSTITUTE for LOCAL SELF GOVERNMENT 1400 K Street, Suite 400 Sacramento, CA 95814 (916) 658-8208 www.ilsg.org To order additional copies of this publication, please contact CityBooks at (916) 658-8257 or use the order form included at the end of this publication. Feb. 11, 2021 Item #1 Page 36 of 100 JoAnne Speers Jerry Patterson Executive Director President, Board of Directors November 2003 Dear Reader: Was there something we missed? Or was a piece of information provided in this publication the “difference maker” on a project? Either way, we want to know. The Institute strives to produce meaningful and helpful publications that can assist local officials in carrying out their duties. Your input and feedback, therefore, is vital! Comments from readers help us understand what you need and expect from Institute publications. We have provided a feedback form on the back of this page and would greatly appreciate it if you could take a moment to provide some constructive comments. BOARD OF DIRECTORS PRESIDENT Jerry Patterson Member, Board of Trustees Coast Community College District VICE PRESIDENT Rosemary Corbin Former Mayor, City of Richmond SECRETARY Harriet Miller Former Mayor, Santa Barbara EXECUTIVE DIRECTOR JoAnne Speers BOARD MEMBERS Don Benninghoven Former Executive Director Cities, Counties and Schools Partnership Hal Conklin Director of Public Affairs Southern California Edison Company Pablo Espinoza Reporter and Anchor, Univision Henry Gardner Former City Manager, City of Oakland Mark S. Gaughan Director of Public Affairs Sempra Energy Utilities Dan Harrison Director, Internal Administration League of California Cities Patricia Jones Assistant Executive Director Association of Bay Area Governments William Lee Executive Vice President Economics Research Associates Chris McKenzie Executive Director League of California Cities Art Takahara President, DeAnza Manufacturing Services Former Mayor, City of Mountain View Daniel K. Whitehurst President, Farewell Former Mayor, City of Fresno League Board Liaison Members Ruth Vreeland Mayor Pro Tem, City of Monterey Lee Ann Garcia Mayor, City of Grand Terrace BOARD MEMBER EMERITUS Gordon Paul Smith Former Director of State Finance State of California Feb. 11, 2021 Item #1 Page 37 of 100 Name:___________________________________________________________________________________ (optional) Title:___________________________________________________________________________________ (helpful) Contact Info:Address: _____________________________________________________(optional) City: __________________________________State: ____ Zip: _____________ We are interested in hearing your comments. We would like to know how you used this publication, what you liked about it, and how you believe it could be improved. This is your chance to shape future Institute publications. Thank you in advance for your time in filling out this form. You may copy this page and either mail or fax it to: Institute for Local Self Government Attn: Ethics Code Guide 1400 K Street, Suite 400 Sacramento, CA 95814 Fax: (916) 444-7535 Or comment by e-mail to speersj@cacities.org. Please put “Ethics Code Guide” in the subject line. FEEDBACK FORM Comments/Suggestions? Instructions: To what degree did you find this guide useful? (please mark boxes that apply) Strongly Agree Agree Neutral Disagree Strongly Disagree Do you think the process for adopting or updating an ethics code in this guide will be helpful for your agency? Is your agency likely to use the ideas in this guide for adopting or updating an ethics code? Did this guide provide meaningful options for addressing ethics challenges facing your agency? Do you think an ethics code will enhance public confidence in your agency? Feb. 11, 2021 Item #1 Page 38 of 100 i CONTENTS I NSTITUTE for LOCAL SELF GOVERNMENT FORWARD ............................................................................................................................ 1 CHAPTER 1: WHAT IS AN ETHICS CODE?.................................................................. 3 CORE CONCEPT .......................................................................................................................... 3 ETHICS CODE GOALS .................................................................................................................. 3 VALUES-BASED VERSUS RULE-BASED CODES ............................................................................... 4 FURTHER LIMITS ON RULE-BASED CODES ..................................................................................... 5 ETHICS LAWS IN CALIFORNIA .............................................................................................. 6 DO ETHICS LAWS WORK? .................................................................................................. 7 CHAPTER 2: MOTIVATIONS, OPPORTUNITIES AND RISKS ................................... 9 MOTIVATIONS: THE GOOD, BAD AND UGLY .................................................................................. 9 OPPORTUNITIES ......................................................................................................................... 11 RISKS ...................................................................................................................................... 11 CHAPTER 3: KEY DECISIONS IN THE CODE ADOPTION PROCESS .................. 13 TO WHOM SHOULD THE CODE APPLY? ...................................................................................... 13 WHO SHOULD BE INVOLVED IN THE CODE ADOPTION PROCESS?................................................... 14 WHAT TOPICS SHOULD BE INCLUDED?....................................................................................... 16 WHAT ABOUT ACCOUNTABILITY?............................................................................................... 17 SELF ENFORCEMENT ......................................................................................................... 17 THE POWER OF DISCUSSION AND PERSUASION ..................................................................... 18 REPROVAL OR CENSURE .................................................................................................... 20 SUGGESTED ITERATIVE PROCESS FOR ADOPTING AN ETHICS CODE ................................................. 22 A NOTE ABOUT THE IMPORTANCE OF IMPLEMENTATION STRATEGIES ............................................... 26 CHAPTER 4: ETHICS CODE MENU ............................................................................. 27 WHOSE VALUES? ..................................................................................................................... 27 VALUES SELECTION PROCESS ..................................................................................................... 28 ETHICS CODE MENU/WORKSHEET ............................................................................................. 30 PREAMBLES ............................................................................................................................. 41 Feb. 11, 2021 Item #1 Page 39 of 100 CHAPTER 5: IMPLEMENTATION ISSUES .................................................................. 43 MAKING THE CODE REAL: IMPLEMENTATION STRATEGIES ............................................................. 43 “SELF FIRST”........................................................................................................................... 45 CREATING A CULTURE OF RECOGNITION ...................................................................................... 47 RECRUIT WITH ETHICS IN MIND ................................................................................................. 50 TRAINING ................................................................................................................................50 THE IMPORTANCE OF AN ANNUAL REVIEW .................................................................................. 51 PROMOTING THE CODE WITHIN THE COMMUNITY .......................................................................... 52 A SPECIAL NOTE ABOUT ETHICS CODES AND CAMPAIGNS ............................................................ 52 CHAPTER 6: CONCLUSION ........................................................................................... 55 RESOURCES OF INTEREST ........................................................................................... 57 WEBSITES ................................................................................................................................57 PUBLICATIONS .......................................................................................................................... 58 CONTENTS, CONT. iiINSTITUTE for LOCAL SELF GOVERNMENT Feb. 11, 2021 Item #1 Page 40 of 100 1INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE FORWARD “All that is necessary for evil to triumph is for good [people] to do nothing.” – Edmund Burke, 18th-century English political philosopher “Optimism is the father that leads to achievement.” – Helen Keller, 20th-century American social activist, public speaker and author Polls suggest that, fairly or unfairly, the public has serious reservations about the ethics of public officials.1 How can local officials demonstrate that they (and their agency) are different from this perception? The first step, of course, is to be different. The process of adopting and implementing a values-based ethics code can help. Here is how: •Public Discussion. It helps by involving your agency in an open discussion on which ethical values are most important for your agency. •Commitment. The code that evolves from these discussions will represent the agency officials’ commitment to conform their conduct to the code. •Implementation and More Discussion. The implementation process, in which the code is disseminated, referred to and discussed is an opportunity to further reflect on ethical values. It is also an opportunity to incorporate those values in one’s everyday activities. •Review and Update. The annual review process is an opportunity to refine the code and ensure that it continues to reflect the sensibilities of the agency’s officials and the community they serve. 1 See generally Berman, Evan M., “Public Cynicism: Manifestations and Responses,” in The Ethics Edge, International City/County Management Association: 1998, at 206-215. Feb. 11, 2021 Item #1 Page 41 of 100 2 F ORWARD Make no mistake about it: achieving these benefits requires a commitment of both time and energy by the agency. The task is not simply to adopt a code. The task is to build an organizational culture – from the top down – that demonstrates ethics are important. Building an organizational culture is an arduous task. But the journey of a thousand miles, as Lao Tzu observed, begins with a single step. The other necessary ingredient, of course, is a commitment to keep taking those steps. And the process of building, maintaining and/or restoring public trust in your agency is a very worthwhile journey to undertake. Public trust and confidence is vital to your agency’s ability to grapple with the difficult issues within the agency’s jurisdiction, be they budgetary issues or issues of policy on which there is good faith but profound disagreement. The Institute for Local Self Government hopes this guide provides assistance for this journey. Feb. 11, 2021 Item #1 Page 42 of 100 3INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE “The ultimate answer to ethical problems in government is honest people in a good ethical environment. No web of statute or regulation, however intricately conceived, can hope to deal with the myriad possible challenges to a [person]’s integrity or his devotion to the public interest.” John F. Kennedy, Message to Congress on April 27, 1961 CORE CONCEPT An ethics code is a framework for day-to-day actions and decision-making by officeholders and, depending on how the code is written, an entire agency. The fundamental premise of an ethics code is that it is easier for people to do the right thing when they know what it is.2 ETHICS CODE GOALS An agency usually has three goals for adopting an ethics code: 1. Encouraging high standards of behavior by public officials; 2. Increasing public confidence in the institutions that serve the public; and 3. Assisting public officials with decision-making.3 As will be repeatedly emphasized throughout this guide, achieving these goals requires a well-conceived process for both adopting and implement- ing the code. CHAPTER 1: WHAT IS AN ETHICS CODE? 2 Lewis, Carol W., The Ethics Challenge in Public Service: A Problem Solving Guide, Jossey-Bass Publishers: 1991, at 139. 3 Zimmerman, J.S., “Ethics in Local Government,” Management Information Service Report 8, International City/County Management Association, August 1976. Core Concept................................. 3 Ethics Code Goals......................... 3 Values-Based Versus Rule-Based Codes ......................... 4 Further Limits on Rule-Based Codes ......................... 5 IN THIS CHAPTER Feb. 11, 2021 Item #1 Page 43 of 100 4 C HAPTER 1 VALUES-BASED VERSUS RULE-BASED CODES There are two types of ethics codes. One emphasizes rules (“don’ts”). Such codes often parallel, if not duplicate, state laws relating to ethics. As will be discussed in more detail in the next section, California local officials are already subject to a complex set of ethics laws. The other kind of code emphasizes values and the kinds of behaviors that demonstrate those values. Such codes represent more a list of “do’s” rather than “don’ts.”4 They are a commitment to uphold a standard of integrity and competence beyond that required by law.5 An ethics code thus creates a set of aspirations for behavior, based on values associated with public service held by public servants and the communities they serve. The process of adopting and reviewing an agency’s ethics code enables agency officials to clarify these values and link them with standards of conduct. Ethics codes therefore complement ethics laws by going beyond the minimum ethical requirements established by ethics laws to define how public officials act when they are at their best.6 A values-based ethics code is a complement to ethics laws. An ethics code identifies those areas in which agency officials set their sights higher than the bare minimum requirements of the law. The values-based approach reflects the general distinction between the law and ethics. Fundamentally, “ethics” is obedience to the unenforceable.7 Laws, of course, are enforceable – typically by those other than local agency officials. Obedience to the unenforceable requires self- regulation in light of ethical values.8 4 Lewis, The Ethics Challenge in Public Service, at 143. 5 Kazman, Jane G. and Bonczek, Stephen J., Ethics in Action: Leader’s Guide, International City/ County Management Association, 1999, at 97. 6 The concept of ethics codes defining how local officials behave when they are “at their best” is a theme that runs throughout the City of Santa Clara’s ground-breaking code of ethics and values. The city developed the code with the help of Dr. Thomas Shanks of the Markkula Center for Applied Ethics at the University of Santa Clara. 7 Early twentieth century English jurist John Fletcher Moulton, quoted in Kidder, Rushworth M., How Good People Make Tough Choices, Simon & Schuster: 1995 at 66. 8 Brousseau, Patricia L. “Ethical Dilemmas: Right versus Right,” in The Ethics Edge, International City/County Management Association: 1998, at 38. Feb. 11, 2021 Item #1 Page 44 of 100 5INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE FURTHER LIMITS ON RULE-BASED CODES “Never create by law what can be accomplished by morality.” – Charles-Louis de Secondat, Baron de Montesquieu, 17th/18th-Century French jurist and political philosopher In addition to the conceptual distinctions between ethics and the law described above, there are other reasons that this guide recommends a values-based approach. They are: • California already has a complex set of ethics laws governing local official conduct; and • It is unclear that rule-based systems achieve the goal of either encouraging ethical behavior or increasing public confidence. Values-based ethics codes are premised on the notion that adherence to ethics laws is not enough to instill public trust in governmental institutions and those who serve in government. 9 See Wear Simmons, Charlene, Roland, Helen, Kelly-DeWitt, Jennifer, Local Government Ethics Ordinances in California, California Research Bureau: March 1998 at 3. ON ETHICS AND POLITICS In a state study of local ethics ordinances, the authors observed: Ethics and politics encourage different sets of behaviors. Ethics is concerned with moral duties and how a person should behave, while “all’s fair in love, war and politics” seems to have its followers. During most of American history, enforcement of ethical standards has relied on public disclosure and an informed electorate. It is a rough, imperfect arrangement. Democracies are particularly reliant on public confidence to maintain their legitimacy. Declining public confidence in American governmental institutions, as reflected in public opinion polls, is one important reason that government ethics standards have become such a concern… Questionable official behavior ranges along a continuum from bad judgment to unethical behavior to outright corruption.9 Feb. 11, 2021 Item #1 Page 45 of 100 6 C HAPTER 1 ETHICS LAWS IN CALIFORNIA Local officials already must comply with an extensive set of laws that govern the ethical aspects of public service. These laws cover such areas as: • Disclosure of personal economic interests; • Receipt of loans, gifts, travel payments and honoraria; • Campaign contributions; • Conflicts of interest; • Dual office-holding and incompatible offices; and • Criminal misconduct in office. There can be some benefit to supplementing these requirements at the local level – and there are gaps in the law. However, for many agencies, trying to adopt a comprehensive, rule-based ethics code will result in an overlay of two complex sets of laws. Moreover, trying to summarize existing state law (for example, with respect to conflicts of interest) risks creating inconsistencies.10 Put another way, an ethics code should not be viewed as a tutorial on the various laws relating to ethical conduct in office. RESOURCES AVAILABLE ABOUT CALIFORNIA ETHICS LAWS Familiarity with ethics laws is nonetheless important. The Institute for Local Self Government has prepared a summary of such laws called A Local Official’s Guide to Ethics Laws. The guide is available online for free at www.ilsg.org/trust; it is also available for purchase from the League of California Cities’ CityBooks Service (916/658-8257). The Institute also makes an instructional video available for a modest fee. Moreover, there may be ways that local agencies can supplement the existing framework of state laws relating to ethics. Two areas, for example, are anti-nepotism policies and expense reimbursement policies. Materials relating to these types of local ethics laws are available from the Institute’s website (www.ilsg.org/trust). 10 See Wear Simmons et al., Local Government Ethics Ordinances in California, at 44 (suggesting that these conflicts may mean that the state should review local ethics codes). Feb. 11, 2021 Item #1 Page 46 of 100 7INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE 11 Mackenzie, G. Calvin & Hafken, Michael, Scandal Proof: Do Ethics Laws Make Government Ethical?, Brookings Institution Press: 2002 at 149-59. 12 Id. at 164. 13 Id. 14 Id. at 172. 15 Id. 16 Id. at 174. 17 Id. at 176. 18 Id. at 177. DO ETHICS LAWS WORK? Do ethics laws improve public trust? Two scholars have concluded, in the context of the federal government at least, that the web of ethics laws have not increased public trust in federal government officials.11 They propose “deregulating” ethics, in the legalistic sense of the term, and focusing instead on acquainting those new to public service with the values associated with being an ethical public servant.12 They also recommend focusing on the kinds of situations that can present ethical issues for public servants and how to deal with those situations.13 They also note that the law is “too blunt of an instrument” to assure proper behavior.14 They fault federal ethics policy for substituting formal regulations for the expectations of good conduct.15 Their quarrel is not with the goal of increasing governmental integrity, but in the means chosen to achieve that goal.16 They worry that law-based ethics policies are rooted in such a culture of distrust as to actually diminish public trust in government.17 They also worry that this culture of distrust in government risks creating a self-fulfilling prophecy in terms of the kinds of individuals that are attracted to public service.18 The Institute for Local Self Government believes that positive, values- based ethics codes can avoid many of these pitfalls. Feb. 11, 2021 Item #1 Page 47 of 100 8 C HAPTER 1 If compliance with laws is a salient ethics law issue in your jurisdiction, you can include a requirement in the agency’s ethics code that commits people to comply with the law. The cities of Sunnyvale and Mountain View do this in their otherwise value-based codes. Here is sample language based on those codes: Members will comply with the laws of the nation, the State of California and the [insert agency name] in the performance of their public duties. These laws include, but are not limited to: the United States and California constitutions; the [insert agency name] Charter [if applicable]; laws pertaining to conflicts of interest, election campaigns, financial disclosures, employer responsibilities and open processes of government; and [insert agency name] ordinances and policies.19 The Institute for Local Self Government provides instructional resources on ethics laws (see sidebar on page 6).20 B RIGHT IDEA: AN INCORPORATION-OF-LAWS -BY-REFERENCE APPROACH IN CODES 19 City of Sunnyvale, Code of Ethics for Members of Sunnyvale City Council, Boards and Commissions, adopted June 27, 1995 (section 2); City of Mountain View, City Council Personal Code of Conduct, adopted November 2002 (section 3.2.2) and available online at www.ilsg.org/trust. 20 The lack of training available on ethics law was a criticism in the California Research Bureau report. See Local Government Ethics Ordinances in California, at 45 (suggesting that the Legislature mandate such training). Feb. 11, 2021 Item #1 Page 48 of 100 9INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Motivations .................................... 9 Opportunities .............................. 11 Risks ............................................. 11 IN THIS CHAPTER CHAPTER 2: MOTIVATIONS, OPPORTUNITIES AND RISKS “Life is about not knowing, having to change, taking the moment and making the best of it, without knowing what’s going to happen next. Delicious ambiguity.” – Gilda Radner, Actress and comedienne MOTIVATIONS: THE GOOD, BAD AND UGLY As discussed earlier, goals that are likely to engender support for the code effort include: • Encouraging high standards of behavior by public officials; • Increasing public confidence in the institutions that serve the public; and • Assisting public officials with decision-making.21 If the goal of ethics code proponents is to embarrass their political rivals (a goal that would not likely be acknowledged in any event), the concept of an ethics code will be a non-starter. Such a goal will also tend to undermine public trust and confidence in the agency as opposed to building it. However, if the discussion tends to be heading in a direction that suggests politics is becoming a factor, it can be useful to remind the discussion participants about the core goals in adopting an ethics code. There can be other, more subtle goals for a code that can be equally valuable to consider. They include inspiring and encouraging the code’s target audience to high principles of conduct. They can also include capturing the spirit or ethos of the agency and/or attempting to define and protect its culture.22 21 Zimmerman, J.S., “Ethics in Local Government.” 22 See Ethics Resource Center, The Ethics Toolkit, available online at www.ethics.org. Feb. 11, 2021 Item #1 Page 49 of 100 10 C HAPTER 2 Being clear on goals is important, but so is being realistic about the time and effort it will take to achieve them. Adopting an ethics code will not, in and of itself, result in better ethical behavior. As Senator Adlai Stevenson observed when the United States Senate reviewed its code provisions in 1980: “If there are culprits in our midst, they are unlikely to be deterred by ethics codes.”23 The code is part of an overall effort to foster an ethical culture within the agency – one that will not support the activities of the “culprits” that may or may not be in our midst. As is wise before adopting any kind of policy, consider the pros and cons of taking action. Because the pros and cons will vary from one community to another, these are framed as opportunities and risks. ENCOUNTERING RESISTANCE “I never failed once. It just happened to be a 2000-step process.” – Thomas Edison (19th/20th-century American inventor), responding to a reporter who asked how it felt to fail 2000 times before successfully inventing the light bulb There are going to be skeptics on your governing board, within the community and among the employees (if your agency’s code will also apply to them). People may be concerned about an ethics code being used to criticize the agency unfairly. On divided boards, political rivals may think this is an effort to embarrass them or otherwise make them look bad before the public they serve. Employees may think that this is just the latest “flavor- of-the-month” management fad. The public may just think this is “window dressing” intended only to deflect criticism. The task of proponents of an ethics code is to prove the skeptics wrong. The theory of this guide is that one can do this by: • Charting a course of incremental change by first starting with an ethics code for the governing board;24 • Starting with a relatively few values on which everyone agrees and making a concerted effort with respect to those; • Demonstrating one’s commitment to the code by not using the effort to embarrass rivals; and • Including implementation strategies – involving both individuals and the body as a whole – to convince the public and agency employees that the agency’s commitment to the code is genuine. There will be setbacks, to be sure. The key is to learn from them and keep moving forward, with an eye on the long-term goals for the code. The successful implementation of an ethics code is a multiple year process that will span election cycles, budget crises, personnel changes and more. 23 Lewis, The Ethics Challenge in Public Service, at 143. 24 See Blanchard, Ken & O’Connor, Michael, Managing By Values, Barrett-Koehler Publishers: 1997 at 60-62, 129 (recommending that the success of the program requires an organization’s leaders to first work on themselves). Feb. 11, 2021 Item #1 Page 50 of 100 11INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE OPPORTUNITIES Fundamentally, the process of adopting an ethics code offers the following opportunities for a local agency: • An opportunity to create an environment in which ethical behavior is the norm and ethical considerations are routinely considered in evaluating alternative courses of action; • An opportunity to demonstrate a commitment to ethics; • An opportunity to establish priorities among competing values and identify those values that are particularly important in a community; • An opportunity for collective reflection and discussion on the values that ought to form the basis of a public official’s behavior and decision-making; and • An opportunity to create a positive public identity for agency officials, which can lead to more public trust. Ethics codes can also serve as a guide or reminder for proper behavior and as a focal point for discussion of ethical challenges faced by public officials. The reason that these advantages are framed as “opportunities” is that, like so many things in life, whether an action achieves its full potential depends on how the action is accomplished. Achieving the advantages of adopting an ethics code requires good intentions and solid follow-through. RISKS Ethics codes adopted without good intentions and follow-through risk the following: • Ethics codes can diminish public trust in government if officials’ behavior is at odds with the values expressed in the code – the public will perceive the code as mere “window dressing.” • Ethics codes can be used as an instrument to embarrass political rivals – a concept known as “vigilante ethics” (see sidebar on page 12). Feb. 11, 2021 Item #1 Page 51 of 100 12 C HAPTER 2 • The sustained effort required to implement an ethics code can exceed the resources available within an agency. This is particularly so if an agency decides to undertake an organization- wide ethics effort during the initial consideration of the code. Local agencies also run the risk of adopting long and unwieldy codes out of a desire to demonstrate their commitment to ethics. This can diminish the code’s ability to guide behavior and decision-making. In addition, agency critics and unhappy employees may seize on an ethics code as a focal point for criticism of particular agency action. The charge is that the agency is not complying with its code. Finally, it almost goes without saying that no ethics code – no matter how thoughtfully crafted – can provide all the answers to ethical dilemmas local officials may face. This is because ethical dilemmas typically are choices between competing sets of “right” values. In his book, How Good People Make Tough Choices, Dr. Rushworth Kidder observes that it is easy for an ethical person to resolve “right versus wrong” choices. What is difficult is choosing between competing sets of “right” values.25 VIGILANTE ETHICS There is an “unethical” use of ethics codes that needs to be acknowledged. This is when political opponents use ethics and the adoption of an ethics code as a means to embarrass or disadvantage political rivals. In The Ethics Challenge in Public Service, the author calls this “vigilante ethics” or the use of ethics to intimidate rather than inspire.26 The political use of ethics obviously gives ethics a bad name. It undermines the efforts of those who truly care about promoting the consideration of ethical values in public service. It also undermines one of the key goals of adopting an ethics code – which is to foster public trust in the institution as a whole, not just those who promote a code. In suggesting a process for adopting an ethics code and proposing a “menu” of possible topics for the code, this guide endeavors to minimize the opportunities for individuals to misuse the ethics code adoption process. Moreover, a values-based approach to codes is designed to focus on more universal principles of good behavior on which everyone should be able to agree. The process also is designed to allow everyone to contribute to the crafting of the agency’s ethics code and demonstrate their commitment to values. 25 Kidder, Rushworth M., How Good People Make Tough Choices, at 16-17. 26 Lewis, The Ethics Challenge in Public Service, at 98. Feb. 11, 2021 Item #1 Page 52 of 100 13INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE To Whom Should the Code Apply? ................................ 13 Who Should Be Involved in the Code Adoption Process? ............. 14 What Topics Should Be Included?................................ 16 What About Accountability?...... 17 Suggested Iteractive Process for Adopting an Ethics Code ........... 22 A Note About the Importance of Implementation Strategies ..... 26 IN THIS CHAPTER CHAPTER 3: KEY DECISIONS IN THE CODE ADOPTION PROCESS “Choose always the way that seems the best, however rough it may be. Custom will soon render it easy and agreeable.” – Pythagoras “It’s not hard to make decisions when you know what your values are.” – Roy Disney “When you come to a fork in the road …Take it.” – Yogi Berra TO WHOM SHOULD THE CODE APPLY? There are a number of possibilities: • Elected officials; • Elected and appointed officials (for example members of boards and commissions); • Elected officials, appointed officials and top level staff; or • Only agency staff. There may be some elements of the code that one would want the public to adhere to – for example, if the code contained provisions relating to civility in public discourse. However, our recommendation is for local officials to first lead by example. This does not, of course, preclude officials from indicating that they have set certain standards for themselves and encourage others to do likewise. Feb. 11, 2021 Item #1 Page 53 of 100 14 What this means in practice is for elected officials to first consider adopting a code that will govern their own behavior – and then make a demonstrated effort to conform their conduct to the code. This may be especially advisable if the agency has not had an ethics code in the past. This gives elected officials an opportunity to “walk the talk” and send a message that their commitment to ethics is indeed genuine.27 Then, as part of the ongoing review process, consider expanding the code to apply to others’ behavior. In part, this relates to the next aspect of an effective code adoption process, which is to consult with all of those whose behavior will be governed by the code. WHO SHOULD BE INVOLVED IN THE CODE ADOPTION PROCESS? The answer to this question is driven by the scope of the code. For members of an organization to accept and be guided by the values reflected in an ethics code, they need to be part of the process of crafting the code. For example, if all agency officials (elected and appointed officials and staff) will be subject to the code, then representatives from all these groups should participate. One city manager whose city adopted a citywide code recommends that organization-wide participation occur early on. Otherwise, it is easier for those not engaged in the code-crafting process to feel that the code does not apply to them. Non-involvement can also foster suspicion about the code. Of course, launching an agency-wide discussion about ethics can be a daunting task. Another approach is to focus on getting an agency governing body to agree about what values should be included in the agency’s “initial” ethics code. The word “initial” is in quotes because the concept is that the code will be a living document that will be reviewed and updated periodically. C HAPTER 3 27 “Bosses Set Bar for Ethics, Experts Say,” Contra Costa Times, June 9, 2003 (“Ethics must come from the top,” said Marshall Schminke, who teaches business ethics at the University of Central Florida and has written a book on the subject. “A person’s individual moral framework is only the third-most important factor in deciding what they’ll do. The most important is what does their boss do: Workers look to their boss first for cues on what constitutes moral behavior.”) Because the process of adopting and implementing a code requires significant effort, adopt a code that first applies to the governing body. This enables the governing body to lead by example. It also streamlines the adoption process. START AT THE TOP AND WORK DOWN B RIGHT I DEA: Feb. 11, 2021 Item #1 Page 54 of 100 15INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Expanding the discussion in subsequent versions of the code to include appointed officials and/or top level staff and revising the code to reflect their input can be part of the review and update process. Expanding the discussion even further to include the input of all staff can round out the process and demonstrate the agency’s commitment to keeping the ethics code a living, breathing document. Moreover, the process of engagement – no matter how big or small the group – should not simply be one of having people review a proposed draft ethics code, possibly based on codes adopted by other local agency jurisdictions. Instead, use a “menu approach” in which participants are asked to select among competing values and expressions of those values. A sample “menu” from which to work is included in chapter 4 of this guide. Bottom-line: it is critical to the success of an ethics code that it responds to real-life situations. The code-adoption process should involve people in a meaningful way in a discussion of those situations. A N ALTERNATIVE APPROACH: STAFF IN THE CITY OF SAN BUENAVENTURA I NITIATE A CODE FOR THEMSELVES In San Buenaventura, the staff initiated a process of adopting an ethics code that applied only to the city’s 600-plus employees. The staff created an interdepartmental working group that developed the code. The group met every other Thursday, with everyone contributing to the final product. The preamble of the code is instructive: As City employees, these core ethical principles serve as a central guide for our everyday decisions, behaviors and actions at work. By applying these ethical principles, we hope each employee will make more effective decisions with greater confidence.28 The code goes on to list the values of respect, equitable treatment, impartiality, honesty, responsibility and trustworthiness. The code then explains what these values mean in the context of the staff’s work. The staff also created an ethical checklist to guide decision-making.29 28 City of San Buenaventura Ethical Principles, available online at www.ilsg.org/trust. 29 Examples of such a checklist are available online at www.ilsg.org/trust. Feb. 11, 2021 Item #1 Page 55 of 100 16 WHAT TOPICS SHOULD BE INCLUDED? This, of course, is the $64,000 question. In How Good People Make Tough Choices, Dr. Rushworth Kidder identifies eight universal ethical values that transcend cultures.30 He also believes that standards for ethical conduct do not vary by context. In other words, there is not a separate set of ethical values appropriate for business, another for the public sector and yet another for one’s personal life. Of course, what can vary is how these values are applied in different contexts. For this reason, we recommend that public agencies develop the values portion of their ethics code in a three-part process: 1. Identification of core ethical values (for example, honesty, loyalty or compassion); 2. Discussion of what those values look like in the public service context; and 3. Examples of behavior reflecting/not reflecting those values. Such a process will enable those involved in developing an agency’s ethics code to fully engage in the discussion of what the agency’s ethics code means. This approach is an adaptation of the one used by the Markkula Center for Applied Ethics and the City of Santa Clara to develop that city’s code of ethics and values. In this way, the code almost writes itself. This is why this guide provides a “menu” of examples of potential values that an agency may want to reflect in its ethics code, along with sample expressions of what those values mean in practice (see chapter 4). Admittedly, at least three of the values (“community service,” “proper use of public resources” and “vision”) potentially have a more unique relevance to ethical aspects of public service. Inclusion of these values is based on the Institute’s research on what values are commonly reflected in cutting-edge ethics codes. Of course, other values could be included based on what is important in a particular community/agency. C HAPTER 3 30 Kidder, How Good People Make Tough Choices, at 91-92. Feb. 11, 2021 Item #1 Page 56 of 100 17INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE WHAT ABOUT ACCOUNTABILITY? What happens when someone disregards the values expressed in an agency’s ethics code? This question comes up all the time, with the underlying question being “what is the point of having an ethics code if we are not going to enforce it?” As it relates to elected official’s behavior, the voters are the ultimate enforcers of the code. This is why it is so important that the code reflect community values. There are various ways to think about the accountability and enforcement issue. SELF ENFORCEMENT A values-based ethics code, like the kind of code suggested in this guide, truly does require “obedience to the unenforceable,” as discussed in chapter 1. This is particularly true for elected officials, inasmuch as our democratic system contemplates that the voters are the ultimate judges of whether an official’s behavior is consistent with the community’s values. This is why it is important to involve the community, as the ultimate stakeholder in the agency, in the process of developing an agency’s ethics In their enthusiasm for fostering a completely ethical environment in their agency, officials may be tempted to include all the values that are important to all officials in an agency’s ethics code. Officials may be loathe to exclude any value – or expressions of what that value means in practice – out of a concern that the omission of a particular value means that the agency condones the opposite behavior. Such an impulse can also be the product of a desire to obtain buy-in from all whose conduct will be guided by the code. These are natural inclinations. However, in crafting a code, officials may want to evaluate whether a too-comprehensive approach diminishes the utility of the code. A too-long or too-complex code is difficult to remember and apply. This undermines the objective of creating a code that provides a bona fide source of guidance for agency officials. “Keep your code understandable,” cautions Mountain View Mayor Michael Kasperzak. An alternative approach is to identify priority values, particularly for agencies adopting ethics codes for the first time. Three can be a good number in terms of ease of recall. If the agency focuses its attention on pursuing those values for the coming year, it can identify additional or alternative priority values as part of an annual review of its code. Ethics codes are living, growing documents – not one-shot efforts, and it is not necessary to include every possible ethical value in the first code. RESIST THE IMPULSE TO BE TOO COMPREHENSIVE B RIGHT IDEA: Feb. 11, 2021 Item #1 Page 57 of 100 18 code. It is also why this guide recommends that the agency consider mechanisms for soliciting public input on the ethics code as a threshold matter (see “step 1” on page 22) in the code adoption process. Some local agencies’ ethics codes expressly acknowledge this phenom- enon. Sample language is as follows: This code of ethics expresses the standards of ethical conduct expected for members of the agency governing board [include any other affected individuals]. 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 its government.31 As an additional measure of accountability, some agencies 1) include ethical standards in their candidate orientations (including boards and commissions), and 2) ask new members to sign the agency ethics code upon entering office.32 THE POWER OF DISCUSSION AND PERSUASION An ethics code is a set of agreed-upon values and behaviors that flow from those values. Officials can engage in honest but diplomatic discussion about whether a particular course of action is consistent with the agency’s adopted ethics code. The most constructive and productive way to initiate such a discussion is to frame the issue as a question (see example on page 19). C HAPTER 3 31 See, e.g., City of Sunnyvale, Code of Ethics, Section 18; City of Mountain View, City Council Personal Code of Conduct (section 20) and available online at www.ilsg.org/trust. 32 See, e.g. Sunnyvale, Code of Ethics, Section 17; Mountain View, Section 19, and available online at www.ilsg.org/trust. Feb. 11, 2021 Item #1 Page 58 of 100 19INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE It has been a lengthy board of supervisors meeting and there are still a number of items on the agenda to go. The chairperson, in a somewhat irritated fashion, suggests that testimony be cut off on the current agenda item. You are concerned about the people who made a special trip to the meeting to speak. You say: I am concerned that, if we cut off testimony at this point, we will be acting inconsistently with our ethics code that says we value and respect public input. The chair replies: I am troubled by that too. But I asked people who wanted to testify on this item not to repeat points that have already been made and the testimony is getting repetitive. I also feel I have an obligation to respect the interests of those who are here waiting to testify on other agenda items that we have not yet been able to get to. It’s getting late and I know a number of them need to get home to their families. You say: I understand your concerns. How about if we ask if anyone has anything new to add before we cut off testimony? We could also ask that people be especially brief in consideration of those who are waiting to speak on other agenda items and the length of time we have already spent on this item. The chair replies: Okay. Does anyone who hasn’t already spoken have anything to share that hasn’t been covered already? We ask you to be brief and considerate of others who also want to participate in later parts of the agenda. This kind of conversation, tied into the values in the county’s ethics code, has reached a compromise resolution of whether to cut off testimony. It has also had the collateral effect of sensitizing the public to the impacts of their (potentially repetitive and long-winded) behavior on others like them. M AKING THE CODE REAL: EXAMPLE Feb. 11, 2021 Item #1 Page 59 of 100 20 The ethics code provides a starting point for good faith conversation on how to resolve concerns or issues. By contrast, imagine how the conversation in the example would have gone if you had simply asserted that the chair’s proposal to cut off discussion was “unethical” because it violated the county’s value of respect for public input. Imagine not only the defensive and angry answer the chair would have been likely to give, but also what impression this kind of exchange would have had on the audience. Thus, the key, as one ethics expert advises, is to “condemn the sin, not the sinner.”33 The suggested approach requires thought and a certain degree of self- restraint (particularly if your energy level is also sagging after a long meeting) than simply accusing someone of acting inconsistently with the ethics code. Investing in such effort is part of your own personal commitment to the ethics code and having it make a positive difference for your agency. This is another opportunity to lead by example. REPROVAL OR CENSURE Some agencies provide enforcement measures in their policies. For example, the City of La Mesa’s policy reads as follows: Violations and Penalties. Any violation of this Ethics Policy by a member of the City Council shall constitute official misconduct if determined by an affirmative vote of three members of the City Council in an open and public meeting. In addition to any criminal or civil penalties provided by Federal, State or local law, any violation of this Ethics Policy shall constitute a cause for censure by City Council adoption of a Resolution of Censure.34 C HAPTER 3 33 Hanson, Kirk O., “Confronting Unethical Conduct,” Association Management (January, 2003). 34 City of La Mesa, City of La Mesa Ethics Policy, adopted March 2003 (section 7) and available online at www.ilsg.org/trust. Feb. 11, 2021 Item #1 Page 60 of 100 21INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Similarly, San Jose has a censure policy that defines “censure” as a punitive action that carries no fine or suspension of the rights of the council member as an elected official. Under the policy, censure is distinguished from “condemnation” of a council member’s actions, which expresses strong disapproval but is not punitive. The policy sets out detailed procedures to provide the accused council member with an opportunity to understand and respond to the criticisms against him or her.35 When considering these kinds of enforcement policies, be sure to consult with one’s agency attorney about relevant legal considerations.36 35 City of San Jose, Censure Policy, November 1994 and available online at www.ilsg.org/trust. 36 This topic was covered at the 1995 City Attorneys Spring Conference, where James P. Jackson delivered a paper entitled “Coping with Intra-Council Conflicts.” Copies are available from the League of California Cities’ library (www.cacities.org), but should be reviewed for updates in the law. 37 Character First! materials are available through www.characterfirst.com. The “Character First!®” program developed by the nonprofit Character Training Institute emphasizes positive reinforcement or praise in its promotion of character issues.37 It notes that there are three steps associated with offering praise: 1. Give the definition of the character quality; 2. Offer a specific illustration of how it was demonstrated; and 3. Explain the benefit to you and/or others. This approach to positive reinforcement is another way agency officials can make ethics code provisions real. THE POWER OF PRAISE B RIGHT IDEA: Feb. 11, 2021 Item #1 Page 61 of 100 22 1 SUGGESTED ITERATIVE PROCESS FOR ADOPTING AN ETHICS CODE This process can be adapted to successive governing board meetings or meetings with management and staff. Depending on the time available for the code adoption effort, some steps can be combined. C HAPTER 3 STEP 1st Meeting • Introduce the concept of an ethics code • Would a code be useful? • To whom would the code apply? • Identify public input mechanisms See chapters 1-3 2STEP 2nd Meeting • Review values menu (see chapter 4) • Each participant identifies the top four values • Identify areas of consensus • Reflect on these “consensus” values between now and next meeting • Identify three expressions of those values • Identify positive examples of values in practice See chapter 4 3STEP 3rd Meeting • Achieve consensus on expressions of the various values, as well as examples of those values in practice • Discuss potential memorable titles • Consider a preamble • Discuss implementation strategies • Commit to review on anniversary See chapter 4 Feb. 11, 2021 Item #1 Page 62 of 100 23INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE 4STEP • Implement Implement Implement See chapter 5 5STEP • Review code and its implementation • Initiate process for updating and expanding application of the code to others (repeating steps one through three with them) (8 months from adoption) 6STEP • Celebrate successes • Identify areas needing further effort • Adopt updated and expanded code • Adopt updated and expanded implementation strategies (Anniversary of adoption) 7STEP • Repeat steps 4-6 Feb. 11, 2021 Item #1 Page 63 of 100 24 Step One (First Meeting) • Introduce the concept of an ethics code – what it is, what it can and cannot achieve and the process of adopting one. • Discuss whether agency officials think a code would be useful. • Determine to whom the agency’s first code should apply. • Identify the mechanisms by which public input in this process will be solicited. Step Two (Second Meeting) • Review the values menu (see chapter 4). • Determine whether agency wants to focus on a limited number of key values (as we recommend) or have a more comprehensive approach. • Ask participants whether there are any key values missing from the menu. • Ask participants to identify the top four values that they think are most important in their public service. • Identify areas of agreement on values and confirm these with the group. • Ask participants to reflect on these “consensus” values before the next meeting, identifying three expressions of those values that seem most useful for the agency to focus on. Remind the group that they can add or modify expressions of values listed on the menu. Also ask them to identify positive examples of the expressions of values in practice. C HAPTER 3 Feb. 11, 2021 Item #1 Page 64 of 100 25INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE 38 See Ethics Resource Center, The Ethics Toolkit, available online at www.ethics.org. Step Three (Third Meeting) • After preliminary discussion, use the “dot” or similar process to achieve consensus on the expressions of the various values, as well as examples of those values in practice (see sidebar below). • Direct staff to write code up based on the areas of consensus about 1) which values should be in the first version of the code, 2) what expressions of those values also should be in the code, and 3) examples of those values. • Discuss potential memorable titles 38 (for example, “The Way We Serve the Public” “_______________ [insert agency name]’s Commitment to Character”) for the code. Consider whether the code would be enhanced by a preamble that refers to the public agency’s goals and commitments in adopting an ethics code. (For a sample, see chapter 4) • Discuss implementation strategies and timelines (see chapter 5). USE ADHESIVE DOTS B RIGHT IDEA: A handy and fairly expeditious way of handling this selection process is to combine discussion with a “dot” system in which participants are asked to identify their four top values by adhering adhesive dots to a board displaying the list of potential values. Include a prohibition against individuals “power-dotting,” or placing multiple dots by one value. Feb. 11, 2021 Item #1 Page 65 of 100 26 Step Four (Next Meeting) • Adopt final version of the code. Step Five (Ensuing Year) • Implement, implement, implement! (see chapter 5). Step Six (Eight Months from Code Adoption) • Review code and its implementation. • Initiate process for updating and expanding application of the code to others, if appropriate (repeating steps one through three with them). Step Seven (One Year Anniversary) • Celebrate successes. • Identify areas needing further effort. • Adopt updated and expanded code. • Adopt updated and expanded implementation strategies. Step Eight (Second Year Anniversary and Thereafter) • Repeat steps four through six. A NOTE ABOUT THE IMPORTANCE OF IMPLEMENTATION STRATEGIES As the iterative suggested process suggests, adoption of the code is only the first step. To make a difference and achieve its goals, the code needs an implementation strategy. Making a commitment to implement one’s ethics code is also a “key decision” in the code adoption process – as is actually implementing the code. Chapter 5 covers the topic of implementation in more detail. C HAPTER 3 Feb. 11, 2021 Item #1 Page 66 of 100 27INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Whose Values?............................. 27 Values Selection Process ............. 28 Ethics Code Menu/ Worksheet .................................... 30 Preambles .................................... 41 IN THIS CHAPTER CHAPTER 4: ETHICS CODE MENU “It is strangely absurd to suppose that a million of human beings, collected together, are not under the same moral laws which bind each of them separately.” – Thomas Jefferson WHOSE VALUES? Whenever one proposes that local officials engage in a conversation about values there is some likelihood that would-be participants in the discussion will take offense and view this as an effort to “impose” one group’s values on another. An unwillingness to stand up for values, according to Dr. Rushworth Kidder, has created a sort of “moral relativism” that causes us to sink to the lowest common denominator in terms of ethical conduct.39 Dr. Kidder has dissected this phenomenon and concludes that there is a core set of human values that transcend cultural, socioeconomic and national boundaries.40 These values are: • Honesty; • Fairness; • Respect; • Compassion; and • Responsibility Many of the ethical dilemmas that local officials face can be characterized as conflicts between two “right” values. An example is the discomfort that one feels when a friend or political supporter seeks approval for a project that may not be in the best interests of the entire community. This is a conflict between one’s loyalty to a friend or supporter and one’s obligations as a public official to act in the community’s best interests. 39 Kidder, How Good People Make Tough Choices, at 96 (referring to research by Stace, Walter T., The Concept of Morals, The MacMillan Company: 1937). See also The Ethics Edge, at 37-38. 40 See Kidder, How Good People Make Tough Choices, at 77-108. Feb. 11, 2021 Item #1 Page 67 of 100 28 One advantage of adopting an ethics code is that it offers the opportunity for local officials to have a conversation about which values take precedence over other values in that community. VALUES SELECTION PROCESS Selecting which values will be reflected in your agency’s ethics code is a key task. The following worksheet is designed to assist with this undertaking by identifying core ethical values and how each value should shape behavior. The suggested process for using this worksheet (also described at the end of chapter 3) is to: • Review the values menu. • Determine whether the agency wants to focus on a limited number of key values or have a more comprehensive approach. • Ask participants whether there are any key values missing from the menu. • Ask participants to identify the top four values that they think are most important in their public service. • Identify areas of consensus and check with the group to make sure the result reflects their sense of consensus. For example, it may be that there is a strong degree of consensus on only three values; conversely, there may be a strong degree of consensus on five values. • Ask participants to reflect on these “consensus” values before the next meeting, identifying three expressions of those values that seem most useful for the agency to focus on. Remind the group that they can add or modify expressions of values listed on the menu. Also ask them to identify positive expressions of values in practice. • After preliminary discussion, use the “dot” or similar process to achieve consensus on the expressions of the various values, as well as examples of those values in practice. C HAPTER 4 Feb. 11, 2021 Item #1 Page 68 of 100 29INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE We suggest that these processes occur over multiple meetings, so participants have an opportunity to reflect on the values that are most important to your agency and how those values are best expressed in terms of behavioral practices. “To make the code of conduct work, there must be consensus,” says Sunnyvale council member Jack Walker, who chaired the subcommittee that drafted Sunnyvale’s Code of Conduct for Elected Officials. Note that the worksheet does not contain suggested examples. This is to assure that those using the worksheet truly contribute their own insights to the process – something that is necessary to make the code adoption process reflect the specifics of a given agency. Here, though, is an illustration of three values, expressions and examples, to help prime the discussion pump. Core Value Potential Expressions/Examples of When What This Value Looks Like This Issue Arises Community Service/ I do not accept gifts, services When someone invites me to Pursuit of public’s or other special considerations dinner because of my position, interests as opposed to because of my public position. I will either decline or pay for personal interests my part of the meal. Respect for fellow I treat my fellow officials, During meetings, I will listen officials, staff and staff and the public with actively, attentively and politely the public courtesy and civility, even to all speakers, even those that when we disagree on what is are arguing against the position best for the community.I believe is right. Vision I consider the broader regional When I sit on regional boards as and statewide implications of the a representative of my agency, agency’s decisions and issues. I balance what will serve my jurisdiction’s interests best against what will maximize benefits for those served by the regional board as a whole. Illustration of Three Values, Expressions and Examples Feb. 11, 2021 Item #1 Page 69 of 100 30 C HAPTER 4 ETHICS CODE MENU/WORKSHEET I NSTRUCTIONS TO USERS: 1) Review values menu. Are any values that are important to public service missing? 2) Mark the box next to the four values you think are most important for public service. The group will have a discussion on which values belong in the agency’s code. 3) For the “consensus” values, review “expressions” column. Are any values that are important to public service missing? 4) Mark the box next to the three expressions of each value you think are most important for your jurisdiction. The group will have a discussion on which expressions belong in the agency’s code. 5) Write-in positive examples of this kind of behavior in action. Review Mark Review Mark Write-in Feb. 11, 2021 Item #1 Page 70 of 100 31INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE q Integrity/Honesty q Community service/pursuit of public’s interests as opposed to personal interests/responsibilities q Fairness q Respect for fellow officials, staff and the public q Compassion q Proper efficient use of public resources (another form of responsibility) q Loyalty to the Agency q Vision ETHICS CODE MENU/WORKSHEET, CONT. Which four values are most important?4 Feb. 11, 2021 Item #1 Page 71 of 100 32 C HAPTER 4 q I am honest with my fellow elected officials, the public and others. q I do not promise what I believe to be unrealistic. q I am prepared to make unpopular decisions when my sense of the public’s best interests requires it. q I take responsibility for my actions, even when it is uncomfortable to do so. q I credit others’ contributions to moving our community’s interests forward. q I do not knowingly use false or inaccurate information to support my position or views. q I do not leave false impressions. q I support ethics within my agency. q I disclose suspected instances of corruption to the appropriate authorities. Integrity/Honesty ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Feb. 11, 2021 Item #1 Page 72 of 100 33INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE q I do not accept gifts, services or other special considerations because of my public position. q I refrain from any action that might appear to compromise my independent judgment. q I support merit-based processes for the award of public employment and public contracts. q I excuse myself from participating in decisions when my or my family’s financial interests may be affected by my agency’s actions. q I do not use information that I acquire in my public capacity for personal advantage. q Consistent with my role as a steward of the public trust, I do not represent third parties’ interest before either my agency or those of neighboring jurisdictions. q I do not accept gifts, services or other special considerations because of my public position. Community service/pursuit of public’s interests as opposed to personal interests/responsibilities ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Feb. 11, 2021 Item #1 Page 73 of 100 34 C HAPTER 4 q I support the public’s right to know and participate in the conduct of the public’s business. q I am impartial when making decisions, avoiding the temptation to favor those who have supported me and disfavor those who have not. q I promote non-discrimination in public agency decisionmaking. q I recognize that I am an agent for the democratic process, not the owner of authority. q I provide services at or above established standards without favoritism or prejudice. q I will promote meaningful public involvement in the agency’s decision-making processes. q I treat all persons, claims and transactions in a fair and equitable manner. q If I receive substantive information that is relevant to a matter under consideration from sources outside the public decision- making process, I publicly share it with my fellow governing board members and staff. q I make decisions based on the merits of the issue. Fairness ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Feb. 11, 2021 Item #1 Page 74 of 100 35INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE q I treat my fellow officials, staff and the public with patience, courtesy and civility, even when we disagree on what is best for the community. q I focus on the merits in discussions of issues, not personalities, character or motivations. q I respect others’ time by coming to meetings prepared and offering observations only when I believe it will move the discussion forward. q I work towards consensus building and gain value from diverse opinions. q I make decisions and recommendations based upon research and facts, taking into consideration short and long-term goals. q I respect the distinction between the role of office holder and staff. q I follow through on my commitments, keeping others informed, and responding in a timely fashion. q I am approachable, open-minded and willing to participate in dialog and I work to convey this to others. ETHICS CODE MENU/WORKSHEET, CONT. (continued on next page) Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Respect for fellow officials, staff and the public Feb. 11, 2021 Item #1 Page 75 of 100 36 C HAPTER 4 q I engage in effective two-way communi- cation by listening carefully, asking questions, and determining an appropriate response that adds value to conversations. q In my interactions with constituents, I am interested, engaged, and responsive. q I involve staff in meetings with individuals, those with business before the agency, officials from other agencies and legislators to ensure proper staff support and to keep staff informed. q I support a positive work environment for agency staff and others who serve the agency. q When campaigning, I avoid personal attacks on issues unrelated to my fellow candidates’ ability to discharge the duties of the office that we both seek. ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Respect for fellow officials, staff and the public, continued Feb. 11, 2021 Item #1 Page 76 of 100 37INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE q I recognize government’s responsibilities to society’s less fortunate. q I am sensitive to the fact that some people in the community are intimidated by public officials and public agencies and try to make their interactions with our agency as stress-free as possible. q I convey the agency’s care for and commitment to its community members. q I am attuned to, and care about, the needs and issues of citizens, public officials and agency workers. ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Compassion Feb. 11, 2021 Item #1 Page 77 of 100 38 C HAPTER 4 q I recognize that the responsibility for making both large and small decisions about the use of public resources is a public trust. q I actively promote the efficient and economical use of public resources. q I do not use public resources, such as agency staff time, equipment, supplies or facilities, for private gain or personal purposes. q I make decisions after prudent consder- ation of their financial impact, taking into account the long-term financial needs of the agency, especially its financial stability. q I make decisions on hiring and contracting based on merit and value to the agency, rather than favoritism and/or family or personal relationships. q I demonstrate concern for the proper use of agency assets (such as personnel, time, property, equipment, funds) and follow established procedures. q I provide friendly, receptive, courteous service to everyone. q I make good financial decisions that seek to preserve programs and services for agency residents. ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Proper/efficient use of public resources (another form of responsibility) Feb. 11, 2021 Item #1 Page 78 of 100 39INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE q I respect the confidentiality of information concerning the agency’s property, personnel or affairs. q I do not disclose confidential information without proper legal authorization. q I represent the official policies or positions of the agency to the best of my ability when authorized to do so. q When presenting my individual opinions and positions, I explicitly state that my opinions do not represent the agency’s position and I will not allow the inference that they do. ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Loyalty to the Agency Feb. 11, 2021 Item #1 Page 79 of 100 40 C HAPTER 4 q I exhibit a proactive, innovative approach to setting goals and conducting the agency’s business. q I display a style that maintains consistent standards, but is also sensitive to the need for compromise, “thinking outside the box,” and improving existing paradigms when necessary. q I promote intelligent and thoughtful innovation in order to forward the agency’s policy agenda and agency services. q I consider the broader regional and statewide implications of the agency’s decisions and issues. ETHICS CODE MENU/WORKSHEET, CONT. Which three expressions are most important? Write in positive examples of when the three checked issues arise..4 Vision Feb. 11, 2021 Item #1 Page 80 of 100 41INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Once the areas of consensus around values, expressions of values and examples are identified, staff can be directed to write up the code based on the menu selections for final adoption at the next meeting. The code will contain the four values the agency has selected, the three expressions of those values and three examples of the expressions in action. PREAMBLES A preamble is the introduction to the code. It addresses these questions: • Why is the code important? • What is the code’s purpose? 41 See City of Sunnyvale, Code of Ethics, Section 17. OTHER USEFUL CODE PROVISIONS B RIGHT IDEA: Two other code provisions to consider are: • A requirement that affected officials sign the code; and • An annual review. Such provisions make the commitment more public and more formal. Here is sample language for each, based on the provisions of Sunnyvale’s code, which are included in an “implementation” section41: Members entering office will sign a statement affirming that they have read and understood this code. This code will be annually reviewed. The [insert governing board name] shall consider recommendations for updating the code as necessary. Feb. 11, 2021 Item #1 Page 81 of 100 42 • To whom does the code apply? • What will happen as a result of this code? Here is sample preamble language: The effective operation of democratic institutions requires that public officials enjoy the trust and confidence of the individuals and businesses they serve. Accordingly, [insert agency name] has adopted this code to: 1. Encourage the highest standards of behavior by [insert agency name] officials; 2. Promote and maintain the public’s trust and confidence in [insert agency name]; and 3. Provide an ongoing source of guidance to [insert agency name] officials in their day-to-day service to [insert agency name]. To this end, the [insert agency governing body name] has adopted this code of ethics for [describe whose conduct will be governed by the code, for example, governing body members, members of boards and commissions, and/or staff]. As part of their service to [insert agency name], these individuals agree to understand how this code applies to them and practice the values in the code in their day-to-day service to [insert agency name]. C HAPTER 4 Feb. 11, 2021 Item #1 Page 82 of 100 43INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Making the Code Real: Implementation Strategies ......... 43 “Self First”................................... 45 Creating a Culture of Recognition ............................. 47 Recruit with Ethics in Mind ...... 50 Training ....................................... 50 The Importance of an Annual Review ............................ 51 Promoting the Code Within the Community............... 52 A Special Note About Ethics Codes and Campaigns .... 52 IN THIS CHAPTER CHAPTER 5: IMPLEMENTATION ISSUES “Genuine success does not come from proclaiming our values, but from consistently putting them into daily action.” – Ken Blanchard and Michael O’Connor, Managing By Values MAKING THE CODE REAL: IMPLEMENTATION STRATEGIES Adoption of the code is only the first step. To make a difference and to achieve its goals, the code needs an implementation strategy. Some of the questions to ask when designing an implementation strategy include: • How should the code be disseminated? Can it be put on bookmarks, plaques, pocket cards, posters, the agency’s website, etc.? Should there be a media release? • Are there elements that are useful to review at certain points in the conduct of the agency’s business? (For example, one northern California city reminds itself of its civility values at each meeting.) • Is a leadership letter appropriate? (see sidebar on page 45) • To ensure the future relevance and validity of the code, how can the provisions of the code be incorporated into orientation programs and other agency training efforts? • Should the code be translated into all major community languages? • If the agency begins its meetings with non-sectarian invocations,42 do such invocations offer an opportunity to obtain others’ assistance in reflecting upon on one or more of the agency’s core values? 42 “Sectarian” invocations have recently been ruled unconstitutional. See Rubin v. City of Burbank, 101 Cal. App. 4th 1194, 124 Cal. Rptr. 2d 867 (2002), rev. denied. Dec. 18, 2002, cert. denied, ___ U.S.____ (2003). Asking that an invocation focus on one of the agency’s core value may be one way of complying with the court’s decision. For more analysis of the decision, see the article at page 8 of the July 2003 issue of Western City magazine, also available online at www.westerncity.com. Feb. 11, 2021 Item #1 Page 83 of 100 44 C HAPTER 5 • To the extent that the code applies to employees, how can ethical considerations be incorporated into the hiring and evaluation process? • If the code applies to employees, should the code be attached to the offer of employment provided new employees? • Should copies of the code be sent to those who do business with the agency, along with a request to be notified if the agency fails to observe any of the values? • What resources can the agency make available to those whose conduct is the subject of the code? Peer counseling? “Dear Abby” type questions in the employee newsletter? Web-based resources? • What steps can individuals and the agency take to create a “culture of recognition” surrounding the agency’s ethics code? • During election season, would it be helpful to have a community forum about how the city’s values and ethics code translate into ethical campaign practices? • When should the code be reviewed? Another useful implementation strategy to consider is an evaluation component. How has the ethics code been used? Has it affected the ethical culture of the organization? If so, in what ways? If not, what have been the impediments? How can the impediments be overcome? Surveys and interviews can help in such evaluations. Feb. 11, 2021 Item #1 Page 84 of 100 45INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE “SELF FIRST” “You must be the change you wish to see in the world.” – Mahatma Gandhi “Few things are harder to put up with than the annoyance of a good example.” – Mark Twain, Pudd’nhead Wilson (1893) There seems to be a consensus – if an official earnestly desires others to act differently, that official has to act differently. This concept is expressed as the “self first” rule in the management book called Managing By Values.44 Even if you feel you are not “the problem” at your agency, demonstrably modify your behaviors to reflect the values expressed by your agency’s ethics code. As ethicist Michael Josephson observes, ethics is such that “we don’t have to be sick to get better.”45 43 See Ethics Resource Center, The Ethics Toolkit, available online at www.ethics.org. 44 Blanchard & O’Connor, Managing By Values, at 61. 45 For more about Michael Josephson’s work, visit www.josephsoninstitute.org. BRIGHT IDEA: LEADERSHIP LETTERS Leadership letters are another implementation strategy to consider.43 A leadership letter is a communication from the relevant agency leadership that explains the code and demonstrates commitment from the top to create an ethical organizational culture. A leadership letter from all governing board members reinforces the role of the code as an ethics pledge. It is another opportunity for each member of the governing body to affirm his or her support for the code and encourage others to do likewise. A leadership letter can convey why the agency has adopted an ethics code and why it focused on the values it did. It should also address how the code came to be and the process behind it. To summarize, some questions to consider in drafting a leadership letter include: • Why a code? Why now? • What is the ethical context in which the organization operates? • What are some of the challenges that elected and appointed officials, management, employees and members face, and how can this ethics code be a helpful document for people at all levels? • What are the major trends facing similar local agencies that will impact and affect the code and its implementation? • Might this code set an example for other local agencies? In some cases, it may be advisable to refer to an agency’s past ethical problems, particularly if they are well known. This can be opportunity to be straightforward about the reason for the code. Feb. 11, 2021 Item #1 Page 85 of 100 46 C HAPTER 5 What steps can an official take to promote awareness of ethical values within his or her agency? One is an effort to explain the official’s decisions, large and small, in terms of the values in the agency’s code. It has been a long and tense city council meeting. Before the council is a controversial affordable housing project that the local neighborhood passionately opposes. You feel that some council-members are pandering to that opposition, particularly since they know that the city is at serious risk for a lawsuit by affordable housing advocates if the project is turned down. In explaining your decision to vote in favor of the project, you say: “This is a terribly difficult decision. Accordingly, I consulted our city’s values code. Although I deeply respect the depth of the neighbors’ concerns about the potential impact of this development and have listened carefully to the views expressed, I also have committed to be a prudent steward of the public’s resources. The law gives the developer the right to build this project and my view is that it would not be a wise use of our limited public resources to get involved in a lawsuit over this project. There also is a fairness issue, which is that our teachers, our police officers, our food service workers and our young people just starting out ought to be able to purchase a home in our community. Accordingly, I am going to vote “yes” on this project and then commit to work very hard with the developer and city staff to minimize the likelihood that this project will have the adverse impacts the neighbors fear. I know this is not the politically popular decision to make, but it is the decision I feel I must make ethically, based on all the information before me. Then, of course, you must follow-through on this commitment to work with the developer and staff (possibly by setting up a consultative process with the neighborhood group) to address the concerns about impacts (demonstrating the ethical value of following-through on your commitments). In this case, you are “talking-the-walk” of ethical values by explaining your decision in terms of those values. Will the project opponents stand up and cheer your decision? Probably not. But that is fundamentally what ethics is, which is making difficult decisions when there may be a personal cost to you. MAKING THE CODE REAL: EXAMPLE Feb. 11, 2021 Item #1 Page 86 of 100 47INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE CREATING A CULTURE OF RECOGNITION Some governing boards are lucky. Their members get along, treat each other with respect and work through disagreements based on the mutual understanding that everyone has the community’s best interests at heart. Other governing boards are beset with animosity, in which meetings degenerate into personal jibes and attacks. Although your close supporters may be encouraging you to act on your gladiator instincts and come out swinging at every meeting, consider whether such a strategy is really promoting confidence in your agency by the public as a whole. Polling data suggests that the public really does want public officials to work together to solve the agency’s problems and is growing tired of the politics of the personal attack.46 Employing the “self-first” approach, think about how you can acknowl- edge the ways your colleagues apply the values in your agency’s code. Such acknowledgement can be as simple as privately complimenting someone for the restraint and respect they showed during a particularly contentious discussion. 46 This statement is based on polling relating to campaign practices. That polling shows, for example: • 86% of poll respondents believe unfair attack campaigning is unethical • 81% of poll respondents believe attack-oriented campaigning is undermining and damaging our democracy • 76% of poll respondents think negative campaigning produces less ethical and trustworthy leaders • 82% of poll respondents think negative campaigning makes people less likely to vote • 88% of poll respondents think candidates should agree not to make any personal attacks • 71% of poll respondents think their elected officials have a different set of values than they do • 53% of poll respondents think that most elected officials don’t know right from wrong • Only 42% of poll respondents trust the government to do what is right • 55% of poll respondents believe that all or most candidates twist the truth to get elected Source: Institute for Global Ethics bipartisan survey, conducted by Lake, Snell, Perry & Associates, Inc. and Deardourff/The Media Company. Respondents were asked in June 2002 about their attitudes concerning candidates and campaigns. View the full poll at www.campaignconduct.org. Statewide surveys conducted by the Public Policy Institute of California in 1998 found that 44% of Californians considered elected officials to be untrustworthy. However, when asked which level of government is best at solving their problems, people had more confidence in city (27%) and state government (26%) than in the federal (20%) or county government (18%). See Baldassare, Mark, California in the New Millenium, University of California Press/Public Policy Institute of California, 2000, at 44-45. Feb. 11, 2021 Item #1 Page 87 of 100 48 C HAPTER 5 Review your agency’s ethics codes and try to identify which values each of your colleagues follow most strongly and then watch for ways that they act on that value. It may or may not be appropriate to recognize such efforts publicly (you don’t want to appear patronizing), but being alert to such issues will give you a fuller appreciation of the qualities that individual brings to the board. If your ethics code applies to boards and commissions and/or staff, talk with your management team about ways to further reinforce a culture of recognition with respect to the ethics code. In Managing By Values, the authors describe situations in which companies recognize “success stories” in which an employee’s behavior has exemplified a particular value.47 Some companies offer certificates; others have a “Wall of Fame” in which employees’ good works are recognized. Whatever makes sense for your jurisdiction, think about ways to recognize and reinforce what people are doing right. 47 See Blanchard and O’Connor, Managing By Values, chapter VI. BRIGHT IDEA: SELECT VALUES FOR PARTICULAR FOCUS One technique for reinforcing compliance with the code is to select a value for particular focus and discussion during a meeting. For example, one city manager describes how she incorporated the city’s fiscal responsibility discussion into a staff meeting on budget matters. The staff incorporated the city’s values into a series of budget principles to help guide the council’s budget approval process. The process of integrating the city’s values into a difficult decision-making process helped make the ethics code real and was well received. Feb. 11, 2021 Item #1 Page 88 of 100 49INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE B RIGHT IDEA: CORE VALUES WORKSHEET FOR GROUPS The City of Santa Clara has developed a worksheet to assist with training employee workgroups on the city’s ethics code. The worksheet lists the values and the expressions (columns one and two on the values menu in chapter 4) out on the worksheet and then asks employees to rate (on a scale of one to four, with one being very high and four being very low): • How important a value is to their particular job; and • Their perceived skill level on that value. The worksheet then asks employees to brainstorm ways to develop skills in a particular area. These worksheets prepare the employees for the discussions in the training sessions. A colleague of yours is very active in an association of agencies like yours. She diligently attends conferences organized by the association and brings conference materials back to share with her colleagues. She also makes a point of making a brief report about the conference at the appropriate point in meetings of your agency’s governing board. After one such report, you say: I really appreciate these reports. It helps both the public and me understand what our agency gets out of our participation in this association and attending these conferences [value: careful use of public resources]. Receiving the conference materials also helps me learn, even though I was not able to attend the conference. [values: more careful use of public resources and concern for colleagues] It also means our agency is part of a larger discussion of issues affecting our ability to serve our community at the state/regional level. [values: vision/leadership] MAKING THE CODE REAL: EXAMPLE The goal is to create a culture of ethics built around the values that are important to the agency and then create a culture of recognition for the everyday ways that individuals put those values into action. If your agency’s code applies to employees, work with your top manage- ment to reinforce a culture of recognition by celebrating the efforts of those employees whose actions reflect the agency’s values. In addition to day-to-day recognition, such recognition should be a part of each employees’ annual performance review, just as the degree to which supervisors promote a culture of recognition should be part of their annual performance review. Feb. 11, 2021 Item #1 Page 89 of 100 50 C HAPTER 5 RECRUIT WITH ETHICS IN MIND If your agency’s code applies to board and commission appointees and/ or staff, include ethics issues in the selection process. Some ways to do this include: •Refer to the Agency’s Code in the Application Materials. This highlights the importance of the code to the agency. •Interview for Ethics. In the interview, describe a scenario relevant to the position in question that implicates one or more of the values in the agency’s code. Ask the applicant how he or she would analyze the situation. Does the applicant recognize the question as presenting ethical issues? Does the applicant make reference to the agency’s code in the applicant’s response? •Sign the Code upon Joining the Team. Include the code along with a signature line in the various documents an individual is asked to fill out after having been selected (see also section on training, below). By highlighting the importance of ethics during the recruitment process, the agency underscores the agency’s commitment to its code. This also helps the agency identify those potential appointees and employees who will readily embrace the values in the agency’s code. It will also help the agency identify those who will help the agency make the code a success. TRAINING If a person’s conduct is governed by the agency’s code, that individual should receive training on the code, either upon the code’s adoption or upon joining the agency team. “Ethics training is critical,” says Art Madrid, Mayor of La Mesa. Two relatively practical training options include: • Have the individual review the code and think of specific ways it will affect his or her service to the agency (a modified version of the exercise agency officials went through in adopting the code, see the third column on the values menu in chapter 4); and B RIGHT IDEA: USING THE REVIEW PROCESS TO BROADEN CODE APPLICATION The review process can also be a springboard for expanding the code’s application to additional people. The agency’s governing board can direct staff to begin the consultation process so that the suggested modifications to the code will be ready by the code’s first anniversary. Irrespective of whether an expansion of the code is planned, the agency should commit to an abbreviated version of the code adoption process as part of an annual review of the code. This review can also include community and self- assessment on how the agency performed in conforming their conduct to the values expressed by the code. Feb. 11, 2021 Item #1 Page 90 of 100 51INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE • Develop scenarios/case studies for ethical dilemmas implicating the values in the code and then having small group discussions on how the dilemma should be resolved. The goal of the training is to relate the concepts in the code to the day-to- day realities of the individual receiving the training. As with any adult learning experience, the more interactive and engaging the experience is, the more effective the training will be. Some private sector companies use online training on their ethics codes; other companies offer online training services on their ethics codes.48 THE IMPORTANCE OF AN ANNUAL REVIEW Reviewing the code annually serves a number of critical purposes in the implementation strategy, according to Jennifer Sparacino, Santa Clara City Manager. She notes that the review process is an opportunity to: • Increase people’s awareness of the code; • Engender enthusiasm for the code; • Broaden the number of people involved with the code; and • Keep the code a vital document. The annual review process is also an opportunity to celebrate successes under the code. LOCAL ETHICS CODE AND THE CAMPAIGN CONDUCT CODE IN CANDIDATE ORIENTATIONS A number of local agencies conduct candidate briefings or orientations. Including a segment on the agency’s code and the relationship of the state’s “Code of Fair Campaign Practices” to the local code will highlight your agency’s commitment to ethics in both campaigning and public service. It also highlights the ethics-in-political- campaigning issue for any media attending the orientation. The goal is to help the media and the public to be better equipped to ask the question of whether candidates are “fit” for the office they seek based on whether they demonstrate commitment to the community’s prevailing ethical norms in public service. 48 Winter, Gretchen A. and Simon, David J., “Code Blue, Code Blue: Breathing Life into Your Company’s Code of Conduct,” ACCA Docket, November/December 2002, at 72, 82-84. B RIGHT IDEA: Feb. 11, 2021 Item #1 Page 91 of 100 52 PROMOTING THE CODE WITHIN THE COMMUNITY Once the code has been adopted, think about ways to publicize the code to the community and those who regularly interact with your agency. • Post the code prominently on your agency’s website; • Talk up the code in meetings with community leaders and in presentations to service clubs; and • Distribute the code to those who do business with the city, for example in attachments to requests for proposals or as a general mailing to all vendors expressing the agency’s appreciation for the opportunity to do business with vendors. These efforts provide positive exposure for the agency’s efforts in the ethics area. They also enable the community to hold agency officials accountable for conforming their conduct to the code. A SPECIAL NOTE ABOUT ETHICS CODES AND CAMPAIGNS Political interest [can] never be separated in the long run from moral right. – Thomas Jefferson What about ethics codes as they relate to local campaigning? After an agency has adopted its code, it may want to determine whether some of the values and expressions of those values are relevant to campaigns. The City of Santa Clara did this and conducted a number of workshops about its ethics code and its relevance to campaign conduct for candidates, their managers and supporters.49 The city reports that acquainting candidates with the city’s values produced good results in terms of a more positive campaign with fewer personal attacks. 49 Santa Clara’s work in this regard was featured in the December 2002 issue of Western City magazine (article begins on page 29). Santa Clara won the League of California Cities’ prestigious Helen Putnam Award for its efforts. C HAPTER 5 Feb. 11, 2021 Item #1 Page 92 of 100 53INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE There are basic principles of decency, honesty, and fair play which every candidate for public office in the State of California has a moral obligation to observe and uphold, in order that, after vigorously contested, but fairly conducted campaigns, our citizens may exercise their constitutional right to a free and untrammeled choice and the will of the people may be fully and clearly expressed on the issues. THEREFORE: (1) I SHALL CONDUCT my campaign openly and publicly, discussing the issues as I see them, presenting my record and policies with sincerity and frankness, and criticizing without fear or favor the record and policies of my opponents or political parties which merit such criticism. (2) I SHALL NOT USE OR PERMIT the use of character defamation, whispering campaigns, libel, slander, or scurrilous attacks on any candidate or his or her personal or family life. (3) I SHALL NOT USE OR PERMIT any appeal to negative prejudice based on race, sex, religion, national origin, physical health status, or age. (4) I SHALL NOT USE OR PERMIT any dishonest or unethical practice which tends to corrupt or undermine our American system of free elections, or which hampers or prevents the full and free expression of the will of the voters including acts intended to hinder or prevent any eligible person from registering to vote, enrolling to vote, or voting. (5) I SHALL NOT coerce election help or campaign contributions for myself or for any other candidate from my employees. (6) I SHALL IMMEDIATELY AND PUBLICLY REPUDIATE support deriving from any individual or group which resorts, on behalf of my candidacy or in opposition to that of my opponent, to the methods and tactics which I condemn. I shall accept responsibility to take firm action against any subordinate who violates any provision of this code or the laws governing elections. (7) I SHALL DEFEND AND UPHOLD the right of every qualified American voter to full and equal participation in the electoral process. I, the undersigned, candidate for election to public office in the State of California or treasurer or chairperson of a committee making any independent expenditures, hereby voluntarily endorse, subscribe to, and solemnly pledge myself to conduct my campaign in accordance with the above principles and practices. ____________Date _______________________________________________Signature CALIFORNIA’S CODE OF FAIR CAMPAIGN PRACTICES Feb. 11, 2021 Item #1 Page 93 of 100 54 C HAPTER 5 Another thing to keep in mind is that California law requires all candidates to be given the opportunity to sign a code of campaign conduct.50 The code is provided to a candidate at the time he or she is given the papers necessary to run for office. The local elections official keeps copies of all signed codes on hand for public inspection until 30 days after the election.51 A candidate’s agreement to abide by the code is voluntary.52 For the text of the code, see sidebar on page 53. 50 See Cal. Elec. Code § 20440. 51 See Cal. Elec. Code § 20442. 52 See Cal. Elec. Code § 20444. Feb. 11, 2021 Item #1 Page 94 of 100 55INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Conclusion ................................... 55 IN THIS CHAPTER CHAPTER 6: CONCLUSION “The way to succeed is never quit. That’s it. But really be humble about it.” – Alex Haley, 20th-century American author “The greater the obstacle the more glory in overcoming it.” – Jean Baptiste Molière, 17th-century French dramatist Is adopting an ethics code going to change the community’s perception of agency officials overnight? No. But the process of adopting and implementing an ethics code can have several benefits. Among them is the opportunity to make a meaningful commitment to ethical values in public service. Another is meeting the public’s expectations regarding how its public servants should behave. To achieve these benefits, the agency needs to do more than simply adopt a suggested “model” ethics code. The agency must make a concerted effort to reflect on the ethical values that should inform a public official’s behavior. It must then assiduously put these values into action. An ethics code is not a “silver bullet” solution to ethics issues for an agency. But, by committing to both a process of developing and implementing a values-based ethics code, an agency and its officials can be better prepared for challenges they may face. There is also a synergy when multiple agencies make this commitment and adopt a code. If significant numbers of local agencies adopt and genuinely implement such values-based ethics codes, it will provide empirical support for the proposition that many believe to be true – that local government is the most responsive, ethical and accountable level of government. Let the Institute for Local Self Government know what your agency decides to do, what you learn from the experience and how this guide can be improved. We welcome your feedback in all forms. Feb. 11, 2021 Item #1 Page 95 of 100 56 This page was left intentionally blank. C HAPTER 6 Feb. 11, 2021 Item #1 Page 96 of 100 57INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE Websites ....................................... 57 Publications ................................. 59 IN THIS CHAPTER RESOURCES OF INTEREST WEBSITES American Society for Public Administration. This organization has an interesting, values-based professional ethics code. www.aspanet.org/ethics/coe.html Center for the Study of Ethics in the Professions. Sponsored by the Illinois Institute of Technology, this site provides links to ethics codes online. www.iit.edu/departments/csep City Ethics. A collaborative effort with the Council on Governmental Ethics, this site features presentation materials from conferences and links to other ethics sites. www.cityethics.org Communities of Character. Communities of Character is a comprehensive and practical approach to character education and training which helps organizations define their core values. Groups identify the ideals that will shape behavior. www.communitiesofcharacter.org Ethics Toolkit. An interesting site offering a “toolkit” for adopting ethics codes. www.ethics.org/toolkit.html Independent Commission Against Corruption. This site has a 200-plus page guide entitled “Practical Guide to Corruption Prevention.” www.icac.org Ethics Codes and Campaigns. This site has information for candidates, media and the public about promoting voluntary codes of campaign conduct. http://www.campaignconduct.org/ Feb. 11, 2021 Item #1 Page 97 of 100 58 R ESOURCES OF INTEREST PUBLICATIONS Berman, Evan M., West, Jonathan P., Bonczek, Stephen J. (editors), The Ethics Edge, International City/County Management Association: 1998. Blanchard, Ken & O’Connor, Michael, Managing By Values, Barrett-Koehler Publishers: 1997. Josephson Institute of Ethics, Preserving the Public Trust: Five Principles of Public Service Ethics, Josephson Institute of Ethics: 1997. Kazman, Jane G. and Bonczek, Stephen J., Ethics in Action: Leader’s Guide, International City-County Management Association: 1999. Kidder, Rushworth M., How Good People Make Tough Choices, Simon & Schuster: 1995. Lewis, Carol W., The Ethics Challenge in Public Service: A Problem Solving Guide, Jossey-Bass Publishers: 1991. Mackenzie, G. Calvin & Hafken, Michael, Scandal Proof: Do Ethics Laws Make Government Ethical? Brookings Institution Press: 2002. Wear Simmons, Charlene, Roland, Helen, Kelly-DeWitt, Jennifer, Local Government Ethics Ordinances in California, California Research Bureau: March 1998 (available online at www.library.ca.gov/ CRB/98/02/98002.pdf).a Local Agency Code of EthicsRev9_1.doc Feb. 11, 2021 Item #1 Page 98 of 100 59INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODEPublication Order Form To order publications, fill out this order form and mail it with your payment to the address shown below. Thank you for your order. TITLE SKU # QUANTITY UNIT PRICE TOTAL Developing a Local Agency Ethics Code: A Process- Oriented Guide 1505 $20.00 1376 $15.00Ethics Law Training for Local Law Officials (Video) 10% discount for orders of five or more copies of the same publication. All prices include sales tax. 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Ethics & the Elected Offiicial: Avoiding the Slippery Slope (Video)1299 $15.00 Shipping & HandingShipping/Handling Charges Order Amount Add $1 – $9.99 .....................................................$3.00 $10 – $24.99.................................................$7.00 $25 – $74.99.................................................$9.00 $75 – $124.99 .............................................$13.00 $125 – $199.99...........................................$16.00 $205 – $349.99...........................................$20.00 $350 and up .........................................8% of total 1181 $10.00A Local Official’s Guide to Ethics Laws TOTAL Feb. 11, 2021 Item #1 Page 99 of 100 Developing a Local Agency Ethics Code: A Process-Oriented Guide SKU: 1505 Price: $20.00 1. What An Ethics Code Is. An ethics code reflects the agency’s shared values in public service, leadership and decision-making. A code reflects upon the agency and gives the public confidence about the agency’s values and priorities. 2. The Process Is As Important As the Product. While it makes complete sense to start with a review of other agencies’ codes, it is important to have your agency’s code reflect the unique values and priorities for your community. It is also important for those whose conduct will be guided by the code to have input into the content. 3. Style Matters. An agency’s code should be written in simple, direct language. Standards should be stated as much as possible in the positive (what kinds of conduct are desired as opposed to what is prohibited). Illustrate the standards for greater clarity and under- standability (What does a particular standard or value look like in practice? What kinds of behavior are inconsistent with the particular standard or value?). Avoid legalistic language at all costs. 4. Values-Based versus Rule-Based Codes. Rules-based codes speak in terms of “don’ts”. Values-based codes speak more in terms of aspirations and priorities (“do’s”). The concept underlying this guide is that values- based codes serve as a positive complement to the current framework of ethics laws in California. 5. Adoption of the Code Is Just the First Step. For the agency’s ethics code to truly make a difference, the values expressed in the code need to be communicated and applied. The code needs to be communicated to all whose behavior is intended to be guided by the code; training/orientation sessions need to cover the code and its importance to the community. This is how officials “walk-the- talk,” and the “walk” needs to start at the upper-most levels of the organization. 6. Periodic Review Helps. Periodically reviewing the principles in the code (this guide recommends an annual review) keeps the code current and in everyone’s consciousness—including the public’s. This process can include the addition or revision of standards, as well as the expansion of the code’s application to others in the agency. 7. Accountability. Self-accountability is the most constructive approach. A helpful question to pose in a situation in which it appears conduct inconsistent with the code will occur or has occurred is whether a particular course of action is or isn’t (was or wasn’t) consistent with the agency’s ethics code and values. When a heavier hand is necessary, any warning and counseling of individuals about the importance of adhering to the code should be done in a fair, consis- tent and even-handed manner. TOP SEVEN THINGS TO KNOW ABOUT ETHICS CODES Feb. 11, 2021 Item #1 Page 100 of 100 Tammy Cloud-McMinn From: Sent: To: Steve Linke <splinke@gmail.com> Tuesday, February 9, 2021 3:24 PM City Clerk All Receive -Agenda item ff -1-· For the Information of the: CITY COUNCIL Date J/412/ CA ~ cc ~ CM~ACM .......-OCM (3):::::_ Subject: FW: Correspondence for 2/11/2021 City Council Goal-Setting: Mobility issues I sent the following email to council@carlsbadca.gov, but I probably should have sent it here. From: Steve Linke [mailto:splinke@gmail.com] Sent: Tuesday, February 9, 2021 3:21 PM To: council@carlsbadca.gov Subject: Correspondence for 2/11/2021 City Council Goal-Setting: Mobility issues Honorable Mayor and Councilmembers: I have been following mobility issues in Carlsbad for ten years. For the last two years, I have been on the Traffic and Mobility Commission (T&MC) and have closely followed the mobility aspects of development applications brought to the Planning Commission and City Council. We hear frequently about limitations on funding and staff time for mobility projects. One solution to these challenges, which is also consistent with our Growth Manageme_nt Plan (GMP), is to have developers fund reasonable mobility projects adjacent to their projects to address their direct impacts, and to pay their fair shares into the more general Traffic Impact Fee (TIF) Program for their indirect impacts. I feel that the Community Development Department is not properly implementing the current guidelines and programs (requiring only minimal mobility improvements with little oversight), and that the guidelines and programs themselves are long overdue for updates. As such, many opportunities for developer-funded/directed mobility projects have already been lost. And they will continuously be lost for the many current and future development applications, as long as the current rules and culture are in place. I am pleased to see that revisions to the following list of guidelines and programs are on the task lists for tbe Transportation and Community Development departments, but I urge you to reinforce their importance during your goal-setting: · • Transportation Impact Analysis (TIA) Guidelines • Vehicle Miles Traveled (VMT) Analysis Guidelines • Traffic Impact Fee (TIF) Program • Transportation Demand Management (TDM) Program • Multimodal Level of Service (MM LOS) point systems Here are a few examples of concerns on each of the above. TIA Guidelines: Community Development staff claim that they do not have to follow all of the provisions in the current TIA Guidelines, including an excuse that the document has never been publicly reviewed or adopted by council. Meanwhile, my requests for review by our commission have been pending for over a year. VMT Analysis Guidelines: Creative strategies are being used to increase the mitigation levels of VMT reduction measures, including characterization of the purchase of a handful of ebikes as a "Neighborhood Electric Vehicle Network" program. 1 I I • •-J1 TIF Program: TOM funding has been included by staff as a development "condition of approval" to mitigate traffic impacts, but the requirement later has been waived, because staff failed to establish a funding mechanism to collect the TOM funds (i.e., through the TIF Program). TOM Program: While a commercial TOM program has been developed, there is no residential TOM program, and every major development project over the last two years that has required TOM under the GMP or CEQA has been a residential project. And staff has applied only the minimal requirements of the commercial TOM program, regardless of . the size of the residential project, and there is no guarantee of enforcement. MM LOS point systems: The cu rrent point systems do not reflect reality and do not require meaningful improvements beyond having the minimum sidewalks and bike lanes-and a trash can and small bench at bus stops. The T&MC is currently reviewing these, but they should be adopted by council and not be continually tweaked over time, as they have in the past. These are just a few examples, but I have a long list that I plan to use to suggest more comprehensive revisions and to close loopholes that are used to avoid following the rules. Best regards, Steve Linke CAUTION: Do not open attachments or click on links unless ou recognize the sender and know the content i safe. 2 From:Stephanie Wells To:City Clerk Cc:Council Internet Email Subject:Correspondence for the 2/11 Goal Setting Meeting: Police Oversight Commitee Date:Wednesday, February 10, 2021 5:11:05 PM Please include this statement in the public record. Mayor and Councilmembers, My name is Stephanie Wells and I’m a resident of D1. I’d like to start by thanking you for conducting an open dialogue with the community regarding forming a police oversight committee. I attended Monday's meeting and as expected, the group was equally divided. The thing is, this decision doesn’t need to be divided or partisan, civilian oversight helps both sides in the same way body cameras do. Body cameras increase the publics' trust and confidence in law enforcement knowing that body cameras help collaborate the facts in any encounter of concern. The ensuing footage brings a quicker resolution, improves officer safety, and prevents crime. A police oversight committee helps increase that trust and confidence by having outside experts rule that the measures taken were within policy and procedure. The formation of this oversight helps protect our city, it’s citizens, and avoid unnecessary lawsuits. When people claim we don’t need oversight because we don't have a racism problem in Carlsbad, this denial is the action that continues to normalize mistreatment and further divides the nation. The act of denying racism is inherently racist. The conscious decision to verbally deny racism is one that is caped behind prejudice, and the devaluing of black life. In the current politically divided atmosphere where everything is high strung, the footage and an oversight committee may protect officers from false accusations and unrest in our city following an incident. I urge the city to form a police oversight committee that helps protect our police officers and provide more trust and confidence in the work that they do. Thank you, Stepanie Wells 92008 All Receive - Agenda Item #__1__For the Information of the:CITY COUNCILDate:_2/11/21___ CA__X__ CC__X__ CM__X__ ACM__X__ DCM (3) X From:Gary Nessim To:City Clerk Subject:Goal setting city council workshop Date:Thursday, February 11, 2021 7:36:26 AM Council Members Please consider that some Goals such as “ Lower the railroad tracks in a trench through the Village to improve safety” once adopted and set in motion can continue as goals but as less work is needed room is opened for new additional goals. 5 or 6 goals are probably insufficient for this council and dropping unobtained in unwise. Gary Nessim CAUTION: Do not open attachments or click on links unless you recognize the sender and know the content is safe. From:Manager Internet Email To:City Clerk Subject:FW: Goal Setting Comments Date:Thursday, February 11, 2021 8:35:16 AM From: Linda Geldner <linda@geldner.com> Sent: Wednesday, February 10, 2021 4:36 PM To: Matthew Hall <Matt.Hall@carlsbadca.gov>; Keith Blackburn <Keith.Blackburn@carlsbadca.gov>; Cori Schumacher <Cori.Schumacher@carlsbadca.gov>; Priya Bhat-Patel <Priya.Bhat- Patel@carlsbadca.gov>; Teresa Acosta <Teresa.Acosta@carlsbadca.gov>; Manager Internet Email <Manager@CarlsbadCA.gov> Subject: Goal Setting Comments Honorable Mayor, City Council and City Manager, I watched your goal setting (Strategic Planning) meeting of February 4th and the one in 2019. Thanksto all of you for your service and openness. I also appreciate the opportunity to comment. Based on what I heard and my observations of the organization I am providing some thoughts andideas for your consideration. I have been a facilitator for many years. As an example I facilitated theweekly Executive Steering Committee meetings and multiple Strategic Planning sessions at NAVFACSW for several Commanding Officers (over 3-4 years). So I have probably generated more ideas herethan you can implement, but hopefully you will find something useful. Mr. Chadwick's presentation was very powerful, informative and forthright. Good job!There was a comment about buckets, which I agree could be a good approach and I havesome ideas based on the 3 that were proposed:Process discussions work best when preceded by a discussion of roles/responsibilitiesand when they include a discussion on organizational structure, since both affectprocess.Project discussions at a strategic level work best when started with a discussion on thebig picture and an agreement on priorities. It is often easier to categorize projectpriority as A, B or C vs trying to rank them. Next it is important to focus on the actionsneeded to implement a few key projects. It also seems to me projects fall into twocategories services/support or facilities.Goals should be revisited at the end of your Strategic Planning session along with itemsfrom the bicycle rack to decide if the Vision/Big Picture Goals need to be adjusted.It was also great to hear the idea of a comprehensive Coastal (Action) Plan gain some traction.As an idea, you could develop a framework/roadmap for that Action Plan and also use theprocess as an exercise in goal setting. That way you create something useful (meat andpotatoes), while learning how to work together to set goals. It would also allow you to discussexisting roles/responsibilities and how processes work across departments. Adding adiscussion afterwards about how you worked together, how to improve processes andpossible organizational improvements could help build trust. BTW- I added the term action tothe name of the plan because I believe it is important for Carlsbad to become more actionoriented to move things forward.Breakout teams were mentioned and I think could be used to help develop implementation(action) plans. It could help encourage work across departments and hopefully accomplishmore in a shorter timeframe. The breakout teams could include one or two Council members(or you could include the City Manager and have 3 teams of 2) plus a staff member from eachdepartment involved. Facilitation and clear expectations will help. Having the breakout teamsreport back for discussion and then working together as a whole Council to reach consensuson an Action Plan could also help build trust. Your Strategic Planning is very important and I believe it has the potential to bring us together as acommunity. I trust you to work together for the community and wish you great success. Thanks somuch. Kind Regards, Linda Geldner linda geldner, r.a. / principal CAUTION: Do not open attachments or click on links unless you recognize the sender and know the content is safe.