HomeMy WebLinkAbout2021-06-29; City Council; ; City Council Workshop to Continue Developing a Values-Based Ethics CodeCA Review CKM
Meeting Date: June 29, 2021
To: Mayor and City Council
From: Scott Chadwick, City Manager
Staff Contact: Sheila Cobian, Director of Legislative & Constituent Services
sheila.cobian@carlsbadca.gov, 760-434-2820
Subject: City Council Workshop to Continue Developing a Values-Based Ethics
Code
District: All
Recommended Action
Participate in a facilitated City Council workshop regarding the continued development of a
values-based ethics code.
Executive Summary/Discussion
At the City Council workshop held on May 6, 2021, the City Council participated in a facilitated
discussion to develop a values-based ethics code. At that meeting, the City Council
accomplished the following:
• Determined the code’s scope and application
• Discussed the values of integrity, respect, fairness and compassion and how they could
be represented in an ethics code
• Began a discussion about the value of responsibility
Exhibit 1 includes a working draft of the Carlsbad City Council Code of Ethics and Public Service
Values based on the City Council’s discussion at the May 6, 2021, workshop. Facilitator JoAnne
Speers will facilitate the discussion to finalize the code.
Fiscal Analysis
There is sufficient funding in the City Council FY 2020-21 budget for the costs to conduct the
facilitated City Council workshop.
Next Steps
Provided the City Council concludes the discussion of the development of an ethics code, staff
will return at a future City Council meeting with a resolution to memorialize adoption of the
code.
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
June 29, 2021 Item #1 Page 1 of 14
potential to cause either a direct physical change in the environment, or a reasonably
foreseeable indirect physical change in the environment. Therefore, it does not require
environmental review.
Public Notification
Public notice of this item was posted in keeping with the Ralph M. Brown Act and it was
available for public viewing and review at least 24 hours before the scheduled meeting date.
Exhibits
1. Memo and draft City of Carlsbad Council Code of Ethics and Public Service Values
June 29, 2021 Item #1 Page 2 of 14
_____________________________________________________
www.strategies4ethics.com
Memorandum
To: Mayor and City Council Members
From: JoAnne Speers, Principal, S2 Ethics Strategies
Date: June 22, 2021
Subject: June 29th Council Workshop Re: Continuing Work on
Developing a Values-Based Ethics Code
Thank you for your engagement in the May 6th workshop. As you know, that workshop’s goal
was to develop a values-based ethics code, using the process described in the 2003 Institute
for Local Government publication on that topic. The code’s underlying objective is to answer
the question “what does values-based behavior look like when elected officials are acting at
their best?”
This memo 1) briefly summarizes the work accomplished to date and 2) describes the work
remaining for the upcoming June 29th workshop.
Work Accomplished to Date
At the May 6th meeting, the Council worked from a “decision-tool” provided with the agenda
materials for that workshop. That tool included a table with ideas for code provisions based
on the Council’s expressed interests in communication and teamwork. It also included
language from other agencies’ codes, as well as the Institute publication. Finally, the tool
offered a draft preamble for the code.
During the previous workshop, the Council accomplished the following:
•Decision-making relating to the code’s scope and application;
•An in-depth discussion of the first value, trustworthiness, which was changed to
integrity;
•A big-picture discussion of the values of respect, fairness and compassion; and
Exhibit 1
June 29, 2021 Item #1 Page 3 of 14
Carlsbad Mayor and City Council
June 22, 2021
Page 2 of 2
____________________
•Preliminary discussion relating to the value of responsibility.
We have endeavored to capture the results of these discussions in the attached document.
Work Remaining for June 29 Workshop
In preparation for the June 29th workshop, you may want to do two things:
1.Review your notes on the “Responsibility” section of the decision-tool you used in the
May 6th workshop, as well as any notes you had on the proposed draft preamble and
ideas for naming the document; and
2.Review the attached document to determine if the language can be further refined and
improved to fully reflect the Council’s ideas on what kinds of behaviors represent
Carlsbad elected officials acting at their best (including any ideas from the decision-tool
you were not able to share during the previous workshop).
The attached document is offered with the goal of being respectful of your time by making it
as efficient as possible to prepare for and participate in this workshop. This includes flagging
issues you may want to think about in advance as you prepare (see questions and comments
from me offered in italics).
Another topic that came up in the May 6th discussion was accountability. Options for
accountability mechanisms appear on pages 6, 8, 9 and 10 (preamble) of the document, as
well as in the draft preamble language. Options for implementation strategies (also very
important to the code’s effectiveness) appear on pages 4, 6, 9 and 10 (preamble). My
italicized comments flag these mechanisms for you in the attached (and, in the case of the
preamble, the symbol ‡ and footnoted language provide the flag).
At the beginning of the June 29th workshop, I will have more specific options on how to
proceed for you to consider as a group. Your ideas are welcome, as always, as well.
Conclusion
This summarizes my sense of where we are and next steps. Please feel welcome to reach out
to me if you have thoughts, questions or concerns (jspeers@strategies4ethics.com). I look
forward to resuming the discussion on June 29th.
Attachment: Draft City of Carlsbad Council Code of Ethics and Public Service Values
(working title, discussion of actual title to occur in upcoming workshop)
June 29, 2021 Item #1 Page 4 of 14
City of Carlsbad
(Draft) Council Code of Ethics and Public Service Values*
--Continuation of 5/6 Workshop Discussion--
Integrity (Formerly Trustworthiness)
1. I am truthful with my colleagues, the public and others. I am clear and direct when I
communicate, and I explain my intentions and interests clearly.
Notes/Question: The topic of the second sentence above in orange text is clear and direct
communication. That topic is very similar to draft section #2 under “responsibility” on
page 8.
In addition, that section’s third bullet in orange relates to explaining intentions, which is
similar to the third bullet in orange below and the second bullet under #2 on the next
page (also in orange). Does it make sense to have these ideas covered under
“responsibility” or otherwise combine these ideas to avoid duplication?
In practice, this means that:
• I carefully consider any promise I make and then I keep it; I make only promises I
believe are realistic.
• I treat information I receive with a spirit of inquiry and presumed positive intent; I
fact-check information as necessary with colleagues, staff and others. (Sources:
CS, MH, TA)
• 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. See question above
about combining this with statements about transparency in orange text on the
next page and on page 8?
• I honor commitments I and my agency make.
• I credit others’ contributions to moving our community’s interests forward.
• I only disclose confidential information when I am authorized to do so. (CS noted
importance of this)
• I explain the official positions of the city to the best of my ability when I am
authorized to do so. I am clear when stating my own views that these views may
not or do not represent the city’s position. Possible edit: “I am clear in
distinguishing my positions from those adopted by the city.”
Facilitator Notes/Explanations
* This is a working title; final title subject to discussion. Facilitator comments and questions are in gray italics. The
comments include noting which elements of the draft language relate to accountability mechanisms and
implementation strategies. Notes in parentheses also explain the sources of concepts from the previous workshop
discussion.
Some key concepts have been highlighted in bold, to enable Council Members to locate items more easily in the
workshop. Such bolding can be removed in the final version of the code if the Council wishes.
. June 29, 2021 Item #1 Page 5 of 14
Continuation of 5/6/21 Workshop Discussion
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2
2. My actions are consistent with my words. In practice, this means that:
• I follow through on the commitments I make.
• I am transparent in disclosing my reasons and interests to help move
conversations forward with the goals of finding common ground and maximizing
the public’s best interests. Note: see question on previous page about merging this
expression with the third bullet in orange text under clear communication under
“responsibility” on page 8.
• Building and maintaining trust is an ongoing process (Sources: PBP, TA); I act in
ways that promote the public’s trust in both 1) the city as an expression of
community democratic processes and 3) my own role as a member of the city’s
governing body. (Source: CS Questions)
Question: Is the above bullet in purple text (“Building . . . trust . . .“) perhaps the
“big picture” expression of a value, with “actions being consistent with words”
also in purple text in item #2 above being more an example of behavior that falls
under building trust? In other words, should the two items in purple text be
switched (with the language in the third bullet made #2 above and he wording
presently in #2 be made a bullet)?
If so, does it make sense to move this item earlier in this section? Multiple
Council Members noted the importance of public trust in the May 6th workshop,
as have many political science scholars.
Follow Up Item on a “Bike Rack” Issue: The group had an important discussion on two
topics relating to the above language:
1. The potentially conflicting fiduciary duties local officials experience when sitting on
other agencies’ governing boards (relating to the value of responsibility), and
2. Balancing one’s loyalty to the agency and group decision-making process with one’s
own convictions and sense of responsibility to one’s constituents.
Being mindful of these conflicting “right” values is hugely important. Resolving the
conflict is a complex analysis, involving both situation-specific analysis and longer-term
policy goals and leadership objectives. As important as these issues are, their resolution
is difficult to achieve in “one-size-fits-all” manner in an aspirational code of ethics and
values.
This is an example of why the conversation around ethics and values is just as, if not
more, important than the specific code language itself.
June 29, 2021 Item #1 Page 6 of 14
Continuation of 5/6/21 Workshop Discussion
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3
3. 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. In practice, this means that:
• I demonstrate, by my actions and my words, that I am a guardian (possible
alternative word: “steward”) of the public’s trust and confidence in the city, its
elected officials and staff. (Sources: TA, from Santa Monica code-expanded)
• I use public resources for public purposes, not for private benefit or political
purposes. (Sources: TA, from Santa Monica code)
• I decline and do not seek gifts, favors, and other special treatment. (Sources: TA,
from Santa Monica code)
• I represent the city well and refrain from acts that may bring reproach or discredit.
(Sources: TA, from Santa Monica code)
Question: Does the behavior in the immediately above bullet in tan (re:
representing the city) relate more closely to the value of responsibility? If yes, see
language also in tan on page 9 for an idea of where this item might go in the
“responsibility” section.
4. I invite and respect public input to inform my sense of what is in the community’s best
interests and incorporate it in the decision-making process to ensure meaningful public
engagement. In practice, this means that:
• I am attentive and engaged in meetings.
• I welcome diverse perspectives and consider them in my decision-making.
• I act in ways that help people feel valued when they participate in our city’s
decision-making processes.
• I involve all appropriate stakeholders and the public in general in meetings
affecting city decisions.
Question: Now that this first section is titled “integrity” (formerly trustworthiness),
should these concepts in green text above be combined with others relating to public
engagement? Item #2 in green text on the next page (relating to welcoming different
perspectives and new information under the value of “respect”) and item #3 on pages 8-9
also in green text (relating to collaboration under “responsibility”) are possible places
expressing similar concepts.
June 29, 2021 Item #1 Page 7 of 14
Continuation of 5/6/21 Workshop Discussion
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4
Respect
1. As a leader of the community, I model civility. In practice, this means that:
• I treat my fellow officials, staff and the public politely (Source: TA),
professionally (Source: MH) and with an appreciation for our common humanity
(Source: CS), even when we disagree on what is best for the community.
• When I explain my disagreement with a colleague or Council decision to others, I
do so in a way that focuses on the merits of an issue and recognizes that
reasonable people of good intentions can disagree on what is best for our
community.
• When my perspective doesn’t prevail, in discussing the outcome in the
community, I frame my colleagues’ differing positions in the spirit of moving
forward from the decision and in the same way I would want my colleagues to
frame my own differing positions. (Sources: MH, KB: don’t retaliate/undermine;
TA: use positive language—focus on “do’s” + PBP: treat others like you would
want to be treated)
• I contribute to a culture of recognition by recognizing colleagues and others who
model values-based decision-making under challenging circumstances. Note:
Relates to implementation strategies.
• 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.)
2. I recognize that others have different perspectives and information that can help me
decide what best serves our community’s interests. In practice, this means that:
• As an elected official, I gather information to make the best decision with a spirit
of curiosity and inquiry. See question on preceding page about moving public
engagement related items in green text either here or to pages 8-9
(“responsibility”) also in green text.
• I strive to make people feel heard, by listening carefully, sharing what I think I
have heard, asking clarifying questions, and seeking to understand the interests
underlying their positions.
3. 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. In practice, this means that:
• I act on the understanding that staff’s role is to provide objective information and
analysis (possible language addition: based on their professional training and
expertise) to inform the decision-making process within the resources that they
have available, even if this information and analysis don’t support the decision I
believe is best.
• When I know I will be asking one or more questions on an agenda item, I alert
staff in advance so staff can be prepared to provide the most complete answer to
inform both the Council and the public.
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Continuation of 5/6/21 Workshop Discussion
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• I ask questions to authentically deepen my understanding of staff analysis and its
factual underpinnings, as well as inform the public; I argue the merits of decisions
with my fellow Council Members. (Sources: CS-don’t use questions to make
points; TA no “gotcha” questions/reserve discussion of merits for Council
discussion)
• I communicate any concerns I have about city functions, staff analyses or
individual staff performance to and through the city manager.
• I act on the understanding that I am part of a group decision-making process and
that staff take direction from Council collective action.
June 29, 2021 Item #1 Page 9 of 14
Continuation of 5/6/21 Workshop Discussion
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Values: Compassion and Fairness
Question: Originally, “compassion” and “fairness” were separate sections. Does it make sense
to combine these two values in one section as suggested above and below?
1. I am empathetic and care about the needs of the public, my colleagues and staff. In
practice, this means that:
• When interacting with others, I put myself in others’ shoes, understanding that
people have different lived experiences. (Sources: MH, CS)
• I am sensitive that those interacting with public officials, whether staff or
community members, can be intimidated by public officials and public agency
processes. I try to make interactions with the City Council as stress-free as
possible. (Sources: TA, MH; reworded a bit as suggested)
• My actions reflect an awareness that people respond to both verbal (including
tone of voice) and non-verbal cues (Sources: PBP, MH); I also recognize that
some people, including me, can interpret verbal and non-verbal cues differently,
depending on the attributes of the source. (Source: CS)
• I use active listening techniques (repeating back, follow-up questions, taking
notes as appropriate, and other verbal and non-verbal cues) to demonstrate that I
am hearing what people are saying. (Source: PBP)
• I carefully consider all perspectives and input when making decisions. (TA)
• I value the personal experiences that contribute to my colleagues and the public’s
views on a given matter. (Source: CS)
• I initiate one-on-one conversations with those who have different positions on
issues to better understand those positions; I look for opportunities to identify
shared values and interests. (Source: MH; also PBP gather information in
community)
• 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: Relates to
accountability mechanisms; see related language on pages 8 and 9 on receiving
feedback.
• I understand that everyone makes mistakes and accept apologies when they are
offered (take-aways from May 6 diversity session—see also language on page 9
relating to offering apologies); I set aside grudges that may be tempting to hold.
(TA)
• I look for opportunities to celebrate positive examples of the application of this
code. Note: Relates to implementation strategies and creating a culture of positive
recognition.
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Continuation of 5/6/21 Workshop Discussion
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2. I recognize public agencies’ responsibilities to society’s less fortunate. I embrace our
community’s and city team’s diversity.
Note: Suggested alternative language that seems to be more descriptive of concepts
below and the discussions during the May 6th workshops than original language.
In practice, this means that:
• I consider the diversity, equity and inclusion implications of policy decisions I
make. (Sources: PBP, TA)
• I participate in regular educational activities to enhance my insights into a wide
variety of diversity, equity and inclusion issues. (Sources: CS, PBP; framed as an
individual commitment per TA suggestion)
3. I promote fair and consistent processes. In practice, this means that:
• 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 city 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.
• I make a conscious effort to avoid favoritism or bias (including unintended bias)
in my actions and decisions.
June 29, 2021 Item #1 Page 11 of 14
Continuation of 5/6/21 Workshop Discussion
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Value: Responsibility
When Public Officials Are Acting at Their Best, What Does Acting Responsibly Look Like in
Practice?
1. I support responsible innovation and risk-taking in order to advance the city’s policy
goals and effective service delivery. Question: Should this be deleted given Council’s emphasis
in the previous workshop on process rather than what might be considered policy?
2. I model and promote clear communication.† In practice, this means that:
• I support defining important words and terms, avoiding jargon (including
acronyms) and using examples. (Source: CS)
• I ask questions to test any inferences and assumptions I may be inclined to make
based on what I am hearing people say; I support others doing likewise.
• I explain both my reasoning and intentions when I share my views on a matter to
help others understand what I am saying and why. Question: Should the related
concepts on pages 1 and 2 (see language in orange text under “integrity”) be
combined with this one? Or should this concept be combined with one of them?
• I verify (fact check) statements reportedly made by a colleague directly with that
colleague. (Sources: CS, TA)
• I make myself available for one-on-one conversations about the values in this
code. (Source: PBP; also relates to accountability mechanisms)
• If I 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. Note: The City’s
Municipal Code and City Council Policy Update Subcommittee is reportedly
working on a policy relating to disclosing ex parte information in quasi-judicial
decision-making contexts. Does the Council want to hold off on this bulleted
statement pending the conversation relating to the upcoming ex parte
communication policy?
3. I work collaboratively to improve our community’s quality of life and promote the
public’s best interests. In practice, this means that:
• 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 owner of
authority.
• 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 city decisions.
† Source Note: Many of these concepts came from the Roger Schwarz’s recommended best communications
practices for effective teams. See Schwarz, R. Ground Rules for Great Meetings, Harvard Business Review (June 15,
2016), available from https://hbr.org/2016/06/8-ground-rules-for-great-meetings
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Continuation of 5/6/21 Workshop Discussion
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• 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.
Question: Should the language in green on page 2 (under the “integrity” section) relating
to public engagement be moved here to put like concepts together? Alternative placement
would be page 3, under “respect,” see related concept also in green text.
4. I consider the larger picture in my decision-making and actions. In practice, this means
that:
• I represent the City well, refraining from acts that may bring reproach or discredit
to the City. (Sources: TA, from Santa Monica code, originally proposed to go
under “integrity”—see suggestion on page 3 that this language might go better
somewhere in this “responsibility” section)
• 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.
5. I am accountable for my actions and words. In practice, this means that:
• I am prepared to make unpopular decisions when my sense of the public’s best
interests requires it. (Source: MH)
• I take responsibility for my actions, even when it is uncomfortable to do so. Note:
Relates to accountability mechanisms. This includes apologizing when I realize
that my behavior has fallen short of the aspirational standards in this code. Note:
Added based on discussion about empathy in May 6th diversity workshop; see also
related language on page 6 about accepting apologies.
• 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: 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 the provisions given current
developments and dynamics. Note: Relates to implementation strategies.
June 29, 2021 Item #1 Page 13 of 14
Continuation of 5/6/21 Workshop Discussion
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Draft Preamble Language
(Adapted and updated from Institute for Local Government 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 Council
Members 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—for example, annually) as an
opportunity for Council review, self-evaluation, discussion, and revision if appropriate.
Additional Discussion Issues
• How should the language in this code be framed? In the first person (“I, my, we, our”) as
an individual commitment or in the third person (“Council Members should . . .”)?
• What should the document be named? (Working title “City of Carlsbad Council Code of
Ethics and Public Service Values”)
• Should the bolding of key phrases in the language (added for ease of reference in the
workshop) be removed?
• [Placeholder space for other “big picture” issues that might arise in discussions . . . ]
‡ Note: This proposed language includes additional ideas for implementation and accountability strategies for the
Council’s consideration.
June 29, 2021 Item #1 Page 14 of 14