HomeMy WebLinkAbout2021-05-06; City Council; ; City Council Workshop Focused on the Topics of Implicit Bias, Microaggressions, Teamwork, Communication Strategies, the Development of an Ethics Code and a PrioritizationCITY COUNCIL
Staff Report
CA Review CKM
Meeting Date: May 6, 2021
To: Mayor and City Council
From: Scott Chadwick, City Manager
Staff Contact: Sheila Cobian, Assistant to the City Manager
Sheila.cobian@carlsbadca.gov or 760-434-2820
Subject: City Council Workshop Focused on the Topics of Implicit Bias, Microaggressions,
Teamwork, Communication Strategies, the Development of an Ethics Code and
a Prioritization Exercise Regarding Outstanding Minute Orders
District: All
Recommended Action
Participate in a facilitated City Council workshop regarding the topics of implicit bias, microaggressions,
teamwork, communication strategies, the development of an ethics code and a prioritization of
outstanding City Council minute orders.
Executive Summary
At the City Council Goals Workshop held on March 11, 2021, staff facilitated a goal prioritization
discussion and exercise. City Council voted to approve conducting a facilitated City Council workshop to
work on team building, City Council communication and an ethics code to support the delivery of
superior public service.
Discussion
A team of staff members with representatives from the City Attorney, City Manager and Human
Resources departments worked together to identify facilitators to conduct the workshop described by
City Council at their March 11 goal setting meeting.
The first part of the workshop will be facilitated by Ellen Krug. Ms. Krug will lead a discussion on the
topics of implicit bias and microaggressions.
The second part of the workshop will be facilitated by JoAnne Speers. Ms. Speers will lead a discussion
on the topics of teamwork, communication strategies and the development of an ethics code.
Finally, staff will guide the City Council through a brief exercise to prioritize outstanding minute orders.
Exhibit 3 includes the list of outstanding minute orders.
Fiscal Analysis
There is sufficient funding in the City Council FY 2020-21 budget for the costs to conduct the facilitated
City Council workshop.
May 6, 2021 Item #1 Page 1 of 91
Next Steps
Based on the City Council's discussion and direction, staff will prepare and present an ethics code for the
City Council's consideration at a subsequent City Council meeting. Staff will also continue working on
completing the tasks requested in the outstanding minute orders based on the priority established by
the City Council.
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 arid it was available for
public viewing and review at least 24 hours before the scheduled meeting date.
Exhibits
1.Workshop materials provided by Ellen Krug, Human Inspiration Works, LLC
2.Workshop materials provided by JoAnne Speers, Sz Ethics Strategies
3.Outstanding Minute Orders as of April 28, 2021
May 6, 2021 Item #1 Page 2 of 91
Exhibit 1
Human Inspiration
\Nor KS LW
A Deep Dive into Gray Area Thinking® and Allyship 101: How to
Welcome, Accept and Support All Humans, Including "Other"
Everyone habitually categorizes and groups humans who appear "different" from "us,"
which often lends to black and white thinking, as in "we" versus "them" or "safe" versus
"risky" or "American" versus "immigrant" and a host of other isolating labels. With this
presentation, I remind that regardless of skin color, religion, LGBTQ status, or gender, we
are each working to survive the Human Condition.
Because I've experienced what it means to move from one of "us" (as an ostensibly
heterosexual Christian white male) to one of "them" (as a heterosexual Buddhist
transgender female), I have far better idea of what discrimination and "otherness" feel
like compared to when I lived as a high-earning white male trial lawyer. I also better
understand what it's like to be part of a community that society often marginalizes or
even shuns.
Moreover, as workplaces and organizations tackle the hard work of being more
welcoming to all team members/colleagues and the public (particularly for entities that
directly engage the public), "allyship" (the action part of being an ally) becomes critical.
To implement best practices relative to inclusivity and allyship, there first must be a culture
that promotes such values. Often, creating and maintaining that culture involves
difficult—and sometimes personally courageous—conversations. Those conversations
can be in groups or one-on-one.
How do we create a landscape that promotes good culture-building? What are the
rules? What if culture leaders don't participate or have buy-in? Similarly, what if some
leaders feel excluded from the discussion?
This training focuses on best practices relative to fostering and maintaining an
organizational culture that respects all team members through inclusivity and allyship. It's
all about mindfully protecting others despite our obvious and not-so-obvious differences.
Finally, I believe that 98 percent of all humans want to do the right thing; it's just that
many of us don't know what the right thing is or we're afraid to take risks that involve
interacting with people who are "different" from "us." With this talk, I offer a way—a
toolset called Gray Area Thinking®—for getting past our fears to interact with diverse
humans in a mindful and compassionate way. Doing so can be quite wonderful!
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Ground Rules
•98% of everything that I tell you is stuff that you already know; the problem is that
we're just not paying attention to what's happening around us.
•This is a judgment-free zone. Shaming or guilt are not at all intended.
•Respect for other humans is paramount.
•Understand that al/ will be uncomfortable.
•We can only grow through discomfort; it's not working to create lasting change
from our Barcaloungers.
•I'm going to push you—in a kind and gentle way, but still, I will push you.
•This isn't at all about good or bad people; rather, it's about understanding historical
and present-day frameworks and then working to create positive change.
•This isn't a gripe session nor is it a political rally.
•Talking about how we "Other" humans is an incremental process; people must be
brought along. You must bring yourself along.
•I can't give you structural change in three hours. However, I can be a catalyst to
cause you to have conversations. From those conversations, change can
happen.
I. Gray Area Thinking—Human Inclusivity
1. How we Group and Label Others/"GIP" Behavior: Challenges to
Inclusivity Countered by Two Saving Graces
•"Inclusivity": The extent to which a person feels that they "matter" or are of
value to an organization or a group of people.
•The power of Human Familiarity—acclimating to Ellie's voice.
•Making people "Other" via grouping and labeling.
•Neurobiology at work: Humans are wired for grouping and labeling/being
mindful that you do it/don't allow yourself to marginalize others whom you
group or label.
•The concept of "GIP" (Group Identifying People)—insider vs. outsider.
•GIPism provides security and identity but also inhibits group members from
interacting with humans who constitute "Other."
•Saving Grace No. 1: Humans have good empathetic hearts and want to
do the right thing—hardwiring for empathy and compassion. 98 percent of
people have good empathetic hearts; it's just that many aren't paying
attention to use them, or we're afraid to do so.
•Saving Grace No. 2: Buttressing empathy by remembering the Four
Commonalities: (1) wanting a child in our life to succeed; (2) the need to
be free of physical or emotional violence; (3) wanting 20 minutes of
personal peace; and (4) the need to love and be loved.
•For the Council, there's a 5," Commonality: Love for Carlsbad.
•How the Four Commonalities can radically change our fear-driven society
to be more inclusive and accepting of all.
•Remembering the person who pours water for you at the restaurant tonight.
•The power of normalization; good and bad.
•A powerful simple statement: Telling someone, "I care about you."
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2. How We Group and Label Ourselves—The Identity Game
•The Identity Game—how self-labeling/categorizing drives and isolates
humans.
•Knowing that no one is alone in trying to survive the Human Condition.
•The power of finding others who are struggling just like "me."
•We can't understand another's story simply by how they appear or present.
•Human vulnerability pulls us into each other; labeling vulnerability and
valuing it.
•Our core identity: Compassion for others.
3. Engaging in Gray Area Thinking®: A Toolset for How to Exercise Our
Empathetic Hearts
•Societal/cultural biases for black-and-white thinking: Good vs. bad; gay vs.
straight; success vs. failure; rich vs. poor.
•In reality, many persons "live in the gray" relative to gender, sexuality, race,
religion, careers, relationships, etc.
•Hallmarks of Gray Area Thinking®:
(a)Awareness of human vulnerability (or suffering);
(b)Risk-taking to soften or lessen another's
vulnerability (or suffering);
(c)Acting with Compassion/kindness.
•Three key takeaways: Stopping for another human; ensuring for human
dignity; and "seeing" other humans.
•A sobbing stranger on a park bench: The Platinum Level of Gray Area
Thinking®.
•Bronze Level Gray Area Thinking® involves day-to-day awareness and risk-
taking.
•A pitch for self-help and other groovy stuff: Gray Area Thinking® works
inward as well as outward!
•Remember ARC (Awareness, Risk-taking, Compassion/Kindness).
4. Three Levels of Human Inclusivity—Tolerance, Acceptance and "Rock
Star"
•Mentoring: Helping a team member succeed in the job they're assigned.
•Sponsorship: Mentoring on steroids—thinking imaginatively (and sometimes
using political capital) to enrich a team member, who in turn will enrich the
organization.
•Tolerance: Not valuing a team member's personal story/limiting familiarity.
Doing the bare minimum. No imagination for positive interaction.
•Acceptance: Becoming familiar with another; still, "acceptance" often
means that we artificially draw lines on how inclusive we will be/limit
imagination or curiosity about another. Refusing to sponsor someone.
•"Rock Star": The inclusivity goal for every organization! Thinking
imaginatively/with curiosity about empowering team members via some
form of sponsorship. Recognizing human potential and working to unleash
it. Asking yourself, "What new person should I invite to this meeting (or lunch
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or dinner or party)?" Can take using political capital to help position
someone as a future leader. Consciously ignoring your tendency to group
and label.
•We can't sponsor every team member, but certainly we can do better than
what's happening now. Use your imagination; simply giving someone a
note, "You did great today!" can make a huge difference.
•Tips:
o Create space for persons who live in the margins; don't allow for a
thin margin for failure.
o No apples-to-apples treatment—SAT or ACT test scores don't tell the
complete story; persons with privilege haven't learned poverty or
marginalized life skillsets.
o Don't be afraid to speak up for a person: "Hey, what you just said
isn't at all cool!"
o Understand that society easily utilizes double standards and ask why
that is.
o The difference between "opinion" and "experience." We all have
opinions but often lack the experience to create informed opinions.
o Don't assume that you know what everyone's experience is; it's true
that society treats "different" persons "differently"; you can't get
blisters unless you walk in another person's shoes (or vice versa).
o Awareness that explicit bias, implicit bias, micro-inequities, micro-
aggressions, and cultural incompetency/arrogance all exist.
o The difference between arrogance and curiosity.
o A truly inclusive organization is filled with Rock Stars!
o Inclusivity must be a constant value; it requires a positive, visible
workplace culture and won't occur unless there's culture leader
buy-in, leadership, and modeling. Otherwise, the organization will
only waste time, money, and people.
•The dark side of familiarity—humans can tolerate almost anything if they
hear/experience it long enough.
•What's happening at your "front counter" relative to customer service and
colleague interactions? Are team members treating the white-color
woman wearing pearls differently than the black woman wearing a hijab?
What have you done to answer that question?
•Host conversations in your organization or community with the intent to get
to know anyone who is "Other" by virtue of skin color, religion, LGBTQ status,
disability status, or anything else that we use to separate us. Here
are some prompts (several are courtesy of Michael Fosberg, author of
Incognito: An American Odyssey of Race and Self Discovery):
> Tell us two hobbies you engage in.
>Who had a great influence on you or in your life?
>Tell us about a turning point in your life.
>Name something that you are grateful for.
>What is your earliest race-related memory?
>Name an "oh ha" moment in your life.
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II. Allyship 101—The Glue that Holds Inclusivity in Place
1. Basics re: Allyship
•"Ally" is an identity; "Allyship" is a form of action.
•An ally acts to help humans who often lack a voice to speak on their own
behalf or who aren't always in the room when demeaning or marginalizing
comments/behaviors occur, or marginalizing policies or plans are made.
Thus, it's important to understand that "ally" connotes way more than mere
awareness and that "allyship" means actively protecting or speaking up in
support of humans who lack equity. This may also include calculating the
risks of speaking up/engaging in allyship.
•Words and Phrases for $500: an important first step in allyship is
understanding the historical/statistical framework for why certain groups of
human need allies. Hence, one must understand words and phrases like
"privilege," "marginalization," "sexism," "equity," "legal rights,"
"mansplaining" and "It was only a joke!"
•Recognizing that there are many "communities" which identify by race,
gender, LGBTQ status, ethnicity, disability status, religion, socioeconomic
status, age, etc. I know, things are complicated!
•Covering the Territory: Allyship is not limited to protecting/speaking up on
behalf of one group. Rather, many groups—women, people of color,
persons practicing non-mainstream religions (or none), LGBTQ persons,
older persons and persons with disabilities all need workplace allies;
sometimes they need for those allies to show up in different ways.
•Culture and Systems: Allyship can't operate in a vacuum. An
organizational or workplace culture that values marginalized
humans/team members operates way differently than a workplace or
system that doesn't (e.g., does there exist an inclusivity mission or value
statement and/or employee resource groups?).
•Do's and Don'ts: Because we lack a Human Owner's Manual, we humans
must figure out things as we go along. As with anything else, there's a right
way to be an ally and a wrong way. Every ally makes mistakes; it's critical
to apologize; forgiveness is equally critical; and good intent matters on both
sides of the equation.
•lntersectionalities: Allyship usually intersects with other core workplace
factors, such as management styles; personal growth; political correctness;
and balancing workplace life with personal life. Yep, nothing is easy!
•Allyship is inconvenient: a true ally shows up all the time regardless of the
setting or parties involved. It's not the kind of thing one might turn on or off.
•Modeling: Whether organizational leaders intend or not, their behavior
(words/actions) constitute modeling for team members (or in the case of
elected officials, modeling for constituents). Everything ripples; that rippling
can be positive or negative. It's rarely, if ever, neutral.
•Compassion=giving of time to be a mentor or a sponsor. Sponsorship is the
highest form of compassion. It also can be a way of demonstrating allyship
to another person or group of people.
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•An Acronym to Remember: ALLY: A (Awareness—both historical and
present-day); L (Looking—to protect who is present and who isn't); L
(Listening—to what's said and what isn't said); Y ("Yo"—as in "Yo, that's not
a cool thing to say." In other words, actually acting as an Ally).
•Process, process, process: It's okay if you miss an opportunity to be
someone's active ally—things happen. Just resolve to try harder next time.
Persistence does pay off!
2. Historical Awareness—Critical to Allyship
•Understanding that everyone has both obvious and hidden identities and
traumas, each of which can be a basis to marginalize or discriminate
(including to ignore) another human.
•Our identities are informed by history (and sometimes, historical trauma),
family, an intrinsic need to live authentically, current political or social
landscapes, and a host of other things.
•Many of us have blind spots relative to the historical and present-day
challenges of others.
•Practice in expanding/formulating perspective and minimizing judgment.
Read up about others' challenges.
•if you want to be an ally, you must educate yourself about the history and
challenges of the group you're an ally of.
•Many of us simply want to be "seen"—respected for who we are. Learning
about marginalized groups will help to see them.
•"I want to understand this" vs. "Help me to understand this." The first
statement puts the burden on you to educate yourself as an ally; the
second statement puts the burden on the marginalized person. The goal:
it's your responsibility to self-educate and not that of the marginalized
person.
3. Engaging in Courageous Conversations (e.g., Talking or Speaking Up)
•The parties to an allyship-related conversation or event often include:
The Actor/Vocalizer/Marginalizer—the person who engages in
marginalizing behavior either intentionally or ignorantly;
The Target—the person who is he object of the marginalizing words or
behavior;
The Ally—the person in a position to speak up/act on behalf of the Target.
The Witness—someone who sees/hears what's happening and who's trying
to decide whether to engage in allyship.
The Avoider—someone who feigns ignorance or who avoids, runs away, or
simply refuses to do anything due to fear or indifference (more likely the
former rather than the latter).
•Styles of Allyship (or not):
Sliding Up—making your presence known and using body language
to let the Actor/Marginalizer know that their words/actions aren't
acceptable.
Direct Approach—using the "Yo" in ALLY to specifically
communicate to the Actor/Marginalizer that what they've
said/done isn't acceptable.
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Sidebar—Engaging the Target and/or the Actor/Marginalizer after
the microaggression takes place (to provide support for the Target
and to call out the Actor/Marginalizer re: their words or actions).
Reporter—alerting a person in power/in charge to the
Actor/Marginalizer's words or action and letting them take it from
there.
Avoidance—failing to engage in allyship; remember, humans are
great at denial/avoidance. However, avoidance won't prevent
your empathetic heart from making you feel shame.
Your Escape Phrase—because we often don't know what to say
when we experience or witness marginalization, a good "escape
phrase" is the word, "Uncomfortable," as in, "What you just said
makes me feel uncomfortable." Many times, this will stop the
marginalizer's behavior. Using the phrase may buy you time to figure
out a secondary strategy for how to deal with what you just
heard/witnessed (e.g., contacting a person in power to report the
incident).
•A reminder about what it means to be a "leader." A leader actually leads;
they "do." It takes personal courage to "do."
•Talking about inclusivity and allyship is difficult for many since we're always
afraid of saying the "wrong thing" or of offending someone who's on the
conversation (or who may later hear about the conversation). Once more,
we're back to the lack of a Human Owner's Manual.
•Often the most intimidating part of allyship is the actual conversation
(words, actions, body language) involved in advocating on behalf of
another human. Culture leaders need to model ways that promote safe
conversations and which still make the point. This includes handling those
"backroom conversations" where "it's just us men" (or "women" or "gay
folks" etc.).
•Ground rules for productive, safe Courageous Conversations: The Three
Freedoms and One Responsibility—freedom to think and imagine; freedom
to speak without risk of retribution; and the freedom to reply without being
judged. The responsibility: to speak only for myself.
•Constants: respect, civility and respecting one's personal space.
•More constants: focusing on intent and the need for forgiveness on
all sides.
•The No Seeping Rule: while it's critical that productive
action/conversations ripple from a Courageous Conversation, what
shouldn't ever seep are gossip/marginalizing words about
conversation participants.
•Us vs. Them: the goal is to always recognize commonalities far more
than differences (see the Four Commonalities from Gray Area
Thinking®) so that everyone is "us" focused.
•"Struggle": this one word encapsulates the arc of humanity as we
have moved from the "isms" (racism, colonialism, classism, sexism,
homophobe-ism, disability-ism, etc.) to freedom and mutual
recognition and respect. Everyone deserves an equal place at the
table.
•Work and Incrementalism: every item of progress relative to
inclusivity and allyship is incremental and most of all, it takes work.
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4. Apology and Forgiveness
•Apology: You are going to make a mistake/say/do the wrong thing; I
guarantee this. Own up to it and apologize to the person/group whom
you've offended.
•Timeliness: an apology needs to be timely—don't delay thinking that the
offended person (survivor) might forget what was said or done or by
believing that the survivor's behavior suggests that no harm has occurred.
•Genuine: an apology must be real and heartfelt. Just going through the
motions won't cut it. The survivor will see through you.
•Broken Trust: Mistakes that result in marginalization or in failing to speak up
for others or for oneself undermine trust. It's extremely difficult to regain trust
without genuine apology/changed behavior following the apology.
•Forgiveness: It's equally important to forgive; failing to forgive will create
festering that can infect the entire team and emotionally harm the survivor.
•If the survivor is having difficulty forgiving a transgression after the
marginalizer has genuinely apologized, the survivor must double
down/work to forgive. If need be, involve a therapist or counselor to assist
in overcoming the difficulty to forgiving.
•A wonderful resource for understanding how to forgive is the Worthington
REACH Forgiveness Model: http://www.evworthington-
forgiveness.com/reach-forgiveness-of-others/
5. Shutting Down Micro-Aggressions (aka Confronting Racism,
Homophobia, Transphobia, and other Marginalizing Behavior)
•Questioning: "I'm not sure what you mean by that statement (or question).
Can you tell me more?" Or if it's a joke: "I don't understand the joke; can
you break that down for me?"
•Educating: "Actually, I just read an article that says quite the opposite" or
"Really? I just read an online article (or saw on TV) that in fact the reality
•Empathetic Relating: "I wonder how it actually feels to be in her (his) (their)
shoes."
•Expressed Emotions: "I Statements" such as "I'm hurt by what you just said."
Or "I'm really rethinking our relationship (project, joint paper, party plans....)
because of your statement."
•Returning to it later/avoiding the Fight or Flight Emotion (aka Sidebar): "Two
days ago you said in the staff lounge...."
•Direct Approach: "Not cool dude. Not cool at all." (My favorite.)
•Double back to Gray Area ThinkingTm and internally (as well as externally)
fighting against normalization. We're human and operate off cues from
each other; this is sometimes good but often not so good re: being
welcoming.
•Everything takes work and facing our fears. Remember that, please!
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Quick Resources
•Brene Brown on understanding and valuing the power of human vulnerability:
https://www.ted.com/talks/brene brown on vulnerability?language=en
•Tony Hoagland, "The Cure for Racism is Cancer," The Sun Magazine (September
2018) https://www.thesunmaciazine.org/issues/513/the-cure-for-racism-is-cancer
•Rebecca Muller, "14 People on the Moment of Kindness that Changed Their Lives,"
Shine (December 4, 2018) https://advice.shinetext.com/articles/14-people-on-
the-moment-of-kindness-that-changed-their-
lives/?utm campaign=SMS&utm medium=BroadcastPopCulture&utm source=S
hine
•National Public Radio, "Study: Poor Are More Charitable Than the Wealthy" (2010):
https://www.npr.org/templates/story/storv.php?storyld=1 29068241
•Sheryl WuDunn and Nicholas Kristof, Half the Sky (New York: Vintage, 2010) (a
groundbreaking book about the second-class status of women in the world and
how women and girls have overcome crushing adversity).
Personal Contact/Standing Offer
Ellen (Ellie) Krug at elliejkrua@gmail.com
Website: www.elliekrug.com
Company website: www.humaninspirationworks.com
Author, Getting to Ellen: A Memoir about Love, Honesty and Gender Change (2013)
Book website: www.gettinatoellen.com (Book available on Amazon, Kindle, etc.)
Twitter: @elliekrug (feel free to Follow me)
Facebook: Ellen Krug Minnesota (feel free to Friend me)
Linked In: Ellen (Ellie) Krug (feel free to Connect with me)
Sign up for my newsletter, The Ripple, by clicking on "Newsletters/Media" at
www.elliekrug.com
Listen to podcasts from my AM950 radio show, "Ellie 2.0" (Saturdays 10:00-11:00 a.m. and
Sundays 1:00-2:00 p.m. CST) at http://www.am950radio.com/events/ellie-2-0/
My standing offer: any human can contact me relative to gender or sexual identity issues
or anything else related to surviving the Human Condition. I'm a good listener and willing
to meet with anyone in a public place or speak on the telephone for up to an hour. This
is a real offer. Email: elliejkrug@gmail.com
Please have compassion for yourself and for others and remember the need for Gray
Area Thinking®!
ellie
Copyright 2021 Co) by Ellen Krug
This document may not be reproduced or copied without permission (Rev. 5.211
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Exhibit 2
Memorandum
To: Mayor and City Council Members
From: JoAnne Speers Principal, S2 Ethics Strategies
Date: April 29, 2021
Subject: Resource/Preparation Support for May 6 Council Workshop
(Second Part: Communications, Leadership and Ethics)
I am very much looking forward to our conversations during the May 6, 2021 workshop.
As you know, one of the goals the Council recently set is to participate in a facilitated
discussion relating to team building, communication and ethics to support the delivery of
superior public service. The Council's discussion also indicated a desire to take advantage of
a process for adopting a values-based ethics code described in a 2003 Institute for Local
Government publication called Developing a Local Agency Ethics Code: A Process-Oriented
Guide.
The ILG process guide describes a process that enables a group to think about how values
inform behavior generally and more specifically in the public service context. The goal is to
answer the question: what do we do when we are acting at our best?
Here are materials you can review to prepare for the workshop:
•Begin with the End in Mind: Effective Councils. This is a recent Western City article that
describes the attributes of exceptional councils: https://www.westerncity.com/article/after-
campaign-over-aim-exceptional. Of course, if you read this in January when if was first
published, no need to read again.
•Synergies Among the Concepts t4 Communications, Teamwork and Values (2 pages).
Attachment A presents some thoughts (and research) relating to the connections among 1)
communications, teamwork and leadership, and 2) values and ethics. The attachment includes
www.strategiesilethics.com
May 6, 2021 Item #1 Page 12 of 91
Carlsbad Mayor and City Council
April 29, 2021
Page 2 of 2
suggested communications approaches (sometimes called "ground rules") that contribute to
effective teamwork.
•Process Structure, Possible Decision Points and Language for Workshop Work Product (31
pages, but lots of white space). Attachment B depicts the proposed overall process structure.
It also offers a series of "decision tools" as a way to support the Council in identifying their
respective preferences and generating ideas.
•Background Resource: ILG 2003 Publication Excerpt (44 pages). Attachment C (44 pages) is
an excerpt of the ILG guide, which is the same document (in abbreviated form) you received as
an attachment for your second goal-setting workshop. If you read that document then, you
need not do so again unless you want to refresh your recollection of its contents.
The process structure and decision tools (Attachment B) are an update of the
menus/worksheets in the 2003 RC publication based on language in subsequent local
agency codes and the Council's expressed interests in teamwork and communication. The
updated tools also supplement the 2003 guide by offering ideas of example behaviors and
contexts (which the guide originally suggested users come up with themselves).
However, the tools are not intended to limit or constrain your own ideas for either concepts or
language. The menus therefore include numerous blank spaces as prompts to invite your own
contributions. (These spaces make Attachment B appear lengthier than it substantively is.)
These decision tools are a part of the effort to be respectful of your time by making it as time
efficient as possible to prepare for and participate in the workshop. Reviewing the above
materials and thinking about your preferences and priorities should take 90 minutes to a few
hours, depending on how much time you would like to invest and how detailed you would
like to be.
Please feel welcome to reach out to me if you have questions or concerns. Again, I look
forward to May 6.
Attachments: A. Synergies Among the Concepts of Communications, Teamwork and Values
B.Description of Process Structure and Decision Tools
C.Excerpt from 2003 ILG Publication (Background)
May 6, 2021 Item #1 Page 13 of 91
Attachment A
Attachment A:
Synergies Among Concepts of
Communications, Teamwork, Values and Leadership
What strategies are available to leadership teams to maximize their communication effectiveness
with one another?
Consultant and scholar Dr. Roger Schwartz recommends team members use the following
communications strategies, which he (and others) call a "mutual learning approach." Dr.
Schwartz notes that this approach "honors the best of who we are as human beings."1
Underlying this approach, according to Dr. Schwartz, are the values of transparency, curiosity
informed choice, accountability, and cornpassion.2 The associated communications practices (or
behaviors) include:
•Defining important words/concepts; use examples
•Testing inferences and assumptions; asking genuine questions
•Explaining reasoning and intent when sharing views
•Focusing on interests (what needs does a solution have to meet to work for you?) instead
of positions
•Decision-Rules:
o Looking for areas of agreement
o Determining whether areas of disagreement can become areas of agreement with
modification (focusing on interests).3
Dr. Schwartz believes these strategies should be a team's agreed upon "ground rules" for
communication. He argues, based on his 30+ years of work in this area, that such an approach
leads to higher quality decisions, better working relationships, increased trust, productive (as
distinguished from destructive) conflict and reduced stress.'
Interestingly, many of these strategies dovetail with public engagement thought leader Dr.
Lawrence Susskind's "mutual gains" approach for effective public engagement strategies.5
See Schwartz biography at https://www.amazon.corn/Roger-M.-
Schwarzle/B001K8X12K?ref =dbs_p_pbk_r00_abau_000000.
2 See https://www.schwarzassociates.com/what-is-the-mutual-learning-approach/
3 Schwarz, R. Ground Rules for Great Meetings, Harvard Business Review (June 15, 2016), available from
hftps://hbr.org/2016/06/8-ground-rules-for-great-meetings
Dr. Schwartz' Liakedln page, Imps://www.linkedin.com/in/rogerschwarz/.
5 See, for example, Susskind, L. and Field, P. Dealing with an Angry Public: The Mutual Gains Approach to
Resolving Disputes (1996), New York, NY: Free Press.
4.27.21
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5Ethics
2,
Strategies Page A-1
Item #1 Page 14 of 91
Attachment A: Effective Team and Communications Strategy Options
Also thematically similar is the concept "facilitative leadership" described by public
administration scholar Dr. James Svara and scholar/former mayor Dr. John Nalbandian.6 They
note that facilitative leadership offers local elected officials a way to be effective leaders in local
government structures that 1) distribute power among a multi-member decision-making body
(councils) and 2) assign executive functions to the city manager.
Each of these practices also tie to the core values identified by the Institute for Global Ethics (see
below). For example, transparency relates to trust and informed choice and accountability relate
to responsibility. A suggestion is that the council try engaging in these practices during the
workshop and think about whether they want to include these practices in the work product from
the workshop.
Defining Important Words: Ethics
The Institute for Global Ethics was interested in the research question of whether the term
"ethics" could be defmed objectively in a way that most people can agree with. It interviewed
Nobel Peace Prize laureates representing differing nationalities, religions, life experiences and
cultures. That research suggested that most people agree that behaviors reflecting the following
values tend to result in what we call "ethical" behaviors:
o Trustworthiness
o Fairness
o Compassion
o Respect and
o Responsibility.
The Institute for Global Ethics therefore calls these "universal values."7 Influential author Mary
Gentile also looks to this research and these values for a working definition of ethics.8
It is important to note that certain situations can present choices (conflicts) between what the
Institute for Global Ethics considers to be universal or core values (which the Institute calls
"right versus right" ethical dilemmas). Some situations also present another kind of dilemma,
which is when acting according to values presents the risk of paying a personal cost (for
example, by putting a position or a relationship at risk). The Institute calls those kinds of ethical
dilemmas "moral courage" ethical dilemmas.9
6 See for example, John Nalbandian's influential essay (chapter 2) in Svara's book Facilitative Leadership in Local
Government (1996), available at
https://books.google.com/books?h1=en&lr=8cid=CqueEwi iXDEC&oi=fnd&pg=PA37&dq=Facil itative+Leadership
+for+elected+officials+nalbandian&ots=Z1o6HgcnEF&sig=8MbIjkOPc0FZOC6zaBDTZxA68UMItv=onepage&q=
Facilitative%20Leadership%20for%20elected%20officials%2Onalbandian&f=false (and concluding at pp. 52-53
with the importance of the values of trust, respect and loyalty based on trust and respect).
7 Kidder, R.M. How Good People Make Tough Choices. (1995) New York, NY: Simon and Schuster at 77-108.
8 Gentile, M. Giving Voice to Values: How to Speak Your Mind When You Know What is Right. (2010) New Haven,
CN: Yale University Press.
9 See generally Kidder, R.M. Moral Courage. (2006) New York, NY: Simon and Schuster.
Ethics
y.2v.,12021 Strategies Item #1 Pagepla5ggfRi
Attachment B
Attachment B:
Decision Tools
Overview
This document has three sections:
1.A brief overview of process, which will include opportunities for input along the way;
2.A series of tables linking values to possible expressions or applications of those values to
the public service context and more specific aspirational behaviors (including some
accountability mechanisms); and
3.A draft preamble and implementation steps (with possible further accountability
mechanisms).
It's important to keep in mind that these materials are just the starting point for thinking and
discussing any work product resulting from the discussion and decisions at the workshop. The
goal is for the group to further flesh out, supplement and prioritize the concepts in the workshop
itself.
Decision Process and Points
Preliminary Decisions
Question 1: To
Whom Should the
Work Product Apply?
13 Council (Focus of 5/6 Workshop)
D Boards & Commissions
U Top Level Management
CIAO Staff
LI Other (Explain)
Question 2: What
Time Horizon?
D Review and update in a
year
Revisit as part of values
discussion in strategic
plan
D One and done
Cl Other (Explain)
Continued on next page
Ethics
4.29.21 Strategies
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May 6, 2021 Item #1 Page 16 of 91
Attachment B.
Decision Tool: instructions and Process
Work Product Content
O Comprehensive: All values
•Focused: Some values
•Focused & Tailored: Some values (for example,
respect) + communication & teamwork
J Streamlined: Just big picture expressions and
examples (less focus on values)
—I Simplified: "Big picture value expressions/no
examples
J Other (Explain)
Question 4:
What Specific
Content?
CI What behavior should
we aspire to?
LI How do we hold
ourselves accountable?
Wrap Up and Next Steps
Code Name
Question 5:
Final
Details
A First ("I.. ") or Third ("Council Members..
.") Person?
Li Preamble Language (see last page for draft)
U Implementation & Accountability (see
language in various menus + preamble
language)
U Other Loose Ends
4.29.21 5 Ethics
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May 6, 2021 Item #1 Page 17 of 91
Attachment B
Decision Tool: Instructions and Process
Decision Tools
To support you on determining the ultimate content of the work product resulting from the
workshop, attached are a series of "decision tools." These are an update of the menus/worksheets
in the 2003 ILG publication based on language in subsequent local agency codes and the
Council's expressed interests in teamwork and communication. The updated decision tools also
supplement the 2003 documents by offering ideas of example behaviors and contexts.
Note: some of these expressions are similar or even a bit redundant, because different councils
have chosen different ways of expressing themselves. What language best expresses the
Carlsbad City Council's views is part of the decision process.
The tools also illustrate the suggested multi-level aspect of developing standards, based on the
format pioneered by the City of Santa Clara in 2000. These levels involve identifying:
•Values or topics;
•"Big picture" expressions of those values or topics in the public service context; and
•More specific examples or contexts when those bigger picture expressions arise (ideally
framed as aspirational "do's" rather than "don'ts").
Here is an illustration of this three-level description linking values to increasingly specific
concepts:
Example
Core or
Universal
Value
What This Looks Like in
Practice in Public
Service
(Big Picture Do's)
Example Contexts or
Behaviors
(More Specific Do's)
Respect
As a leader of the
community, I model civility
in my words and actions.
I refer to my colleagues on the
Council by their formal city titles
(for example, "Council Member,"
"Mayor," etc.), unless an individual
has expressed a preference for an
alternative title (for example,
"Reverend," "Dr.," etc.)
4.2.9.21 ‘..
5Ethics Strategies Page B-3
May 6, 2021 Item #1 Page 18 of 91
Attachment B
Decision Too: instructions ,-.4rid Process
The underlying goals of this multi-level process are to:
•Start the conversation from a place of likely consensus (universal or core values as
identified by Institute for Global Ethics);
•Encourage group discussion about what these values mean generally in a public service
context and what document scope might serve the city's needs at this time; and
•Drill down to more specific behaviors to which the group wants to aspire.
In advance of group discussion, the process necessarily starts broad (more comprehensive). That
being said, a decision point for the Council is how comprehensive and/or detailed it wants its
workshop work product to be. The city could decide to focus on a few values or topics during the
coming year, for example, or consider whether fewer layers produce a clearer product. Question
3 in the preceding pages tees up these issues.
Finally, the following pages are framed as "tools" because they are options to select from among
(and the document formatting is designed to facilitate choice-making) However, the tools are
also intended to stimulate your thinking about what might be missing or what might be more
effectively worded. The tool provides space for these ideas.
Ethics
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May 6, 2021 Item #1 Page 19 of 91
What Does Trustworthy Behavior Look Like for Public Officials?
Value: Trustworthiness
•When Public Officials Are Acting at Their Best, What Does Being Trustworthy Look Like?
Possible 'Big Picture" Expression of What
Trustworthiness Means in Public Service
Context
Possible More Specific Examples of How or When Trust Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
in the column at
right: Yes, No
or Maybe?
Possible Expression:
Being Trustworthy
Means....
Possible Examples: An Example of Trustworthy Behavior
is. .. .
Your Reaction to
Example at Left:
Yes, No or Maybe?
1. I comply with both
the letter and the
spirit of laws that are
designed to promote
public trust and
confidence in our
agency's decision-
making.
I step aside from the decision-making process when my personal or
political interests may cause the community to reasonably question
whether I can put the public's interests first in my decision-making.
I avoid any actions or relationships that might cause the public to
question whether my decisions are based on individual interests
instead of the public's interests.
I decline gifts, services or other special considerations because of
my public position.
I do not use my public position or information I receive in
connection with that position for personal gain.
Ethics
4.29.21 Strategies Page B-5
May 6, 2021 Item #1 Page 20 of 91
What Does Trustworthy Behavior Look Like for Public Officials?
Possible "Big Picture" Expression of What
Trustworthiness Means in Public Service
Context
Possible More Specific Examples of How or When Trust Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
in the column at
right: Yes, No
or Maybe?
Possible Expression:
Being Trustworthy
Means....
Possible Examples: An Example of Trustworthy Behavior
is ....
Your Reaction to
Example at Left:
Yes, No or Maybe?
1 disclose suspected instances of unlawful behavior to the
appropriate authorities and support others who do likewise, but I do
not make false, questionable or unsupported accusations.
Additional/Alternative Examples of Complying with the Spirit of the Law?
Ethics
4.29.21 Strateglos Page 6-6
May 6, 2021 Item #1 Page 21 of 91
What Does Trustworthy Behavior Look Like for Public Officials?
Possible "Big Picture' Expression of What
Trustworthiness Means in Public Service
Context
Possible More Specific Examples of How or When Trust Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
in the column at
right: Yes, No
or Maybe?
Possible Expression:
Being Trustworthy
Means . ...
Possible Examples: An Example of Trustworthy Behavior
is . ...
Your Reaction to
Example at Left:
Yes, No or Maybe?
2. I am truthful with my
colleagues, the public
and others.
I carefully consider any promise I make and then I keep it; I make
only promises I believe are realistic.
i do not knowingly use false, inaccurate, unreliable or biased
information to support my positions or views.
I am transparent and forthcoming about my intentions and goals
with the public, my colleagues, staff and others. I contribute to an
interpersonal environment that supports such transparency and
forthrightness from others.
I honor commitments I and my agency make.
I represent the official positions of the agency to the best of my
ability when authorized to do so.
I am clear when stating my own views that these views may or do
not represent the agency's position; I do not allow the inference that
they do.
I credit others' contributions to moving our community's interests
forward.
EIhic
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May 6, 2021 Item 111 Page 22 of 91
What Does Trustworthy Behavior Look Like for Public Officials?
Possible "Big Picture" Expression of What
Trustworthiness Means in Public Service
Context
Possible More Specific Examples of How or When Trust Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
in the column at
right: Yes, No
or Maybe?
Possible Expression:
Being Trustworthy
Means . ...
Possible Examples: An Example of Trustworthy Behavior
is. .. .
Your Reaction to
Example at Left:
Yes, No or Maybe?
I only disclose confidential information when I am authorized to do
so.
Additional/Alternative Examples of What it Means to be Truthful?
4.29.21
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5Ethics
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Page B-8
Page 23 of 91
What Does Trustworthy Behavior Look Like for Public Officials?
Possible "Big Picture" Expression of What
Trustworthiness Means in Public Service
Context
Possible More Specific Examples of How or When Trust Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
in the column at
right: Yes, No
or Maybe?
Possible Expression:
Being Trustworthy
Means....
Possible Examples: An Example of Trustworthy Behavior
is . ...
Your Reaction to
Example at Left:
Yes, No or Maybe?
3. I invite public input
in the decision-
making process to
inform my sense of
what is in the
community's best
interests (note: could
go under
responsibility).
I am attentive and engaged in meetings.
I gain value from diverse perspectives and consider them in my
decision-making.
I act in ways that help people feel welcome and valued when they
participate in our agency's decision-making processes.
I involve all appropriate stakeholders and the public in general in
meetings affecting agency decisions.
Additional/Alternative Examples of What it Means to Support Public Input?
4.29.21
May 6, 2021
5L Ethics Strategios Page 8-9
Item #1 Page 24 of 91
What Does Trustworthy Behavior Look Like for Public Officials?
Possible "Big Picture" Expression of What
Trustworthiness Means in Public Service
Context
Possible More Specific Examples of How or When Trust Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
in the column at
right: Yes, No
or Maybe?
Possible Expression:
Being Trustworthy
Means ....
Possible Examples: An Example of Trustworthy Behavior
is .. ..
Your Reaction to
Example at Left:
Yes, No or Maybe?
What's missing as an expression of what it means to be trustworthy in public service or more specific examples?
What is a better way to express some of the above ideas?
Feel welcome to use the space below to record your thoughts (plus any additional sheets as necessary).
4.29.21
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Item #1 Page 25 of 91
What Does Respectful Behavior Look Like for Public Officials?
Value: Respect
•When Public Officials Are Acting at Their Best, What Does Being Respectful Look Like in Practice?
"Big Picture" Expression of What Acting
Respectfully Means in Public Service Context
More Specific Examples of How or When Respect Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a
Personal Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Respectfully
Means....
Possible Examples: An Example of Respectful
Behavior is ....
Your Reaction to the
Example at Left: Yes,
No or Maybe?
1. As a leader of the
community, I model
civility in my words
and actions.
In all communications contexts, I treat my fellow officials, staff
and the public with patience, courtesy and an appreciation for
our common humanity, even when we disagree on what is best
for the community.
I focus on the merits in discussions of issues, not personalities,
abilities, personal attributes, character or motivations.
I refer to my colleagues on the Council by their formal city titles
(for example, "Council Member," "Mayor," etc.), unless an
individual has expressed a preference for an alternative title (for
example, "Reverend," "Dr.," etc.)
I contribute to a culture of recognition by recognizing colleagues
and others who model values-based decision-making under
challenging circumstances.(Note: Also relates to
implementation strategies)
EIhk
4.29.21 Strategies Page B-11
May 6, 2021 Item #1 Page 26 of 91
What Does Respectful Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Respectfully Means in Public Service Context
More Specific Examples of How or When Respect Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a
Personal Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Respectfully
Means....
Possible Examples: An Example of Respectful
Behavior is ....
Your Reaction to the
Example at Left: Yes,
No or Maybe?
By words and actions, I model a response to disagreement that
emphasizes reasonable and well-intended people can disagree on
what best serves our community.
When campaigning, I limit my communications to issues relevant
to my fellow candidates' ability to perform the duties of the office
that we each seek (and encourage my supporters to do so as well).
Additional/Alternative Examples of How One Models Civility?
4.29.21 Strotegies Page B-12
May 6, 2023. Item #1 Page 27 of 91
What Does Respectfui Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Respectfully Means in Public Service Context
More Specific Examples of How or When Respect Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a
Personal Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Respectfully
Means....
Possible Examples: An Example of Respectful
Behavior is ....
Your Reaction to the
Example at Left: Yes,
No or Maybe?
2. I respect others' time
(note: could go under
responsibility).
I come to meetings prepared and having read the agenda
materials.
In deciding how to contribute to conversations, 1 prioritize
adding value and sharing relevant information and perspectives.
1 participate in and recognize the results of strategic planning,
goal-setting, budgeting and other activities that involve
collectively setting priorities for use of public resources,
including staff time.
Additional/Alternative Examples of Respecting Time?
Ethics
4.29.21 Strategies Page B-13
May 6, 2021 Item #1 Page 28 of 91
What Does Respectful Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Respectfully Means in Public Service Context
More Specific Examples of How or When Respect Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a
Personal Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Respectfully
Means....
Possible Examples: An Example of Respectful
Behavior is . . . .
Your Reaction to the
Example at Left: Yes,
No or Maybe?
3. I recognize that others
have different
perspectives and
information that can
help me decide what
best serves our
community's interests.
(Note: also can relate
to inviting public input
under trustworthiness
and communication
under responsibility.)
I am open-minded, willing to listen to all perspectives, and 1
communicate this often in both word and action.
I endeavor to make people feel heard, by listening carefully,
sharing what 1 think I have heard, asking clarifying questions,
and seeking to understand the interests underlying their
positions.
Additional/Alternative Examples of Demonstrating Respect for Others' Perspectives
Ethics
4.29.21 Stroiegies Page B-14
May 6, 2021 Item #1 Page 29 of 91
What Does Respectful Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Respectfully Means in Public Service Context
More Specific Examples of How or When Respect Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a
Personal Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Respectfully
Means....
Possible Examples: An Example of Respectful
Behavior is ... .
Your Reaction to the
Example at Left: Yes,
No or Maybe?
4. My actions reflect the
belief that elected
officials, city staff and
others who serve the
agency are on the
same team in service
to the community,
even though we have
different roles.
I act on the understanding that staff's role is to provide objective
information and analysis to inform the decision-making process,
even if it doesn't support the decision I believe is best.
My actions contribute to a positive work environment for agency
staff and others who serve the agency.
When I have a question on an agenda item, I ask it in advance so
staff can be prepared to provide the most complete answer to
inform both the council and the public.
I act on the understanding that I am part of a group decision-
making process and that staff takes direction from Council
collective action.
I involve staff in meetings I have with those with business before
the agency, officials from other agencies and legislators, to keep
staff informed.
I communicate any concerns I have about city functions, staff
analyses or individual staff performance to and through the city
manager.
Ethics
4.29.21 Strategies Page B-15
May 6, 2021 Item #1 Page 30 of 91
What Does Respectful Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Respectfully Means in Public Service Context
More Specific Examples of How or When Respect Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a
Personal Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Respectfully
Means....
Possible Examples: An Example of Respectful
Behavior is . ...
Your Reaction to the
Example at Left: Yes,
No or Maybe?
Additional/Alternative Examples of Respecting Various Team
Members' Respective Roles?
4,29,21
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Page B-16
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What Does Respectful Behavior Look Like for Public Officials?
What's missing as an expression of what it means to be respectful in public service?
What is a better way to express some of the above ideas?
Feel welcome to use the space below for your thoughts.
4.29.21
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5Ethics Strategies
Item #1
Page 647
Page 32 of 91
What Does Compassionate Behavior Look Like for Public Officials?
Value: Compassion
•When Public Officials Are Acting at Their Best, What Does Being Compassionate Look Like in Practice?
"Big Picture' Expression of What Compassion
Means in Public Service Context
More Specific Examples of How or When Compassion Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression•
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Compassionately
Means....
Possible Examples: An Example of Compassionate
Behavior is ....
Your Reaction to The Example at Left:
Yes, No or Maybe?
I. I am attuned to, and
care about, the needs
of the public, my
colleagues and staff.
I am sensitive that some people in the community are intimidated
by public officials and public agency processes and try to make
their interactions with our agency as stress free as possible.
I consider appropriate exceptions to policies when there are
unintended consequences or undue burdens.
I view the opportunity to provide feedback to my colleagues
relating to values-based decision-making—ideally first on a human
to human (one on one) basis-- as opportunities for mutual
understanding, growth and learning. (Note: Also relates to
accountability mechanisms.)
I look for opportunities to celebrate positive examples of
application of this code. (Note: Also relates to implementation
strategies and creating a culture of positive recognition)
4,29.21
May 6, 2021
Ethics
Strategies Page B-18
Item #1 Page 33 of 91
What Does Compassionate Behavior Look Like for Public Officials?
"Big Picture" Expression of What Compassion
Means in Public Service Context
More Specific Examples of How or When Compassion Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Compassionately
Means....
Possible Examples: An Example of Compassionate
Behavior is....
Your Reaction to
The Example at Left:
Yes, No or Maybe?
Additional/Alternative Examples of Expressing Care?
2. I recognize public
agencies'
responsibilities to
society's less
fortunate.
I consider the equity implications of policy decisions I make. (Note:
also can relate to the value offizirness)
Additional/Alternative Examples of Actions Demonstrating Concern for Less Fortunate
4.29.21
May 6, 2021
Ethics Sf rateg les Page B-19
Item #1 Page 34 of 91
What Does Compassionate Behavior Look Like for Public Officials?
"Big Picture" Expression of What Compassion
Means in Public Service Context
More Specific Examples of How or When Compassion Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Compassionately
Means ....
Possible Examples: An Example of Compassionate
Behavior is....
Your Reaction to
The Example at Left:
Yes, No or Maybe?
What's missing as an expression of what it means to be compassionate in public service or more specific
examples? What is 3 better way to express some of the above ideas?
Feel welcome to use the space below to record your thoughts (plus any additional sheets as necessary).
Ethics
Strategies Page B-20
May 6, 2021 Item #1 Page 35 of 91
What Does Fair Behavior Look Like for Public Officials?
Value: Fairness
•What Does Acting Fairly Mean to You in the Public Service Context? When Public Officials Are Acting at
Their Best, What Does Being Fair Look Like in Practice?
"Big Picture" Expression of What Fairness
Means in Public Service Context
More Specific Examples of How or When Fairness Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Fairly Means ... . Possible Examples: An Example of Fair Behavior is .. . .
Your Reaction
to the Example
at Left: Yes, No
or Maybe?
1. 1 promote fair and
consistent processes.
I make decisions on policies, hiring and contracting based on merit and
value to the community, rather than favoritism and/or family or personal
relationships.
I honor the law's and the public's expectation that agency policies will be
applied consistently.
I am impartial in my decision-making and do not favor those who either
have helped me (or are in a position to do so) and disfavor those who
have not (or are not).
I make it a practice to communicate equally with members of the
community, irrespective of their influence, power or campaign donations.
4.29.21 Strotegies Page B-21
May 6, 2021 Item #1 Page 36 of 91
Your Reaction
to the Example
at Left: Yes, No
or Maybe?
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Fairly Means ... .
Possible Examples: An Example of Fair Behavior is . .
More Specific Examples of How or When Fairness Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
"Big Picture" Expression of What Fairness
Means in Public Service Context
I make a conscious effort to avoid favoritism or bias (including
unintended bias) in my actions and decisions.
When campaigning, I distribute only fair, relevant and truthful
information about my fellow candidates and I give my fellow candidates
a reasonable opportunity to respond to the information I distribute.
Additional/Alternative Examples of Supporting Fair and Consistent Processes?
What Does Fair F3 eh vier Look Like for Public Officials?
Ethics
4.29.21 Strategies Page B-22
May 6, 2021 Item #1 Page 37 of 91
ft
"Big Picture" Expression of What Fairness
Means in Public Service Context
More Specific Examples of How or When Fairness Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression
at Right: Yes,
No or Maybe?
Possible Expression:
Acting Fairly Means . . . .
Possible Examples: An Example of Fair Behavior is . ...
Your Reaction
to the Example
at Left: Yes, No
or Maybe?
What's missing as an expression of what it means to be fair in public service or more specific examples?
What is a better way to express some of the above ideas?
Feel welcome to use the space below to record your thoughts (plus any additional sheets as necessary).
Ethics
4.29.21 Strategies Page B-23
May 6, 2021 Item #1 Page 38 of 91
What Does Rc.,,sponsible Beh-avior Look Like for Public Officials?
Value: Responsibility
•When Public Officials Are Acting at Their Best, What Does Acting Responsibly Look Like in Practice?
"Big Picture" Expression of What Acting
Responsibly Means in Public Service Context
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means....
Possible Examples: An Example of Responsible
Behavior is....
Your Reaction to
Example at Left:
Yes, No or Maybe?
2. I am a prudent
steward of public
resources.
I make decisions after prudent consideration of their financial
impact, taking into account the long-term financial needs of the
agency.
I promote use of agency assets (such as personnel, time, property,
equipment, funds and agency identifying information) in the
public's best interests; I do not use public resources, such as agency
staff time, equipment, supplies or facilities, for personal or political
purposes or benefit.
I support responsible innovation and risk-taking in order to advance
the agency's policy goals and effective service delivery.
Ethics
4.29.21 Strategies Page B-24
May 6, 2021 Item #1 Page 39 of 91
What Does Responsible Behavior Look Like for Public Officiai0
"Big Picture" Expression of What Acting
Responsibly Means in Public Service Context
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means. ...
Possible Examples: An Example of Responsible
Behavior is....
Your Reaction to
Example at Left:
Yes, No or Maybe?
Additional/Alternative Examples of Public Resource Stewardship?
Ethics
4.29.21 Sirotegios Page 13-25
May 6, 2021 Item #1 Page 40 of 91
What Does Responsible Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Responsibly Means in Public Service Context
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means . .. .
Possible Examples: An Example of Responsible
Behavior is . . ..
Your Reaction to
Example at Left:
Yes, No or Maybe?
2. I model and promote
clear communication.
I support defining important words and terms, avoiding jargon
(including acronyms) and using examples.
I ask questions to test any inferences and assumptions I may be
inclined to make based on what I am hearing people say and
encourage others to do likewise.
I explain both my reasoning and intentions when 1 share my views
on a matter to help others understand what I am saying and why.
If 1 receive or have 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.
Additional/Alternative Examples of Communications Best Practices?
4.29.21
May 6, 2021
„
Ethics
Strategies Page B-26
Item #1 Page 41 of 91
What Does Responsible Behavior Look Like for Public Officials?
"Big Picture" Expression of What Acting
Responsibly Means in Public Service Context
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means....
Possible Examples: An Example of Responsible
Behavior is ....
Your Reaction to
Example at Left:
Yes, No or Maybe?
3. I work collaboratively
to improve our
community's quality
of life and promote
the public's best
interests. (Note: also
overlaps with
concepts under the
values of
trustworthiness,
fairness and respect.)
I gain value from diverse perspectives and consider them in my
decision-making.
I recognize that I am an agent for the democratic process, not the
ovvner of authority.
To maximize community satisfaction with a decision, I seek
information from community members and my colleagues about
what qualities an acceptable solution might have to a problem (their
interests), in addition to hearing what their positions are.
I involve all appropriate stakeholders and the public in general in
meetings affecting agency decisions.
I look at issues from multiple perspectives and promote policies
that balance both district and citywide interests.
I work to find common ground with my fellow city leaders, the
community and others.
4.29.21
May 6, 2021
‘Ethics Strategies
Item #1
Page B-27
Page 42 of 91
What Does ResponsUe Behavior Look Like for Public OffMals?
"Big Picture" Expression of What Acting
Responsibly Means in Public Service Context
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means....
Possible Examples: An Example of Responsible
Behavior is....
Your Reaction to
Example at Left:
Yes, No or Maybe?
Additional/Alternative Examples of Working Collaboratively?
4. I consider the larger
picture in my
decision-making and
actions.
I foster effective relationships with state, regional and other public
agencies.
I weigh the broader regional and statewide implications of a
decision in my decision-making.
Additional/Alternative Examples?
4.29.21
May 6, 2021
'E Ethics Stratogios
Item #1
Page B-28
Page 43 of 91
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
"Big Picture" Expression of What Acting
Responsibly Means in Public Service Context
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means....
Your Reaction to
Example at Left:
Yes, No or Maybe?
Possible Examples: An Example of Responsible
Behavior is....
I am prepared to make unpopular decisions when my sense of the
public's best interests requires it.
take responsibility for my actions, even when it is uncomfortable
to do so. (Note: Also relates to accountability mechanisms.)
As part of my commitment to growth and learning, I am open to
constructive feedback from my colleagues and others—ideally first
expressed on a human to human (one on one) basis--when they
think I may have acted in a way that falls short of my goal of the
values-based decision-making and the behaviors described in this
code. (Note: Also relates to accountability mechanisms.)
I will review these code provisions with my colleagues at least
annually, looking for opportunities to refine, improve and/or update
them given current developments and dynamics.('Note: Also relates
to implementation strategies.)
Additional/Alternative Examples of Taking Responsibility?
5. I am accountable for
my actions and
words.
What Does Responsible Behavior Look Like tor Public Officials?
<LI .2.2 1
May 6, 2021
„5.Ethics Strategies Page B-29
Item #1 Page 44 of 91
What Does Responsible Behavior Look Like for Public Officials?
'Big Picture' Expression of What Acting
Responsibly Means in Public Service Context
More Specific Examples of How or When Responsibility Issues Can Arise
(What Do You Disagree with? What Might be Missing? What Could Be Better Worded?
What Is a Standard You May Want to Hold Yourself to But Represents More of a Personal
Commitment?)
Your Reaction
to Expression:
Yes, No or
Maybe?
Possible Expression:
Being Responsible
Means. .. .
Possible Examples: An Example of Responsible
Behavior is . ...
Your Reaction to
Example at Left:
Yes, No or Maybe?
What's missing as an expression of what it means to be responsible in public service or more specific examples?
What is a better way to express some of the above ideas?
Feel welcome to use the space below to record your thoughts (plus any additional sheets as necessary).
Ethics
4.29.21 Strotoyies Page B-30
May 6, 2021 Item #1 Page 45 of 91
Possible Preamble, Language
Draft Preamble Language
(Adapted and Updated from ILG 2003 Guide)
The effective operation of democratic institutions requires that public officials have the
trust and respect of the communities they serve. Accordingly, the City Council of the
City of Carlsbad has adopted this code to:
•Encourage the highest standards of behavior by City of Carlsbad elected officials;
•Make implicit norms of leadership and communication explicit; and
•Provide an ongoing source of guidance to City of Carlsbad officials in their day-to-
day service to the City.
To this end, the City of Carlsbad City Council has adopted this code relating to values-
based decision-making. As part of their service to the City of Carlsbad, individual city
councilmembers agree to practice the values described in this code in their day-to-day
service to the City of Carlsbad.
The City Council further directs* that this code be:
•Distributed to individual City Council Members for signature;
•Included in the materials provided to candidates for City Council;
•Covered in newly elected officials' orientation materials and training (including AB
1234 training);
•Posted on the City Council section of the city website [additional option: with the
signed codes posted to each city council member's page on the city website or a note
that the signed code is not available]: and
•Agendized for discussion [insert time frame] as an opportunity for
Council review, self-evaluation, discussion, and revision if appropriate.
*Relates to implementation strategies.
c Ethics
Stralegies 4.29.21 Page B-31
May 6, 2021 Item 41 Page 46 of 91
Attachment C
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 Steve Dorsey Yvonne Hunter
City Manager, Santa Clara City Attorney, Norwalk, Legislative Representative,
San Marino and Buena Park League of California Cities
Richards, Watson and Gershon
Production Assistance:
Charles Summerell
All final decisions about the content and formatting of this report were made
by the Institute for Local Self Government.
May 6, 2021 Item #1 Page 47 of 91
INSTITUTE for LOCAL SELF GOVERNMENT
CONTENTS
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 LEvIITS 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 POWE.R 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
May 6, 2021 Item #1 Page 48 of 91
INSTITUTE for LOCAL SELF GOVERNMENT ii
CONTENTS, CONT.
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 REVTEW 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
May 6, 2021 Item #1 Page 49 of 91
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 1
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-centuty American social activist, public speaker and author
Polls suggest that, fairly or unfairly, the public has serious reservations
about the ethics of public officials.' 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.
' Sec generally Berman, Evan M., "Public Cynicism: Manifestations and Responses," in The
Ethics Edge, International City/County Management Association: 1998, at 206-215.
May 6, 2021 Item #1 Page 50 of 91
2 I FORWARD
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
budgetaiy 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.
May 6, 2021 Item #1 Page 51 of 91
CHAPTER 1: WHAT Is AN
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
[personfs integrity or his devotion to the public interest."
John E 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 IN THIS CHAPTER
people to do the right thing when they know what it is.2
Core Concept 3
ETHICS CODE GOALS
Ethics Code Goals 3
Values-Based Versus
Rule-Based Codes 4
An agency usually has three goals for adopting an ethics code:
Further Limits on
1.Encouraging high standards of behavior by public officials; Rule-Based Codes 5
2.Increasing public confidence in the institutions that serve the
public; and
3.Assisting public officials with decision-making.'
As will be repeatedly emphasized throughout this guide, achieving these
goals requires a well-conceived process for both adopting and implement-
ing the code.
1 Lewis, Carol W., The Ethics challenge in Public Service: A Problem Solving Guide,
Jossey-Bass Publishers: 1991, at 139.
Zimmerman, JS., "Ethics in Local Government," Management Information Service Report 8,
International City/County Management Association, August 1976.
May 6, 2021 Item #1 Page 52 of 91
4 I CHAPTER 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.° 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.' 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.'
Lewis, The Ethics Challenge in Public Service, at 143.
Kazman, Jane C. and Bonczck, 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.
Early twentieth century English jurist John Fletcher Moulton, quoted in Kiddcr, 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.
May 6, 2021 Item #1 Page 53 of 91
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
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 5
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 tnist in governmental institutions
and those who serve in government.
See Wear Simmons, Charlene, Roland, Helen, Kelly-DeWitt, Jennifer, Local Government Ethics
Ordinances in California, California Research Bureau: March 1998 at 3.
May 6, 2021 Item #1 Page 54 of 91
6 I CHAPTER 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.1° 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' CityBoolcs 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).
'" See Wear Simmons at al., Local Government Ethics Ordinances in California, at 44
(suggesting that these conflicts may mean that the state should review local ethics codes).
May 6, 2021 [tern #1 Page 55 of 91
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 7
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." 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. I2 They also
recommend focusing on the kinds of situations that can present ethical
issues for public servants and how to deal with those situations.°
They also note that the law is "too blunt of an instrument" to assure proper
behavior." They fault federal ethics policy for substituting formal
regulations for the expectations of good conduct. 5 Their quarrel is not
with the goal of increasing governmental integrity, but in the means chosen
to achieve that goal.° They worry that law-based ethics policies are rooted
in such a culture of distrust as to actually diminish public trust in
government!' 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!'
The Institute for Local Self Government believes that positive, values-
based ethics codes can avoid many of these pitfalls.
" Mackenzie, G. Calvin & Hatken, Michael, Scandal Proof Do Ethics Laws Make Government
Ethical?, Brookings Institution Press: 2002 at 149-59.
12 Id. at 164.
13 Id.
" Id. at 172.
's Id.
' Id. at 174.
" Id. at 176.
Is Id. at 177.
May 6, 2021 Item #1 Page 56 of 91
BRIGHT IDEA:
AN INCORPORATION-OF-LAWS-BY-REFERENCE
APPROACH IN CODES
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 perfoimance 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.°
The Institute for Local Self Government provides instructional resources on ethics laws
(see sidebar on page 6).2°
8 I CHAPTER 1
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.o rem s t
7° The lack of training available on ethics law was a criticism in the California Research Bureau
report. See Local Government Ethics Ordinances in CalyOrnia, at 45 (suggesting that the
Legislature mandate such training).
May 6, 2021 Item #1 Page 57 of 91
1N TH-S APTE
Motivations 9
Opportunities 11
Risks 11
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 Radnen 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 ww‘v.ethics,org.
May 6, 2021 Item #1 Page 58 of 91
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 befbre 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.
10 I CHAPTER 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.
" Lewis, The Ethics Challenge in Public Set-vice, at 143.
" 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).
May 6, 2021 Item #1 Page 59 of 91
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETT-ITCS CODE I ii
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).
May 6, 2021 Item #1 Page 60 of 91
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.
12 I CHAPTER 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.'
•15 Kidder, Rushworth M., How Good People Make Tough Choices, at 16-17.
26 Lewis, The Ethics Challenge in Public Service, at 98.
May 6, 2021 Item #1 Page 61 of 91
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 Ben-a
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.
IN THIS CHAPTER
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
May 6, 2021 Item #1 Page 62 of 91
, BRIGHT
IDEA:
START AT
THE TOP AND
WORK DOWN
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.
14 I CHAPTER 3
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 rnay 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 orga-nization-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.
27 "Bosses Set Bar for Ethics, Experts Say," Contra Costa Times, June 9, 2003 ("Ethics must come
from the top," said Marshall Scluninke, 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 lirsl for cues on what constitutes moral behavior.")
May 6, 2021 Item 411 Page 63 of 91
AN ALTERNATIVE APPROACH:
STAFF IN THE CITY OF SAN BUENAVENTURA
INITIATE 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
stiff also created an ethical checklist to guide decision-making.29
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE 15
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.
'4 City of San Buenaventura Ethical Principles, available online at www.ilsg.orgitrust.
29 Examples of such a checklist are available online at www.ilsg.orgitrust.
May 6, 2021 Item #1 Page 64 of 91
16 I CHAPTER 3
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.3° 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 Marklcula
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.
3° Kidder, How Good People Make Tough Chokes, at 91-92.
May 6, 2021 Item #1 Page 65 of 91
BRIGHT IDEA:
RESIST THE IMPULSE TO BE TOO COMPREHENSIVE
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 tenns 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.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 17
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
May 6, 2021 Item #1 Page 66 of 91
18 I CHAPTER 3
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 I" 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.m
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 arample on page 19).
3' 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.orgitrust.
32 See, e.g. Sunnyvale, Code of Ethics, Section 17; Mountain View, Section 19, and available
online at wwwilsg.orzitrust
May 6, 2021 Item #1 Page 67 of 91
MAKING THE CODE REAL: EXAMPLE
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. Buti 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 tes* 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.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 19
May 6, 2021 Item #1 Page 68 of 91
20 I CHAPTER 3
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
" Hanson, Kirk 0., "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.orgitrust.
May 6, 2021 Item #1 Page 69 of 91
BRIGHT IDEA: I-
),
THE POWER OF PRAISE
The "Character Firsda'" 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.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 21
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
33 City of San Jose, Censure Policy, November 1994 and available online at wwwilslorgitrust.
" 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.eacities.org). but should be reviewed for updates in
the law.
37 Character First! materials arc available through www.characterfirst.com.
May 6, 2021 Item #1 Page 70 of 91
STEP STEP STEP
1st Meeting 2nd Meeting 3rd 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
•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
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
•Identify positive
examples of values
in practice
See chapter 4
22 I CHAPTER 3
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.
May 6, 2021 Item #1 Page 71 of 91
STEP
•Repeat steps 4-6
•Review code and its
implementation
•Initiate process for
updating and expanding
application of the code
to others (repeating
steps one through
three with them)
Celebrate successes
Identify areas needing
further effort
Adopt updated and
expanded code
Adopt updated
and expanded
implementation
strategies
Implement
Implement
Implement
See chapter 5
STEP
(8 months from adoption)
STEP
(Anniversary of adoption)
STEP
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 23
May 6, 2021 Item #1 Page 72 of 91
24 I CHAPTER 3
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.
May 6, 2021 Item #1 Page 73 of 91
BRIGHT IDEA:
USE ADHESIVE DOTS
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.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 25
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 titles38 (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).
" See Ethics Resource Center, The Ethics Toolkit, available online at www.ethics,org.
May 6, 2021 Item #1 Page 74 of 91
26 I CHAPTER 3
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.
May 6, 2021 Item #1 Page 75 of 91
IN THIS CHAPTER
Whose Values? 27
Values Selection Process 28
Ethics Code Menu/
Worksheet 30
Preambles 41
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.° 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.
" See Kidder, How Good People Make ibugh Choices, at 77-108.
May 6, 2021 Item #1 Page 76 of 91
28 I CHAPTER 4
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.
May 6, 2021 Item #1 Page 77 of 91
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.westenicily.com.
IN THIS CHAPTER
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
May 6, 2021 Item #1 Page 78 of 91
44 I CHAPTER 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.
May 6, 2021 Item #1 Page 79 of 91
l •' •
I
;
7 ._ BRIGHT IDEA:
,\ LEADERSHIP LETTERS
Leadership letters are another implementation strategy to consider.'". 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.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 45
"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." 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
" See Ethics Resource Center, The Ethics Toolkit, available online at www.ethies.orp.
" Blanchard & O'Connor, Managing By Values, at 61.
" For more about Michael Josephson's work, visit www.josephsoninstitute.org.
May 6, 2021 Item 4:11 Page 80 of 91
MAKING THE CODE REAL: EXAMPLE
It has been a long and tense city council meeting. Befbre 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 ofour 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 offollowing-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.
46 I CHAPTER 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.
May 6, 2021 Item #1 Page 81 of 91
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE .47
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 aftack.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.
" 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, .S'nell, Perry &
Associates, inc. and Deardourff/The Media Company. Respondents were asked in June 2002
about their attitudes concerning candidates and campaigns. Hew the full poll at
W1441). carnpaigneonductorg.
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 morc confidence in city (27%) and
state government (26%) than in the federal (20%) or county government (18%). See 13aldassare,
Mark, Califinmia in the New MilleniuM, University of California Press/Public Policy Institute of
California, 2000, at 44-45.
May 6, 2021 Item 41 Page 82 of 91
48 I CHAPTER 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.' 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.
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.
-17 See Blanchard and O'Connor, Managing By Values, chapter VI.
May 6, 2021 Item #1 Page 83 of 91
j,
BRIGHT 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.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 49
MAKING THE CODE REAL: EXAMPLE
A colleague ofyours is vely active in an association of agencies
like yours. She diligently attends conferences organized by the
association and brings conference materials back to sham with
her colleagues. She also makes a point ofmaking 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]
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.
May 6, 2021 Item #1 Page 84 of 91
1 ,...
I ., )\
BRIGHT 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.
50 I CHAPTER 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
May 6, 2021 Item #1 Page 85 of 91
BRIGHT IDEA:
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 arc "fit" for
the office they seek
based on whether they
demonstrate commitment
to the community's
prevailing ethical norms
in public service.
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 51
•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.
" Winter, Gretchen A. and Simon, David J., "Code Blue, Code Blue: Breathing Life into Your
Company's Code of Conduct," ACA Docket, November/December 2002, at 72, 82-84.
May 6, 2021 Item #1 Page 86 of 91
52 I CHAPTER 5
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 Pan] never be separated in the long run
from moral right.
— Thomas Jeff6-son
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.° 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.
" 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 .Ward for its efforts.
May 6, 2021 Item #1 Page 87 of 91
CALIFORNIA'S CODE OF FAIR CAMPAIGN PRACTICES
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 sec 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
INSTITUTE for LOCAL SELF GOVERNMENT • DEVELOPING A LOCAL AGENCY ETHICS CODE I 53
May 6, 2021 Item #1 Page 88 of 91
54 I CHAPTER 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 conducts° 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:5' A candidate's agreement to abide by the code is voluntary.52
For the text of the code, see sidebar on page 53.
" See Cal. Elec. Code § 20440.
si See Cal. Eke. Code § 20442.
" See Cal. Elec. Code § 20444.
May 6, 2021 Item #1 Page 89 of 91
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 gloiy in overcoming it."
— Jean Baptiste Moliere, 17th-centwy 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.
IN THIS CHAPTER
Conclusion 55
May 6, 2021 Item #1 Page 90 of 91
Outstanding Minute Orders as of April 29, 2021
Date Minute Motion
1. 6-11-19 Directed staff to return to Council with information related to the contracted workforce regarding job quality standards, working
conditions and compliance requirements.
2. 12-20-19 Directed staff to place on a future Planning Commission agenda Workplan Item Nos. 2-4 and 6-8 (relating to the Village & Barrio
Master Plan) to allow the public the opportunity to provide feedback & subsequently return to City Council to discuss how to
provide direction.
3. 12-17-19 Directed staff to return to Council with procedures outlining a process the City would apply & follow prior to approval of
acquisition of property for any airport purpose and where a vote of the people of Carlsbad would fit into that process.
4. 12-17-19 Directed staff to schedule a Council Workshop item to consider forwarding a sea level rise impact exclusion zone to state
legislature.
5. 2-11-20 Directed staff to initiate a State Street Arts Specific Plan with New Village Arts.
6. 4-14-20 Directed staff to return with a report and resolution that would establish criteria for the estimation of cost and staff time to be
provided to the City Council prior to taking action on minute motions and options for waiving the cost and time estimation
requirement.
7. 1-26-21 Directed staff to bring back an item with the next six months with options regarding Planning Area F and other coastal properties
to preserve open space and recreation
8. 2-9-21 Referred to the Ad Hoc Committee on Economic Revitalization to make a budgetary recommendation on addressing food
insecurity in Carlsbad for this next year's budget and bring back those recommendations.
9. 3-9-21 Directed staff to review recommended resolution declaring a climate emergency and bring back at a future date.
10 3-16-21 Directed staff to return at a future date with credit card administrative fee options for TOT payments made by credit card.
11 3-23-21 Directed staff, through work with a consultant, to return to Council with a plan/template to form a committee or commission
with citizen representation from each district and a member of the Carlsbad Police Officers Association that would meet quarterly
or monthly (as needed) and identify issues to bring to the Police Chief and Assistant Police Chief for consideration.
12 4-6-21 Directed staff to return with a plan to schedule a Robotics Day event.
13 4-27-21 Directed staff to return with information for City Council to have a discussion for supporting non-profit organizations.
NJ
NJ 16 40 16 aed
Mia De Marzo
Mary Real <anewday4me2020@gmail.com>
Wednesday, May 5, 2021 4:22 PM
Mary Real
All Receive - Agenda Item # _L
For the Information of the:
CITY COUNCIL
DatA)t) CC-1‘)
CM _ACM DCM (3) `7.;'
I am concerned about the Ethics of Senior Center Management from Park & Rec. who ban non-residents from certain services
available at the Senior Center by using a convoluted logic or misinterpretation of actual facts by glib or nervous managers. AARP
tax preparers who help people file their tax returns do not restrict their services to residents only as asserted by the current part
time Senior Center mgr. (Where is the supervision or training by upper management?). AARP follows the guidelines
quoted/encouraged by Park & Rec. and do not
discriminate against seniors from the area.
In addition, Senior Center Management seems to be entitled to claim that the Staff is being harassed and can ban seniors who
ask questions about their plans for improving the Sr. Ctr. and ban people for 2 weeks for leaving art supplies at the Sr. Ctr.
overnite! The person who
was banned is well known at the Sr. Ctr. and lives two blocks from the center and is on meds.
and was deeply troubled by this refusal of services. Other people are banned for longer periods of time and volunteers are
threatened with losing their volunteer status for contradicting the "official" version of events as 'claimed' by staff! In order to
appeal any suspensions, one has to
appeal to the city council for a 3 minute hearing to explain before the public city council mtgs.
This decision to ban or cancel people who ask for more consideration for seniors and their needs should be addressed by the
Senior Commission who should have 2 representatives who actually use the Sr. Ctr. or ???? Senior Center Staff are given way
too much credibility for their level of experience and their results which are less than inspiring?
Why has Staff from the City NOT been asked to evaluate the level of service and achievement
above the status quo by the City Council? Why is the City Mgr. not asking questions about the
achievements and goals for future performance standards? Why ? What can the City Council do to set the tone for a higher
level of performance instead of shortchanging seniors, a growing population?
Thank you,
Mary Lucid
CAUTION: Do not open attachments or click on links unless you recognize the sender and know the content is safe.
From:
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To:
Subject:
City Clerk; Council Internet Email; Tammy Cloud-McMinn;
General Comments 5-6-2021 Special Mtg. City Council
Hi City Council Members and Concerned Citizens:
1
Hector Gomez
From: kelly.leberthon12@gmail.com
Sent: Wednesday, May 5, 2021 7:59 PM
To: City Clerk
Subject: May 6, 2021 council meeting
An excerpt from Barron's article sums up well my concerns on the workshop and Code of
Ethics: "The bottom line is this: any political program that subordinates the individual to
collective categories and ideals is dangerous and will conduce, in short order, to oppression
and profound injustice. I would suggest that we all take a good, hard look at the Platonic
road down which we are heading—and head back the other way."
For the record: httos://www.wordonfire.orgiresources/article/were-all-platonists-now-and-
thats-not-good/29809/
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