Agenda packet — Governance and Ethics Committee, January 16, 2026

City of Santa Clara
Meeting Agenda
Governance and Ethics Committee
Special Meeting
City Hall - East Wing
Sparacino Conference Room
1500 Warburton Avenue
Santa Clara, CA 95050
10:00 AMFriday, January 16, 2026
The City of Santa Clara is conducting Governance and Ethics Committee meetings in-person and continues to have methods for the public to participate remotely or in-person. • Via Zoom: https://santaclaraca.zoom.us/j/98559951444
• Webinar ID: 985 5995 1444
• By phone: +1 669 444 9171
To submit written public comment before meeting:

Send email to [email protected] by 10 a.m. one day before the date of the meeting. Emails will be forwarded to Committee members and will be uploaded as supplemental meeting material.

Note: Emails received as public comment will not be read aloud during the meeting.

CALL TO ORDER AND ROLL CALL

CONSENT CALENDAR

PUBLIC PRESENTATIONS
[This item is reserved for persons to address the body on any matter not on the agenda that is within the subject matter jurisdiction of the body. The law does not permit action on, or extended discussion of, any item not on the agenda except under special circumstances. The governing body, or staff, may briefly respond to statements made or questions posed, and appropriate body may request staff to report back at a subsequent meeting.]

GENERAL BUSINESS

1. Approval of the October 30, 2025 Governance and Ethics Committee Special Meeting Minutes
26-36
Approve the minutes of the October 30, 2025
Governance and Ethics Committee Special Meeting
Recommendation:

Page 1 of 3 ends

Governance and Ethics Committee Meeting Agenda January 16, 2026

2. Presentation by Outside Consultant for the Review of and Recommendations Regarding Potential Adoption of Ethics
Commission and the Approval of Proposed Changes to City's Ethics Policies Previously Presented to Committee
26-37

1. Receive Consultant's Report and Provide Input
or Direction Regarding Consultant's
Recommendations on a Potential Ethics
Commission or Alternatives

2. Review and Possible Action to Recommend to
the Council Approval of Proposed Changes to
City's Ethics Policies Previously Presented to
Committee
Recommendation:

STAFF REPORT
2026 Meeting Schedule: March 2, 2026, June 1, 2026, September 14, 2026, December 7, 2026.

COMMITTEE MEMBER REPORTS / FUTURE REFERRALS FOR CONSIDERATION

ADJOURNMENT

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Governance and Ethics Committee Meeting Agenda January 16, 2026

MEETING DISCLOSURES
The time limit within which to commence any lawsuit or legal challenge to any quasi -adjudicative decision made by the City is governed by Section 1094.6 of the Code of Civil Procedure, unless a shorter limitation period is specified by any other provision. Under Section 1094.6, any lawsuit or legal challenge to any quasi -adjudicative decision made by the City must be filed no later than the 90th day following the date on which such decision becomes final. Any lawsuit or legal challenge, which is not filed within that 90-day period, will be barred. If a person wishes to challenge the nature of the above section in court, they may be limited to raising only those issues they or someone else raised at the meeting described in this notice, or in written correspondence delivered to the City of Santa Clara, at or prior to the meeting. In addition, judicial challenge may be limited or barred where the interested party has not sought and exhausted all available administrative remedies.

If a member of the public submits a speaker card for any agenda items, their name will appear in the Minutes. If no speaker card is submitted, the Minutes will reflect "Public Speaker." In accordance with the requirements of Title II of the Americans with Disabilities Act of 1990 ("ADA"), the City of Santa Clara will not discriminate against qualified individuals with disabilities on the basis of disability in its services, programs, or activities, and will ensure that all existing facilities will be made accessible to the maximum extent feasible. The City of Santa Clara will generally, upon request, provide appropriate aids and services leading to effective communication for qualified persons with disabilities including those with speech, hearing, or vision impairments so they can participate equally in the City ’s programs, services, and activities. The City of Santa Clara will make all reasonable modifications to policies and programs to ensure that people with disabilities have an equal opportunity to enjoy all of its programs, services, and activities.

Agendas and other written materials distributed during a public meeting that are public record will be made available by the City in an appropriate alternative format. Contact the City Clerk ’s Office at 1 408-615-2220 with your request for an alternative format copy of the agenda or other written materials.

Individuals who require an auxiliary aid or service for effective communication, or any other disability -related modification of policies or procedures, or other accommodation, in order to participate in a program, service, or activity of the City of Santa Clara, should contact the City ’s ADA Coordinator at 408-615-3000 as soon as possible but no later than 48 hours before the scheduled event.

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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-36 Agenda Date: 1/16/2026

REPORT TO GOVERNANCE AND ETHICS COMMITTEE

SUBJECT
Approval of the October 30, 2025 Governance and Ethics Committee Special Meeting Minutes

ENVIRONMENTAL REVIEW
The action being considered does not constitute a “project” within the meaning of the California Environmental Quality Act (“CEQA”) pursuant to CEQA Guidelines section 15378(a) as it has no potential for resulting in either a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment.

FISCAL IMPACT
There is no fiscal impact to the City other than administrative staff time.

PUBLIC CONTACT
Public contact was made by posting the Committee agenda on the City’s official-notice bulletin board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, [email protected] <mailto:[email protected]> or at the public information desk at any City of Santa Clara public library.

RECOMMENDATION
Approve the minutes of the October 30, 2025 Governance and Ethics Committee Special Meeting Reviewed by: Maria Le, Assistant to the City Manager, City Manager’s Office Approved by: Jovan D. Grogan, City Manager

ATTACHMENTS

1. October 30, 2025 Governance and Ethics Committee Meeting Minutes Draft City of Santa Clara Printed on 1/13/2026Page 1 of 1
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City of Santa Clara
Meeting Minutes
Governance and Ethics Committee
Draft
10:00 AM City Hall – Council Chambers
1500 Warburton Avenue
Santa Clara, CA 95050
10/30/2025
Special Meeting
The City of Santa Clara is conducting Governance and Ethics Committee meetings in-person and continues to have methods for the public to participate remotely or in-person.
• Via Zoom: https://santaclaraca.zoom.us/j/98559951444
• Webinar ID: 985 5995 1444
• By phone: +1 669 444 9171
To submit written public comment before meeting:

Send email to [email protected] by 10 a.m. one day before the date of the meeting. Emails will be forwarded to Committee members and will be uploaded as supplemental meeting material.

Note: Emails received as public comment will not be read aloud during the meeting.

CALL TO ORDER AND ROLL CALL
Chair Suds Jain called the meeting to order at 10:05 a.m.

Member Raj Chahal, Chair Suds Jain, and Member Kevin ParkPresent 3 -

CONSENT CALENDAR

Page 1 ends

10/30/2025Governance and Ethics Committee Meeting Minutes

1. 25-1544 Approval of the September 8, 2025 Governance and Ethics Committee Meeting Minutes
Recommendation: Approve the minutes of the September 8, 2025 Governance and Ethics Committee Meeting
Chair Jain proposed revisions to the minutes of the September 8, 2025 including: 1) Fix titles for Chair Jain and Member Chahal, 2) Reference additional details of the discussion regarding Council Policy 043 regarding circumstances when itemized receipts were not available, a request may be made to approve reimbursements up to the maximum GSA rate for travel.

Member Raj Chahal motioned to approve the minutes for September 8, 2025 with the revisions. The motion was seconded by Member Kevin Park and approved by the Committee.

Aye: Member Chahal, Chair Jain, and Member Park3 -

PUBLIC PRESENTATIONS
Member of the public Wanda Buck commented that the Ethics program was voted on in 2024 has not yet been presented in 2025 on today's agenda. Also, Wanda noted why there is an urgency for ticket provisions for events.

City Manager Jovan Grogan responded the consultant working on the Ethics documents and the efforts to look into the possibility of establishing an Ethics Committee was scheduled for a prior Committee meeting, however, was unavailable due to illness. The Ethics item is scheduled to be heard at the December 1, 2025 meeting.

GENERAL BUSINESS
Chair Jain moved the Item on Discussion on Council Policy 050 (Gifts to Elected and Appointed Officials) ahead of the Item for Consideration and Possible Action on a Proposed New Council Policy for Ticket Distribution to City Officials.

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10/30/2025Governance and Ethics Committee Meeting Minutes

2. 25-1576 Discussion on Council Policy 050 [Gifts to Elected and Appointed Officials] Recommendation: Provide input to staff on the existing Gift Policy and direct staff to return with specific proposed changes consistent with this direction for Committee review and consideration
City Attorney Glen Googins provided an overview of the current Council Policy 050 (Gifts to Elected Officials) to seek initial feedback and further direction from the Committee.

City Attorney Googins provided background of the updates to Council Policy 050 in 2018 which added a list of factors City officials had to consider in deciding whether to accept gifts, required any gift accepted of less than $50 be disclosed at a public meeting, and noted that most terms of the City's gift policy are restatements of applicable state law. The presentation noted other approaches vary among other jurisdictions on a gift policy, and some cities may have a policy or some do not have a policy and defer to state law.

Committee members discussed the current policy and proposed the following for consideration in the policy: clear definition of independent expenditures, determine if gifts received in a business capacity are allowable, the Levine Act, applying the policy to individuals at the City who must complete a Form 700, define exemptions, defining events that provide food, raffle prizes, favors, etc.

City Attorney Googins stated he will return to the Committee with a summary of proposed factors for consideration for the Gift Policy.

Member of the Public Wanda Buck stated she took offense to comments that her input was not a representation of the City about ethics.

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10/30/2025Governance and Ethics Committee Meeting Minutes

3. 25-1543 Consideration and Possible Action on a Proposed New Council Policy for Ticket Distribution to City Officials
Recommendation: Approve for presentation to the City Council the proposed Council Policy for Ticket Distribution to City Officials, in the form presented, with such modifications as the Committee may authorize or direct.

Assistant to the City Manager Maria Le presented on the proposed Council Policy (Ticket Distribution for City Officials). The presentation included proposed guidelines and procedures for the acceptance, distribution and reporting of event tickets or passes received by the City for use by City officials, Councilmembers, and designated employees. The presentation included accountability measures to ensure ticket distributions serve City-related public purposes, are properly documented and publicly disclosed through the Fair Political Practices Commission (FPPC) regulations and state laws.

Committee members discussed the proposed policy and considered factors such as: City sponsor more events to fill tables at community events; develop a lottery system to provide free tickets to employees; community groups,;City sponsoring events through the policy; a process to offer tickets to Councilmembers based on priority of Committee assignments; establishing potential district budgets for purchasing for event ticket in City capacity.

Member of the public Wanda Buck stated that disclosure of gifts to the public should consider allowing larger amounts.

Chair Jain motioned to approve staff’s recommendation for a new Council Policy ("Ticket Distribution for City Officials") with an amendment directing that when tickets are available in limited quantities, priority be given to City officials whose committee assignments and/or policy responsibilities are directly related to the subject matter of the event. The motion was seconded by Member Park and approved.

Aye: Member Chahal, Chair Jain, and Member Park3 -

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10/30/2025Governance and Ethics Committee Meeting Minutes

STAFF REPORT
Staff provided updates on questions from the last meeting including: 1) Response to State of the City 2024 inquiry from Committee Member Park about why it did not occur and no response was provided. Staff confirmed the City returned with a response on the question about State of the City at the November 14, 2024 City Council meeting. 2) Requested information on how to correct media reporting, staff shared City website for media corrections and clarifications which focuses on City business matters. 3) Responded to the requested process for all emails received in the Mayor and Council inbox should be forwarded to the full Council, which is reviewed and distributed by City staff.

COMMITTEE MEMBER REPORTS/ FUTURE REFERRALS FOR CONSIDERATION None.

ADJOURNMENT
Chair Jain adjourned the meeting at 12:33 p.m.

Adjourned

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City of Santa Clara
Agenda Report
1500 Warburton Avenue
Santa Clara, CA 95050
santaclaraca.gov
@SantaClaraCity
26-37 Agenda Date: 1/16/2026

REPORT TO GOVERNANCE AND ETHICS COMMITTEE

SUBJECT
Presentation by Outside Consultant for the Review of and Recommendations Regarding Potential Adoption of Ethics Commission and the Approval of Proposed Changes to City's Ethics Policies Previously Presented to Committee

BACKGROUND
In June 2023, the Governance and Ethics Committee discussed the City's ethics program and referred the matter to the full Council. In July 2023, the City Council heard the item and directed staff to: Conduct a special meeting with the City Council to include AB1234 Ethics annual training with the City Attorney. The City Attorney’s Office had already been working on preparing and scheduling an extensive AB 1234 training program. This first of these trainings took place on October 26, 2023; n a second training occurred on March 17, 2025. A third training, with further emphasis on the City’s local rules, is now under development and is expected to be scheduled in late spring, 2026. The Council also directed staff to explore hiring a consultant for the review of existing City Ethics documents. Liebert Cassidy Whitmore (LCW) was retained to review existing City Ethics documents after a Request for Proposal process was completed to solicit qualified firms to review current behavioral standards and existing ethics documents per the City Council direction. Documents identified for review include the City Code of Ethics and Values (Attachment 1), Behavioral Standards for Councilmembers (Attachment 2), the City Council Admonition and Censure Policy (Council Policy 047) (Attachment 3), and the City's "revolving door" ordinance (Attachment 4). LCW previously met with the Committee to share proposed edits to existing policies.

The City received three proposals and selected Liebert Cassidy Whitmore (LCW), a law firm with a 40+ year history providing employment law services to public sector clients. LCWs background in the evaluation of ethical conflicts and the provision of ethics training made them a strong candidate to conduct this work in the City of Santa Clara.

LCW was put under contract and has been working on this project. Morin I. Jacob, the San Francisco Office's Managing Partner, is the lead. Ms. Jacob has an extensive employment law advice and counsel practice wherein she works with clients to develop solutions to challenges and legal issues designed to help prevent litigation. She also advises public agencies on issues involving ethics and the conduct of elected officials. In addition, she is a defense-side employment litigator, with experience ranging from pre-litigation through jury trial and appeal. Her jury trial experience includes defense against claims of harassment, discrimination, retaliation and whistleblower allegations. In addition to trials and arbitrations, she represents clients in administrative proceedings and agencies in binding arbitrations and other disciplinary appeal hearings. She also conducts workplace investigations and holds a certificate from the Association of Workplace Investigators.

City of Santa Clara Printed on 1/13/2026Page 1 of 3
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26-37 Agenda Date: 1/16/2026
As described below, Ms. Jacob will be present at the January 16, 2026 Governance and Ethics Committee meeting for an update on the efforts.

In addition to the above referral, there were two additional findings and recommendations that resulted from the Grand Jury Report titled, "Irreconcilable Differences". In response, the City Council directed that the scope of work for the Ethics document review effort be expanded to include one of the referrals regarding adopting robust ethics training strategies supported by policy. This referral was added to LCWs scope of work.

The other Grand Jury recommendation called for establishing an Independent Ethics Commission to oversee the behavior of Councilmembers and to ensure they model positive engagement with the public and reclaim the public's trust.

In response to this referral, the City released another RFP to solicit assistance from a qualified consultant to identify options and best practices for the structure, powers and duties for such commissions and/or program. LCW submitted for this RFP and was also selected to assist with this body of work.

DISCUSSION
LCW previously presented proposed edits to the following Ethics documents:

1. City Code of Ethics and Values (Attachment 5)

2. Behavioral Standards for Councilmembers (Attachment 6)

3. City Council Admonition and Censure Policy (Council Policy 047) (Attachment 7)

4. Chapter 2.145, Restrictions on activities of City officials and certain City employees (Attachment 8).

Ms. Jacob will meet with the Governance and Ethics Committee on January 16, 2026 to address any additional questions about recommendations and efforts pertaining to the City’s existing Ethics documents. Ms. Jacob will also be providing an overview of the role of Ethics Commissions, including a survey of other models in California and major U.S. cities. She will also discuss the benefits and drawbacks of these Commissions so that the Committee can make its decision about whether to pursue adopting an Ethics Commission.

ENVIRONMENTAL REVIEW
The action being considered does not constitute a "project" within the meaning of the California Environmental Quality Act (CEQA) pursuant to CEQA Guidelines section 15378(b)(5) in that it is a governmental organizational or administrative activity that will not result in direct or indirect changes in the environment.

FISCAL IMPACT
There is no fiscal impact to the City other than staff time.

COORDINATION
This report was coordinated with the City Attorney's Office and the City Manager's Office.

PUBLIC CONTACT
Public contact was made by posting the Committee agenda on the City’s official-notice bulletin City of Santa Clara Printed on 1/13/2026Page 2 of 3
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26-37 Agenda Date: 1/16/2026
board outside City Hall Council Chambers. A complete agenda packet is available on the City’s website and in the City Clerk’s Office at least 72 hours prior to a Regular Meeting and 24 hours prior to a Special Meeting. A hard copy of any agenda report may be requested by contacting the City Clerk’s Office at (408) 615-2220, email [email protected] or at the public information desk at any City of Santa Clara public library.

RECOMMENDATION

1. Receive Consultant's Report and Provide Input or Direction Regarding Consultant's Recommendations on a Potential Ethics Commission or Alternatives

2. Review and Possible Action to Recommend to the Council Approval of Proposed Changes to City's Ethics Policies Previously Presented to Committee Reviewed by: Morin I. Jacob, Consultant
Approved by: Jovan Grogan, City Manager

ATTACHMENTS

1. City Code of Ethics and Values

2. Behavioral Standards for Councilmembers

3. City Council Admonition and Censure Policy (Council Policy 047)

4. City’s Revolving Door Ordinance

5. Proposed - City Code of Ethics and Values

6. Proposed - Behavioral Standards for Councilmembers

7. Proposed - City Council Admonition and Censure Policy (Council Policy 047)

8. Proposed - Chapter 2.145, Restrictions on activities of City officials and certain City employees
City of Santa Clara Printed on 1/13/2026Page 3 of 3
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1 LCW’S PROPOSED EDITS TO CITY CODE OF ETHICS AND
VALUES

City Council Code of Ethics & Values
Preamble
The residents of the City of Santa Clara are entitled to responsible, fair, honest, and ethical City government. Elected officials should conduct their official and private affairs so as not to give a reasonable basis for the impression that any such official can be improperly influenced in the performance of their public duties. It is also important that elected officials maintain an environment where all those involved in the governing process feel welcome to participate because they will be treated ethically and respectfully.

Values of Elected Officials

• Accountability—the willingness to accept responsibility and account for one's actions.
• Fairness—ensuring equity and due process.
• Impartiality—loyalty to the public good.
• Diversity—embracing histories, values, and ideas from all backgrounds, and recognizing their contribution to improving the City's operations, services, and programs.
• Transparency—policies and procedures that are open to public observation and scrutiny.
• Integrity—the practice of being truthful, seeking truth, and adherence to the City's values.

Responsibilities of Elected Officials
It is incumbent for every elected official to uphold this City Council Code of Ethics and Values.

The elected officials commit to undertaking their responsibilities with the highest ethical principles, placing the public's interest above their own. The elected officials pledge to uphold the following principles:

1. As an elected official, I will act in the public’s interest. Elected officials must work for the common good of the residents of the City and not for any private or personal interest. Elected officials will not permit personal interests to impair their judgment or action. Elected officials will be impartial, ensuring that decisions are free of bribes, unlawful gifts, or other improper influence. Elected officials will disclose, and if necessary, recuse themselves from the decision-making process and any activities, dealings, and transactions on behalf of the City that may relate to my personal, financial, or outside activities. Elected officials will not use their position with the City for private gain, for the endorsement of any product, person or enterprise, or for private gain of relatives or friends.

2. As an elected official, I will be accountable. Elected officials must comply with all federal, State, and City laws and regulations as well as applicable policies and procedures in the performance of their duties.

3. As an elected official, I will act above reproach. The professional and personal conduct of elected officials must be above reproach and avoid even the appearance of impropriety.

Elected officials must refrain from abusive conduct, personal charges, or verbal attacks upon the character or motives of other elected officials, Boards or Board members, Commissions or Commission members, Committees or Committee members, City volunteers, City staff, and members of the public. Elected officials will be accurate, courteous, civil, and honest in all written and oral interactions with others. Respect for each other, the municipality, other City elected and appointed officials, City staff, and members of the public is critical to maintaining an environment where there is free and open discussion. Such an environment leads to better decision-making for the City. Accordingly, elected officials will act above reproach at all times.

4. As an elected official, I will place the public’s trust before my personal interests.

Elected officials must not accept any gifts or favors which might compromise their independence of judgment or action, or give the appearance of being compromised. Elected officials will abide by all applicable requirements pertaining to gifts or favors and gratuities, including donations and honoraria.

5. As an elected official, I will properly use public and City resources. Elected officials will be fiscally responsible. Elected officials will adhere to all policy and procedures and contractual commitments to safeguard the integrity of the City's procurement and bidding and competitive processes. Elected officials must not use public resources unavailable to the public in general, such as City staff time, equipment, supplies, or facilities, for private gain or personal purpose.

6. As an elected official, I will safeguard data and information entrusted to me. Elected officials will safeguard City data to preserve confidentiality and privacy concerning the property, personnel, or other affairs of the City. Elected officials will handle and safeguard all non-public and proprietary information as protected under agreement or public law.

Elected officials protect all City assets, resources, and information from loss, theft, and misuse. Elected officials will protect the interests of the City and those who have placed their trust in them.

7. As an elected official, I will avoid conflicts of interest. To assure their independence and impartiality on behalf of the common good, elected officials must not use their official positions on the Council to influence government decisions in which they have a material financial interest or where they have an organizational responsibility or personal relationship, which may give the appearance of a conflict of interest.

(CONSIDER A FORM FOR ELECTED OFFICIALS TO SIGN):

I affirm that I have read and understand the above City Council Code of Ethics and Values.

My signature on this form certifies that I have received and read this City Council Code of Ethics and Values and that I will abide by this Code:

_____________________________

Council’s Relation with City Staff

Elected officials must respect the Council-Manager form of government. The City Manager implements Council's vision, policies, and goals through the City staff and is responsible for directing the day-to-day operations of the City. Elected officials value partnering and collaborating with the City Manager and the City organization to achieve the community's vision. The Council-Manager relationship is affected by the expectations, styles, and personalities of the Council and City Manager who are in place at the time. Despite the value of partnership and collaboration, these policies are intended to establish boundaries and expectations based upon the role of the City Manager and the Council-Manager form of government structure. As such, they transcend individual personalities and styles that might affect their implementation.

To enhance their working relationship with staff, elected officials should be mindful of the support and resources needed to accomplish City goals. When communicating and working with staff, elected officials should follow the guidelines below.

1. Elected officials must treat staff as professionals. Clear, honest communication that respects the abilities, experience, and dignity of each individual is expected. Elected officials must practice civility and decorum in all interactions with City staff.

2. Elected officials must be professional in all situations and circumstances, conducting themselves in a consistent, confident, competent, and productive manner.

3. Following the Council-Manager form of government, elected officials should direct routine questions of City staff to the City Manager, City Attorney, department head, or designee (i.e. staff assigned to support a subcommittee, project, or specific task).

Elected officials should not set up meetings with staff directly but work through the City Manager, City Attorney, department head, or designee. When in doubt about appropriate staff contact, elected officials should ask the City Manager.

4. The Council must understand that the City Manager and staff are responsible for implementing City and/or City Council action. The Council should not direct program administrative functions and implementation; rather it should provide policy guidance to the City Manager.

5. Elected officials should attempt to communicate questions, corrections, and/or clarifications about reports requiring official action to staff prior to Council meetings.

Early feedback will enable staff to address such questions before the meeting, resulting in a more efficient meeting discussion.

6. Elected officials should not direct the City Manager or City staff to initiate any action, change a course of action, or prepare any report without the approval of the Council. The City Manager's responsibility is to advise on resources available and required for a particular course of action as it relates to Council direction.

7. Elected officials should not attend department staff meetings unless invited or requested by the City Manager.

8. Elected officials should direct any concerns related to the behavior or work of a City employee to the City Manager. Elected officials should not reprimand employees directly nor should they communicate their concerns publicly.

2 LCW’S PROPOSED CITY CODE OF ETHICS AND VALUES

REPLACEMENT TO: CITY CODE OF ETHICS & VALUES

Title: City Council Code of Ethics and Values
Preamble

The residents of the City of Santa Clara are entitled to responsible, fair, honest, and ethical City government. Elected officials should conduct their official and private affairs so as not to give a reasonable basis for the impression that any such official can be improperly influenced in the performance of their public duties. It is also important that elected officials maintain an environment where all those involved in the governing process feel welcome to participate because they will be treated ethically and respectfully.

Values of Elected Officials

• Accountability— the willingness to accept responsibility and account for one's actions.
• Fairness— ensuring equity and due process.
• Impartiality— loyalty to the public good.
• Diversity— embracing histories, values, and ideas from all backgrounds, and recognizing their contribution to improving the City's operations, services, and programs.
• Transparency— policies and procedures that are open to public observation and scrutiny.
• Integrity— the practice of being truthful, seeking truth, and adherence to the City's values.

Responsibilities of Elected Officials
It is incumbent for every elected official to uphold this City Council Code of Ethics and Values. The elected officials commit to undertaking their responsibilities with the highest ethical principles, placing the public's interest above their own. The elected officials pledge to uphold the following principles:

3. As an elected official, I will act above reproach. The professional and personal conduct of elected officials must be above reproach and avoid even the appearance of impropriety. Elected officials must refrain from abusive conduct, personal charges, or verbal attacks upon the character or motives of other elected officials , Boards or Board members, Commissions or Commission members , Committees or Committee members, City volunteers, City staff, and members of the public . Elected officials will be accurate, c ourteous, civil, and honest in all written and oral interactions with others. Respect for each other, the municipality , other City elected and appointed officials, City staff, and members of the public is critical to maintaining an environment where there is free and open discussion. Such an environment leads to better decision- making for the City. Accordingly, elected officials will act above reproach at all times.

4. As an elected official, I will place the public’s trust before my personal interests. Elected officials must not accept any gifts or favors which might compromise their independence of judgment or action, or give the appearance of being compromised. Elected officials will abide by all applicable requirements pertaining to gifts or favors and gratuities, including donations and honoraria.

5. As an elected official, I will properly use p ublic and City resources. Elected officials will be fiscally responsible. Elected officials will adhere to all policy and procedures and contractual commitments to safeguard the integrity of the City's procurement and bidding and competitive processes. Elected officials must not use public resources unavailable to the public in general, such as City staff time, equipment, supplies, or facilities, for private gain or personal purpose.

6. As an elected official, I will safeguard data and information entrusted to me.

Elected officials will safeguard City data to preserve confidentiality and privacy concerning the property, personnel, or other affairs of the City. Elected officials will handle and safeguard all non-public and proprietary information as protected under agreement or public law. Elected officials protect all City assets, resources, and information from loss, theft, and misuse. Elected officials will protect the interests of the City and those who have placed their trust in them.

I affirm that I have read and understand the above City Council Code of Ethics and Values.

My signature on this form certifies that I have received and read this City Council Code of Ethics and Values and that I will abide by this Code:

SIGNATURE LINE
Council's Relation with City Staff

Elected officials must respect the Council -Manager form of government. The City Manager implements Council's vision, policies, and goals through the City staff and is responsible for directing the day-to-day operations of the City. Elected officials value partnering and collaborating with the City Manager and the City organization to achieve the community's vision. The Council- Manager relationship is affected by the expectations, styles, and personalities of the Council and City Manager who are in place at the time. Despite the value of partnership and collaboration, these policies are intended to establish boundaries and expectations based upon the role of the City Manager and the Council -Manager form of government structure. As such, they transcend individual personalities and styles that might affect their implementation.

1. Elected officials must treat staff as professionals. Clear, honest communication that respects the abilities, experience, and dignity of each individual is expected.

Elected officials must practice civility and decorum in all interactions with City staff.

2. Elected officials must be professional in all situations and circumstances, conducting themselves in a consistent, confident, competent, and productive manner.

3. Following the Council -Manager form of government, elected officials should direct routine questions of City staff to the City Manager, City Attorney, department head, or designee (i.e. staff assigned to support a subcommittee, project, or specific task).

5. Elected officials should attempt to communicate questions, corrections, and/or clarifications about reports requiring official action to staff prior to Council meetings. Early feedback will enable staff to address such questions before the meeting, resulting in a more efficient meeting discussion.

7. Elected officials should not attend department staff meetings unless invited or requested by the City Manager.

FOR COUNCILMEMBERS

1 City of Santa Clara

PROGRAM IN ETHICS & VALUES
BEHAVIORAL STANDARDS FOR CITY COUNCIL MEMBERS 1

INTRODUCTION
Ten years ago, the City of Santa Clara began its ethics and values program to foster public trust by promoting and maintaining the highest standards of personal and professional conduct. Since the adoption of the Code of Ethics & Values in 2000, the City Council has promised the people of Santa Clara that Council M embers, all elected and appointed officials, candidates for public office, and City Staff will meet the most demanding ethical standards and demonstrate the highest levels of achievement in practicing eight core values identified in the Code.

Those values, which are fundamental to public trust, were adopted to guide the decisions and actions of individual Council Members and the Council as a whole. City Council and City Staff have worked hard to integrate these values into the everyday operatin g culture of City Hall. The City has conducted extensive outreach to residents encouraging them to hold public officials accountable at the ballot box for being credible role models for these values, in word and in deed, in public or in private.

To help the Council make these values real in their regular work with the City, the Code describes for each value a basic set of character traits and actions residents can expect to see Council Members meet and exceed.

This document translates these traits and actions into concrete behavioral standards for the City Council. These standards describe what impeccable leadership ethics looks like in the everyday work of the Council. They reflect commonly accepted "best pract ices," rather than specific issues or problems the Council has faced. The list seeks to include enough positive behaviors to practice (and negative behaviors to avoid) that a reasonable person can assess how credible he or she is as a role model and ethica l leader.

This information is presented i n four columns. Columns 1 and 2 reproduce the approved Code of Ethics. Columns 3 and 4 list the behavioral standards.

1 This document is based on the Behavioral Standards for Commissioners, Boards, and Other Appointed Officials, developed during 2000 -2002, and approved by the City Council in February 2003. A representative committee of Board Members and Commissioners, working with the City's initial Ethics Ordinance Committee, drafted that document. It was then revised based on extensive feedback from all Board Members, Commissioners, and Staff Liaisons. In a working session in April, 2008, the Council used that document to develop the first draft of its own standards The City's Ethics Consultant, Dr. Tom Shanks, and City Staff dra fted the final version f or City Council review on May 6, 2008.

Approved by City Council on May 20, 2008.
2 City of Santa Clara

PROGRAM IN ETHICS & VALUES

BEHAVIORAL STANDARDS FOR CITY COUNCIL MEMBERS
The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
As a Santa Clara representative, I will be:

Ethical

I am trustworthy,
acting with the
utmost integrity
and moral courage

• Making careful decisions,
advancing the best long --
term interests of the City,
after considering all
available facts, City Staff
recommendations, and
public comment
• Making hasty, ill -
informed decisions
based on politics, bias,
faulty assumptions,
prejudice, self -in terest,
gossip, and half -truths
• Voting my honest
conviction, explaining
my ethical reasoning,
respecting the minority,
and upholding the
majority as the decision
of the Council
• Promising my vote
before facts are known
in order to gain favor
with a crony, endorser,
lobbyist, or special
interest

• Vigorously debating an
issue, listening carefully
to all sides, making my
best judgment call, even
if it's not popular, and
taking responsibility for
my actions
• Saying whatever the
vocal public wants to
hear, dodging criticism
of an unpopular vote,
shifting the blame to the
majority, other
members, or City Staff
• Preparing to vote by
assessing how various
options advance or harm
the best interests of the
City as well as the City's
Mission and Core Values,
working to minimize any
harm
• Always taking the short -
term view, representing
few stakeholders,
believing ethics and City
values have no bearing
on decisions

• Finding an imaginative
solution that is in the
best interests of the
City, is fair, respects
individual rights and the
Council's duties, and
advances City values
• Saying and doing
whatever it takes, no
holds barred, to advance
one's personal position,
power, influence or
political career

3 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors
Like
4 Council Members Avoid
Negative Behaviors
Like
Ethical (continued)

I am truthful, do
what I say I will
do, and am
dependable
• Giving complete,
factual,
unbiased information
to colleagues, public,
and the press
• Concealing,
fabricating,
overstating, under -
stating, or denying
the truth; spinning
the truth; leaving
out context
• Making promises
to the public, City
Staff, and Council
members which
can be kept and
do not exceed the
authority of any
individual Council
Member
• Promising more
than can be
delivered, over -
extending oneself,
or taking sole
credit for the work
of the Council and
others
I make impartial
decisions, free of
bribes, unlawful
gifts, narrow
political interests,
and financial and
other personal
interests that
impair my
independence of
judgment or action
• Seeking advice from
the City Attorney
and City Manager
when confronting a
real or potential
conflict of interest,
and making a full
public disclosure
when the Council
considers the
agenda item
• Helping a friend
get a project
through the
Council in return
for a donation to
a campaign fund,
school or charity,
or the gift of
tickets or another
perk
• Having declared a
conflict, leaving the
dais and Council
Chambers, so other
Council members
are free of any
undue influence
• Talking to fellow
Council Members
prior to declaring a
conflict, and asking
them to take care
of the item in a
way that advances
personal interests
I am fair,
distributing
benefits and
burdens according
to consistent and
equitable criteria
• Listening
attentively to all
sides, keeping an
open mind and
avoiding even the
appearance of bias,
following
precedents
consistently,
treating equals
equally
• Paying more
attention to
friends' and
supporters'
projects
• Making "back room"
deals and decisions
• Giving preferential
treatment to special
interests,
consultants, and
former Council
Members
4 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors
Like
4 Council Members Avoid
Negative Behaviors
Like
Ethical (continued)

I extend equal
opportunities and
due process to all
parties in matters
under consideration.

If I engage in
unilateral meetings
and discussions, I do
so without making
voting decisions
• Being available to
anyone who wants to
discuss an issue,
keeping an open
mind and not
committing to vote
for or against an item
until after hearing
the full public
discussion
• Promoting the
interests of the
business community
without first
considering the
interests of all
stakeholders
• Giving special
treatment to the
companies that pay
the most in taxes
and to my largest
campaign donors
• Referring media
questions on Closed
Session or other
confidential matters to
the City Manager's
Office, rather than
saying "No Comment"
• Telling others about
Closed Session
proceedings,
especially when it is
an important issue
and I want input on
how to decide
• Confirming a rumor,
remaining silent,
communicating non-
verbally, or in other
ways providing
information that is
confidential or that
the Council Member
has promised not to
reveal
• Treating the public and
City Staff, at all times,
the way I treat highly
regarded colleagues in
businesses or
professions
• Acting based on
stereotypes, rumors,
"ancient history," and
prior negative
experiences with an
individual or groups
• Bringing to the
attention of the City
Manager any concern
about the actions or
work of City Staff, or
any complaint from
the public
• Criticizing or
embarrassing the City
Manager or other City
Staff in public
• Failing to publicly
recognize
extraordinary City
Staff work
5 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors
Like
4 Council Members Avoid
Negative Behaviors
Like
Ethical
(continued)
• Showing courtesy and
interest in word and
action to City Staff,
public, and elected and
appointed officials
• Complimenting the
work of a single City
Staff member when
a staff team actually
did the work
• Speaking and acting
out of the belief that
City Staff and all
members of the
Council are on the
same team and
committed to doing
their best to serve
residents
• Engaging publicly or
privately in personal
verbal attacks
against Council
colleagues or City
Staff; interrupting
while they are
speaking, rolling
eyes, demeaning
them, or in other
ways treating them
inappropriately
Professional I use my title(s)
only when
conducting official
City business, for
information
purposes, or as an
indication of
background and
expertise, carefully
considering
whether I am
exceeding or
appearing to
exceed my
authority
• Using City titles for
identification at League
meetings or when on
other official City
business, or when
seeking information
directly related to a
Council matter from
appropriate sources
• Using a City title when
making dinner
reservations or making
purchases
• Referring friends to City
businesses and
suggesting they
mention the name of a
Council Member to
get the best prices
I apply my know -
ledge and expertise
to my assigned
activities and to the
interpersonal
relationships that
are part of my job
in a consistent,
confident,
competent, and
productive manner
• Preparing by reading the
agenda packet before
meetings
• Asking the City Manager
informational questions
ahead of time to assist
in being prepared
• Arriving on-time to
meetings, paying
attention and listening
actively
• Rushing into
meetings late and
being obvious
about opening the
agenda packet for
the first time or
speed -reading the
packet while City
Staff or the public
are presenting
information

6 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Professional
(continued)
• Asking questions that
will advance the
discussion,
contribute to
decision -making, and
have not been
covered in the
agenda packet
• Taking no notes,
remembering little,
if any, of the
information in the
agenda packet,
asking to have
information
repeated constantly
• Listening attentively
to the public, City
Staff, and other
Council members who
may speak at
meetings
• Making little or no
eye contact with
any speaker during
the meeting
• Leaving during public
comment and returning
only after it is over
• Making comments to
someone else while
the public is
speaking
I approach my job and
work-related
relationships with a
positive attitude
• Approaching Council
work informed of issues,
enthusiastic, energized,
interested, ready to
participate, and focused
• Approaching Council
work half -heartedly,
coming to meetings
eager to leave
• Short -circuiting a
discussion; being
perceived as rude by
other Council
Members, City Staff,
or the public
• Making guests feel
welcomed at
meetings
• Treating new Council
Members as
colleagues,
encouraging them to
express their
opinions, and
offering them
positive feedback
• Acting in a superior
manner with newly
elected Council
members
• Never making time to
be responsive to
residents who want
to discuss issues
I keep professional
knowledge and skills
current and growing
• Making it a priority
to attend League
meetings, Electric
Joint Powers Agency
meetings, and
committees
• Assuming there is
nothing new to
learn
• Going to League
meetings and
conferences to be seen,
but never attending any
training
7 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors
Like
4 Council Members Avoid
Negative Behaviors
Like
Professional
(continued)
• Reading background
materials for general
preparation including
professional journals,
books, and articles
• Skipping meetings with
the City Manager,
assuming you know as
much, if not more, than
she does on this issue
Service-Oriented I provide friendly,
receptive, courteous
service to everyone
• Not just answering
questions, but
sharing helpful
knowledge of Council
or government
functions, even if the
person asking isn't
sure what they need
to know
• Acting like it's a bother
anytime a resident asks
a question or when
they make inquiries
about
Council/government
business
• Seeking the opinions
of those who are
hesitant or unwilling
to come forward with
their ideas, but trying
not to force anyone
to speak in a public
forum if they are
uncomfortable or
unprepared
• Making guests or
others feel stupid,
intimidated,
dismissed,
manipulated, or
demeaned by reading
the newspaper,
falling asleep,
laughing at a private
joke with another
Council Member, or
repeatedly leaving
the room during
discussions
I am attuned to, and
care about, the needs
and issues of residents,
public officials, and city
workers
• Talking with residents
and actively listening
at City gatherings to
be aware of what is
going on in this
community and other
communities
• Being arrogant or
uninterested when
responding to
residents outside of
City Hall about their
concerns and
debating with them
to prove them
wrong or
misinformed
• Attending City events
and interacting
effectively with the
public, aware that
others expect Council
Members to be role -
models
• Showing up late to City
events, leaving early,
and spending most of
the time talking only to
one or two friends

8 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Service-Oriented
(continued)
• Relaying things heard or
provided to the Council
or the City Manager or
other appropriate
parties for follow-up
• Withholding important
information to use it for
narrow personal
purposes at a later time
In my interactions with
constituents, I am
interested, engaged,
and responsive
• Acting in a pleasant
and friendly manner
and encouraging
people to speak their
mind; welcoming
constructive criticism
as well as
compliments
• Through word and
action, discouraging
people from proposing
what they believe are
solutions or expressing
their concerns
• Focusing on the
speaker and trying to
see the world as they
do in order to
understand their
needs
• While seeming to be
engaged in one
conversation, scanning
the environment for
someone more
interesting or
important to speak
with; abruptly stopping
the previous
conversation to speak
with the more
important person
Fiscally Responsible I make decisions after
prudent consideration
of their financial
impact, taking into
account the long- term
financial needs of the
City, especially its
financial stability
• Before deciding how
to vote, reviewing
cost/benefit analysis
and all related
studies, along with
City Staff
recommendations
• Allowing other Council
members who have
more expertise in
budgeting to take the
lead in budget
discussions, trusting
that they know better,
and never improving
personal expertise
• Consider the City's short
and long term financial
condition prior to
proposing new or
expanded City projects
• Ignoring the constraints
of the City budget when
making decisions
• Citing "budget
constraints" as the
reason for not
supporting a motion,
when the real reason
is how it will look in
the next election

9 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Fiscally Responsible
(continued)
I demonstrate concern
for the proper use of
City assets (e.g.,
personnel, time,
property, equipment,
funds) and follow
established procedures
• Allocating resources
according to the
City's plan and in
compliance with the
law and the City's
goals to provide
residents with a
better environment
in which to live
• Taking advantage of any
opportunity to get
something "free" from
the City
• Seeking discounts from
the City's vendors solely
because of my position
• Using City equipment
only for Council
work, not for
personal use or for
my business
• Coming to City Hall
regularly and asking
City Staff to make just a
few copies for personal
use
• Respecting City Staff
time and being
especially careful to
ask the City Manager
to take on special
research or other
projects only if
convinced that this
work is critical and
necessary for the
Council to better
serve the needs of
residents
• Asking a lot of
questions that focus
on non substantive
details, being unable
to separate what's
important from
what's not
• Representing the public's
interests to the best of
my ability
• Balancing long -term
impacts and short -
term goals
• Acting as if I "own" the
City or my seat on the
Council
I make good
financial decisions
that seek to
preserve programs
and services for City
residents
• Being fully aware of
and understanding
the approved City
budget, having
solicited
explanations from
the City Manager, if
necessary
• Taking as many trips
as possible at the
City's expense
because of a
personal feeling
that the
compensation is not
sufficient and some
reward for City
work is deserved

10 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Organized I act in an efficient
manner, making
decisions and
recommendations
based upon research
and facts, taking into
consideration short
and long -term goals
• Being cognizant of the
importance of scarce
meeting time and
preparing accordingly,
with the result that
the Council spends
time on the important
issues and deals
efficiently with other
issues
• Relying solely on prior
knowledge and
spending a great deal of
the Council's time
proving to everyone
how much I know on all
issues, large and small
I follow through in a
responsible way,
keeping others
informed, and
responding in a
timely fashion
• Sharing my research and
experience with others
on the Council, making
worthwhile
contributions and
welcoming
alternative
viewpoints
• Using hear-say from a
third party as the sole
basis for making a
decision

• Returning phone calls
and email promptly, if
at all possible; if
unable, letting the
person know when to
expect a response
• Failing to
acknowledge receipt
of requests for
information
• Responding only to
people who can help
with personal political
goals
• Eventually getting
around to sending
information, but
never in a timely
manner
I am respectful of
established City
processes and
guidelines
• Participating fully in
orientation sessions
and other sessions in
order to understand
how the City's policies
and procedures
impact the
effectiveness of the
Council
• Criticizing City
policies in public
without first
expressing concerns
to City Staff or
gaining knowledge
necessary in order
to offer constructive
criticism
• Helping to establish
reasonable timetables
and then following
them
• Being flexible in setting
meeting dates and times
• Ignoring deadlines, not
keeping people
informed, and making
excuses which damage
public trust

11 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Organized
(continued)
• Being able to explain to
residents, businesses,
and visitors how the
City's policies and
procedures are
examples of the City's
Core Values in practice
• Being cynical about
policies and cavalier
about following
procedures because
of a failure to see
how these are related
to fairness and the
common good
Communicative I convey the City's care
for and commitment to
its residents
• Being able to explain the
City's goals to anyone
and describe personal
commitment to them
• Supporting superb,
affordable City services
and conveying that
commitment effectively
to residents
• Plotting and scheming
to accomplish
personal agendas
• Deciding how you will
vote and writing out
those reasons prior
to any public
comment
• Becoming angry at a
resident who is
critical of the
Council
I communicate in
various ways that I
am approachable,
open -minded and
willing to participate
in dialog
• Being available to the
public in person, at
events, an d through
telephone and
written
correspondence to
provide both answers
to questions and
dissemination of
important
information
• Confusing residents,
spreading rumors and
gossip, or slandering
elected or appointed
officials, City Staff, or
anyone
• Interrupting someone
who has the floor
• Listening attentively,
being open to multiple
perspectives, and
allowing the
possibility of changing
opinions and points of
view
• Listening solely to
find flaws, to spot
differences, and to
counter arguments
• Going out of my way
during meetings to
show why I am always
right and others are
not
• Making it a practice to
communicate equally
well to all stakeholders,
regardless of their
influence, power, or
campaign donations
• Dominating meetings
and asking many
more questions than
time allows,
effectively excluding
the input of others

12 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Communicative
(continued)
I engage in effective
two-way
communication, by
listening carefully,
asking questions, and
determining an
appropriate
response which adds
value to
conversations
• During meetings,
giving residents and
others the benefit of
the doubt and
listening to identify
needs and interests
• Asking questions to
clarify, to understand,
and to augment, in
order to hear the truth
as the resident sees it
• Making the best
decision to advance
the community's
values and goals
• Considering people
on the other side of
issues as enemies,
rather than as
colleagues or fellow
residents
• Weakening public
debate by belittling or
mocking someone's
viewpoint
• Demonizing anyone who
disagrees with a
personal conviction or
viewpoint
Collaborative I act in a
cooperative manner
with groups and
other individuals,
working together in
a spirit of tolerance
and understanding
• Submitting one's best
thinking, respecting
all other participants
and inviting their
thoughts in order to
develop better
solutions
• Seeing value in working
with other agencies to
develop consistent
policies, where
appropriate
• Describing people who
hold different
viewpoints as "them"
• Failing to recognize
personal biases,
prejudices, stereotypes,
and their influence on
language and attitudes
toward residents and
others
I work towards
consensus building
and gain value from
diverse opinions
• Approaching meetings
and discussions
assuming that many
people have pieces of
answers and that
cooperation will lead
to workable solutions
for the most difficult
problems
• Approaching
discussions as if there's
already a single right
answer that needs to
be defended against
opposing viewpoints

I accomplish the goals
and responsibilities of
my individual position,
while respecting my
role as a member of a
team
• Understanding that what
I do speaks more loudly
than what I say
• Showing respect for
Council Members, Staff,
and residents by giving
priority to my City
commitment, doing my
homework
• Focusing first on
satisfying a personal or
hidden agenda
• Actively weakening
the team that the
Council and City
Staff have devoted
efforts to build

13 The Code of Ethics & Values Behavioral Standards
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Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Collaborative
(continued)
• Understanding that
each Council
decision either
builds public trust
or detracts from it
• Dismissing any idea
proposed by a
Council colleague
who supported
someone else in
the last election
• Working hard to develop
among Council
Members, other officials,
City Staff, and the public
a kindred spirit of
cooperation when
working toward
implementing City
values
• Reaching conclusions
based on satisfying
personal or special
interests and
refusing to change
one's position
despite good
reasons to
reconsider
• Holding grudges and
considering some
people as
permanent enemies
I consider the
broader regional
and State- wide
implications of the
City's decisions and
issues
• While serving on County-
wide committees, acting
in a professional manner
and approaching the
tasks responsibly
• Making derogatory
remarks about other
cities, feeling that
Santa Clara is
superior
• Serving on County or
State -wide panels,
freely sharing
information and
resources so
everyone may benefit
from the City's
experience
• Having tunnel vision
and ignoring
anything beyond the
City, depriving the
City of the benefit
of a broader,
regional perspective

14 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Progressive I exhibit a
proactive,
innovative
approach to setting
goals and
conducting the
City's business
• Contributing
personal
experiences and
expertise to
advance the goals of
the Council and the
City as a whole
• Anticipating future
problems or
opportunities,
raising the issues at
the appropriate time
for City Staff to
investigate and for
Council to consider
• Being dogmatic in
approaching
decision -making
and only doing
things the way
they've always
been done
• Never taking a
forward looking,
principled or values-
centered stand, but
preferring to solve
issues in an ad hoc
manner
• Focusing on the
short term, being
concerned only
about meeting
minimum
requirements of
law, politics, or
efficiency
I display a style that
maintains consistent
standards, but is
also sensitive to the
need for
compromise,
"thinking outside the
box," and improving
existing paradigms
when necessary
• Being able to explain
how a decision is
consistent with
ethical standards
and the City's Core
Values
• Committing to
ongoing
improvement,
progressive
government, and
moral imagination in
solving problems
• Lying about
personal mistakes
and downplaying
their importance
• Manipulating
discussions and
decisions to
advance personal,
political
aspirations
• Speaking and
listening only to
one's friends on the
Council
• Taking responsibility
for actions, making
appropriate
apologies or
restitution when a
mistake is made,
and implementing a
plan to develop
practical skills to
avoid such mistakes
in the future
• Actively listening,
asking clarifying
questions, and
giving careful
consideration to all
• Holding on to
opinions and
viewpoints so
stubbornly that
mistakes are made,
impacting public
trust
• Letting personal
limitations impede
progress or the work
of the Council
• Playing the role of
pessimist whenever
a new idea is
presented, trying
to bulldoze
personal ideas
15 The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage in
Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors
Like
Progressive
(continued)
comments and
viewpoints, even if
they are expressed
by people who think
differently, have
different beliefs,
and have different
groups of
supporters
despite budget
limitations, prior
agreement, or
consensus, and
undermining new
ideas by gossiping
with others before
the idea has a
chance to be
explored
I promote
intelligent and
thoughtful
innovation in
order to forward
the City's policy
agenda and City
services
• Encouraging
talented and
diverse individuals
to become involved
in City service, as
well as recognizing
and celebrating
talent and new
ideas that help the
City reach its
goals, improve City
services, and
implement City
Core Values in best
practice
• Pushing change in
the City without
ample thought,
and causing
change only for
the sake of
change, or only to
fulfill a campaign
promise

12677374.2 SA460-029
4 LCW’S PROPOSED BEHAVIORAL STANDARDS FOR

COUNCILMEMBERS

12677374.2 SA460-029
Ethics & Values (note: no recommended edits until after others approved)
The City of Santa Clara is a national leader in incorporating community ethics and values into local government. In 2000, Santa Clara adopted an updated Code of Ethics & Values that was designed to increase public trust and confidence in government by promoting and maintaining the highest standards of personal and professional conduct among the people who work in or represent the City. Santa Clara's Ethics & Values program is a practical guide to help elected and appointed City officials, City staff and City volunteers to be "at their best" everyday, with a goal to foster public trust and confidence in the City's government and services, and maintaining the highest standards of professional conduct. The City's use of values as guidelines for public service has received national attention and become a model for other communities wanting to infuse ethics into municipal government.

In one facet of the program, Santa Clara's efforts to encourage political candidates to use the City's Code of Ethics & Values as guidelines for their campaigns has received top honors in a State recognition program. A special effort was launched in
2000 to engage campaign supporters along with the candidates for elected municipal office in the Ethics & Values Program. Workshops on ethical campaign strategies and tactics are now held before and after each election, and candidates are asked to pledge they will conduct ethical campaigns and to encourage their supporters to do the same. A "Vote Ethics" program is designed to help voters make the candidate ethics and core values important criteria in selecting who will get their vote.

City Ethics & Values Program - Related Links
• Behavioral Standards for Commissioners, Board Members and Other Appointed Officials (PDF) • Behavioral Standards for Council Members (PDF)
• Code of Ethics & Values
• Living Our Values (PDF)
• "Pocket Card" on Living Our Values and Being "At Our Best" Every Day (PDF)

10/1/24, 12:38 PM Ethics & Values I City of Santa Clara Campaign Ethics - Related Links
• Candidate Campaign Disclosure Statements
• Code of Fair Campaign Practices (PDF)
• Council of Trust 2014 (PDF)
• Election Information
• November Election Candidates
• Candidate Forum Videos
• The Role of the Ethics Consultant During City
Election Campaigns (PDF)
• Candidate Guide to Building Public Trust
(PDF)

GOOD GOVERNMENT GUIDING PRINCIPLES
We foster public trust when our decisions:

1. Honor the letter and the spirit of the law.

2. Do the greatest good and the least harm.

3. Treat everyone equitably and with respect.

4. Fulfill our duties and protect individuals' rights.

5. Advance the community's best interests and
give voice to the City's Core Values.

City of Santa Clara
Good Government At Our Best Every Day
ETYMA • PROM_SSIOMAL • SraVICE.Ofilf.-1, SIS“ILY P.SIBILE •CFGAIMED—COMAIIIll..111:1 • [OLLABOLGIVI •PRJGRESSNE Ethics & Values - Links to Other Websites
• Fair Political Practices Commission (FPPC)
https://www.santaclaraca.goy/our-city/govemment/governance/ethics-values 1/2 12677374.2 SA460-029

10/1/24, 12:38 PM Ethics & Values I City of Santa Clara • Registrar of Voters for Santa Clara County
• Secretary of State
Last Updated:
07-12-2023
https://www.santaciaraca.gov/our-city/government/governance/ethics-values 2/2 12677374.2 SA460-029

City of Santa Clara

THE CODE OF ETHICS AND VALUES

BEHAVIORAL STANDARDS FOR COMMISSIONERS,

BOARD MEMBERS, AND OTHER APPOINTED OFFICIALS

INTRODUCTION
The City of Santa Clara adopted its Code of Ethics and Values to promote and maintain the highest standards of personal and professional conduct in the City's government. The Preamble to that document states, All elected and appointed officials, City employees, volunteers, and others who participate in the City's government are required to subscribe to this Code, understand how it applies to their specific responsibilities, and practice its eight core values in their work.

Because we seek public confidence in the City's services and public trust of its decision-makers, our decisions and our work must meet the most demanding ethical standards and demonstrate the highest levels of achievement in following this code.

The Preamble stresses the need for everyone to understand how the Code applies to his or her specific responsibilities because the Code was written broadly to apply to many situations and to every decision-maker in the City, including elected and appointed officials, as well as all City staff.

The document, Behavioral Standards For Commissioners, Board Members, And Other Ap pointed Officials, is designed to help Board and Commission Members (and everyone who deals directly or indirectly with the Boards and Commissions) use the Code to guide everyday behaviors and actions. The document takes each part of the City's Ethics and Values Code and tra nslates it into specific standards of
behavior for Commission and Board members. Its goal is to make the Code real for us by showing how it ap- plies to the actions and decisions of Commission members.

This information is presented in four columns on the following pages. Columns 1 and 2 reproduce The Code of Ethics and Values (revised August, 2001). Columns 3 and 4 present the Behavioral Standards. The following heading appears on each page.

The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors
and Actions to Avoid

1. The first column lists the eight Santa Clara City Core Values, in the same order as in the Code.

2. The second column was also approved as description and examples of the City Core Value. Think of these as character traits that we develop in order to practice a specific value. In other words, these are habits of the mind and heart that help us and other people to flourish.

3. Column 3 describes "role model behaviors" or "At -Our-Best Behaviors"—the decisions, words, and actions that demonstrate the City's core values and ethics in best practice.

4. Column 4 gives examples of behavior we want to avoid. Our values "don't look like" these behaviors.

City Council approval February 25, 2003 1
City Council approval February 25, 2003 2
12677374.2 SA460-029

Columns 3 and 4 are examples of specific behaviors that can be observed or clearly inferred from the behavior and words of the Commissioner or Board Member. Note that we are not listing the specific behaviors of Chair persons in this document. That will be addressed in an addendum at some future time.

This document was developed during the last two years (2000-2002) Initially drafted by a representative committee of Board Members and Commissioners, working with the Ethics Ordinance Committee, it was sent back twice to every Board Member and Commissioner for their input and feedback. The second time it was sent back, staff liaisons made special efforts to get feedback from every member of their Commission. The City's Ethics Consultant, Dr. Tom Shanks, drafted the final version for review and minor changes by the Ethics Ordinance Committee on September 3o, prior to forwarding the document for Council approval shortly thereafter. For this final version, we made every effort to incorporate the suggestions that were made, either literally or the spirit of the suggestion.

This document, like the Code of Ethics and Values itself, is a work-in-progress. There is some overlap of behav- iors as there is overlap among the Core Values themselves. It does not describe every behavior; that is not pos- sible. It does, however, seek to provide enough specific content, in describing both behaviors to practice and behaviors to avoid, that a reasonable person will be able to use it to judge that their own behaviors and that of others are consistent with the Code of Ethics and Values in best practice, or are in need of further work.

As we use this document, we will learn how it may need to be revised or improved. Today the document is our best effort to date to describe the promises we make to Santa Clara citizens, to City Staff, and to each other . about how we will treat each other in the Boards and Commissions. It should also be understood by new and old Commissioners and City Staff as a description of the expectations we have for one another. As time goes on, we hope the standards described here become common ground for all Board Members, Commissioners, City Staff, and citizens--one of the many things we have in common.

The Council has already asked us to make a commitment to The Code of Ethics and Values. Now the Council asks all Board and Commission Members to learn these behaviors, to practice them by habit in our everyday work as Commissioners and Board Members, and to address actively any stumbling blocks or obstacles we may encounter. . Taken together with the Code of Ethics and Values, these Standards will form the foundation for Commission orientation, study sessions, problem solving, encouragement and accountability. The first of these sessions takes place on September 3o.

City Council approval February 25, 2003 3
12677374.2 SA460-029

City of Santa Clara

THE CODE OF ETHICS AND VALUES

BEHAVIORAL STANDARDS FOR COMMISSIONERS,

BOARD MEMBERS, AND OTHER APPOINTED OFFICIALS
[Final Draft, August 2002]
The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors and
Actions to Avoid
As a Santa Clara
representative, I
will be:

Ethical I am trustworthy, acting with
the utmost integrity and moral
courage.

I make decisions based on the
information provided after
considering the best interests
of the City.

I tell two of my fellow Corn-
missioners that if we make
this recommendation it will
hurt my business interests.

I always advise the Council to
the best of my ability as a
member of a team of commis-
sioners, even if the Council
does not ultimately accept our
recommendation.

I go out of my way to address
Commission issues or to talk
with citizens, but my real pur-
pose is to advance my own po-
litical career or candidacy.

When I speak at meetings or
cast a vote, I make my best
judgment call, even if it's not
popular, and accept responsi-
bility for my actions.

When I get negative reactions
from citizens about the way
the Commission advised the
Council, I shift the blame to
other Commissioners or staff.

Before a vote, I am sure I can
explain how my decision ad-
vances the City's core values.

I promise votes or appear
to promise votes before all
the facts are known.

I am able to explain why my
decision is the right thing to do
because I've thought through
the ethical principles at stake.

I am unresponsive or evasive
with citizens or staff about
the real values and motives
on which I base my decisions
and comments.

I am truthful, do what I say I
will do, and am dependable.

I always vote unless I must
recuse myself for valid rea-
sons.

I duck out early from meetings
and don't vote when it looks
like I'll have to take an un-
popular stand.

I listen carefully to all sides
and keep an open mind. I ask
specific and probing questions
in order to make up my own
mind.

I demean the person appear-
ing before the Commission or
the testimony of that person.

I make promises to the public,
staff, and other Commission-
ers, but am cautious when I do
and only make promises I can
keep without exceeding the
authority of my position.

I promise more than I can de-
liver, am overextended, and
often leave City staff with the
job of completing the addi-
tional work I said I would do.

City Council approval February 25, 2003 4
12677374.2 SA460-029

The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors
and Actions to Avoid
I make impartial decisions, free of
bribes, unlawful gifts, narrow
political interests, and financial and
other personal interests that
impair my independence of
judgment or action.

I have a real or potential con-
flict of interest so I seek advice
from staff and make an honest
public disclosure when the
Commission meeting starts.

I agree to help a friend get a
project through the commis-
sion. He shows his gratitude
by donating new computers to
my son's school. I'm proud I
could broker a win-win.

Ethical
(continued)
I declare a conflict of interest
and follow my Commission's
approved practice about my
presence or absence in the
room, doing everything I can to
leave the remaining Com-
missioners free of any influence
I might be able to bring I find
out before a meeting what
criteria my Commission has
applied to similar cases so I'm
sure I deal equitably with the
new case we are considering
and that I understand any
precedents that we may have
set.

I sit next to my friends at the
Commission hearing and coach
them on the appropriate things
to say to my fellow Commis-
sioners. Later in the meeting,
when I return to the table, I
make a motion that is related
to the case.

I get angry during the public
meeting, so I blow off existing
policies and subject fellow
Commissioners to my rationali-
zation about why this case
should be handled differently
from other similar cases, even
though past Commission deci-
sions were careful, deliberate,
and based on precedent.

I am fair, distributing benefits
and burdens according to con-
sistent and equitable criteria.

I extend equal opportunities
and due process to all parties
in matters under consideration
If I engage in unilateral meet -
ings and discussions, I do so
without making voting deci -
sions.

I make myself available to
anyone who wants to discuss
an issue but keep an open
mind and do not commit to
voting for or against it until af-
ter hearing the full public dis-
cussion.

I vote based on who has made
the request, especially if I've
talked to the person in private,
rather than giving all parties
an equal shot and using fair,
objective criteria.

I show respect for persons, con-
fidences, and information desig-
nated as "confidential."
I show courtesy and interest in
word and action to staff, pub-
lic, and other Commissioners.

I gossip to my friends about
confidential personnel issues,
decisions, or confidential in-
formation.

I treat the public and the
staff in meetings the way I
treat a colleague I hold in
high regard; I treat City
staff in public and in private
as professionals and
colleagues, acknowledging
their abilities, skills, and ex-
perience.

I make judgments based on
stereotypes, rumors, "ancient
history," and whether I like the
applicant or not.

I criticize City staff and embar-
rass them in public, rather
than discussing problems pri-
vately with the person or their
supervisor.

I speak and act out of the
belief that staff, my fellow
Commissioners, and I are on
the same team and
committed to doing our best
to serve citizens.

In public or private, I engage
in personal verbal attacks
against staff or my fellow
Commissioners, swear at
them, demean them, or in
other ways treat them
inappropriately.

Ethical
(continued)
I use my title(s) only when con - I use my City title to identify I use my City title when I City Council approval February 25, 2003 5
12677374.2 SA460-029

The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors
and Actions to Avoid
ducting official City business, for
information purposes, or as an
indication of background and
expertise, carefully considering
whether I am exceeding or ap-
pearing to exceed my authority.
myself at League of California
City meetings, to order train-
ing materials related to my
Commission work, or when I
seek information directly re-
lated to a Commission matter
from appropriate sources.
make dinner reservations at
restaurants in the City or make
purchases in City Shops. I also
direct my friends to City
businesses and tell my friends
to be sure to tell the proprie-
tors that Commissioner X sent
them.

Professional I apply my knowledge and ex-
pertise to my assigned activities
and to the interpersonal rela-
tionships that are part of my job in
a consistent, confident, corn-
petent, and productive manner.

I prepare by reading agendas
before meetings and asking
the staff ahead of time infor-
mational questions to assist
my preparation.

I rush into meetings late and
am obvious about opening the
agenda packet for the first
time or speed-reading the
packet while staff or public is
presenting information.

I ask relevant questions that
will advance the discussion
and assist decision-making.

I take no notes and need to
ask for reminders of what's
been said or what was in
the packet.

I listen attentively to staff,
Commissioners, and public
who may speak at meetings.

I make little or no eye contact
with any speaker during the
meeting, but when I do my
expression is quite clearly one
of contempt for the speaker.

I approach my job and work-
related relationships with a posi-
tive attitude.

I approach my Commission
work informed of issues,
en- thusiastic, energized,
inter- ested, ready to
participate, and focused.

I approach Commission work
half-heartedly and come to
meetings eager to leave. I
short-circuit discussion inap-
propriately and am often per-
ceived as rude by staff, other
Commissioners, or citizens.

I make guests at meetings feel
welcome and treat new Corn-
missioners as colleagues, en-
couraging them to express their
opinions, and offering them
positive feedback, espe- cially
when they make a unique or
significant contribution to the
Commission's work.

I act in a superior manner be -
cause I'm on the Board or
Commission and consider my -
self powerful and more impor -
tant than the ordinary citizens
or new Commissioners I ignore
when I arrive.

I keep professional knowledge
and skills current and growing.

I make it a priority to attend
available training and confer-
ences.

I act like I know everything
from my first day on the
Commission.

Professional
(continued)
I read relevant materials for
meetings and to prepare my-
self in general. This includes
professional journals, books,
and articles.

I rebuff attempts the staff liai-
son makes to help me because
I did not attend Commissioner
orientation and am unclear
about my role and the staff's
role.

I am open to learning from
others on the commission, ex-
perts, or a mentor
I am defensive or hostile when
a senior commissioner offers
advice outside of meetings.

12677374.2 SA460-029

I educate others in appropriate
ways about commission func-
tions.

I am abrupt with individuals at
meetings or when they make
inquiries to me directly about
commission business.

I seek the opinions of those
who are hesitant or unwilling
to come forward with their
ideas, but try not to force any-
one to speak in a public forum
if they are uncomfortable or
unprepared.

I make guests or others feel
stupid, intimidated, dismissed,
manipulated, or demeaned by
reading the newspaper, falling
asleep, laughing at a private
joke with the person sitting
next to me, or repeatedly leav-
ing the room during discus-
sions.

I am attuned to, and care
about, the needs and issues of
citizens, public officials, and
city workers.

I talk with citizens and listen
when I'm at City gatherings so
that I am aware of and atten-
tive to what is going on in my
community and other commu-
nities.

I am arrogant or uninterested
when citizens speak with me
outside of City Hall about their
concerns and engage in debate
with them to prove their opin-
ions are wrong or misinformed.

I attend City events and inter-
act effectively with the public,
aware that others may con-
sider me a role-model.

I show up at City events late,
leave early, and spend most of
my time there talking only to the
one or two other people I
usually talk to at such events.

I relay the things that I hear to
the Commission or other ap-
propriate parties for follow-up.

I keep important information
to myself to use as an instru-
ment for "power building."
In my interactions with con-
stituents, I am interested, en-
gaged, and responsive.

My demeanor is pleasant and
friendly and encourages people
to speak their minds. I wel-
come constructive criticism as
well as compliments.

In word and action, I discour-
age people from proposing what
they believe are solutions or
expressing their concerns. After
all, I know better than they.

I focus on the person I am
speaking with and try to see
the world as they do so I can
understand their needs.

While I'm talking with one per-
son, I shop around for some-
one more interesting or impor-
tant to speak with. Once I spot
that person, I abruptly stop the
previous conversation.

Fiscally
Responsible
I make decisions after prudent
consideration of their financial
impact, taking into account the
long-term financial needs of the
City, especially its financial sta -
bility.

I do a thorough cost/benefit
analysis, relying on my own
research and assistance from
the staff.

I support "vanity" projects be-
cause I want to be associated
with big bucks (and it's not my
money anyway!)
I resist approving what I con-
sider "pork barrel" projects.

I ignore the constraints of the
City budget when I make deci-
sions.

I demonstrate concern for the
proper use of City assets (e.g.,
personnel, time, property,
equipment, funds) and follow
established procedures.

I allocate City resources ac-
cording to the City's plan and
in compliance with the law and
the City's goals to provide
residents with a better envi-
ronment in which to live.

I take advantage of any oppor-
tunity to get something "free"
for myself or my friends from
the City. I also seek discounts
from the City's vendors be-
cause of my position.

City Council approval February 25, 2003 6

12677374.2 SA460-029

I come by City Hall regularly
and ask staff to help me out
and make just a few copies for
my personal or business use.

I respect staff time and am
especially careful to ask them
to take on special research or
other projects only if I am
con- vinced that this work is
critical and necessary for the
Corn- mission to better serve
the needs of citizens.

I spend a great deal of time
with staff asking a lot of ques-
tions that focus on minutiae
prior to each meeting. I'm un-
able to separate what's impor-
tant from what's not. I know
I'm using staff time, but I jus-
tify it by saying, "It's their job
to prepare me for the meet-
ing."
I make good financial decisions
that seek to preserve programs
and services for City residents.

I'm fully aware of and under-
stand the approved City
budget, and have solicited ex-
planations from City Manage-
ment, if necessary.

I try to take as many trips as
possible at the City's expense
because I'm not getting corn -
pensated and I feel I deserve
some reward for my City work.

Organized I act in an efficient manner,
making decisions and recom -
mendations based upon re -
search and facts, taking into
consideration short and long -
term goals.

I am cognizant of the impor-
tance of scarce meeting time
and prepare accordingly. As a
result, my Commission spends
time on the important issues
and deals efficiently with other
issues.

I rely on what I already know
or what I think I know, and
spend a great deal of the
Commission's time proving to
everyone how much I know
on all issues, large and small.

I follow through in a responsible
way, keeping others informed, and
responding in a timely fash - ion.

I share my research and ex-
perience with others at the
meeting confident that I have
something worthwhile to con-
tribute but knowing that others
may have critical information I
don't.

I rely on hear-say from a third
party rather than gaining first-
hand knowledge.

Organized
(Continued)
I return phone calls on the
same day, if at all possible. If
I am unable to return a call
within two days, I make a
short phone call or leave an
explanatory message so the
person knows when to expect
my full attention.

I fail to acknowledge receipt of
requests for information.I don't
return phone calls or email
messages. If I do acknowledge
requests, the public never re-
ceives information in a timely
manner.

I am respectful of established
City processes and guidelines,
I participate fully in orientation
sessions and other sessions so
I understand how the City's
policies and procedures impact
the effectiveness of my corn-
mission.

I criticize City policies in public
meetings without first express-
ing my concerns to City staff or
gaining knowledge I need in
order to offer constructive criti-
cism.

I help to establish reasonable
timetables and then follow
them.

I ignore deadlines, do not keep
people informed of progress on
projects for which I'm respon-
sible, and make excuses which
damage public trust.

I am respectful of established City
processes and guidelines.
(cont'd.)
I am able to explain to citizens
how the City's policies and
procedures are examples of
the City's Core Values in prac-
I am cynical about policies and
cavalier about following proce-
dures because I fail to see how
these are related to fairness
City Council approval February 25, 2003 7
City Council approval February 25, 2003 8
12677374.2 SA460-029

Communicative I convey the City's care for and
commitment to its citizens,
I can explain the City's goals
to citizens and describe why I
am committed to them or
sug- gest ways to question
and change them.

I believe that only certain City
goals are worth supporting.

Rather than challenge them
constructively, I plot and
scheme to accomplish my own
agenda.

I communicate in various ways
that I am approachable, open -
minded and willing to participate
in dialog.

I am available to the public in
person, at events, and through
telephone and written corre-
spondence to provide both an-
swers to questions and dis-
semination of important infor-
mation.

I confuse citizens, spread ru-
mors and gossip, or engage in
slandering staff, elected or ap-
pointed officials, or other citi-
zens.

I listen attentively and allow
the sharing of multiple per-
spectives to enlarge and
change my point of view.

I listen to find flaws, to spot
differences, and to counter ar-
guments. In other words, I
debate others at meetings to
show why they are wrong.

I make it a practice to corn-
municate equally well in all di-
rections—up, down, and side-
ways.

I dominate meetings and ask
many more questions than we
have time for, effectively ex-
cluding other Commissioners,
citizens, and staff.

Communica-
tive
(continued)
I engage in effective two-way
communication, by listening
carefully, asking questions, and
determining an appropriate re-
sponse which adds value to
conversations,
During meetings I give citizens
and others the benefit of the
doubt and listen for the
strengths of various positions.

My questions seek to clarify, to
understand, and to augment,
so I hear the truth as the citi-
zen sees it. Then I make my
best decision in line with our
community's goals.

I approach the speaker as an
opponent, rather than a col-
league or fellow citizen, deter-
mined to rebut contrary posi-
tions, to belittle or deprecate
the speaker, and to prove him
wrong and me right.

City Council approval February 25, 2003 9
12677374.2 SA460-029

The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors
and Actions to Avoid
Collaborative I act in a cooperative manner with
groups and other individu- als,
working together in a spirit of
tolerance and understanding.

I submit my best thinking, re-
spect all other participants and
invite their thoughts to im-
prove my thinking, rather than
feeling threatened by them.

My biases, prejudices, and
stereotypes color my language
and attitude toward citizens
and I frequently find myself
describing some citizens as
"them."
I work towards consensus
building and gain value from
diverse opinions.

I approach discussions
assum- ing that many people
have pieces of answers and
that our cooperation will lead
us to workable solutions for
the most difficult problems.

I approach discussions as if
there's a single right answer
that I already have, but have
to defend against people who
don't have the brains or the
commitment that I do.

I accomplish the goals and re -
sponsibilities of my individual
position, while respecting my
role as a member of a team.

To respect my fellow team-
mates, I give priority to my
City commitment; I do my
homework; and I understand
that each decision I make ei-
ther builds public trust or de-
tracts from it.

At meetings I focus first on
satisfying my own, often hid-
den, agenda.

My words and actions seek to
develop among staff, Commis-
sioners, and the public a kin-
dred spirit of cooperation as
we work toward implementing
our commonly-held values.

I make up my mind based on
satisfying my own interests or
special interests and will not
budge despite good reasons to
reconsider. When the meeting
is over I hold grudges and con-
sider some people enemies.

I consider the broader regional
and State -wide implications of
the City's decisions and
issues.

If appointed to a County-wide
committee, I conduct myself
in a professional way and ap-
proach the task as I do my
City commitments.

I make derogatory remarks
about other cities because I
feel Santa Clara is superior.

I act in a cooperative manner with
groups and other individu- als,
working together in a spirit of
tolerance and understanding.

I submit my best thinking, re-
spect all other participants and
invite their thoughts to im-
prove my thinking, rather than
feeling threatened by them.

My biases, prejudices, and
stereotypes color my language
and attitude toward citizens
and I frequently find myself
describing some citizens as
"them."
City Council approval February 25, 2003 10
12677374.2 SA460-029

The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors
and Actions to Avoid
Collaborative
(Continued)
I work towards consensus
building and gain value from
diverse opinions,
I approach discussions assum-
ing that many people have
pieces of answers and that
our cooperation will lead us to
workable solutions for the
most difficult problems.

I approach discussions as if
there's a single right answer
that I already have, but have
to defend against people who
don't have the brains or the
commitment that I do.

I accomplish the goals and re -
sponsibilities of my individual
position, while respecting my
role as a member of a team.

To respect my fellow team-
mates, I give priority to my
City commitment; I do my
homework; and I understand
that each decision I make ei-
ther builds public trust or de-
tracts from it.

At meetings I focus first on
satisfying my own, often hid-
den, agenda.

My words and actions seek to
develop among staff, Commis-
sioners, and the public a kin-
dred spirit of cooperation as
we work toward implementing
our commonly-held values,
I make up my mind based on
satisfying my own interests or
special interests and will not
budge despite good reasons to
reconsider. When the meeting
is over I hold grudges and con-
sider some people enemies.

I consider the broader
regional and State -wide
implications of the City's
decisions and issues.

If appointed to a County-wide
committee, I conduct myself
in a professional way and ap-
proach the task as I do my
City commitments.

I make derogatory remarks
about other cities because I
feel Santa Clara is superior.

When I serve on a County or
State-wide panel, I freely
share information and re-
sources so everyone may
benefit from our City's
experi- ence.

I have tunnel vision and ignore
anything beyond the City, even
though what I might learn could
affect my position and City
responsibilities.

Progressive I exhibit a proactive, innovative
approach to setting goals and
conducting the City's business.

I can point to specific decisions
I've made and actions I've
taken that use my own experi-
ences and expertise in a unique
way to advance the goals of
the commission and the City as
a whole. I antici- pate
problems, am aware of the
right moment in which to act,
and take action for the good of
the Commission and the City.

I am dogmatic in my approach
to decision-making and feel I
have to talk louder than every-
one else to make my point. I
never take a principled or val-
ues-centered stand, but prefer
to solve issues in an ad hoc
manner, focusing on the short
term, and concerned only in
meeting minimum require-
ments of law, politics, effi-
ciency, or fiscal responsibility.

City Council approval February 25, 2003 11
12677374.2 SA460-029

The Code of Ethics and Values Behavioral Standards
1 City
Core Value
2 Looks Like These
Character Traits
3 Role Model Behaviors
and Actions to Practice
4 Example Behaviors
and Actions to Avoid
Progressive I display a style that maintains I am able to explain how a de- When I make mistakes, I lie (continued) consistent standards, but is cision I or the Commission has about them, downplay their also sensitive to the need for made is consistent with ethical importance, become defen- compromise, "thinking outside standards and the City's core sive, and get my supporters to the box," and improving exist- values, but also meets re- make it politically difficult for ing paradigms when neces- quirements of a city that is appropriate parties to take sary. committed to ongoing im-
provement, progressive gov-
ernment, and moral imagina-
tion in solving problems.
any action against me.

When I hold on to the "good
old days" and "the way we've
always done it" so stubbornly
that I make mistakes that im-
pact public trust, I take re-
sponsibility for my actions,
make appropriate apologies or
restitution, and implement a
plan to develop practical skills
to avoid such mistakes in the
future.

I let my limitations get in the
way of improving City services
by making many promises I
can't fulfill, playing the role of
pessimist whenever a new idea
is presented, bulldozing my
Commission into changing
when change will do more
harm than good, and under-
mining new ideas by gossiping
with other citizens before the
idea has a chance to be ex-
plored.

I promote intelligent and I encourage talented individu- In the afterglow of an exciting thoughtful innovation in order als to become involved in City conference, I decide to push a to forward the City's policy service, as well as recognizing reform in the City without giv- agenda and City services, and celebrating talent and new ideas that help us realize our
agenda, improve our services,
and implement our core values
in better and better ways every
day.
ing it ample thought. Even
though I'm not really sure it's
for the best, I forge ahead be-
cause "we have to change
something" and this is as good
as anything else.
1 12677374.2 SA460-029

City of Santa Clara

PROGRAM IN ETHICS & VALUES

BEHAVIORAL STANDARDS FOR CITY COUNCIL MEMBERS'

INTRODUCTION
Ten years ago, the City of Santa Clara began its ethics and values program to foster public trust by promoting and maintaining the highest standards of personal and professional conduct. Since the adoption of the Code of Ethics & Values in 2000, the City Council has promised the people of Santa Clara that Council Members, all elected and appointed officials, candidates for public office, and City Staff will meet the most demanding ethical standards and demonstrate the highest levels of achievement in practicing eight core values identified in the Code.

This information is presented in four columns. Columns 1 and 2 reproduce the approved Code of Ethics. Columns 3 and 4 list the behavioral standards.

This document is based on the Behavioral Standards for Commissioners, Boards, and Other Appointed Officials, developed during 2000-2002, and approved by the City Council in February 2003. A representative committee of Board Members and Commissioners, working with the City's initial Ethics Ordinance Committee, drafted that document. It was then revised based on extensive feedback from all Board Members, Commissioners, and Staff Liaisons. In a working session in April, 2008, the Council used that document to develop the first draft of its own standards. The City's Ethics Consultant, Dr. Tom Shanks, and City Staff drafted the final version for City Council review on May 6. 2008.

Approved by City Council on May 20, 2008.
2 12677374.2 SA460-029

City of Santa Clara

PROGRAM IN ETHICS & VALUES

BEHAVIORAL STANDARDS FOR CITY COUNCIL MEMBERS
The Code of Ethics & Values Behavioral Standards
1 2 3 4
City Basic Actions and Council Members Engage Council Members Avoid Core Value Character Traits in Positive Behaviors Like Negative Behaviors Like As a Santa Clara representative, I will be:
• Making careful decisions,
advancing the best long -
term interests of the City,
after considering all
available facts, City Staff
recommendations, and
public comment
• Making hasty, ill -
informed decisions based
on politics, bias, faulty
assumptions, prejudice,
self -interest, gossip, and
half -truths
Ethical I am trustworthy,
acting with the
utmost integrity
and moral courage
• Voting my honest
conviction, explaining my
ethical reasoning,
respecting the minority,
and upholding the
majority as the decision
of the Council
• Promising my vote before
facts are known in order
to gain favor with a
crony, endorser, lobbyist,
or special interest
• Vigorously debating an
issue, listening carefully
to all sides, making my
best judgment call, even
if it's not popular, and
taking responsibility for
my actions
• Preparing to vote by
assessing how various
options advance or harm
the best interests of the
City as well as the City's
Mission and Core Values,
working to minimize any
harm
• Saying whatever the vocal
public wants to hear,
dodging criticism of an
unpopular vote, shifting
the blame to the majority,
other members, or City
Staff
• Always taking the short -
term view, representing
few stakeholders,
believing ethics and City
values have no bearing on
decisions
• Finding an imaginative
solution that is in the
best interests of the
City, is fair, respects
individual rights and the
Council's duties, and
advances City values
• Saying and doing
whatever it takes, no
holds barred, to advance
one's personal position,
power, influence or
political career
3 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Ethical
(continued)
i am truthful, do
what i say I will
do, and am
dependable
• Giving complete, factual,
unbiased information to
colleagues, public, and the
press
• Concealing, fabricating,
overstating, under -
stating, or denying the
truth; spinning the truth;
leaving out context
• Making promises to the
public, City Staff, and
Council members which
can be kept and do not
exceed the authority of
any individual Council
Member
• Promising more than can
be delivered, over -
extending oneself, or
taking sole credit for the
work of the Council and
others
i make impartial
decisions, free of
bribes, unlawful
gifts, narrow
political interests,
and financial and
other personal
interests that
impair my
independence of
judgment or action
• Seeking advice from the
City Attorney and City
Manager when
confronting a real or
potential conflict of
interest, and making a
full public disclosure
when the Council
considers the agenda
item
• Helping a friend get a
project through the
Council in return for a
donation to a campaign
fund, school or charity,
or the gift of tickets or
another perk
• Having declared a
conflict, leaving the dais
and Council Chambers,
so other Council
members are free of any
undue influence
• Talking to fellow Council
Members prior to
declaring a conflict, and
asking them to take care
of the item in a way that
advances personal
interests
i am fair,
distributing
benefits and
burdens according
to consistent and
equitable criteria
• Listening attentively to
all sides, keeping an
open mind and avoiding
even the appearance of
bias, following
precedents consistently,
treating equals equally
• Paying more attention to
friends' and supporters'
projects
• Making "back room"
deals and decisions
• Giving preferential
treatment to special
interests, consultants,
and former Council
Members
4 12677374.2 SA460-029
The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Ethical
(continued)
I extend equal
opportunities and
due process to all
parties in matters
under
consideration. if I
engage in unilateral
meetings and
discussions, i do so
without making
voting decisions
• Being available to anyone
who wants to discuss an
issue, keeping an open
mind and not committing
to vote for or against an
item until after hearing
the full public discussion
• Promoting the interests
of the business
community without first
considering the interests
of all stakeholders
• Giving special treatment
to the companies that pay
the most in taxes and to
my largest campaign
donors
i show respect for
persons,
confidences, and
information
designated as
"confidential"
• Referring media
questions on Closed
Session or other
confidential matters
to the City Manager's
Office, rather than
saying "No Comment"
• Telling others about
Closed Session
proceedings, especially
when it is an important
issue and I want input on
how to decide
• Confirming a rumor,
remaining silent,
communicating non -
verbally, or in other ways
providing information that
is confidential or that the
Council Member has
promised not to reveal
• Treating the public and
City Staff, at all times,
the way I treat highly
regarded colleagues in
businesses or
professions
• Acting based on
stereotypes, rumors,
"ancient history," and
prior negative
experiences with an
individual or groups
• Bringing to the attention
of the City Manager any
concern about the
actions or work of City
Staff, or any complaint
from the public
• Criticizing or
embarrassing the City
Manager or other City
Staff in public
• Failing to publicly
recognize extraordinary
City Staff work
5 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Ethical
(continued)
• Showing courtesy and
interest in word and
action to City Staff,
public, and elected and
appointed officials
• Complimenting the work
of a single City Staff
member when a staff
team actually did the
work
• Speaking and acting out
of the belief that City
Staff and all members of
the Council are on the
same team and
committed to doing their
best to serve residents
• Engaging publicly or
privately in personal
verbal attacks against
Council colleagues or City
Staff; interrupting while
they are speaking, rolling
eyes, demeaning them, or
in other ways treating
them inappropriately
Professional i use my title(s) only
when conducting
official City
business, for
information
purposes, or as an
indication of
background and
expertise, carefully
considering whether
i am exceeding or
appearing to exceed
my authority
• Using City titles for
identification at
League meetings or
when on other official
City business, or when
seeking information
directly related to a
Council matter from
appropriate sources
• Using a City title when
making dinner
reservations or making
purchases
• Referring friends to City
businesses and suggesting
they mention the name of
a Council Member to get
the best prices
i apply my know -
ledge and expertise
to my assigned
activities and to the
interpersonal
relationships that
are part of my job in
a consistent,
confident,
competent, and
productive manner
• Preparing by reading the
agenda packet before
meetings
• Asking the City Manager
informational questions
ahead of time to assist in
being prepared
• Arriving on -time to
meetings, paying
attention and listening
actively
• Rushing into meetings
late and being obvious
about opening the
agenda packet for the
first time or speed -
reading the packet
while City Staff or the
public are presenting
information

6 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Professional
(continued)
• Asking questions that will
advance the discussion,
contribute to decision -
making, and have not
been covered in the
agenda packet
• Taking no notes,
remembering little, if
any, of the information
in the agenda packet,
asking to have
information repeated
constantly
• Listening attentively to
the public, City Staff,
and other Council
members who may
speak at meetings
• Making little or no eye
contact with any speaker
during the meeting
• Leaving during public
comment and returning
only after it is over
• Making comments to
someone else while the
public is speaking
I approach my job
and work -related
relationships with a
positive attitude
• Approaching Council
work informed of issues,
enthusiastic, energized,
interested, ready to
participate, and focused
• Approaching Council work
half -heartedly, coming to
meetings eager to leave
• Short -circuiting a
discussion; being
perceived as rude by
other Council Members,
City Staff, or the public
• Making guests feel
welcomed at meetings
• Treating new Council
Members as colleagues,
encouraging them to
express their opinions,
and offering them
positive feedback
• Acting in a superior
manner with newly
elected Council members
• Never making time to be
responsive to residents
who want to discuss
issues
I keep professional
knowledge and
skills current and
growing
• Making it a priority to
attend League meetings,
Electric Joint Powers
Agency meetings, and
committees
• Assuming there is nothing
new to learn
• Going to League meetings
and conferences to be
seen, but never attending
any training

7 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Professional
(continued)
• Reading background
materials for general
preparation including
professional journals,
books, and articles
• Skipping meetings with
the City Manager,
assuming you know as
much, if not more, than
she does on this issue
Service-Oriented I provide friendly,
receptive,
courteous service
to everyone
• Not just answering
questions, but sharing
helpful knowledge of
Council or government
functions, even if the
person asking isn't sure
what they need to know
• Acting like it's a bother
anytime a resident asks a
question or when they
make inquiries about
Council/government
business
• Seeking the opinions of
those who are hesitant
or unwilling to come
forward with their ideas,
but trying not to force
anyone to speak in a
public forum if they are
uncomfortable or
unprepared
• Making guests or others
feel stupid, intimidated,
dismissed, manipulated,
or demeaned by reading
the newspaper, falling
asleep, laughing at a
private joke with another
Council Member, or
repeatedly leaving the
room during discussions
I am attuned to,
and care about,
the needs and
issues of
residents, public
officials, and city
workers
• Talking with residents
and actively listening at
City gatherings to be
aware of what is going
on in this community and
other communities
• Being arrogant or
uninterested when
responding to residents
outside of City Hall
about their concerns and
debating with them to
prove them wrong or
misinformed
• Attending City events and
interacting effectively
with the public, aware
that others expect
Council Members to be
role -models
• Showing up late to City
events, leaving early, and
spending most of the time
talking only to one or two
friends

8 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Service-Oriented
(continued)
• Relaying things heard or
provided to the Council or
the City Manager or other
appropriate parties for
follow -up
• Withholding important
information to use it for
narrow personal purposes
at a later time
in my interactions
with constituents, i
am interested,
engaged, and
responsive
• Acting in a pleasant and
friendly manner and
encouraging people to
speak their mind;
welcoming constructive
criticism as well as
compliments
• Through word and action,
discouraging people from
proposing what they
believe are solutions or
expressing their concerns
• Focusing on the speaker
and trying to see the
world as they do in order
to understand their needs
• While seeming to be
engaged in one
conversation, scanning the
environment for someone
more interesting or
important to speak with;
abruptly stopping the
previous conversation to
speak with the more
important person
FiscallyResponsible i make decisions
after prudent
consideration of
their financial
impact, taking into
account the long -
term financial
needs of the City,
especially its
financial stability
• Before deciding how to
vote, reviewing
cost/benefit analysis and
all related studies, along
with City Staff
recommendations
• Allowing other Council
members who have more
expertise in budgeting to
take the lead in budget
discussions, trusting that
they know better, and
never improving personal
expertise
• Consider the City's short
and long term financial
condition prior to
proposing new or
expanded City projects
• Ignoring the constraints
of the City budget when
making decisions
• Citing "budget
constraints" as the reason
for not supporting a
motion, when the real
reason is how it will look
in the next election
9 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Fiscally Responsible
(continued)
I demonstrate
concern for the
proper use of City
assets (e.g.,
personnel, time,
property,
equipment, funds)
and follow
established
procedures
• Allocating resources
according to the City's
plan and in compliance
with the law and the
City's goals to provide
residents with a better
environment in which to
live
• Taking advantage of
any opportunity to get
something "free" from
the City
• Seeking discounts from
the City's vendors solely
because of my position
• Using City equipment
only for Council work,
not for personal use or
for my business
• Coming to City Hall
regularly and asking City
Staff to make just a few
copies for personal use
• Respecting City Staff
time and being
especially careful to ask
the City Manager to take
on special research or
other projects only if
convinced that this work
is critical and necessary
for the Council to better
serve the needs of
residents
• Asking a lot of questions
that focus on non
substantive details, being
unable to separate what's
important from what's not
• Representing the public's
interests to the best of my
ability
• Balancing long -term
impacts and short -term
goals
• Acting as if I "own" the
City or my seat on the
Council
I make good
financial decisions
that seek to preserve
programs and
services for City
residents
• Being fully aware of
and understanding the
approved City budget,
having solicited
explanations from the
City Manager, if
necessary
• Taking as many trips as
possible at the City's
expense because of a
personal feeling that the
compensation is not
sufficient and some
reward for City work is
deserved
10 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Organized I act in an efficient
manner, making
decisions and
recommendations
based upon research
and facts, taking into
consideration short
and long- term goals
• Being cognizant of the
importance of scarce
meeting time and
preparing accordingly,
with the result that the
Council spends time on
the important issues and
deals efficiently with
other issues
• Relying solely on prior
knowledge and spending a
great deal of the
Council's time proving to
everyone how much I
know on all issues, large
and small
i follow through in a
responsible way,
keeping others
informed, and
responding in a
timely fashion
• Sharing my research and
experience with others
on the Council, making
worthwhile
contributions and
welcoming alternative
viewpoints
• Using hear -say from a
third party as the sole
basis for making a
decision
• Returning phone calls
and email promptly, if at
all possible; if unable,
letting the person know
when to expect a
response
• Failing to acknowledge
receipt of requests for
information
• Responding only to
people who can help with
personal political goals
• Eventually getting around
to sending information,
but never in a timely
manner
i am respectful of
established City
processes and
guidelines
• Participating fully in
orientation sessions and
other sessions in order
to understand how the
City's policies and
procedures impact the
effectiveness of the
Council
• Criticizing City policies
in public without first
expressing concerns to
City Staff or gaining
knowledge necessary in
order to offer
constructive criticism
• Helping to establish
reasonable timetables
and then following them
• Being flexible in setting
meeting dates and times
• Ignoring deadlines, not
keeping people informed,
and making excuses which
damage public trust

11 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Organized
(continued)
• Being able to explain to
residents, businesses,
and visitors how the
City's policies and
procedures are examples
of the City's Core Values
in practice
• Being cynical about
policies and cavalier
about following
procedures because of a
failure to see how these
are related to fairness
and the common good
Communicative I convey the City's
core for and
commitment to its
residents
• Being able to explain the
City's goals to anyone
and describe personal
commitment to them
• Supporting superb,
affordable City services
and conveying that
commitment effectively
to residents
• Plotting and scheming to
accomplish personal
agendas
• Deciding how you will vote
and writing out those
reasons prior to any public
comment
• Becoming angry at a
resident who is critical of
the Council
I communicate in
various ways that I
am approachable,
open -minded and
willing to participate
in dialog
• Being available to the
public in person, at
events, and through
telephone and written
correspondence to
provide both answers
to questions and
dissemination of
important information
• Confusing residents,
spreading rumors and
gossip, or slandering
elected or appointed
officials, City Staff, or
anyone
• Interrupting someone
who has the floor
• Listening attentively,
being open to multiple
perspectives, and
allowing the possibility
of changing opinions and
points of view
• Listening solely to find
flaws, to spot differences,
and to counter arguments
• Going out of my way
during meetings to show
why I am always right and
others are not
• Making it a practice to
communicate equally
well to all stakeholders,
regardless of their
influence, power, or
campaign donations
• Dominating meetings and
asking many more
questions than time
allows, effectively
excluding the input of
others

12 12677374.2 SA460-029

Behavioral Standards The Code of Ethics & Values
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
I engage in
effective two -way
communication, by
listening carefully,
asking questions,
and determining an
appropriate
response which adds
value to
conversations
• During meetings, giving
residents and others the
benefit of the doubt and
listening to identify
needs and interests
• Asking questions to
clarify, to understand,
and to augment, in order
to hear the truth as the
resident sees it
• Making the best decision
to advance the
community's values and
goals
• Considering people on the
other side of issues as
enemies, rather than as
colleagues or fellow
residents
• Weakening public debate
by belittling or mocking
someone's viewpoint
• Demonizing anyone who
disagrees with a personal
conviction or viewpoint
Communicative
(continued)
I act in a
cooperative manner
with groups and
other individuals,
working together in
a spirit of tolerance
and understanding
• Submitting one's best
thinking, respecting all
other participants and
inviting their thoughts in
order to develop better
solutions
• Seeing value in working
with other agencies to
develop consistent
policies, where
appropriate
• Describing people who
hold different viewpoints
as "them"
• Failing to recognize
personal biases,
prejudices, stereotypes,
and their influence on
language and attitudes
toward residents and
others
Collaborative
I work towards
consensus
building and gain
value from diverse
opinions
I accomplish the
goals and
responsibilities of
my individual
position, while
respecting my role
as a member of a
team
• Approaching meetings and
discussions assuming that
many people have pieces
of answers and that
cooperation will lead to
workable solutions for the
most difficult problems
• Understanding that what
I do speaks more loudly
than what I say
• Showing respect for
Council Members, Staff,
and residents by giving
priority to my City
commitment, doing my
homework
• Approaching discussions
as if there's already a
single right answer that
needs to be defended
against opposing
viewpoints
• Focusing first on
satisfying a personal or
hidden agenda
• Actively weakening the
team that the Council and
City Staff have devoted
efforts to build
13 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Collaborative
(continued)
• Understanding that each
Council decision either
builds public trust or
detracts from it
• Dismissing any idea
proposed by a Council
colleague who supported
someone else in the last
election
• Working hard to develop
among Council Members,
other officials, City Staff,
and the public a kindred
spirit of cooperation when
working toward
implementing City values
• Reaching conclusions
based on satisfying
personal or special
interests and refusing to
change one's position
despite good reasons to
reconsider
• Holding grudges and
considering some people
as permanent enemies
I consider the
broader regional and
State -wide
implications of the
City's decisions and
issues
• While serving on County-
wide committees, acting in a
professional manner and
approaching the tasks
responsibly
• Making derogatory
remarks about other
cities, feeling that Santa
Clara is superior
• Serving on County or
State -wide panels, freely
sharing information and
resources so everyone
may benefit from the
City's experience
• Having tunnel vision and
ignoring anything beyond
the City, depriving the
City of the benefit of a
broader, regional
perspective

14 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Progressive i exhibit a proactive,
innovative approach
to setting goals and
conducting the
City's business
• Contributing personal
experiences and
expertise to advance the
goals of the Council and
the City as a whole
• Anticipating future
problems or
opportunities, raising the
issues at the appropriate
time for City Staff to
investigate and for
Council to consider
• Being dogmatic in
approaching decision -
making and only doing
things the way they've
always been done
• Never taking a forward
looking, principled or
values -centered stand,
but preferring to solve
issues in an ad hoc
manner
• Focusing on the short
term, being concerned
only about meeting
minimum requirements of
law, politics, or efficiency
i display a style
that maintains
consistent
standards, but is
also sensitive to
the need for
compromise,
"thinking outside
the box," and
improving existing
paradigms when
necessary
• Being able to explain
how a decision is
consistent with ethical
standards and the City's
Core Values
• Committing to ongoing
improvement,
progressive government,
and moral imagination in
solving problems
• Lying about personal
mistakes and downplaying
their importance
• Manipulating discussions
and decisions to advance
personal, political
aspirations
• Speaking and listening
only to one's friends on
the Council
• Taking responsibility for
actions, making
appropriate apologies or
restitution when a
mistake is made, and
implementing a plan to
develop practical skills to
avoid such mistakes in
the future
• Actively listening, asking
clarifying questions, and
giving careful
consideration to all
• Holding on to opinions
and viewpoints so
stubbornly that mistakes
are made, impacting
public trust
• Letting personal
limitations impede
progress or the work of
the Council
• Playing the role of
pessimist whenever a new
idea is presented, trying
to bulldoze personal ideas

15 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Progressive
(continued)
comments and
viewpoints, even if they
are expressed by people
who think differently,
have different beliefs,
and have different
groups of supporters
despite budget limitations,
prior agreement, or
consensus, and
undermining new ideas by
gossiping with others
before the idea has a
chance to be explored
I promote
intelligent and
thoughtful
innovation in order
to forward the
City's policy
agenda and City
services
• Encouraging talented
and diverse individuals
to become involved in
City service, as well as
recognizing and
celebrating talent and
new ideas that help the
City reach its goals,
improve City services,
and implement City Core
Values in best practice
• Pushing change in the City
without ample thought,
and causing change only
for the sake of change, or
only to fulfill a campaign
promise

12677374.2 SA460-029

10/1/24, 12:56 PM Code of Ethics & Values I City of Santa Clara Code of Ethics & Values
Santa Clara's Code of Ethics & Values, adopted by the City Council in March of 2000 and modified by Council in August of 2001, is designed to provide clear, positive statements of ethical behavior reflecting the core values of the community. The Code includes practical strategies for addressing ethical questions and a useful framework for decision-making and handling the day-to-day operations of the municipality.

The current Code of Ethics & Values was developed in 1999 by a Committee composed of three elected officials, nine City commissioners, two community members, the City Manager and the City Attorney. A previous Code was adopted in the 1960s and periodically updated, but the Committee took a fresh approach by working with the Markkula Center for Applied Ethics at Santa Clara University to create a new Code of Ethics & Values for the City that would better reflect the issues and concerns of today's complex and diverse society.

ETHICAL STANDARDS FOR CONTRACTORS SEEKING TO ENTER INTO AN AGREEMENT WITH

THE CITY OF SANTA CLARA, CALIFORNIA
Goals of the Code of Ethics & Values
• To make Santa Clara a better community, built on mutual respect and trust • To promote and maintain the highest standards of personal and professional conduct among all involved in City government elected officials, City staff, volunteers, and members of the City's boards, commissions and committees
The Code of Ethics & Values is a touchstone for members of boards, commissions and committees in fulfilling their roles and responsibilities.

Preamble
The proper operation of democratic government requires that decision-makers be independent, impartial, and accountable to the people they serve. The City of Santa Clara has adopted this Code of Ethics & Values to promote and maintain the highest standards of personal and professional conduct in the City's government. All elected and appointed officials, City employees, volunteers, and others who participate in the city's government are required to subscribe to this Code, understand how it applies to their specific responsibilities, and practice its eight core values in their work. Because we seek public confidence in the City's services and public trust of its decision-makers, our decisions and our work must meet the most demanding ethical standards and demonstrate the highest levels of achievement in following this code.

1. As a Representative of the City of Santa Clara, I will be ethical.

In practice, this value looks like:
• a. I am trustworthy, acting with the utmost integrity and moral courage. • b. I am truthful, do what I say I will do, and am dependable. https://www.santaclaraca.gov/our-city/governmentigovernance/ethics-values/code-of-ethics-values 1/3

12677374.2 SA460-029

10/1/24, 12:56 PM Code of Ethics & Values I City of Santa Clara • c. I make impartial decisions, free of bribes, unlawful gifts, narrow political interests, and financial and other personal interests that impair my independence of judgment or action. • d. I am fair, distributing benefits and burdens according to consistent and equitable criteria. • e. I extend equal opportunities and due process to all parties in matters under consideration. If I engage in unilateral meetings and discussions, I do so without making voting decisions. • f . I show respect for persons, confidences, and information designated as "confidential." • g. I use my title(s) only when conducting official City business, for information purposes, or as an indication of background and expertise, carefully considering whether I am exceeding or appearing to exceed my authority.

2. As a Representative of the City of Santa Clara, I will be professional.

In practice, this value looks like:
• a. I apply my knowledge and expertise to my assigned activities and to the interpersonal relationships that are part of my job in a consistent, confident, competent, and productive manner. • b. I approach my job and work- related relationships with a positive attitude. • c. I keep my professional knowledge and skills current and growing.

3. As a Representative of the City of Santa Clara, I will be service-oriented.

In practice, this value looks like:
• a. I provide friendly, receptive, courteous service to everyone. • b . I am attuned to, and care about, the needs and issues of citizens, public officials, and city workers. • c. In my interactions with constituents, I am interested, engaged, and responsive.

4. As a Representative of the City of Santa Clara, I will be fiscally responsible.

In practice, this value looks like:
• a. I make decisions after prudent consideration of their financial impact, taking into account the long-term financial needs of the City, especially its financial stability. • b. I demonstrate concern for the proper use of City assets (e.g., personnel, time, property, equipment, funds) and follow established procedures.
• c . I make good financial decisions that seek to preserve programs and services for City residents.

5. As a Representative of the City of Santa Clara, I will be organized.

In practice, this value looks like:
• a. I act in an efficient manner, making decisions and recommendations based upon research and facts, taking into consideration short and long term goals.
https://www.santaclaraca.gov/our-city/government/goyernance/ethics-values/code-of-ethics-yalues 2/3

12677374.2 SA460-029

10/1/24, 12:56 PM Code of Ethics & Values I City of Santa Clara • b. I follow through in a responsible way, keeping others informed, and responding in a timely fashion. • c. I am respectful of established City processes and guidelines.

6. As a Representative of the City of Santa Clara, I will be communicative.

In practice, this value looks like:
• a. I convey the City's care for and commitment to its citizens. • b. I communicate in various ways that I am approachable, open-minded and willing to participate in dialog. • c. I engage in effective two-way communication, by listening carefully, asking questions, and determining an appropriate response which adds value to conversations.

7. As a Representative of the City of Santa Clara, I will be collaborative.

In practice, this value looks like:
• a. I act in a cooperative manner with groups and other individuals, working together in a spirit of tolerance and understanding.
• b. I work towards consensus building and gain value from diverse opinions. • c. I accomplish the goals and responsibilities of my individual position, while respecting my role as a member of a team.
• d. I consider the broader regional and State-wide implications of the City's decisions and issues.

8. As a Representative of the City of Santa Clara, I will be progressive.

In practice, this value looks like:
• a. I exhibit a proactive, innovative approach to setting goals and conducting the City's business. • b. I display a style that maintains consistent standards, but is also sensitive to the need for compromise, "thinking outside the box," and improving existing paradigms when necessary. • c . I promote intelligent and thoughtful innovation in order to forward the City's policy agenda and City services.

Last Updated:
03-22-2019
https://www.santaclaraca.gov/our-city/government/governance/ethics-values/code-of-ethics-values 3/3

12677374.2 SA460-029

Living Our Values
How the City of Santa Clara incorporates its Code of Ethics & Values into everyday operations and decision-making
City of Santa Clara's Code of Ethics & Values:

Ethical * Professional * Service-Oriented * Fiscally Responsible Organized * Communicative * Collaborative * Progressive The Code of Ethics & Values is designed to promote and maintain the highest standards of personal and professional conduct by all elected and appointed officials, City employees, volunteers, and others who participate in City government. The Code is a cons tant reminder of what this community values, and what makes it such a special place to live and work.

The 2005 Annual Report/2006 Calendar for the City of Santa Clara, distributed to every residential and business address in the City, focused on how the City is using its Code of Ethics & Values. Here are excerpts from that publication, and some additional information, which demonstrate how Santa Clara is incorporating its Code of Ethics & Values into everyday operations and decision -making.

Living Our Values -- Ethical
One defmition of "ethical" is acting as if every action and word has an effect on those around you. The City of Santa Clara is fortunate to have many individuals and organizations whose actions have positively impacted others in the community, and there ar e dozens of recognition programs in place to acknowledge and honor them. These programs thank residents, businesses and community organizations for sharing their expertise, time and resources, and for serving as leaders who daily demonstrate how the qualit y of life in a community is the result of broad-based actions and concern. In 2005, the inaugural Neil Henry Award, which honors residents for exemplary long -term service to the community, was presented to JoAnn Silva, who for more than 20 years has volunt eered about 1,200+ hours annually to Santa Clara activities.

Honoring and celebrating community and City achievements is a priority goal for the City.

The City of Santa Clara has launched an innovative program to make ethics one of the criteria voters use to make judgments about candidates and issues on the ballot. For the 2004 and 2006 elections, a Vote Ethics Guide was published and distributed to every address in Santa Clara to give the public informa tion and ideas to consider as they listen to opposing points of view and, sometimes, conflicting data. The publication has become a model for other communities that want to help residents think about tough ethical situations, as well as helping voters to i dentify behaviors they expect City leaders will practice.

12677374.2 SA460-029

Living Our Values -- Professional
What does it mean to be professional if you are a municipality? Most would agree that efficiency and economy are prime characteristics.

A national survey of U.S. cities rated the City of Santa Clara as one of the best places in which to operate a business. The City's dependable and well -maintained infrastructure, outstanding public safety record and low utility costs were praised.

The City continues to seek ways to reorganize departments and programs for increased efficiency. For example, in 2005 the Communications Division that handles all 9 -1-1 calls and dispatching for the City's emergency services shifted to become part of the P olice Department.

Dispatchers receive more than 250 hours of training and, in additional to fielding calls and dispatching police, fire and medical personnel, dispatchers research computer databases for information to assist emergency personnel in the fiel d.

Improved facilities can also positively affect the delivery of service, such as the new Fire Station 6, corner of Agnew Road and Sun Fire Way, which opened in 2005 to replace the old Fire Station 6 on De La Cruz Boulevard. The $3.5 million project is bette r able to serve the new Rivermark neighborhood as well as older homes and businesses north of the Bayshore freeway.

Living Our Values — Service-Oriented
Santa Clara has a long tradition of being a service -oriented community. Volunteerism abounds (tens of thousands of hours of volunteer time is donated annually for City projects) and with volunteer assistance, residents and businesses enjoy an even wider ra nge of municipal services.
2005 was the 110 th anniversary of the City's water utility, which started with four wells, 45 fire hydrants and 400 service connections, and as of 2005, has 27 production wells, 295 miles of potable distribution mains, 3,135 hydrants and 25,131 service connections. Santa Cl ara customers pay the lowest combined rates for water and sewer service in the nine Bay Area counties (out of 105 jurisdictions and agencies).

Another anniversary in 2005 was the 50 th birthday of the Mission Library. It served as the main City Library from 1955 -67, and then became a branch operation. It was renovated and reopened in 2000 as the Mission Library Family Reading Center to focus on adult and family literacy, including the R ead Santa Clara program that works to increase literacy by teaming volunteer tutors and adult learners.

Living Our Values - Fiscally Responsible
The City of Santa Clara budget process is comprehensive, complex and strenuous. Each year expenses and revenues — what it costs the City to carry out its work and what level of income is anticipated -- are thoroughly examined. The slowdown of the local economy since the dot-corn implosion in 2000, followed by 9 -11 in 2001, challenged Santa Clara leaders to look at every possible way to bridge the gap between revenues and expenses as it experienced the most severe budget crisis in City history. Fortunately t he City had reserves set aside for this type of economic crisis, and they have been tapped in order to balance the budget.

The economy is improving, but slowly. A budget gap is projected for the next five years and City departments are working hard to find new ways to trim expenses without tremendous

12677374.2 SA460-029

impacts on services delivered to the community, and ways to generate new revenues without creating too much of a burden on taxpayers and businesses.

Philosophers like to debate whether the phrase "may you live in interesting times" is a blessing or a curse. In 2005, the City of Santa Clara described itself as in the midst of "interesting times." The Code of Ethics & Values is helping City leadership to navigate the rough waters of the economy, and to set the right course for the community's future.

Living Our Values - Organized
Being organized means planning ahead. Cities have to keep an eye on the horizon even as they focus on the delivery of services to their residents today. Several projects are underway in Santa Clara that are investments to meet the needs of tomorrow.

Extensive expansion of the Santa Clara Senior Center got underway in 2005 in preparation for the anticipated growth of the number of older residents as the Baby Boomer generation nears retirement. The $10.9 million project more than doubles the space and a dds many features including indoor swimming and therapeutic pools. Construction is expected to be complete in early 2007.

Two new sections of San Tomas Aquino/Saratoga Creek Bicycle and Pedestrian Trail opened in 2005, and a third section in 2006. When complete, trail segments in Santa Clara will extend from the Bay Trail at Highway 237 through the entire community and beyond , running all the way to Prospect Rd. in San Jose.

Plans are being finalized for an expansion of the Santa Clara Convention Center Ballroom that will add 24,000 square feet of space and allow the facility to accommodate more people. The enlarged Ballroom will improve the marketability of the Santa Clara Co nvention Center, especially for large events that boost the economy. Construction is projected to be completed in 2007 - 2008.

Living Our Values - Communicative
There are many ways for a City to communicate with its residents, and Santa Clara tries to explore them all. Technology helps.

Last year the City's website was redesigned to include a new visual look, updated navigation system, and expanded content including more detailed information on the Police Depai iment web pages including crime statistics and crime prevention tips. During 2005, the City's website was receiving about 150,000 page views per month, and in 2006, it was in excess of 220,000 distinct site visits monthly.

Silicon Valley Power, the municipal Electric Utility, also enhanced its online information, so that customers can quickly and easily access account information, rebate offers, energy efficient product descriptions, and report street light outages or obstructive tree branches online.

Another huge project in the works is the scanning of 40 years of building permits so that the public can access documents such as drawings, soil reports, inspection letters and final affidavits. As of November 2005, more than 51,000 permits were in the sys tem and more were being added every month.

Old-fashioned communication is still in the mix, such as the Agnews Historical Information Center that opened in 2005 in the 14.5 acre historic park on the Santa Clara campus -

12677374.2 SA460-029

of Sun Microsystems. Commemorative panels showcase the history of the Agnews Hospital West Campus with maps, historic photos, illustrations and text.

Living Our Values - Collaborative
The City of Santa Clara collaborates in multiple ways with nonprofit organizations and other public agencies in order to leverage resources and better serve the needs of the community.

The most visible example of collaboration in 2005 was completion of the new Mission City Center for Performing Arts, a joint project of the City of Santa Clara and the Santa Clara Unified School District, which opened in February. The 350 -seat facility is located on the campus of Wilcox High School and available for use by both school and community groups.

Affordable housing is another focus area for collaborations. Gateway Santa Clara Senior Apartments opened in 2005 and includes 42 units for very low and low -income seniors. The complex is owned and operated by EAH, a nonprofit housing corporation, but it w as built with the help of a $4.93 million loan from the City of Santa Clara's Redevelopment Agency.

Collaboration with Habitat for Humanity will result in six more of these homes in the community. Another collaboration between the City and two local nonprofit organizations is under discussion and may generate 165 units of affordable senior housing on six acres of a 17-acre parcel of surplus land previously owned by the State of California.

Living Our Values - Progressive
One of the most progressive aspects of the City of Santa Clara is its national leadership in electric power utility innovation and management. The year 2005 was a banner one for Silicon Valley Power, the municipal Electric Utility, in several ways.

The new Donald Von Raesfeld Power Plan opened in June 2005. This 147- megawatt power plant features state -of-the-art technology and is the largest capital project in the history of Santa Clara. It directly satisfies about one -third of the City's power needs and adds to Silicon Valley Power's diverse power portfolio of renewable and non -renewable resources.

Also opening that year was a new four -mile-long combination of overhead and underground lines between Silicon Valley Power's Northern Receiving Station and PG&E's Los Esteros Substation. The lines add more points of entry for electricity coming into Santa Clara and increase the utility's already -exceptional reliability.

Silicon Valley Power is equally proud in achieving high marks in customer service, reliability, and communication in an independent study of electric utilities in California.

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Good Government Decision - Making Process
Trustworthy leaders follow the law and make decisions after:
• Carefully considering the facts and staff recommendations • Listening carefully to the interests of all stakeholders • Developing a number of good options for action
• Choosing the option which best meets these standards:
o Positive consequences outweigh negative ones
o An individual's rights are protected and advanced
o Everyone is treated with dignity and respect
o The action is fair, just, and equitable
o The action is best for the community as a whole
o The action best advances the City's Core Values
• Test 1: If I do this, who wins? Who loses? Why? Why is this the right thing to do? Would a different action contribute more to good government and public trust?
• Test 2: Explain your reasoning to someone harmed by it.

Trustworthy leaders take action and learn from each decision.

FOSTERING PUBLIC TRUST: A PRACTICAL GUIDE TO GOOD GOVERNMENT 1: ETHICS City of Santa Clara, CA
The City's Code of Ethics & Values, Behavioral Standards documents, and Good Government Decision -Making (at right) describe the core practices and key behaviors of trustworthy leaders. They ask everyone involved in City government to:
• become a role model for the City's eight core values
• act at our best and only in the best interests of all who live or work in the City
• carefully consider the impact of all actions on public trust.

Public trust rests on the public's
perception that their leaders:

1. Listen carefully

2. Practice impeccable ethics

3. Campaign honorably

4. Provide superb services

5. Foster best quality of life.

AS A REPRESENTATIVE OF SANTA CLARA, I WILL BE:
r
_
F
.
,
L
t
.

Li
a
a

ETHICAL: I am trustworthy, acting with the utmost integrity and moral courage.• I am truthful, do what I say I will do, and am dependable • I make impartial decisions, free of bribes, unlawful gifts, narrow political interests, and financial and other personal interests that impair my independence of judgment or action. - I am fair, distributing benefits and burdens according to consistent and equitable criteria.- I extend equal opportunities and due process to all parties in matters under consideration. If I engage in unilateral meetings and discussions, I do so without making voting decisions. • I show respect for persons, confidences, and information designated as "confidential." • I use my title(s) only when conducting official City business, for information purposes, or as an indication of background and expertise, carefully considering whether I am exceeding or appearing to exceed my authority..

ASK THESE TWO QUESTIONS BEFORE YOU MAKE YOUR FINAL DECISION:

1. HOW WILL MY ACTION BUILD PUBLIC TRUST?

2. WHY IS THIS THE RIGHT THING TO DO?
2: VALUES
PROVIDE SUPERB CITIZEN SERVICES.

PROFESSIONAL
I apply my knowledge and ex-
pertise to my assigned activi-
ties and to the interpersonal
relationships that are part of
my job in a consistent, confi-
dent, competent, and produc-
tive manner.. I approach my
job and work-related relation-
ships with a positive attitude.•
I keep my professional know-
ledge and skills current and
growing.

SERVICE-ORIENTED
I provide friendly,
receptive, courteous
service to everyone.• I
am attuned to, and care
about, the needs and
issues of citizens, public
officials, and city work-
ers.. In my interactions
with constituents, I am
interested, engaged, and
responsive.•

ORGANIZED
I act in an efficient manner,
making decisions and recom-
mendations based upon re-
search and facts, taking into
consideration short and long
term goals.-
I follow through
in a responsible way, keeping
others informed, and respond-
ing in a timely fashion.. I am
respectful of established City
processes and guidelines.-

FISCALLY RESPONSIBLE
I make decisions after prudent con-
sideration of their financial impact,
taking into account the long-term
financial needs of the City, especial-
ly its financial stability.- I demon-
strate concern for the proper use of
City assets (e.g., personnel, time,
property, equipment, funds) and
follow established procedures.. I
make good financial decisions that
seek to preserve programs and ser-
vices for City residents.

BUILD TRUST AND
MUTUAL RESPECT.

COLLABORATIVE: I act in a cooperative manner with groups and other individuals, working together in a spirit of tolerance and understanding.• I work towards consensus- building and gain val- ue from diverse opinions. •I accomplish the goals and
responsibil- ities of my individual position, while respecting my role as a member of a team.- I consider the broader regional and State- wide implications of the City's decisions and issues.

COMMUNICATIVE: I convey the City's care for and commit- ment to its citizens.- I communicate in various ways that I am approachable, open-minded and willing to participate in di-alog.• I engage in effective two-way communication, by lis-tening carefully, asking questions, and determining an ap- propriate response which adds value to conversations.

BE AT OUR
BEST
PROGRESSIVE: I exhibit a proactive, innovative approach to setting goals and conducting the City's business.- I display a style that maintains consistent standards, but is also sensitive to the need for compromise, "thinking outside the box," and improving existing paradigms when necessary.- I promote intelligent and thoughtful innovation in order to forward the City's policy agenda and City services.

Developed by Thomas E. Shanks, Ph.D., The Ethics Company of San Jose, CA. Email: [email protected]

I
.··• .. I • •
-·
1 12677374.2 SA460-029

City of Santa Clara
Ethics & Values Program
Highlights of Accomplishments
(since January 1, 2000)
Year 2000
Council unanimously approved a new Code of Ethics and Values, as recommended by Ethics Ordinance Committee (April 4, 2000). Council added the provision that the Code will be reviewed as part of Council Goal Setting sessions.

Council also approved the Committee recommendation to develop "Standards for Code of Ethics and Values" guide (April 4, 2000).

At the City Council meeting, the Council Candidates Program for those seeking elected office was discussed, including the concept of a similar program for seated elected officials who participate in elections.

City Management Training Program "Developing Your Reputation for Impeccable Ethics" was held Friday, April 28, 2000.

A Workshop for Candidates for Elective Office was held August 24, 2000 per Council's approval of Ethics Ordinance Committee recommendation.

Ethics consultant Dr. Tom Shanks conducted a three -hour workshop for Department Heads and Division Managers, "Developing Your Reputation for Impeccable Ethics." Department Heads followed -up with lists of implementation steps for educating all employees abo ut the Code of Ethics and Values.

The City Manager, through Director of Water and Sewer Utilities, submitted information on the Ethics program to the American Water Works Association for a publication on "Ethical Dilemmas in the Water Industry." In preparation for the Orientation Program for New Board Members/Commissioners, ethics consultant Dr. Tom Shanks and the City Manager held two organizational meetings in June. One meeting was with Staff Liaisons to City Board/ Commissions and the other was with the Chairs of Boards/Commissions. The purpose of the meetings was to seek help in developing the program's content, including an ethics and values focus. It was an opportunity to share their ideas on what should be included in an Orientation Program.

The League of California Cities requested papers and exhibits for the 27 th Annual International Making Cities Livable Conference held in California and Georgia. The 2 12677374.2 SA460-029

City submitted the Ethics Program, including the process that the City undertook to develop a new Code of Ethics and Values. The paper was submitted under "Community Participation in City Making."
An orientation program for new Board Members/Commissioners was held on July 17, 2000, including ethics and values content. All current and newly appointed Commissioners were invited. Approximately 50 people attended. Follow -up comments were very positive, reinforcing both the need and value of this type of program.

Council approved a new "Revolving Door" Ordinance but referred back one section to the Ethics Ordinance Committee relating to current Commissioners appearing before CouncillBoards representing other individuals/companies. The Revolving Door Ordinance effective date was August 18, 2000.

Council requested that a program be offered that was geared for seated Council Members, specifically, "Ethical Standards for Supporting Candidates for Public Office". This Council Study Session was held on Tuesday, August 22.

Two workshops were held with Ethics Committee members, City Commissioners and their Staff Liaisons on November 13 and December 14, 2000 with the goal of developing "Standards for Behavior" consistent with the Code of Ethics and Values.

An "Elected Officials Handbook" was developed by the Deputy City Manager and City Clerk to assist with Council Member orientation. The new publication debuted in November 2000. Chapters in the handbook include City Information, Procedures, Legal Issues, He lpful Advice, Directories, City Charter and Resource Material.

Chapter 4 was devoted to Ethics and Values including background on the City's Code of Ethics and Values; the Code itself; principles of ethical behavior; a checklist for monitoring conduct; liv ing our values: the process and pocket card; and behavioral standards for Commissioners, Board Members and other appointed officials.

A Study Session was held with Council on November 28, 2000 to discuss the recent municipal election, and how Council Members ethically supported other candidates for City offices.

City representatives made a presentation at the International Making Cities Livable Conference on December 15, 2000 in San Francisco. The presentation was entitled "Living Our Values, Strengthening and Maintaining A Values Driven Organization at the City o f Santa Clara," and panelists included Mayor Judy Nadler, Vice Mayor Aldyth Parle, ethics consultant Dr. Tom Shanks, and City Manager Jennifer Sparacino. The presentation was enthusiastically received, with many good questions from the audience.
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2001
The City Manager's Pilot Implementation Program with the Parks and Recreation and Fire Departments continued through Phase 1. Parks and Recreation Department personnel attended workshops in late March and late April to introduce the Code of Ethics and Valu es, and to give employees a chance to discuss its implications for their jobs. Employees completed two short surveys and identified members for a departmental "Make It Real" team to begin work in assisting the City and departmental management in implementi ng the Code.

The City Manager organized a citywide employee committee, comprised of 12 members from eight departments to recommend ways to identify, communicate, and implement next steps and best practices to advance the City's Ethics & Values program.

Mayor Judy Nadler, Vice Mayor Aldyth Parle, City Manager Jennifer Sparacino, and ethics consultant Dr. Tom Shanks presented the City's Ethics & Values program as a "Best Practices Case Study" at the International City Managers Assoc. in Newport, Rhode Isla nd on April 26. The session was very well received and the City was invited to present the program at the National Conference of the ICMA on September 25 in Salt Lake City.

The Ethics & Values program was added as a core curriculum of the annual Leadership Santa Clara program. Two current Board and Commission members were part of the 2001 Leadership Santa Clara class, and along with the Deputy City Manager, were able to help foster discussion.

The Citywide employee committee continued to meet twice per month to develop advisory recommendations to the City Manager on next step implementations.

The Santa Clara Executive Management Team of the City Manager and Department Heads held several meetings with ethics consultant Dr. Shanks discussing how the Values Program will be introduced to departments and how it will become a part of everyday actions and decisions. The theme for these meetings is "Living Our Values: Developing Common Values and Common Ground in the City organization." Discussion of the Code of Ethics and Values was incorporated into City's on -going mid- management training program "Leadership in the 21st Century." The City's Human Resources Department has included the Ethics and Values emphasis on position announcements for City employment and in job descriptions for management employees.

The City made a presentation at ICMA Annual Meeting held in Salt Lake City on September 25, 2001, entitled, "Translating Ethics into Everyday Actions." 4 12677374.2 SA460-029

Ten members of City Boards and Commissions were recognized at the citywide Volunteer Recognition Event, October 3, for their assistance with the development of Standards of Behavior for the City's Code of Ethics and Values.
2002
A "Board and Commissions Handbook & Survival Guide" was developed by the Deputy City Manager with help from the City Clerk to assist Commissioners with their effectiveness and to assist new Commissioners with orientation. The new publication debuted in Jan uary 2002. Chapters in the handbook include Purpose; Procedures; Legal Issues; Helpful Advice; Directories; Glossary of Terms; and Resource Material. Similar to the handbook for elected officials, Chapter 4 was devoted to Ethics and Values including backgr ound on the City's Code of Ethics and Values; expectations of members of Boards, Commissions and Committees; the Code itself; living our values: the process and pocket card; and behavioral standards for Commissioners, Board Members and other appointed offi cials. Copies were provided to all Commissioners and appointed officials.

As the year 2002 was an election year, the City Council approved holding two workshops on Ethical Campaigning for Candidates for Elective Office on April 23 and August 15, 2002. Workshops were designed for candidates for elective office and their campaign workers.

At the April 8 th and June l'7 th Ethics Ordinance Committee meetings, the City Manager provided a proposal to recognize Board/Commission Members. The proposal outlined the recognition of Board/Commission members by (1) holding an annual dinner separate from the citywide Volunteer Recogni tion Event; and (2) focusing on Board/Commissions in the City's quarterly newspaper, "Inside Santa Clara". Request for funding in the amount of $7,000 for the dinner was referred to the budget process, and subsequently approved by Council.

A workshop on "Ethical Campaigning for Candidates for Elective Office" was held as a Special Order of Business at the April 23 rd City Council meeting. Another workshop for candidates for elective office was scheduled for August 15, 2002.

At their June 17th meeting, the Ethics Committee unanimously accepted a "Draft Council Policy-Process for City Board/Commission Review" and made a motion to forward the proposed policy to Council for approval. A discussion on "Ground Rules for Citizen Complaints" and "Complaint Form" was continued.

At the League of California Cities Annual Conference in Long Beach, California, October 2-4, 2002, the City received the Helen Putnam Award of Excellence for its Ethics & Values program. The Mayor accepted the award on behalf of the City. In 5 12677374.2 SA460-029

addition, the League's calendar features the City's Ethics Program on the October page entitled, "Public Trust and Ethics."
A workshop on "Running for Office...Living Our Values" was held for candidates for elective office and their campaign workers on August 15, 2002. Dr. Tom Shanks, Associate Professor of Communication and Scholar at the Markkula Center for Applied Ethics at Santa Clara University, was the Workshop Coordinator.

To assist current and newly appointed members of Board/Commissions in the City of Santa Clara in becoming more familiar with their roles and responsibilities, a special workshop, "Living Our Values... Succeeding as a Board/Commission Member" was held on Mo nday, September 30, 2002. Dr. Tom Shanks, Associate Professor of Communication and Scholar at the Markkula Center for Applied Ethics at Santa Clara University, was the. Workshop Coordinator. The City's recently created "Board and Commissions Handbook & Sur vival Guide" was also reviewed. "A Council of Trust: Principles, Norms, Standards & Best Practices," a document that the City Council developed at their workshop, "Managing Change," held July 29, 2002, was approved by Council on August 20, 2002. The purpose of this workshop was to draft a set of norms to guide those running for elected office. The City Council later agreed that these practices would create behavior that they would trust, thus calling the document the "Council of Trust."
The Council adopted the Ethics Committee's recommended "Process for City Board/Commission Review," regarding handling concerns/complaints expressed about Board/Commission members, at their July 16, 2002 meeting.

Ethics consultant Dr. Tom Shanks and the City Manager gave a presentation at the Municipal Management Assistants of Northern California Conference in Santa Rosa, on October 17, 2002, "Translating Ethics into Every Day Actions."
The City Manager met with Board and Commission Staff Liaisons on November 6, 2002 to discuss the September 30th workshop, "Living Our Values...Succeeding as Board/ Commission Members." At this meeting, Dr. Tom Shanks also provided the Staff Liaisons with tips how Commissioners could use the Pocket Card to review and improve their conduct and decision making processes.

On December 3, 2002, a Study Session was held regarding the follow -up to Council's "Managing Change Workshop: Review of Ethical Standards for Running for Elective Office and Supporting Candidates for Elective Office Workshop." Dr. Tom Shanks, Associate Professor of Communication and Scholar at the Markkula Center for Applied Ethics at Santa Clara University, was the facilitator.
"Western City" magazine December 2002, published an article entitled, "Santa Clara Infuses Political Campaigns with Community Ethics and Values." The article outlined the City's Ethics & Values program as a useful tool for city political campaigns. It also recognized the City for winning an Award for Excellence in the Public Trust and Ethics category of the 2002 California Cities Helen Putnam Award for Excellence Program. 6 12677374.2 SA460-029

2003
On January 13, 2003, a workshop was held for candidates and their campaign workers to review election activities in reference to the goal of ethical campaigning. The workshop was held to evaluate the effectiveness of the various efforts the City has made t o establish a climate and expectancy of ethical campaigning.

The Behavioral Standards documents for Board and Commissions was updated. The Ethics Ordinance Committee reviewed the document and recommended it for adoption by City Council on February 25, 2003.

As part of the ongoing recognition program for Board/Commission Members, articles appeared in the Spring 2003 City newspaper, "Inside Santa Clara" about outstanding commission activities. The recognition program was previously recommended by the Ethics Ordinance Committee with input from Board/Commission Members, and approved by Council.

A Study Session was held April 22, 2003, to discuss the overall concept of accountability for Board and Commission members, as well as a Draft Accountability Policy and the Code of Ethics.

A recognition dinner was held for Board/Commission Members on April 29, 2003. The City Council, at their meeting on April 23, 2002, approved this special recognition event in 2002/2003 for Board/Commission Members, with a focus on the Values Program.

In response to an invitation extended by the Program Director of College of Professional Studies, University of San Francisco, the City Manager and ethics consultant Dr. Tom Shanks gave a presentation on May 5, 2003, to a graduate class on the City's Ethics & Values program.

The City Manager continued meeting with all depai 'lents and Board/Commission Staff Liaisons regarding the economic slowdown impacting the City. Departments were asked to revisit this fiscal year's budget to reduce expenditures, in keeping with the City's Value of "Fiscal Responsibility."
As part of the recognition program for Board/Commission Members, articles appeared in the City's newspaper, "Inside Santa Clara" about outstanding commission activities. The Summer 2003 issue highlighted the Concerts in the Park series and the Indoor Sculp ture Exhibition, both orgar►i7ed by the Cultural Advisory Commission.

In October 2003, the City updated the employee orientation packet. The revised cover letter to the newly hired employee emphasized the Code of Ethics and Values for our City.

As part of the recognition program for Board/Commission Members, articles were published in the City's newspaper, Inside Santa Clara, about outstanding commission activities. The Winter 2003 issue of highlighted Mayor Patricia Mahan's attendance at 7 12677374.2 SA460-029

meetings of nearly all of the City's Board and Commissions and the City special recognition event for 250 volunteers that said, "Hats Off to Volunteers!" 2004
The Institute for Local Government, the nonprofit research arm of the League of California Cities, released a new ethics publication entitled, "Developing a Local Agency Ethics Code: A Process-Oriented Guide." The City Manager provided editing assistance prior to publication of this document. The City of Santa Clara's Ethics & Values program is mentioned in several sections.

A "Year in Review" Agenda Report discussed at the City Council meeting of December 16, 2003, highlighted Council's commitment to principles within City's Code of Ethics & Values with goal of promoting public trust.

Several articles appeared in the 'Western Cities" magazine regarding ethics.

The goals of respect and professionalism, from the City's Code of Ethics and Values, were set for Employee Negotiation discussions.

As part of the recognition program for Board/Commission Members, articles appeared in the Spring 2004 City's newspaper, "Inside Santa Clara," about outstanding commissions activities, highlighting the Youth Commission, the Historical & Landmarks Commission, and the Housing Rehabilitation Loan Committee.

The Spring 2004 issue of the "Inside Santa Clara" also included the City's Ethics & Values program expansion to include the discussion of community ethics and values...asking voters to include ethics as part of their decision making process in selecting wh ich candidate to support in the November election.

At the April 6, 2004 City Council meeting, ethics consultant Dr. Tom Shanks conducted a workshop, "Ethical Campaigning for Candidates for Public Office: Running for Office...Living Our Values."
The League of California Cities publication, "Priority Focus," featured eight cities and their ethics codes in their "Hall of Fame." Santa Clara was one of the cities. Staff noted that several other cities had copied the City's Code and Ethics & Values ver batim, rather than using the process Santa Clara followed in developing its Code of Ethics & Values.

Santa Clara's process that included community meetings and discussion over several months to identify values of importance to the community, and to organiz e and incorporate those values into the document considered for adoption.

The City's Code of Ethics and Values was mentioned in Sunday, March 28 issue of the "San Jose Mercury News."
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Dr. Tom Shanks facilitated April 27, 2004 workshop for City Council on "Ethical Campaigning for Candidates for Elective Office and their Supporters -Building and Sustaining A Council of Trust."
As part of the on-going recognition program, an invitation was mailed to all Board/Commission Members for an evening at the NASA Ames Research Center, Moffet Field, to tour the new Mars Center on June 10, 2004.

Alexander Johnny, an official with the State of Oregon Economic and Community Development, requested permission to use the City's Code of Ethics and Values. The permission was granted for use of the Code, with notation of City of Santa Clara credit.

The City Clerk prepared a document instructing those interested in running for office in the November election on "How to Get Started." The Guide includes the Election Calendar, Financial Disclosure information and information on Ethical Campaigning.

The Summer 2004 issue of the "Inside Santa Clara" newspaper included article on "Ethical Campaigning is the Goal" to help voters recognize ethical campaign activities and information on how campaigns are run. In addition, another article "On the November Ballot" provided information on Council seats open for election.

The City's ethics consultant, Dr. Tom Shanks, facilitated an August 17, 2004 workshop for City Council on "Public Service Begins With Your Campaign! — Ethical Campaigning for Public Office."
The City implemented the Ethics Ordinance Committee's recommendation to inspire community's confidence in their municipal government and the democratic process with the following actions:
• A Voters Guide was distributed as an insert in the Fall 2004 issue of the City's quarterly newspaper, "Inside Santa Clara." (Distribution included all Santa Clara residents and businesses.)
• The Voters Guide was also mailed to Board/Commission Members, service groups, colleges, former elected officials, and media. • Information on "Vote Ethics" was published in the September and October 2004 "Mission City SCENES" utility bill inserts. • The Voters Guide was posted on the City's website.
• "Vote Ethics" messages were also posted in announcements on the municipal government Cable Channel 15.
"Key Ethics Law Principles for Public Servants," a reference card publication of the Institute for Local Self Government, was given to Board/Commission Staff Liaisons to distribute to their Commissioners.
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As part of the recognition program for Board/Commission Members, articles highlighting the Housing Rehabilitation Loan Committee and the ADA Committee appeared in the Fall 2004 City's newspaper, "Inside Santa Clara," about outstanding Commission activities .

The City Manager attended the League of California Cities Ethics Education Task Force meeting in Monterey July 29, 2004. She serves on the League's Ethics Advisory Panel.

A status report of Campaign Ethics Program and Voters Guide was presented at the October 12, 2004 City Council meeting.

A televised and open to the public forum for municipal candidates for office, called "The Final Word," was sponsored by the City and held November 1, 2004, the night before the election, to provide an opportunity to review any issues that may have arisen d uring the campaign, especially last minute issues. The public and candidates were invited to submit topics for discussion about issues that may exist, or to extend compliments to candidates who had conducted their campaigns in accordance with the City's Et hics & Values program. Several meetings were held between Staff, League of Women Voters, and ethics consultant Dr. Tom Shanks to prepare for this forum. Another City contacted Santa Clara and asked to copy this election -eve forum concept in their jurisdict ion, and materials were shared.

As part of the recognition program for Board/Commission and Committee Members, an article highlighting the Americans with Disabilities Act Committee appeared in the Winter 2004 City's newspaper, "Inside Santa Clara." In addition, an article to solicit volu nteers for Commission vacancies was also published in the same issue.

City ethics consultant Dr. Shanks mailed out a letter to all candidates thanking them for serving as role models for the City's Code of Ethics and Values and to invite them to attend a public study session after the elections for an honest assessment of the campaign. 2005
On January 10, 2005 a workshop was held to discuss ethical campaigning in the November 2004 Municipal Election. Topics of discussion included satisfaction levels with respect to campaign conduct in relationship to the City's Code of Ethics and Values, if candidates had fulfilled their promises to conduct ethical campaigns.

The Institute for Local Self Government published, "A Local Official's Reference on Ethics Laws, Principles, Prohibitions, and Consequences," and copies were distributed to the City Council as well as to the elected City Clerk and the elected Chief of Police. The City Manager and Deputy City Manager were contributors to this publication.

Council approved an updated list of employees covered under the City's Revolving Door Ordinance, City Code Chapter 2.145, including all management employees.

To implement the Council goal, "Elevate Ethics & Values program to Next Level," the City of Santa Clara co-sponsored with the Santa Clara County Cities Association a 10 12677374.2 SA460-029

training session on issues of ethics that are of interest to elected officials on October 13, from 7 to 9 p.m., at Santa Clara City Hall. The two -hour refresher course was based on questions submitted by the attending elected officials and focused on confl icts of interest and the role of Council Members in campaign situations. The facilitator for the series was the Markkula Center for Applied Ethics, Santa Clara University.

In October 2005 the City conducted "Harassment Prevention Training" for all managers and supervisors. The City's Code of Ethics and Values was included with the training.

The City's Code of Ethics and Values was added as a masthead in the City's publication, "Inside Santa Clara," starting December 2005 issue.

The City's Code of Ethics and Values message was added as a masthead to the employee newsletter, "City Corner."
The "2005 Annual Report/2006 Santa Clara City Calendar" focused on the Code of Ethics and Values throughout the publication, and "Living Our Values." 2006
The City of Santa Clara, in conjunction with the Santa Clara University Communications Department, conducted an ethics awareness effectiveness survey.

The purpose of administering this survey was to determine if the current Code of Ethics and Values contin ues to reflect citizen expectations and real promises by City officials and staff and to draft practical guidelines for fostering public trust through policy development and action plans. Survey results would enable the City to effectively build on current Ethics Program successes and set appropriate standards, as well as meet Council's 2005 -2007 goals.

The City's Code of Ethics and Values message was added to the monthly utility bill, "Mission City SCENES," starting March 2006 issue.

The City Manager made a presentation at a continuing education class called "Introduction to Public Administration" (PAD 400) offered by National University.

Students were Santa Clara County employees. The City Manager discussed the development and history of the Ethics & Values program and answered a number of questions from the class. The presentation was very well -received.

The City Manager participated in the Ethics and Leadership Camp for Public Offices, held June 21 and 22, 2006 at Santa Clara University's Markkula Center for Applied Ethics.

Department Heads, while working on their 2006-07 budgets, were asked to apply the "Budget Principles of 2006-07," which include the value of "fiscal responsibility." 11 12677374.2 SA460-029

As part of the commitment to the City's Ethics and Values, Employer Negotiation Principles for discussions with bargaining units were developed and approved by unanimous vote of the City Council.

Results from the City's Ethics Survey were reviewed at an Ethics Committee meeting on August 24, 2006, and were presented by the City's ethics consultant, Dr. Tom Shanks, and the Deputy City Manager.

The City's ethics consultant Dr. Shanks facilitated an August 24, 2006 workshop for City Council on "Public Service Begins With Your Campaign! — Ethical Campaigning for Public Office."
The September issue of the City's quarterly publication, "Inside Santa Clara," again carried a "Voters Guide," renamed the "Vote Ethics Guide," as an insert, with updated topics, eye-catching graphics and a theme that "ethics in government begins at the ballot box."
The September "Mission City SCENES" utility bill insert sent to all City utility customers with their September bills had an article on the cover titled "Ethics in government begins at the ballot box," mentioning the results of the City's ethics survey and that residents want to elect individuals who embody the highest standards of ethics. The article further encouraged people to look for more information on this topic in the City's quarterly newspaper, on the City's website, and on municipal Cable Channel 15.

Results from the City's Ethics Survey were presented to the City Council on September 12 by the City's ethics consultant, Dr. Tom Shanks. An'executive summary of the survey results report was posted on the City's website.

In addition to receiving a report on the results of the Ethics Survey at the September 12 City Council meeting, Council approved the format for the Final Word Forum on November 6, the night before the election. The forum will include candidates for municipal office and representatives of those for and against the ballot measure on binding interest arbitration. Council also approved a communications plan for the 2006 Vote Ethics program, including re -mailing of the Vote Ethics Guide, three additional mailers on the program, announcements on the municipal Cable Channel 15, announcements on the Highway 101 electronic reader board, website update, video newsbriefs, and numerous other steps. Council was informed that two new URLs had been reserved to assist the public in fmding the Vote Ethics information online: voteethics.org and santaclaracampaigndollars.org . These URLs will automatically direct people to (respectively) the information on the City's Vote Ethics and Ethics & Values program found on the City's website, and to candidate campaign disclosure reports also posted online.

The City's ethics consultant and the City Clerk made a presentation on the Vote Ethics program at the Santa Clara Rotary Club on September 14, 2006, and provided copies of the Vote Ethics Guide and City's Code of Ethics & Values. 12 12677374.2 SA460-029

The City's ethics consultant and the City Clerk staffed a Vote Ethics booth at the September 16 and 17, 2006 Santa Clara Art & Wine Festival, engaging citizens in the topic, handing out materials such as the Vote Ethics Guide and October Utility bill inser t on residents making ethics part of their candidate selection criteria, providing Voter Registration forms and accepting completed ones, etc.

October municipal utility bills sent to all City residents and businesses have the Vote Ethics emphasis in numerous areas:
• The bill envelopes are printed with the Vote Ethics graphic and the message:

Ethics in government begins at the ballot box
• An inside bill "face of bill" message says: "Every vote counts in building public trust and confidence in local government."
• A second inside "face of bill" message states:
"Ethics and values are a priority in the City of Santa Clara." Since 2000, the City of Santa Clara has looked to its Code of Ethics & Values to help leaders perform "at their best" in serving the community. How well do the candidates running for office on Nov. 7
th embody the eight principles of the City's
Code — ethical professional, service-oriented, fiscally responsible, organized, communicative, collaborative, progressive. See the separate insert for more information.
• A separate utility bill insert encouraged residents to "make ethics part of (their) candidate selection criteria," and provided a "voter checklist for evaluating candidates."
• The "Mission City SCENES" utility bill insert itself encouraged residents to check out the extra bill insert.

As part of the City of Santa Clara's Vote Ethics Program, a facilitated public forum was held November 6, 2006 during which candidates for Mayor and City Council discussed and clarified ethics-related issues, which are current during the final week of the campaign. This forum also gives Santa Clara City voters the opportunity to hear factual information to counter or clarify any campaign activity, flyers or other printed material, rumors or innuendo, etc., circulating during the fmal week of the campaign, a nd which raise issues of honesty, fairness, respect, responsibility, or public trust.
2007
After each election, the City has held a follow -up meeting in January to review the Ethical Campaigning program to see what worked well, and to make plans for the future. This election feedback session, Ethical Campaigning for Public Office "Public Service Begins with your Campaign" was held January 29, 2007.

Subsequent to the phone survey sponsored by the City in 2006, J.D. Franz Research was contracted to conduct another survey, "The Good Government and Public Trust Survey," in early 2007. The survey used the critical questions from the 2006 baseline study and allowed direct comparison with the baseline data. In contrast to the baseline survey, which was conducted online and on paper, the Good Government Survey was a telephone 13 12677374.2 SA460-029

survey. The response rate was much greater than in the earlier survey. Consequently, the findings are robust and should be considered highly representative of the opinions of residents throughout the City. The results have been analyzed and will be present ed at the next Ethics Committee meeting.

The City of Santa Clara Vote Ethics Campaign 2006 program was entered in the CAPIO (California Association of Public Information Officials) 2007 Awards Contest under the Special Event or Marketing/Communications Campaign Category. Results have not been announced.

Materials from Santa Clara's vote Ethics Campaign 2006 were shared with Santa Clara University's Markkula Center for Applied Ethics for use in the Center's courses as well as their ethics program.

Council Members Kornder and McLeod, the City Manager and Deputy City Manager attended the Santa Clara University Markkula Center for Applied Ethics' Government Ethics Roundtable and participated in discussions with other government officials county - wide.

Miami Dade County, Florida, requested materials and information on the City's Ethics program, and held discussions with the Deputy City Manager about Santa Clara's program history and goals.

The March 2, 2007 issue of the San Jose Business Journal carried an article written by City Clerk/City Auditor Rod Diridon Jr. entitled, "It's Your Money, So Hold Public Officials Accountable."
The City applied for and was awarded the International Institute of Municipal Clerks' first inaugural Program of Excellence Award for 2007 in recognition of the 2006 Vote Ethics Program. This is one of the four top-level awards the IIMC offers, this is the only award for which a City or organization qualifies.

In addition, the Vote Ethics Campaign 2006 program was also entered in the Silver Anvil Award Contest sponsored by the Public Relations Society of America. The City's program was among the 104 finalists out of 855 total entries. The judges were impressed with the program and the marketing strategy. On June 14 th, the Deputy City Manager went to New York City (at her own expense) to accept, on the City's behalf, the Silver Anvil Award of Excellence for the Vote Ethics 2006 Program.

On July 6, 2007, the City Council approved Principles and Priorities for 2007 -2009.

Under the category "Foster Public Trust/Demonstrate Leadership" Advance City's Ethics Program through Analyzing And Applying Ethical Decision -Making in City Decisions with Review of Transparent Reporting was one of the Principles.

At July 17 th City Council meeting, J.D. Franz, a survey consultant, made a presentation of the Post-2006 Election Ethics Survey Results - Assessing Progress with the City's Ethics Program.
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The 2006 Vote Ethics Program materials were shared with the City of Atascadero in August 2007 upon their request. City staff and the City's consultant have held several discussions with Atascadero staff.

On September 5, the League of California Cities announced at their annual conference that the City's 2006 Vote Ethics Campaign had won the Helen Putnam Award of Excellence — Grand Prize. The City was invited to set up and staffed a booth at the League Conf erence sharing information on the Vote Ethics 2006 program. To help attract visitors to the City's booth, staff handed out individually boxed CFL light bulbs obtained from the Electric Dept. The light bulb boxes were pre -labeled with the words, "Shine the Light on Ethics in Government, City of Santa Clara, www.VoteEthics.org " to help drive visitors to the City's online ethics program information. The City Manager sat on a panel discussion on Ethics Commissions vs. Ethics Committee.

Articles on City's Vote Ethics Program and Ethics Commission vs. Ethics Committee have been written and submitted to the League of California Cities "Western City" magazine.

The City Manager Jennifer Sparacino, City Clerk Rod Diridon, Deputy City Manager Carol McCarthy, and Ethics Consultant Tom Shanks participated in the articles.

The League's 2008 calendar also featured the Helen Putnam Award winners, including the City of Santa Clara's Vote Ethics Program (May page).

On September 25th, Rebecca Elliot, Regional Public Affairs Manager for the League of California Cities attended the City Council meeting to present the Helen Putnam Award of Excellence Grand Prize Award to the City.

On September 27, 2007, the City of Torrance City Manager's Office contacted the Deputy City Manager requesting information on the City's Code of Ethics and Value.

Information was taken from the posted materials on the City of Santa Clara's website.

Additio nal requested documents were emailed to the City Manager, and further discussed.

Employer Negotiation Principles were developed and approved by the City Council and City Manager to guide the City's negotiations with the employee organizations. The Principles are consistent with the City's Code of Ethics and Values in all aspects of Cit y government. The adopted Principles were distributed to the employee organizations that will be negotiating with the City this year for successor Memoranda of Understanding.

The adoption of negotiation principles consistent with the City's Code of Ethics and Values was first implemented in 2003.

City Manager's Office staff assisted staff of the San Francisco Board of Supervisors in the preparation of a report to the Board regarding Elected Officials' Code of Conduct, or Code of Ethics. The report included a summary of several cities' programs, inc luding the City of Santa Clara's program, and how compliance is achieved, in Santa Clara's case, through a behavior -based code of conduct in order to establish the maintain high standards of personal and professional conduct in government. 15 12677374.2 SA460-029

The City of Sunnyvale acknowledged the City of Santa Clara for their permission to reprint certain items in the Sunnyvale Election Ethics Guide.

The League of California Cities Library requested permission to post a portion of the City's Elected Officials Handbook which relates to the City's Code Ethics and Values, specifically the Behavioral Standards. Permission was granted and the City offered t o scan the entire Elected Officials Handbook for the League Library.

As recommended by the Ethics Committee, an extra line item was added on the City Council agenda under REPORTS OF COUNCILORS AND SPECIAL COUNCIL COMMITTEES re: AB1234/reports regarding conference attendance. 2008
Judy Nadler, Senior Fellow in Government Ethics at the Santa Clara University Markkula Center for Applied Ethics and former Santa Clara Mayor, requested information on the City's Ethics Program for her presentation to the League of Minnesota Cities.

Dr. Tom Shanks recently came upon this United Nations -sponsored database of worldwide best practices for local governments. Two examples are given under the heading of "Ethical Campaign Practices," —the City of Santa Clara and a project in Azerbaijan. The link is
http://ww2.unhabitat.org/cdrom/TRANSPARENCY/htm1/2c_7.html The link to a specific article (based on the 2000 election) is -
http ://ww2.unhabitatorg/cdrorn/TRANSPARENCY/html/box51.1itml A mid-term review of Council goals, including the goal "Advance City's Ethics Program through analyzing and applying ethical decision -making in City decisions with review of transparent reporting" was held at a Council retreat on April 8. Dr. Tom Shanks, C ity's Ethics Consultant, made the presentation.

On April 15, 2008, the Council approved the document titled "The Role of the Ethics Consultant During City Election Campaigns," developed by the Ethics Consultant with the Deputy City Manager, and in consultation with the City Clerk. The document will be p rovided to candidates, and has been posted on the City's website to provide clarity to the role of the Ethics consultant during the upcoming 2008 Vote Ethics Campaign.

The Deputy City Manager and Ethics Consultant gave a presentation on "Ethics and Values in Public Works," to a meeting of the American Public Works Association on April 16, 2008.

On May 6, 2008, Council heard a presentation by the Ethics Consultant of an overview of the City's 2008 Campaign Ethics Program "Fostering Public Trust, Encouraging Ethical Leadership," and also reviewed the Council of Trust.
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On May 20, 2008, City Council approved "Behavioral Standards for Council Members." The document will be helpful for ongoing use and also for the training and orientation of new Council Members. The document also meets the City Council's 2007 -09 goal to "foster trust and demonstrate leadership" by "advancing the City's Ethics program." City Clerk's Association Business Meeting: On September 19, the City Manager was part of a three-tiered presentation at the Northern California City Clerk's Association Business meeting held at the Santa Clara Convention Center. The session was entitled "T he Professional Progress of the City Clerk-Advancing to the Next Level." In additon to the City Manager's presentation, a City Clerk and a Human Resources Manager also provided their perspective on the topic.

The City Manager attended the ICMA's 94th Annual Conference in Richmond, Virginia, on September 21-24, 2008. She will serve on the panel to discuss "Building Ethical Organization." This conference provides a good opportunity to showcase the City's Ethics a nd Values Program.

The Deputy City Manager worked with the Santa Clara Chamber of Commerce to schedule a Candidates Forum on October 9. 2008. The Chamber invited the Citizens Advisory Committee and "Santa Clara Weekly" to work with them on this event. The Forum was held in the Council Chambers. Staff assisted with the set up.

On August 21, 2008, Dr. Shanks, City's Ethics Consultant, held a workshop entitled, "Campaign Leadership for Public Trust: Strategies for Conducting an Honorable Political Campaign."
The Fall issue of Inside Santa Clara contained the Voters Guide as an insert. The Guide provided information on how voters can evaluate candidates and the type of campaign strategies they use in their efforts to win.

The Fall Inside Santa Clara included an article, "Listening to Candidates is Part of Making an Informed Decision." The article provided information on the Candidates Forum scheduled for October 9, 2008 and The Final Word Forum scheduled for November 3, 2008.

Utility bill insert sent to all municipal utility customers throughout the month of October, entitled, "There's a better way than drawing straws to select which candidate to vote for on November 4" provides the City's Code of Ethics and Values, along with a Vote Checklist for Evaluating Candidates.

A reprint of the Vote Ethics Guide originally mailed to very address in the City in the quarterly municipal newspaper Inside Santa Clara, was redistributed as a stand- alone mail piece on or about October 6. This time the Vote Ethics Guide was sent to all households.
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An informational postcard #1 was sent to all households on or about October 14 titled, "There's a better way than flipping a coin to select a candidate" urging people to learn more about local candidates running for office.

As part of the Ethics & Values Program, and the Vote Ethics 2008 public information campaign, the City of Santa Clara wrote and filmed short videos which are airing on the City's website and on municipal government Cable Channel 15, focusing on themes from the 2008 Vote Ethics program. The videos are being released to coincide with the distribution of educational pieces that were mailed/being mailed to residents and registered voters, echoing similar messages from the mailed pieces.

Stephanie Gutowski, Staff Analyst in the Housing and Community Services Division of the Planning Department, received a special recognition from the Home Builders Association of Northern America (HBANC) at its Southern Division "Building Better Communities Night" event held October 9, 2008, at the San,Jose Rotunda. As Stephanie received her Certificate of Appreciation from Joseph Perkins, President & CEO of HBANC, the following statement was made, "The City of Santa Clara has a Code of Ethics that was designed to increase public trust and confidence in government by promoting and maintaining the highest standards of personal and professional conduct among the people who work in the City. It encourages City staff to be `at their best' every day. We are fortunate to work with someone who embodies that trust." The Final Word Forum will be held in Council Chambers and will be broadcast live on Monday, November 3, 2008, from 7 to 9:30 p.m. on municipal Cable Channel 15.

It will also be streamed live on the City's website.

In December 2008, Director of Streets/Automotive Services held a training for the Street Department employees on "Creating a Respectful Work Environment." The training was held to bring enhance workplace respect, review effective communication guidelines and build awareness of personal behavior in the workplace. The training was consistent with the City's Ethics & Values program.

A letter signed by Mayor Mahan was sent to Noelle Lopez, a Santa Clara University student, who received the prestigious Rhodes Scholarship. Ms. Lopez plans to study "Virtue Ethics" at Oxford. Since the City of Santa Clara's Ethics & Values Program strives for similar qualities of excellence, a letter was sent to congratulate Ms. Lopez on her accomplishments.

The City was informed by JoAnne Speers, Executive Director, Institute for Local Government, that the City of Santa Clara's Code of Ethics & Values had been referenced in the National League of Cities' new ethics guidebook: "The Ethical GPS:

Navigating Everyday Dilemmas." Since Santa Clara's work in this area continues to be influential, the City was cited in 9 of 39 footnotes. In addition, there is an article in the publication entitled, "Evolving from Reactive to Proactive: A summary of the Santa Clara, California, Ethics Program."
18 12677374.2 SA460-029

2009
The City Manager was contacted by Frank Benest of Cal -ICMA regarding ICMA's publication, "Hiring 2.0." The publication promotes a number of best practices so that local governments can better align their HR systems and practices with the values of the next generation. For each best practice, a local government resource person is identified.

One of the best practices in the tool kit was a "values -based ethics program." Since the City of Santa Clara had developed an exemplary ethics program, Deputy City Manager Carol McCarthy was identified as a resource person from the City. A copy of the publication was emailed to the City.

As it has after each election, the City held a follow -up meeting in January to review the Ethical Campaigning program's successes, issues, and concerns. This election feedback session, Ethical Campaigning for Public Office "Public Service Begins with your Campaign" was held January 8, 2009. The 2010 Vote Ethics Program builds on the successes and addresses the issues and concerns in a positive manner.

J.D. Franz Research was contracted to conduct a survey, "The Good Government and Public Trust Survey 2008," after the November 2008 election. Data from the 2008 post - election survey are comparable to data from both the 2006 baseline study and the 2006 post-election study. Results are being analyzed and will be presented to Council soon.

A coy of the Code of Ethics & Values was requested by the City of Gilroy. The City Clerk forwarded a copy to them.

On April 7 Council meeting, J.D. Franz of
J.D. Franz Research, Inc. presented to Council the
survey results. At the same meeting, Dr. Shanks compared the 2008 election results to the 2006 results.

Dr. Linda K. Cummins, called the City Manager's Office seeking permission to reprint the City of Livermore newsletter where the City of Santa Clara is cited. The City of Livermore advised Dr. Cummin's office that they do not own the copyright for this mate rial and that permission to reprint this newsletter must be secured from the City of Santa Clara and University of Santa Clara. Dr. Cummins and her co -authors asked and was given permission to use this material in their textbook,
Policy Practice for Social Workers: New
Strategies for a New Era, to be published by Allyn & Bacon. This newsletter would be included in chapter 5 of the book; "The Ethics of Policy Practice." California Ethics Summit Hosted in Santa Clara: On July 30, 2009, the City of Santa Clara hosted the first California Ethics Summit in the Council Chambers. Forty -seven City Clerk's Office professionals from throughout the state attended the summit. The City Clerk's Office organized this event. City Clerk Rod Diridon, Deputy City Manager Carol McCarthy, and the City's Ethics Consultant Dr. Tom Shanks were among those who made presentations. The sessions provided pertinent information and strategies surrounding the creation and implementation of the "foundation elements" in codes of ethics and campaign finance reform, as well as the "enforcement elements" in ethics commissions and community/voter outreach programs. The summit was a big success with positive f eedback from participants.
19 12677374.2 SA460-029

A consultant working for the City of Palo Alto Electric Utility requested information on the pocket guide to ethics and values. A copy was mailed to him along with a copy of the backside of City business cards.

The Deputy City Manager received a request from the City of Benecia for information on setting up The Final Word Forum for candidates. A sample of the Press release used to advertise the event; letter to candidates reminding them of important City meetings /events; The Final Word ground rules were provided.

Dublin City Council established, as a high priority goal for FY 2009 -10, the exploration of an election ethics program. They asked the City of Santa Clara's authorization to use parts of as a basis for their potential ethics program.

Received an email from Susan Buckles of City of Bainbridge Island, WA, Ethics Board. The City is in the process of revising their ethics code, and included a Preamble and expanded section on values. They borrowed heavily from our Preamble, and wanted to ac knowledge that by including a footnote crediting our program.
11 x 17 posters of the Code of Ethics and Values were laminated to be placed on all Conference Room bulletin boards around City facilities.

Provided information on the City's Code of Ethics and Values to Laura Lohnes, Civil Service Manager, City of Torrance.
2010
On January 12, 2010, City Council approved Behavioral Standards for Public Meetings. In addition, Council approved the Voluntary Campaign Expenditure Limits from $30,000 to $35,000.

City of Santa Clara's Ethics Program featured in December 2009 issue of League of California Cities publication, "Western City."
Laminated Posters re Code of Ethics & Values and Behavioral Standards for Public Meetings were posted on bulletin boards of all conference rooms at City facilities.

On July 6, 2010, under Special Order of Business, Dr. Tom Shanks made a presentation, "Fostering Public Trust, Encouraging Honorable Campaigns," which included a review and discussion of "The Council of Trust," the candidate version of the Code of Ethics & Values, and the recently revised State Code of Fair Campaign Practices. These three documents provide behavioral standards for the City Council, candidates and others involved in City election.

On August 24, 2010, Dr. Tom Shanks conducted a workshop, "Campaign Leadership for Public Trust." The workshop taught candidates for 2010 election the strategies for 20 12677374.2 SA460-029

conducting honorable campaigns. "Candidate Guide to Building Public Trust" was distributed. All candidates signed the voluntary campaign expenditure limits and a voluntary pledge to campaign ethically.
"Inside Santa Clara," the City's quarterly newspaper included an insert on Vote Ethics. The insert included information on how voters can evaluate candidates and the pe of campaign strategies they use in their efforts to win.

The September and October 2010 utility bill included an insert, "Ethical Campaigning —Check it Out!
The September 2010 issue of Mission City SCENES published an article, "Ethics in Government Begins at Ballot Box."
Conducted Candidates Forum on September 20, 2010. the League of Women Voters organized the Forum.

A Vote Ethics postcard was mailed to all households entitled, "Candidates Have Choices...So Do You" in October 2010.

Shared information with the City of Riverside about the City's Ethics Program, how we incorporate our Ethics & Values into the workplace, inclusion of the importance of E&V into Job Descriptions for management positions, etc.

The City's Ethics Consultant, Dr. Tom Shanks, set up a booth at the Farmers Market and distributed information on the City's Vote Ethics program.

Final Word Forum was held November 1, 2010. This Forum provides an opportunity to candidates to discuss last minute issues before the election Dr. Tom Shanks was the Forum moderator.

Barbara Otis of the County of Napa contacted the City for information on the City of Santa Clara's Ethics & Values Program and Behavioral Standards for Board/Commission Members and Council Members. The Deputy City Manager provided the information, and also referred her to the City's website.
2011
In lieu of a post election assessment meeting of candidates and their supporters, Dr Shanks developed a Public Feedback Form for the City's website. Dr. Shanks also met with some candidates one-on-one to discuss the candidate's campaign efforts. A press re lease was mailed to media asking for public feedback.

In June, Dr. Shanks gave a presentation on Ethics to the Santa Clara Leadership program participants.
21 12677374.2 SA460-029

In September, Dr. Shanks gave a presentation to the Charter Review Committee members on At Large Elections. Dr. Shanks message to the group was to utilize the practical tools he taught for individual's self-reflection and for group discussion and provide a criteria to test whether actions and decisions are likely to build public trust.

In September, the City Clerk fielded inquiries from Gilroy about the Vote Ethics Outreach program and provided advice on implementing a program similar to City of Santa Clara. The Senior Staff Aide provided budget figures from past elections on the Vote Et hics materials and program activities.

The Ethics Pocket Card was emailed to the City of Riverside at t heir request..

The December issue of the League of California Cities magazine, Western City, includes an article by Dr. Shanks and mentions Santa Clara's Ethics Program and the steps the City has taken to build public trust..

Last Updated: December 19, 2011
10/1/24, 12:57 PM City of Santa Clara - Electronic Filing System

12677374.2 SA460-029

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12677374.2 SA460-029

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2008/Revised 2008 MC Elections

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There are basic principles of decency, honesty, and fair play which every candidate for public office in the State of California has a moral obligation to observe and uphold in order that, after vigorously contested but fairly conducted campaigns, our citizens may exercise their constitutional right to a free and untrammeled choice and the will of the people may be fully and clearly expressed on the issues.

THEREFORE:
(1) I SHALL CONDUCT my campaign openly and publicly, discussing the issues as I see them, presenting my record and policies with sincerity and frankness, and criticizing without fear or favor the record and policies of my opponents or political parties that merit this 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 a candidate's actual or perceived race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, age, sexual orientation, sex, including gender identity, or any other characteristic set forth in Section 12940 of the Government Code, or association with another person who has any of the actual or perceived characteristics set forth in Section 12940 of the Government Code.
(4) I SHALL NOT USE OR PERMIT any dishonest or unethical practice that tends to corrupt or undermine our American system of free elections, or that 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 that resorts, on behalf of my candidacy or in opposition to that of my opponent, to the methods and tactics that 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.

Signature Date
Printed Name
Date of Election
OAF0RMSN.Nominalion Documents\Code of Fair Campaign Practicas.doc

2008/Revised 2006 MC Elections

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(Division 20, Chapter 5, Elections Code.)
Chapter 5. Fair Campaign Practices
Article 1. General Intent
20400. The Legislature hereby declares that the purpose of this chapter is to encourage every candidate for public office in this state to subscribe to the Code of Fair Campaign Practices.

It is the ultimate intent of the Legislature that every candidate for public office in this state who subscribes to the Code of Fair Campaign Practices will follow the basic principles of decency, honesty, and fair play in order that, after vigorously contested, but fairly conducted campaigns, the citizens of this state may exercise their constitutional right to vote, free from dishonest and unethical practices which tend to prevent the full and free expression of the will of the voters.

The purpose in creating the Code of Fair Campaign Practices is to give voters guidelines in determining fair play and to encourage candidates to discuss issues instead of untruths or distortions.

Article 2. Definitions
20420. As used in this Chapter, "Code" means the Code of Fair Campaign Practices.

Article 3. Code of Fair Campaign Practices
20440. At the time an individual is issued his or her declaration of candidacy, nomination papers, or any other paper evidencing an intention to be a candidate for public office, the elections official shall give the individual a blank form of the code and a copy of this chapter. The elections official shall inform each candidate for public office that subscription to the code is voluntary.

In the case of a committee making an independent expenditure, as defined in Section 82031 of the Government Code, the Secretary of State shall provide a blank form and a copy of this chapter to the individual filing, in accordance with Title 9 (commencing with § 81000) of the Government Code, an initial campaign statement on behalf of the committee.

The text of the Code shall read, as follows: (See "CODE OF FAIR CAMPAIGN PRACTICES" on reverse side).
20442. The elections official shall accept, at all times prior to the election, all completed forms which are properly subscribed to by a candidate for public office and shall retain them for public inspection until 30 days after the election.
20443. Every code subscribed to by a candidate for public office pursuant to this chapter is a public record open for public inspection.
20444. In no event shall a candidate for public office be reqUired to subscribe to or endorse the code.

OVORMSNomination Documents \Code of Fair Campaign Practices.doc

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GOOD GOVERNMENT AT OUR BEST EVERY DAY

1. HONOR THE LETTER AND SPIRIT OF THE LAW
• Look at the law and also at the right thing to do.
• Hold yourself and each other to the higher standard.
• Avoid the impression of representing the City, overstating our contributions or authority.
• Arrive at ground rules with your opponents
beforehand, if at all possible.
• Have something written stand the test of time.

2. TREAT EVERYONE EQUITABLY & WITH RESPECT
• Assume all are here for service of the City.
• Avoid finger-pointing.
• Don't jump to conclusions.
• Practice the Golden Rule. Treat others as you want to be treated when you are at your best.
• Maintain a sense of humor.

City of Santa Clara

ETHICS & VALUES PROGRAM
1500 Warburton Avenue • Santa Clara, CA 95050

THE COUNCIL OF TRUST 2014
Giving voice to Santa Clara's Core Values at this
pivotal moment in the City's history, the City
Council has adopted this vision for Campaign
2014. The Council reaffirms its commitment to
Good Government Guiding Principles and
Council of Trust Norms and Best Practices,
revised for Emerging Santa Clara.

GOOD GOVERNMENT GUIDING PRINCIPLES
We foster public trust when our decisions:

1. Honor the letter and the spirit of the law.

2. Do the greatest good and the least harm.

3. Treat everyone equitably and with respect.

4. Fulfill our duties and protect individuals' rights.

5. Advance the community's best interests and
give voice to the City's Core Values.

City of Santa Clara
Good Government At Our Best Every Day
!TRIGS • PROFESSIONAL • SEANCE -ORIENTED- FISCALLY IESPONSIBL f • ORGANIZED • COMMUNICATIVE • COLLABORATIVE •

PROGRESSIVE
COUNCIL VISION FOR CAMPAIGN 2014
As a Council of Trust, we pledge to conduct and
support campaigns which increase public trust

in Santa Clara's government. We will work individually and as a Council to foster honorable campaigns, trustworthy leadership, and increased participation by an informed public who holds candidates positively accountable for keeping their public promises t o conduct honest and fair campaigns.

COUNCIL OF TRUST NORMS AND BEST PRACTICES
These norms and best practices guide the Council of Trust during an election:

3. DO THE GREATEST GOOD...
• Don't assume you know someone else's motive.
• Wait. Get facts. Discuss.
• Talk to each other. Go directly to the other person.
• Appoint and empower a "staff conscience" to help
when time is short and you are stressed.
• Take the responsibility of the office seriously.

Don't take yourself too seriously.

4. ...AND THE LEAST HARM
• Think strategically. Educate.
• Rely on facts and interpret them as fairly as you can. • Make clear to all your workers and third parties how
you are running your campaign and what you will do if
anyone unfairly attacks an opponent.
• Do everything possible to reduce the damage to public trust after unfair third party attacks.

5. FULFILL DUTIES/PROTECT PEOPLE'S RIGHTS
• Separate role as Council Member from role as
candidate. Honor your role as a Council Member.

Act as a member of the Council Team.
• Tell the truth. Don't mislead.
• Respect the process. Respect City resources.
• Communicate your ethics clearly ahead of time to
your staff and workers.

6. ACT ONLY IN THE COMMUNITY'S BEST INTERESTS
• Honor the common good. Represent community.
• Communicate consistently that ethics is up front in this campaign. Explain ethics reasons for decisions.
• Ask the ethics questions by habit. Use the decision - making tool and especially ask "How does this decision
build public trust?"
• Set a high standard for what you expect to see when you look at yourself in the mirror at the end of the day.

12677374.2 SA460-029

10/1/24, 12:58 PM Election Information I City of Santa Clara Election Information
Overview
The Municipal Elections are held in November of even numbered years. The elective officers of the City consist of a City Council made up of six Councilmembers and a directly elected Mayor, the Chief of Police and the City Clerk, who are elected in a non-partisan election.

City Council Districts
Santa Clara City Councilmembers are elected by District, pursuant to the court order issued in July 2018. There are six districts (see City Council District map) in Santa Clara. • Only registered voters who reside within the Council district open for an elected Council seat may run for office.
• O nly those registered voters that reside in the Council district up for election may vote for their respective candidates.
• T he Mayor, Chief of Police and City Clerk serve at -large. • The Mayor and the City Council are elected to four-year overlapping terms. Each may serve a maximum of two consecutive terms.
• T he City Clerk and the Chief of Police are also elected to four- year terms with no term limits.

For More Information
Hosam Haggag, Elected City Clerk Nora Pimentel, MMC, Assistant City Clerk City Clerk's Office
408-615-222oV
email [email protected]
Frequently Asked uestions on City ampaigns
R O I
City Council District Map

General Information Outreach Information

4)
0 ail o
Campaign Disclosure Forms &
Filings
Conflict of Interest Code -
FORM 700
Expand/Contract Questions and Answers
https://www.santaclaraca.gov/our-city/departments-a-ficity-clerk-s-office/election-information 1/3 Campaign Regulations

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10/1/24, 12:58 PM Election Information I City of Santa Clara What is changing about Council member elections in the City of Santa Clara? How is the new Council election system different?
When do the Council Districts go into effect?
How were the District boundaries determined?
Will all Council member votes have equal weight?
Will District Council members vote on issues that are outside of their district boundaries? How do I know which Council District I live in?
Who is eligible to run for a District Council member position? How do I find out who is running for each Council District? Who is eligible to vote for a District Council member position? How do I know if I'm registered to vote?
Do I have to change my voter registration to be eligible to vote for my District Council member? Is it too late for me to become a candidate for my District Council seat on the November ballot? Is the election system for electing Mayor changing?
Is the election system for electing Chief of Police changing? Is the election system for electing City Clerk changing? What is changing about Council member elections in the City of Santa Clara? How is the new Council election system different?
When do the Council Districts go into effect?
How were the District boundaries determined?
Will all Council member votes have equal weight?
Will District Council members vote on issues that are outside of their district boundaries?
How do I know which Council District I live in?
Who is eligible to run for a District Council member position? How do I find out who is running for each Council District? Who is eligible to vote for a District Council member position? How do I know if I'm registered to vote?
https://www.santaclaraca.gov/our-city/departments-a-f/city-clerk-s-office/election-information 2/3

12677374.2 SA460-029

10/1/24, 12:58 PM Election Information I City of Santa Clara Do I have to change my voter registration to be eligible to vote for my District Council member?
Is it too late for me to become a candidate for my District Council seat on the November ballot?
Is the election system for electing Mayor changing?
Is the election system for electing Chief of Police changing? Is the election system for electing City Clerk changing? Last Updated:
10-13-2022
https://www.santaclaraca.goviour-city/departments-a-f/city-clerk-s-office/election-information 3/3

12677374.2 SA460-029

10/1/24, 12:58 PM November 4, 2014 Municipal Election Candidates and Ballot Statements I City of Santa Clara November 4, 2(314 Municipal Election Candidates and
Ballot Statements
Here is the official list of candidates for the November 4, 2014 General Municipal Election in the City of Santa Clara.*
For City Mayor:

Deborah Bress - Small Business Owner
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
Jamie L. Matthews - Mayor, City of Santa Clara
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
For City Council Seat 2:

Karen Hardy - Technology Science Teacher
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
Mohammed Nadeem - Professor/Businessman
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
Patrick Kolstad - Santa Clara City Council Member Seat 2 Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
For City Council Seat 5:

Kevin Park - Scientist/Engineer/Teacher
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
Roseann Alderete LaCoursiere - Retired Businesswoman
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
Dominic Caserta - Economics Teacher
Read Candidate Ballot Statement: English • Chinese • Hindi • Korean • Portuguese • Spanish • Tagalog • Vietnamese
https://www.santaclaraca.gov/our-city/departments-a-f/city-clerk-s-office/election-information/november-4-2014-municipal-election/november-4-2014-m...

12677374.2 SA460-029

10/1/24, 12:58 PM November 4, 2014 Municipal Election Candidates and Ballot Statements I City of Santa Clara *Candidates are listed in the order they will appear on the ballot.

Last Updated:
07-23-2015
https://www.santaclaraca.gov/our-city/departments-a-f/city-clerk-s-office/election-information/november-4-2014-municipal-election/november-4-2014-m...

12677374.2 SA460-029

November 3rd Final Word Forum
More information about all the forums can be found here.

Rebroadcast Schedule: Forums can be viewed on Santa Clara City Channel 15 or AT&T Channel 99. 10/1/24, 12:59 PM 2014 Candidate Forums i City of Santa Clara 2014 Candidate Forums
Forums.

September iith Candidate Forum
October 9th First Word Forum
Please click on the links below to watch the 2014 Candidate

• .t I
- 9:1.1!) pH]
Fur u

r1 I !
Forum Rebroadcast Dates/ Times
Sept. 11 Candidate Forum
Sept. 12 - 7pm
Sept. 13 - 11am
Sept. 26 - 7pm
Oct. 8 - 7pm
Oct. 10 - 3pm
Oct. 11 - 7am
Oct. 17 - 3pm
Oct. 24 - 3pm
Nov. 2 - 7am
Nov. 4 - 6am

Oct. 9 First Word Forum
Oct. 10 - 7pm
Oct. 11 - 11am
Oct. 17 - 7pm
Oct. 24 - 7pm
Nov. 2 - 11am
Nov. 4 - 10am

Nov. 3 Final Word Forum
Nov. 4 - 2pm

https://www.santaclaraca.gov/our-city/departments-a-ficity-clerk-s-office/election-information/november-4-2014-municipal-election/2014-candidate-foru... 1/2 .:1 rv ~ I SAN rA ("LAILJ\
• 14

12677374.2 SA460-029

10/1/24, 12:59 PM 2014 Candidate Forums I City of Santa Clara Last Updated:
05-26-2016
https://www.santaclaraca.gov/our-city/departments-a-f/city-clerk-s-officeielection-information/november-4-2014-municipal-election/2014-candidate-foru...

12677374.2 SA460-029

November 3rd Final Word Forum
More information about all the forums can be found here.

Rebroadcast Schedule: Forums can be viewed on Santa Clara City Channel 15 or AT&T Channel 99. 10/1/24, 12:59 PM 2014 Candidate Forums I City of Santa Clara 2014 Candidate Forums
Forums.

September nth Candidate Forum
October 9th First Word Forum
Please click on the links below to watch the 2014 Candidate

1 1
- !)-.11U !Jill
Hr.:I-. Wu I. Fur Lim
'filur;t1Jy.

I I - 'I) :nu
Forum Rebroadcast Dates/ Times
Sept. 11 Candidate Forum
Sept. 12 - 7pm
Sept. 13 - 11am
Sept. 26 - 7pm
Oct. 8 - 7pm
Oct. 10 - 3pm
Oct. 11 - 7am
Oct. 17 - 3pm
Oct. 24 - 3pm
Nov. 2 - 7am
Nov. 4 - 6am

Oct. 9 First Word Forum
Oct. 10 - 7pm
Oct. 11 - 11 am
Oct. 17 - 7pm
Oct. 24 - 7pm
Nov. 2 - 11am
Nov. 4 - 10am

Nov. 3 Final Word Forum
Nov. 4 - 2pm

https://www.santaclaraca.gov/our-city/departments-a-f/city-clerk-s-office/election-information/november-4-2014-municipal-election/2014-candidate-foru...

NT\ Cl,...\~
n 2014

12677374.2 SA460-029

110O1124„ 112:",,' I W1 20114 Candidate Forum II City eff Santa Clam Last Updated:
65-26-2016
https://www.santaclaraca.gov/our-city/departments-a-f/city-clerk-s-office/election-information/november-4-2014-municipal-election/2014-candidate-foru...

12677374.2 SA460-029

The Role of the Ethics Consultant During City Election Campaigns Approved by City Council on April 15, 2008

A. The Ethics Consultant will:

1. facilitate the August workshop for candidates for elective office, their consultants and volunteers. Media and the public are also invited to this workshop

2. facilitate the Final Word Forum the night before the election

3. facilitate the January post -election review for all candidates, their consultants, and others involved in the campaign. This review recognizes candidates and campaigns which build public trust, discusses the successes of the Vote Ethics citizen outreach, suggests Ethics Program goals for future campaigns, and discusses practical ways to continue to build public trust during future campaigns. Media and the public are also invited to this review

4. be available in the week following the August workshop to meet with candidates in specific races. This is a voluntary meeting to open lines of communication between candidates and to explore ground -rules and other methods to resolve communication issues du ring the campaign. The consultant would speak publically about the meeting only to correct any misrepresentation of the meeting

5. during the campaign, be available to facilitate communication, problem solving, and any issues with ground-rules candidates have agreed upon

6. discuss any general ethical issues candidates may have about flyers they are planning to send. The consultant will help candidates make their own decisions about such flyers by assisting them in working through the questions on the City's "pocket card" for making an ethical decision (distributed during the August workshop)

7. facilitate communication and problem-solving between candidates regarding mailers which candidates believe raise issues of honesty, fairness, respect, or public trust for the elected position sought. The consultant facilitates the clarification of any disputed facts by initiating direct communication between candidates or by other means. Candidates make any final decision about remedying honest mistakes, raising ethics issues during campaign debates, or suggesting unresolved ethics issues for potential discussion at the Final Word Forum

8. serve as an ethics and public trust resource for Council Members who are not running for election, but who wish to discuss potential ethics or public trust issues in their support of particular candidates

9. send written suggestions on the ethics of candidate forums to all organizations sponsoring such forums and offer to meet in person to discuss ethics issues involved in structuring such a forum.

10. serve as resource to the City Manager, Deputy City Manager and the City Clerk (as Elections Officer)

Page 1 of 2 ends

12677374.2 SA460-029

B. The Ethics Consultant will not:

1. review flyers, mailers, or other campaign materials prior to their public distribution

2. advise candidates on general campaign strategies and tactics

Page 2 of 2 ends

12677374.2 SA460-029

Santa Clara
head City of Santa Clara
Ai-America City
111111 Ethics & Values Program
1500 Warburton Avenue
2Q01 Santa Clara, CA 95050
(408) 615-2210

CANDIDATE GUIDE

TO BUILDING PUBLIC TRUST

RESOURCES FOR HONEST, FAIR, AND RESPECTFUL CAMPAIGNS

IN THE CITY OF SANTA CLARA

MUNICIPAL ELECTION
NOVEMBER 2, 2010
Thomas E. Shanks, Ph.D.

Santa Clara Ethics & Values Consultant
The Ethics Company
[email protected]
408-529-5318

12677374.2 SA460-029

TABLE OF CONTENTS
A. INTRODUCTION TO THE CANDIDATE GUIDE ............................................................................... 2 B. PROGRAM CALENDAR .................................................................................................... 3 C. HOW DID I BUILD PUBLIC TRUST TODAY? ...................................................................... 4 D. BUILDING PUBLIC TRUST IN SANTA CLARA ..................................................................... 5 E. THE URGENT NEED TO FOSTER PUBLIC TRUST IN 2010 ................................................... 6 F. TRUSTWORTHY LEADERSHIP ......................................................................................... 7 G. GOOD GOVERNMENT GUIDING PRINCIPLES ................................................................... 8 H. BIG IDEA: THE HABITS OF TRUSTWORTHY LEADERSHIP ............................................... 9 I. CAMPAIGN ETHICS PROMISES ....................................................................................... 9 CODE OF ETHICS & VALUES ......................................................................................................... 10 CODE OF FAIR CAMPAIGN PRACTICES .......................................................................................... 12 J. LEADERSHIP FROM THE TOP: THE COUNCIL OF TRUST ............................................................ 15 K. VOTER CHECKLIST ....................................................................................................... 16 L. TEST YOURSELF: PRACTICAL ETHICS IN SANTA CLARA ................................................... 17 M. A DECISION-MAKING TOOL: POCKET CARD .................................................................... 18 N. ETHICS CONSULTANT ROLE AND CONTACT INFORMATION ............................................. 19 O. CANDIDATE COMMUNICATION AND COMPLAINTS .......................................................... 20 P. VOTE ETHICS PROGRAM ADMINISTRATION ..................................................................... 21 Q. VOTERS AND ACCOUNTABILITY .................................................................................... 22 R. COMPETING FOR SERVICE: WINNING THE RIGHT WAY ................................................... 23 S. ADDITIONAL RESOURCES ............................................................................................. 24

1. BIOGRAPHY OF THOMAS E. SHANKS, PH.D. ............................................................... 25

2. BEHAVIORAL STANDARDS FOR CITY COUNCIL MEMBERS .......................................................... 26 1 12677374.2 SA460-029

A. INTRODUCTION TO THE CANDIDATE GUIDE
Over the next few months, Santa Clara voters will choose a Mayor and two Members to join the City Council as it addresses complex projects, critical policy issues, and at least three significant challenges facing every municipal government today:

1. How can we meet the needs of our residents and businesses, but spend less money?

2. How do we serve the public's best interests when the public itself is unclear or divided about those interests?

3. With public trust in government at its lowest point in 50 years, how do we strengthen good government in this City and build public trust in its leaders?
Wise and sustainable solutions to these issues will require robust public discussion, constructive Council deliberations, and trustworthy leadership. For candidates, the challenge of Campaign 2010 is to give voters the information they need to elect a Coun cil they trust. For voters, the challenge of Campaign 2010 is to elect leaders who will work every day
at their best for all the people of Santa
Clara.

Honorable campaigns are the best guarantee that Campaign 2010 will meet these challenges. Candidates and voters have told us repeatedly over the past ten years that honest, fair, and respectful campaigns are a prerequisite for good government in Santa Clar a. Three City surveys show clearly that ethical campaigns are fundamental to building public trust in the candidate, the Council, and the City. Public trust grows as candidates demonstrate trustworthy leadership from the top, deep regard for what the publi c thinks, promise - keeping, and an active commitment to putting the people and the City first.

Like any political race, honorable campaigns can be hard -fought, passionately argued, and competitive. The fight, however, is about issues; the argument is over the best way to meet public needs; and the competition is between generous and talented neighbo rs in a race to provide public service.

This Candidate Guide to Building Public Trust is a set of important resources and short articles to help Santa Clara candidates conduct honorable campaigns in the best interests of the City. The Guide presents need -to -know information, important dates, useful tools and other material.

Whether this is your first campaign or your fifth, you will find this Guide worth reading, applying, guiding, and challenging you and your campaign to be at your best every day promoting good government and building public trust in Santa Clara.

Candidates will discuss the Guide on August 24 th (see p. 3). For any other questions, contact the City's Ethics Consultant, Dr. Tom Shanks (see p. 19). 2 3

12677374.2 SA460-029

B. PROGRAM CALENDAR
Please plan now to attend these events of central importance to the City's Campaign Ethics and Vote Ethics Programs. All will be held in Council Chambers. Additional details and ground -rules will be sent prior to each event.

1. AUGUST 24, 2010 7:00-9:30 P.M.

CAMPAIGN LEADERSHIP FOR PUBLIC TRUST: STRATEGIES FOR
CONDUCTING AN HONORABLE POLITICAL CAMPAIGN IN 2010
This is the core workshop for all candidates, consultants, and key volunteers, as well as members of the public and media. It is very important that all six candidates attend.

Candidates are invited to bring key volunteers. Participants will discuss campai gn behavior that strengthens or harms public trust, as well as practical strategies for running successful and honorable campaigns. Candidates will be asked to identify specific campaign behaviors to practice and to avoid, review the resident checklist for assessing campaigns, and will discuss effective repudiation of third party attacks. Candidates will be invited to sign the City's Code of Ethics & Values and the State's voluntary Code of Fair Campaign Practices.

2. SEPTEMBER 20, 2010 7:00-9:00 P.M.

CANDIDATES FORUM
By City of Santa Clara policy, a single televised Candidates Forum is allowed to be held in Council Chambers, to be broadcast live on Municipal Cable Channel 15 and re - broadcast four times. The League of Women Voters or another neutral outside organization organizes this Forum. The Forum will be for candidates for City of Santa Clara elected office only.

2. NOVEMBER 1, 2010 7:00-9:00 P.M.

FINAL WORD FORUM
This public, televised Forum focuses on how well candidates fulfilled the promises they made to conduct honest, fair, and respectful campaigns. Dr. Shanks will select topics for discussion with assistance from the League of Women Voters and other neutral t hird parties who neither support nor oppose candidates. Open for discussion are any mailers received in the final week before the election, as well as campaign materials or strategies that raise issues of honesty, fairness and respect from any time during the campaign. No questions are taken at the event, but candidates and citizens are invited to suggest issues and compliments ahead of time.

3. JANUARY 5, 2011 7:00-9:00 P.M.

POST-ELECTION DEBRIEF SESSION
All candidates, residents, Council members, media, and other interested parties are invited to attend this open public debriefing. Having had enough time to gain some perspective on the election, we will discuss behaviors that made us proud, built public trust, and advanced the City's values. We also begin to develop a vision for the next election and the practical strategies to accomplish it. It is important for all candidates to attend this session, regardless of the outcome of the election. 4 12677374.2 SA460-029

C. HOW DID I BUILD PUBLIC TRUST TODAY?
Santa Clara's Ethics & Values Program is a public trust program. Its purpose is to foster the public's confident reliance that their government works at all times, in public and in private, only for the best interests of all the people of Santa Clara. (The italics are the way we define public trust in Santa Clara.) In Santa Clara, building public trust and fostering good government are part of everyone's job description.

WHY IS PUBLIC TRUST SO IMPORTANT?
Ours is a government of the people. The people select representatives to work together for the best interests of all. From a purely practical point of view, voters need to trust their representatives enough to let the elected official do his or her job wit hout constant monitoring.

Public trust is much more than just a practical concern. It is an absolute necessity No public official or government at any level can succeed or survive without public trust. The authority to govern, the Declaration of Independence says, comes from the "consent of the governed." Voters give that authority only to people they trust.

The U.S. Constitution is the document "We the People" wrote containing the detailed rules for how the authority to govern was to be administered. The people trust every government official to operate according to the people's rules. Article 2 of the California Constitution makes this point clearly and specifies what happens when people lose trust in their government:

All political power is inherent in the people. Government is instituted for their protection, security, and benefit, and they have the right to alter or reform it when the public good may require.

Consequently, public trust, like good government and ethical leadership, is not an add -on, an optional extra, or an occasional concern. It must be a central concern for everyone who seeks or holds public office. To ignore public trust, take it for granted, or do anything less than actively build it creates unnecessary risk for the success of your campaign and the government you wish to join. To make public trust a part of every decision and decision -making process during and after the campaign, ask the righ t questions at the right time:
• "How will this action build public trust? Why is it the right thing to do?" Ask yourself (and have close associates ask you) these two questions before you comment about an opponent, publish a flier, finalize your campaign strategy, agree to a volunteer's suggestion, or decide to speak.
• "How did I build public trust today?" can spark a powerful daily reflection on the positive impact of your campaign and your public service. It can also lead to a candidate's own personal assessment of areas for improvement, skills to learn, and other ways to commit to the continuous improvement process the City adopted when it began to implement the
Code of Ethics & Values.
5 12677374.2 SA460-029

D. BUILDING PUBLIC TRUST IN SANTA CLARA
The City of Santa Clara Good Government Survey, conducted over the last three election cycles, found that public trust in Santa Clara rests on six beliefs residents hold about the City, City officials, and candidates. Trust rises or falls to the extent that residents perceive that:

1. City officials follow the law. The law
is the minimum expectation, the
"floor," not the "ceiling." Breaking
the law destroys public trust, but
simply following the law does not
actively promote it.

To earn public trust, City officials must
be able to say more than, "We followed
the law today." Through actions first,
and then words, City officials and
candidates must be able to show that they:
40SUPERB • CITY SERVICES

EXCELLE • IJALITV OF LIFE

HONORABLE

POLITICAL CAMPAIGNS

DEEP REGARD FOR WHAT THE PUBLIC
THINKS
PUBLIC

TRUST IMPECCABLE LEADERSHIP ETHICS

2. have deep regard and respect for the public, especially for what the public thinks and says

3. work tirelessly to create an excellent quality of life in the City

4. deliver consistently superb City services

5. conduct, support, and endorse honorable candidates and political campaigns

6. act with integrity, display impeccable ethics, and show respect to one another and City staff.

If any one of these six fundamentals declines or disappears, public trust tumbles.

Once weakened or destroyed, public trust takes a very long time to grow.

Public trust is the result of positive action, not empty words. It grows when the people have regular experiences of what they judge to be honorable campaigns, good government, and trustworthy leadership. Attempts to manipulate public trust and treat it like public relations "spin" will usually backfire and hurt public trust more. So, the first rule for Santa Clara candidates is "Actively build good government and public trust."
The second rule is, "Communicate your commitment to good government and public trust." If government officials never talk about what they have done to foster public trust, most members of the public will never know. Give the public action -based reasons they should trust you, your Council, your City, and government at large.

One way to do this is to describe the question you asked yourself ("How will this action build public trust?"), why you asked it, how you arrived at the answer, the answer you reached, and the action you took. Another way is to publicly recognize someone in your campaign for the "Good Government" action of the week. 6 12677374.2 SA460-029

Public trust is most at risk during political campaigns. Residents believe campaign conduct has improved over the last three elections. Yet, the majority still believes candidates lie about themselves and about their opponents. Large numbers believe candid ates would do anything to win and will take no action to prevent or stop supporters from unfairly attacking opponents.

E. THE URGENT NEED TO FOSTER PUBLIC TRUST IN 2010
Public trust is even more at
risk in Campaign 2010
because, as the chart shows,
public trust in government at
all levels has now
dropped to its lowest point 50
in 50 years. In April, NPR
reported that just 22% of
American people said that
the government can be
trusted to do the right
thing. By July, according to
the Gallup Poll, the number
had dropped to 11%.
— Trust in government — Satistaction with the state of the nation 75%

•
13E2 19,M 1'398 1994 1998 2002 2006
Mirroring the seismic displeasure of Americans with their government, this past April the national Rasmussen Poll reported that government ethics and corruption had become the most important issue for Americans (84%), more important than the economy (81%) and healthcare (72%).

Most alarming for local
government officials are
recent Gallup poll and Public
Policy Institute of California
data showing that trust in
local government is also
dropping.

Local trust is traditionally very
stable, with just under 70%
having high trust. The chart
shows a drop of 10% in the
last year alone. The economic
crisis is likely to add
momentum to that slide.

PERCENT SAYING YOU CAN TRUST THE GOVERNMENT

TO DO THE RIGHT THING ALL OR MOST OF THE TIME
-Federal -State -- Local 7
67 064
6 50
22 16
2002 2003 2005 2006 2009 2010
The fragile nature of public trust makes it imperative that candidates do no further harm. A strong case can also be made that candidates must do more than the minimum. In addition to avoiding untrustworthy conduct, candidates might take concrete action to rebuild trust in local government. Candidates might consider asking volunteers or the public for suggestions the candidate could implement.

J7 V
7 12677374.2 SA460-029

F. TRUSTWORTHY LEADERSHIP
What residents expect from the City is good government. What they look for in candidates is trustworthy leadership. The Code of Ethics & Values was designed as a practical guide to both.

To develop the Code, the City asked itself: When we are at our best earning the public's trust as City officials, City staff, and candidates, what core values do we practice? How do we treat one another and City residents? _____________________________ After a lengthy public process, the City reached consensus on
its core values: At our best,
we are ethical, professional,
service -oriented, fiscally
responsible, organized,
communicative, collaborative,
and progressive.

The ethical core value provides
the answer to how candidates
and public officials treat one
another and City residents. The
behaviors which foster public
trust are listed in order of
importance in the Trustworthy
Leaders chart.

For each City value, the Code
lists the core character traits
residents expect to see in a
leader who practices that
value.

Residents also expect the
same values and behaviors
from candidates. For example,
first -time candidates may not
have had the opportunity to make Council -level financial decisions, but voters expect all candidates to follow the Campaign Finance Ordinance, file accurate financial reports, and make good decisions about money spent during and after the campaign.

The Behavioral Standards for Council Members (included in the Additional Resources section beginning on p. 26) is another important tool. For each of the Code's values and character traits, a representative list of specific Council behaviors that build public trust in that area are listed, along with specific behaviors to avoid. The lists are not exhaustive, but they give Council members and residents enough examp les to judge areas of strength and areas for further development. Candidates should become fami liar with these behavioral standards.

Tvustworthv Leaders .

Residents said that public trust increases
when City officials:
• Are honest and tell the truth to citizens,
colleagues, and staff;
• Are dependable and do what they say they
will do;
• Make prudent financial decisions, taking into
account both short -term needs and long -term
financial stability;
• Act with integrity, and seek to do the right
thing for the City in public and in private;
• Take responsibility for their actions, even
when it is uncomfortable or unpopular to do
so;
• Make impartial decisions, free of any interests
that might compromise or appear to
compromise their independence of judgment;
• Are accountable, willing to explain actions and to
accept fair consequences when they make
mistakes.
8 12677374.2 SA460-029

G. GOOD GOVERNMENT GUIDING PRINCIPLES
The Code of Ethics & Values takes a core values approach: it names the value, describes important character traits, and identifies representative behaviors.

The Good Government Guiding
Principles take a different approach
and are used for practical decision -
making. These are norms or principles
which prescribe a particular course of
action and provide more specific
guidance for behavior. The Golden
Rule, "Treat others as you want to be
treated," is another useful principle
and is found in most cultures on the
planet.

GOOD GOVERNMENT GUIDING PRINCIPLES
We foster public trust when we:

1. Honor the spirit and the letter of the law.

2. Treat everyone equitably and respectfully.

3. Do the greatest good and the least harm.

4. Impose the lightest burden possible.

5. Fulfill our duties and protect personal rights.

6. Act only in the community's best interests,
guided by the City's Code of Ethics & Values.

City of Santa Clara
At Our Best Every Day For Public Trust
• SE.CL OFUEterrO • 'MAUI PEIVONVELE • 0740k13 •CS.97,CATT. -COLLAa0M1IVE •

These principles build relationships,
protect individuals and communities,
and consider both the end result and the means we used to get there. They are built on law, have stood the test of time, and cut across cultures.

They can be particularly helpful
when the decision is difficult,
when someone will be hurt no
matter what the decision -maker
does, or when decision -makers
need to choose between two good
options.

In the chart to the left (taken
from the City's Pocket Card on p.
18), good government principles
are used as standards to assess
how well the decision promotes
good government.

After making sure the decision is
legal, the decision -maker goes
through the first three bullets in
the process.

The decision -maker then identifies the two most likely courses of action and uses the good government principles to evaluate each one. The sustainable action or policy is the one that satisfies all of the principles: It does more good than harm, treats individuals with dignity an d respect, is fair, treats everyone the same, is best for the community as a whole, and advances the City's Core Values.

When we meet all principles, everyone wins. If the decision must cause harm, we go out of our way to impose the lightest burden possible. Sustainable solutions require imagination, tenacity, and courage by candidates and elected officials.

Good Government Decision -Making Process
Trustworthy leaders follow the law and make decisions after:
• Carefully considering the facts and staff recommendations • Listening carefully to the interests of all stakeholders *. Developing a number of good options for action
• Choosing the option which best meets these standards:
o Positive consequences outweigh negative ones
• An individual's rights are protected and advanced
o. Everyone is treated with dignity and respect
o The action is fair, just, and equitable
o The action is best for the community as a whole
o The action best advances the City's Core Values
• Test 1: If I do this, who wins? Who loses? Why? Should we consider different options? What do others think of our reasoning? Why is this the right thing to do?
• Test 2: Explain your reasoning to someone harmed by it.

Trustworthy leaders take action and learn from each decision. 9 12677374.2 SA460-029

With public trust, good government, and trustworthy leadership as the goals, candidates are invited to "voluntarily endorse, subscribe to, and solemnly pledge" that they will follow the specific practices described in the State's Code of Fair Campaign Practices and the City's Code of Ethics & Values. (These documents can be found on the following pages.)
At the August 24 th workshop, candidates are invited to sign both documents. A candidate who signs these documents:
• Publicly commits to conducting a campaign that meets or exceeds the values and practices described in these Codes
• Invites the public to hold him or her accountable in the ballot box for building public trust by meeting or exceeding the principles and practices in the two Codes Note that the State of California recently expanded Practice 3 of the Code of Fair Campaign Practices. Candidates and their supporters should take steps to prevent negative prejudice of any kind toward individuals or their associates.

H. BIG IDEA: THE HABITS OF TRUSTWORTHY LEADERSHIP
One of the big ideas behind the success of the City's Ethics & Values Program is that trustworthy leadership is a continuous
skills which, over time, can
become habits for trustworthy
leaders. Think of them as four
questions to ask about any
campaign or policy decision:
improvement process, involving four

TRANSLATE CODE VALUES

INTO DAILY ACTIONS

1. Is this consistent with the City's core
values and trustworthy leadership
behaviors?

2. Is my decision consistent with good
government principles? Why is it the
right thing to do?

3. Have I communicated why this is a
trustworthy decision?

4. If I dropped the ball or made a
mistake, what skill do I need to
BEMEt TO EXPLAIN

CLEARLY WHY THE

DECISION FOSTERS TRUST

AND GOOD

GOVERNMENT
MAKE SUSTAINABLE.

DECISIONS USING Goon-

GOVERNMENT

PRINCIPLES,

LEARN NEW SKILLS

AFTER IDENTIFYING

OBSTACLES &

MISALIGNMENTS
learn and what have I done to learn it or to improve it in my campaign? I. CAMPAIGN ETHICS PROMISES

OLD VERSION NEW VERSION
I SHALL NOT USE OR PERMIT I SHALL NOT USE OR PERMIT any appeal to negative prejudice based on a any appeal to negative
prejudice based on race, sex,
religion, national origin,
physical health status, or age.
candidate's actual or perceived race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, age, sexual orientation, sex, including gender identity, or any other characteristic set forth in Section 12940 of the Government Code, or association with another person who has any of the actual or perceived characteristics set forth in Section 12940 of the Government Code.
10 12677374.2 SA460-029

Santa Clara
btal
All-Arnetica City
2001
City of Santa Clara, CA
Code of Ethics & Values
City Council approval April 4, 2000; modified August 21, 2001

PREAMBLE
The proper operation of democratic government requires that decision -makers be independent, impartial, and accountable to the people they serve. The City of Santa Clara has adopted this Code of Ethics and Values to promote and maintain the highest standards of personal and professional conduct in the City's government. All elected and appointed officials, City employees, volunteers, and others who participate in the city's government are required to subscribe to this Code, understand how it applies to their specific responsibilities, and practice its eight core values in their work. Because we seek public confidence in the City's service s and public trust of its decision -makers, our decisions and our work must meet the most demanding ethical standards and demonstrate the highest levels of achievement in following this code.

1. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE ETHICAL.

In practice, this value looks like:
a. I am trustworthy, acting with the utmost integrity and moral courage. b. I am truthful, do what I say I will do, and am dependable. c. I make impartial decisions, free of bribes, unlawful gifts, narrow political interests, and financial and other personal interests that impair my independence of judgment or action. d. I am fair, distributing benefits and burdens according to consistent and equitable criteria. e. I extend equal opportunities and due process to all parties in matters under consideration. If I engage in unilateral meetings and discussions, I do so without making voting decisions. f. I show respect for persons, confidences, and information designated as "confidential." g. I use my title(s) only when conducting official City business, for information purposes, or as an indication of background and expertise, carefully considering whether I am exceeding or appearing to exceed my authority.

2. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE PROFESSIONAL. In practice, this value looks like:
a. I apply my knowledge and expertise to my assigned activities and to the interpersonal relationships that are part of my job in a consistent, confident, competent, and productive manner.
b. I approach my job and work -related relationships with a positive attitude. c. I keep my professional knowledge and skills current and growing.

3. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE SERVICE - ORIENTED. In practice, this value looks like:
a. I provide friendly, receptive, courteous service to everyone. b. I am attuned to, and care about, the needs and issues of citizens, public officials, and city workers.
c. In my interactions with constituents, I am interested, engaged, and responsive. 11 12677374.2 SA460-029

4. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE FISCALLY RESPONSIBLE. In practice, this value looks like:
a. I make decisions after prudent consideration of their financial impact, taking into account the long- term financial needs of the City, especially its financial stability. b. I demonstrate concern for the proper use of City assets (e.g., personnel, time, property, equipment, funds) and follow established procedures.
c. I make good financial decisions that seek to preserve programs and services for City residents.

5. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE ORGANIZED. In practice, this value looks like:
a. I act in an efficient manner, making decisions and recommendations based upon research and facts, taking into consideration short and long term goals. b. I follow through in a responsible way, keeping others informed, and responding in a timely fashion.
c. I am respectful of established City processes and guidelines.

6. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE COMMUNICATIVE.

In practice, this value looks like:
a. I convey the City's care for and commitment to its citizens. b. I communicate in various ways that I am approachable, open-minded and willing to participate in dialog.
c. I engage in effective two-way communication, by listening carefully, asking questions, and determining an appropriate response which adds value to conversations.

7. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE COLLABORATIVE.

In practice, this value looks like:
a. I act in a cooperative manner with groups and other individuals, working together in a spirit of tolerance and understanding.
b. I work towards consensus building and gain value from diverse opinions. c. I accomplish the goals and responsibilities of my individual position, while respecting my role as a member of a team.
d. I consider the broader regional and State -wide implications of the City's decisions and issues.

8. AS A REPRESENTATIVE OF THE CITY OF SANTA CLARA, I WILL BE PROGRESSIVE. In practice, this value looks like:
a. I exhibit a proactive, innovative approach to setting goals and conducting the City's business. b. I display a style that maintains consistent standards, but is also sensitive to the need for compromise, "thinking outside the box," and improving existing paradigms when necessary. c. I promote intelligent and thoughtful innovation in order to forward the City's policy agenda and City services.

Signature ________________________________ _ Printed Name _____________________________ Date: ______________________ Date of Election: ________________________________ __________ 12 12677374.2 SA460-029

California Code
Chapter 5: Fair Campaign Practice 1
ELECTIONS CODE 20400-20444
20400. The Legislature declares that the purpose of this chapter is to encourage every candidate for public office in this state to subscribe to the Code of Fair Campaign Practices.

It is the ultimate intent of the Legislature that every candidate for public office in this state who subscribes to the Code of Fair Campaign Practices will follow the basic principles of decency, honesty, and fair play in order that, after vigorously cont ested, but fairly conducted campaigns, the citizens of this state may exercise their constitutional right to vote, free from dishonest and unethical practices which tend to prevent the full and free expression of the will of the voters.

The purpose in creating the Code of Fair Campaign Practices is to give voters guidelines in determining fair play and to encourage candidates to discuss issues instead of untruths or distortions. 20420. As used in this chapter, "Code" means the Code of Fair Campaign Practices. 20440. At the time an individual is issued his or her declaration of candidacy, nomination papers, or any other paper evidencing an intention to be a candidate for public office, the elections official shall give the individual a blank form of the code and a copy of this chapter. The elections official shall inform each candidate for public office that subscription to the code is voluntary.

In the case of a committee making an independent expenditure, as defined in Section 82031 of the Government Code, the Secretary of State shall provide a blank form and a copy of this chapter to the individual filing, in accordance with Title 9 (commencing with Section 81000) of the Government Code, an initial campaign statement on behalf of the committee.

The text of the code shall read, as follows:
1 Retrieved May 24, 2010 from http://www.leginfo.ca.govicgi- binicalawquery?codesection=elec&codebody=&hits=20
13 12677374.2 SA460-029

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 see them, presenting my record and policies with sincerity and frankness, and criticizing without fear or favor the record and policies of my opponents or political parties that merit this 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 a candidate's actual or perceived race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, age, sexual orientatio n, sex, including gender identity, or any other characteristic set forth in Section 12940 of the Government Code, or association with another person who has any of the actual or perceived characteristics set forth in Section 12940 of the Government Code.
(4) I SHALL NOT USE OR PERMIT any dishonest or unethical practice that tends to corrupt or undermine our American system of free elections, or that 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 that resorts, on behalf of my candidacy or in opposition to that of my opponent, to the methods and tactics that 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.

Date Signature
14 12677374.2 SA460-029

20441. The Secretary of State shall print, or cause to be printed, blank forms of the code. The Secretary of State shall supply the forms to the elections officials in quantities and at times requested by the elections officials.
20442. The elections official shall accept, at all times prior to the election, all completed forms that are properly subscribed to by a candidate for public office and shall retain them for public inspection until 30 days after the election.
20443. Every code subscribed to by a candidate for public office pursuant to this chapter is a public record open for public inspection.
20444. In no event shall a candidate for public office be required to subscribe to or endorse the code.

ELECTIONS CODE 20500 -20502
20500. The provisions of Part 2 (commencing with Section 43) of Division 1 of the Civil Code, relating to libel and slander, are fully applicable to any campaign advertising or communication. 20501. (a) A candidate or state measure proponent is liable for any slander or libel committed by a committee that is controlled by that candidate or state measure proponent as defined by Section 82016 of the Government Code if the candidate or state measure proponent willfully and knowingly directs or permits the libel or slander.
(b) A person who is a sponsor of a sponsored committee, as defined by Section 82048.7 of the Government Code, is liable for any slander or libel committed by the sponsored committee if the sponsor willfully and knowingly directs or permits the libel or slander. 20502. (a) In any action for libel or slander brought by a candidate, the willingness or unwillingness of the defendant to retract or correct a communication made in the course of a campaign, and his or her action in doing so, shall be admissible in evidence in t he exemplary damages phase of a bifurcated trial.
(b) The remedy provided by this section is in addition to any other remedy provided by law.

12677374.2 SA460-029

J. LEADERSHIP FROM THE TOP: THE COUNCIL OF TRUST
Leadership from the top is the single most important element in building public trust. So, when the City Council decided ten years ago to focus on campaign ethics, it recognized the importance of the actions and words of sitting City Council members during an election. Every Council since then has promised to follow the guidelines in the document below, whether they were a candidate, supporter, or endorser. At the Council meeting on August 31, the current Council will discuss the document and adapt it, if necessary, for the issues facing the City this election.

A COUNCIL OF TRUST

PRINCIPLES, NORMS, STANDARDS AND BEST PRACTICES
At a Special Meeting on "Managing Change" held on Monday, July 29, 2002, the Council discussed managing change brought about by the implementation of The Code of Ethics and Values. The Council's goal was to draft a set of norms to guide those running for elected office. By the end of the session, the Council had described "running for office and living our values" as looking like:

1. Following These Guiding Principles
• Look at the law and also at "the right thing to do."
• Hold yourself and each other to the higher standard.
• Honor the common good. Represent community.
• Separate role as Council Member from role as candidate. Honor your role as a Council Member. Act as a member of the Council Team.
• Assume all are here for service of city.
• Think strategically. Educate.
• Communicate consistently that ethics is upfront in this campaign.

2. Using These Specific Norms and Standards
• Don't jump to conclusions.

Avoid finger- pointing.
• Stick to the issues.
• Tell the truth. Don't mislead.
• Rely on facts and interpret them as fairly as you can. • Avoid impression of representing city, overstating our contributions. • Don't assume you know someone else's motive. Attribute positive motive of service to community. • Treat others with respect. Golden Rule ("Treat others as you would want to be treated." Alternately: "What you do not wish done to yourself, do not do to others.") • Respect the process.
• Respect City resources.

3. Adopting These Best Practices:
• Wait. Get Facts.
• Talk to each other. Go directly to the other person. Discuss. • Arrive at ground-rules with your opponents beforehand, if at all possible. • Communicate your ethics clearly ahead of time to your staff and workers. • Make clear to all your supporters how you are running your campaign and what you will do if anyone distorts that or attacks an opponent in an unethical manner. • Appoint and empower a staff conscience to help when time is short and stressed. • Ask the ethics questions by habit: Use the decision-making tool, and especially ask: How does this decision advance the City's values in best practice? What ethics reasons make this the right thing to do?
• Use ethics language to explain your decisions.
• Have something written stand 'the test of time."
• Maintain a sense of humor. Take the responsibility of the office seriously — don't take yourself too seriously.

Be able to look at yourself in the mirror at the end of the day...and set a high standard for what you want to see.

The Council agreed that these practices would create behavior that they and others would trust, thus the "Council of Trust".

Approved by Council August 20 2004 (revised during April 27 2004 Council Workshop) 15

16 12677374.2 SA460-029

K. VOTER CHECKLIST
Vote Ethics, the City's information outreach program to residents, summarizes these promises as a checklist, seen below in the 2008 flyer. This year's flyer may be different, but the checklist will be very close to the one below.

Make ethics part of your
candidate selection criteria
City of Santa Clara Code of Ethics & Values
Ethical
Professional
Service-Oriented
Fiscally Responsible
Organized
Communicative
Collaborative
Progressive
Voter Checklist For Evaluating Candidates
As best as you can tell, have the candidates you are favoring ... g Told the truth about themselves?
g Focused on issues relevant for Santa Clara?
g Told truths about opponents that were important for voters to know? g Pointed out differences between themselves and opponents that are relevant to the political office?
M Treated opponents with dignity and respect?
M Fought fairly and avoided demeaning or irrelevant personal attacks? M Never tried to confuse or mislead voters?
M Clearly identified who was behind any committee that is candidate —controlled? Eh Took responsibility for any mistakes they made or mistakes made by volunteers or consultants?
Li Criticized unfair, dishonest or disrespectful attacks by committees not controlled by the candidate?
g Kept their Vote Ethics promises?
Ethics in government begins at the ballot box

---- ~
17 12677374.2 SA460-029

L. TEST YOURSELF: PRACTICAL ETHICS IN SANTA CLARA
The page below was used in an early campaign ethics workshop. Use it now to test your understanding. It takes an earlier version of the State's Code (in the left column), identifies core values behind the specific practice (middle column), and asks whether the campaign practice (right column) is consistent with the promise and the value. In other words, if I pledge X, because the City values Y, is campaign practice Z appropriate? Test your understanding.

PRACTICAL CAMPAIGN ETHICS IN SANTA CLARA
If I pledge that ... because our
community values
then is this behavior appropriate?

1.1 shall conduct my campaign openly
and publicly, discussing the issues as I
see them, presenting my record and
policies with sincerity and frankness,
and criticizing the record and policies
of my opponent or political parties
which merit such criticism,
* integrity
• truth
• moral courage
• professionalism
—avoiding tough issues and instead focusing
on personalities and innuendo
—sending out a "hit piece" that distorts my
opponent's record, educational background.
and positions on issues
—liming this "distortion piece" so it arrives
when it's too late for opponent's response

2. 1 shall not use or permit the use of
character defamation, whispering
campaigns or scurrilous attacks on
any candidate or his or her personal
or family life.
• ethics
• respect
• fairness
• compassion
—reveal that my opponent is a recovering
alcoholic
—exploit the criminal record of my
opponent's child
—instruct any aide to give the press the name
and phone number of a person who claims to
have had an affair with my opponent

3.1 shall not use or permit any appeal to
negative prejudice based upon race,
sex, religion, national origin, physical
health status, or age.
• tolerance
• diversity
• fairness
• respect
—portray my opponent as too old to be
an ' effective leader
—make the claim that because of my
religious beliefs tam better able to respect
certain community values
—question the person's patriotism simply
because they were not born in this country

4. 1 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.
• fairness
. integrity
• participation
• justice
• honesty
• service -
orientation
—use my current public position as an early
campaign soapbox, altering my previous
behavior, paying attention to current matters
only if they advance any campaign_ —
encourage the misuse of the absentee ballot
—publish erroneous poll data that skews the
public's perception
—support third-party mailers which give the
impression that you have been endorsed by
parties, people, politicians when you haven't
been.

5. I shall not coerce election help or
campaign contributions for myself
or any other candidate from my
employees.
• respect
• freedom
—promise future perks to groups who help
organize and facilitate campaign appearances

6.1 shall immediately and publicly
repudiate support deriving from any
individual or group which resorts, on
behalf on my candidacy, or in
opposition to that of my opponent, to
the methods and tactics which 1
condemn. I shall accept responsibility
to take firm action against any who
violates any provision of this code or
the laws governing elections
• integrity
• accountability
• role modeling
—a third party group who supports you
because of one issue on which you see 6'e to
eye, distribute false information about your
opponent. When asked about it by the press,
you say "no comment."
—a supporter of yours organizes a "beer
bus" to bring students to the pulls; your name
is featuted prominently on the bus

7. I shall defend and uphold the right of
every qualified American voter to full
and equal participation in the electoral
process
• participation
• justice
—on the day before the election your staff
plants a rumor that people in a certain
neighborhood supporting your opponent
have had their polling location changed
leadin r to confusion and fewer votes.
18 12677374.2 SA460-029

M. A DECISION -MAKING TOOL: POCKET CARD
Another useful tool is the Fostering Public Trust pocket card. It has been distributed to the City Council, Commissioners, City staff, and others involved in City government. While it may seem a bit large to be a true "pocket card," it was designed to be folded in half. One side focuses on good government decision -making and the other on the City's core values. The two questions at the top of the page are especially recommended to evaluate the ethics of your campaign decisions.

ASK THESE TWO QUESTIONS BEFORE YOU MAKE YOUR FINAL DECISION:

1. HOW WILL MY ACTION BUILD PUBLIC TRUST?

2. WHY IS THIS THE RIGHT THING TO DO?
2: VALUES
gi,
1g
ff,
E
u in e f,
..
..,,
ti
O g
e.

PROFESSIONAL
I apply my knowledge and ex-
pertise to my assigned activi-
ties and to the interpersonal
relationships that are part of
my job in a consistent, confi-
dent, competent, and produc-
five manner.- I approach my
job and work-related relation-
ships with a positive attitude.•
I keep my professional
knowledge and skills current
and growing.

SERVICE-ORIENTED
I provide friendly,
receptive, courteous
service to everyone.. I
am attuned to, and care
about, the needs and
issues of citizens, public
officials, and city work-
ers.• In my interactions
with constituents, I am
interested, engaged, and
responsive..

ORGANIZED
I act in an efficient manner,
making decisions and recom-
mendations based upon re-
search and facts, taking into
consideration short and long
term goals.. I follow through in
a responsible way, keeping
others informed, and respond-
ing in a timely fashion.• I am
respectful of established City
processes and guidelines.•

FISCALLY RESPONSIBLE
I make decisions after prudent con-
sideration of their financial impact,
taking into account the long-term
financial needs of the City, especial-
ly its financial stability.. I demon-
strate concern for the proper use of
City assets (e.g., personnel, time,
property, equipment, funds) and
follow established procedures.. I
make good financial decisions that
seek to preserve programs and ser-
vices for City residents.

BUILD TRUST AND
MUTUAL RESPECT.

COLLABORATIVE: I act in a cooperative manner with groups and other individuals, working together in a spirit of tolerance and understanding.. I work towards consensus- building and gain val- ue from diverse opinions. •I accomplish the goals and responsibil- ities of my individual position, while respecting my role as a member of a team.. I consider the broader regional and State- wide implications of the City's decisions and issues.

COMMUNICATIVE:I convey the City's care for and commit-ment to its citizens.• I communicate in various ways that I am approachable, open-minded and willing to participate in dia-log..

I engage in effective two -way communication, by listen- ing carefully, asking questions, and determining an appropri -ate response which adds value to conversations.

BE AT
OUR
PROGRESSIVE: I exhibit a proactive, innovative approach to setting goals and conducting the City's business.• I display a style that maintains consistent standards, but is also sensitive to the need for compromise, "thinking outside the box," and improving existing paradigms when necessary.• I promote intelligent and thoughtful innovation in order to forward the City's policy agenda and City services.

Developec by Thomas E. Slan.:5, P-.D.. Trw Ethics CornDa-ly of San losC CA. Email: lesnauseko-.- cast.iet
FOSTERING PUBLIC TRUST: A PRACTICAL GUIDE TO GOOD GOVERNMENT 1: ETHICS City of Santa Clara, CA
The City's Code of Ethics & Values, the Behavioral Standards documents, and the Good Government Decision process
describe the core practices and key behaviors of trustworthy leaders. They ask everyone involved in City government to:
• become a role model for the City's eight core values
• act at our best and only in the best interests of all who live or work in the City
• carefully consider the impact of our actions on public trust.

Good Government Decision -Making Process
Trustworthy leaders follow the law and make decisions after:
• Carefully considering the facts and staff recommendations • Listening carefully to the interests of all stakeholders • Developing a number of good options for action
• Choosing the option which best meets these standards:
o Positive consequences outweigh negative ones
o An individual's rights are protected and advanced
o Everyone is treated with dignity and respect
o The action is fair, just, and equitable
o The action is best for the community as a whole
o The action best advances the City's Core Values
• Test 1: If I do this, who wins? Who loses? Why? Should we consider different options? What do others think of our reasoning? Why is this the right thing to do?
• Test 2: Explain your reasoning to someone harmed by it.

Trustworthy leaders take action and learn from each decision.

Public trust rests on the public's perception
that their leaders:

1. Listen carefully

2. Practice impeccable ethics

3. Campaign honorably

4. Provide superb services

5. Maintain excellent quahty of life.

AS A REPRESENTATIVE OF SANTA CLARA, I WILL BE:
t ETHICAL: I am trustworthy, acting with the utmost integrity and moral courage.• I am truthful, do what I say I will do, and am ,.. dependable • I make impartial decisions, free of bribes, unlawful gifts, narrow political interests, and financial and other personal 1:

interests that impair my independence of judgment or action. • I am fair, distributing benefits and burdens according to consistent i'i. and equitable criteria.. I extend equal opportunities and due process to all parties in matters under consideration. If I engage in a L... unilateral meetings and discussions, I do so without making voting decisions. - I show respect for persons, confidences, and lc,
.
information designated as "confidential." • I use my title(s) only when conducting official City business, for information purposes, or as an indication of background and expertise, carefully considering whether I am exceeding or appearing to exceed my authority.• I
I
19 12677374.2 SA460-029

N. ETHICS CONSULTANT ROLE AND CONTACT INFORMATION
Candidates are responsible for the ethics of their campaigns, the content of flyers and other campaign materials, and any follow -up action to complaints.

Dr. Shanks is a resource for all candidates, as described in the list below, approved by the Council prior to the last election. He facilitates communication between candidates and can help candidates think through the ethical implications of decisions
they are
about to
make.

The Role of the Ethics Consultant During City Election Campaigns Approved by City Council on April 15, 2008
A. The Ethics Consultant will:

1. facilitate the August workshop for candidates for elective office, their consultants and volunteers. Media and the public are also invited to this workshop

2. facilitate the Final Word Forum the night before the election

3. facilitate the January post-election review for all candidates, their consultants, and others involved in the campaign. This review recognizes candidates and campaigns which build public trust, discusses the successes of the Vote Ethics citizen outreach, suggests Ethics Program goals for future campaigns, and discusses practical ways to continue to build public trust during future campaigns. Media and the public are also invited to this review

4. be available in the week following the August workshop to meet with candidates in specific races. This is a voluntary meeting to open lines of communication between candidates and to explore ground-rules and other methods to resolve communication issues during the campaign. The consultant would speak publically about the meeting only to correct any misrepresentation of the meeting __

5. during the campaign, be available to facilitate communication, problem solving, and any issues with ground-rules candidates have agreed upon

Candidates make any final decision about remedying honest mistakes, raising ethics issues during campaign debates, or suggesting unresolved ethics issues for potential discussion at the Final Word Forum

9. send written suggestions on the ethics of candidate forums to all organizations sponsoring such forums and offer to meet in person to discuss ethics issues involved in structuring such a forum.

10. serve as resource to the City Manager, Deputy City Manager and the City Clerk (as Elections Officer)
Voicemail and email are available for messages. Email is [email protected] .

He will not
look at
campaign
materials prior
to publication.

Candidates are
welcome to
discuss
concerns they
have prior to
publication.

Please be
sure to add
Dr. Shanks
to campaign
mailing lists.

His address is
6241 Ginashell
Circle, San
Jose, CA
95119.

If you need to
reach him,
please call
between 8 am
and 10 pm
daily on his
cell phone at
408-529-5318
or his home
phone 408-
300-1603.
-
I
20 12677374.2 SA460-029

0. CANDIDATE COMMUNICATION AND COMPLAINTS
Candidates sometimes ask whether conducting a campaign that fosters public trust means that the candidates or campaign must be "nice." They also ask whether they can be critical or "negative" about an opponent.

An honorable campaign does not have to be nice. It can be critical or negative about an opponent's record, policy position, or plan. The only requirement is that the candidate is truthful, accurate, fair, and respectful of the opponent as a neighbor and fe llow volunteer for public service. As it says in the State's Code of Fair Campaign Practices, candidates may criticize the opponent's record. What they may not do is fabricate or distort the record.

If a candidate believes his or her record has been distorted by an opponent, the best advice is to make direct contact with the opponent. Much damage is done by hearsay, rumors, or taking it on faith from a volunteer who tells you Candidate X said this or that about you. Most hearsay is not accurate. As it says in The Council of Trust, get the facts before you jump to conclusions and take action that may damage public trust. Be especially cautious before labeling an opponent or a campaign as "unethical." Sp urious ethics charges during a campaign almost always create a no -win situation for everyone involved.

On occasion, a candidate may get the facts and believe he or she has been unfairly characterized or their record distorted. If possible, raise this issue with your opponent. If that is not appropriate, candidates may make a written (email) complaint to the Consultant about something an opponent has said or published and which raises questions of honesty, fairness, respect, or public trust. A copy of the original flyer or other piece should be included, if possible.

In such situations,
the Consultant tries
to initiate direct
communication
between candidates
through email,
phone, or a facilitated conversation. If direct communication between candidates is not possible, the Consultant follows up with both parties to be sure that facts are clear, to clarify statements which are not factually true and where documentation is ava ilable. It is the candidate's decision to take action, if any, in response to a complaint. If the candidate takes no action, the person aggrieved may make a political issue of it and may submit the issue for potential discussion at the Final Word Forum.

Please do not use this complaint process or the Consultant as part of your political strategy. The Consultant is there to assist in communication and conflict resolution. He will not get involved in political efforts to harass an opponent, in campaign stra tegies, or in legitimate criticisms of each other's records, policies, or qualifications.

B. The Ethics Consultant will not:

1. review flyers, mailers, or other campaign materials prior to their public distribution

2. advise candidates on general campaign strategies and tactics

3. become involved in ethics complaints which appear to be primarily political, part of campaign strategy, or which involve legitimate interpretations candidates may make of each others' records, policies, or qualifications
21 12677374.2 SA460-029
P. VOTE ETHICS PROGRAM ADMINISTRATION
This year, for the third consecutive
election, the City will continue its
Vote Ethics information outreach
program for residents. Program
goals are listed in the box.

Deputy City Manager Carol McCarthy
and City Clerk/City Auditor Rod
Diridon, Jr. are co -directors of the
Ethics & Values Program, delegated
by City Manager Jennifer Sparacino.

The City Clerk is also the City's
Elections Officer. His duties are
described in material distributed to
candidates from his office.
2010 VOTE ETHICS GOALS
• Increase the public's trust in municipal government
by encouraging honorable campaigns, ethical
leadership, and candidate accountability
• Educate and encourage candidates on how to
run an honest and fair campaign which respects
fellow candidates, the public and the office they
seek
• Educate and encourage voters to consider ethics
and values in evaluating candidate qualifications
• Increase community awareness of Santa Clara's
overall Ethics Program
The Deputy City Manager develops
the Communication Plan and
materials, oversees the contract
with Dr. Shanks, receives any
resident complaints, and handles
many other staff responsibilities.

The City Clerk makes presentations
to community groups about the Vote
Ethics Program, encourages voters
to register to vote, and is a member of the
• Raise candidate awareness of ethical issues and
provide ethical decision -making skills which are
transferable to work on the City Council
• Obtain additional regional, state and/or national
recognition of the City of Santa Clara for its
commitment to the Vote Ethics program and its
creative approach to improving the program
(considering budget constraints)
Program Planning Team with the Deputy
City Manager and the Ethics Consultant. Senior Staff Aide Jashma Kadam is another key member of the team and works closely with the two Co -Directors and Dr. Shanks.

The Ethics & Values Program is a non -partisan, non -political educational program.

Neither the Program nor any staff connected with the Program is involved with the City's politics.

The City Manager works closely with the Council Ethics Committee, which makes recommendations for Council action about the Ethics & Values Program. During the election, the City Manager and Deputy City Manager are careful to avoid even the appearance of po litical involvement and will not attend workshops.

The City Clerk is an elected position; the Clerk will attend workshops in this role, and is careful to avoid conflicts of interest and maintain the impartiality of his office. 22 12677374.2 SA460-029

Q. VOTERS AND ACCOUNTABILITY
The City's Code of Ethics & Values is a positive document, describing how City officials and candidates already act when they are at their best. The Code commits everyone involved with City government to a continuous improvement process and to a shared aspiration to be at our best every day in fostering public trust.

Vote Ethics gives voters the tools they need to judge who is and who is not fulfilling the City's shared aspiration. It does not tell voters whom to vote for or against.

Rather, it encourages voters to let candidates know that they will vote only for those candidates who earn their trust during the campaign.

From a positive perspective, accountability is the process whereby candidates are responsible for their decisions and actions, submit themselves to appropriate external scrutiny, and provide evidence of promise- keeping, rather being punished for promise -breaking. In effect, accountability is the obligation and opportunity to answer for a responsibility conferred, freely accepted, and fulfilled.

In other words, residents are encouraged to pay attention to the promises candidates make when they sign the City
Code and the State Code and to make
ethical campaigning a prerequisite for one's vote. Vote Ethics is about recognizing campaigns for doing everything they can to foster public trust, especially at a time when trust in government is so fragile.

Vote Ethics also provides critical thinking tools to help residents evaluate candidates and their campaigns. Residents receive this information in a four -page Vote Ethics Guide in the City's newspaper, Inside Santa Clara. They receive the checklist for evaluating candidates in the utility bill and another message through a mailed piece.

In addition, letters are sent to churches and community groups in Santa Clara alerting them to the Program. The Ethics Consultant and the Elections Officer speak to groups throughout the community. This year,
Vote Ethics will also distribute information at the
City's Farmer's Market throughout October.

The 2008 Survey showed that the City's website was the single most important information source for local news during the election. So, extensive use will be made of the City's website, along with Cable Channel 15, as information resources for residents.

As in the last election, two sites will provide additional information on ethics and public trust: http://www.santaclaracampaigndollars.org and http://www.voteethics.org .
23 12677374.2 SA460-029
R. COMPETING FOR SERVICE: WINNING THE RIGHT WAY
When researchers ask candidates "What is the
purpose of a campaign?" the answer is "To win."
When voters are asked, the answer is "To have
enough good information so that I can make my
best voting decision." For this Guide, the
purpose of the 2010 campaign is for all
candidates to win the right way. That means
that a candidate conducts a campaign that gives
voters truthful information, fairly represents
their record and that of their opponents, points
out relevant differences and strengths, and
demonstrates to voters why this candidate
deserves to win this competition for service as
Mayor or City Council Member.

Winning the right way means communicating
early, often, and consistently to your volunteers
and supporters what kind of a campaign you will
conduct, how they can assist you in conducting
an honorable campaign, and what you will do to
repudiate anyone who conducts an unfair,
dishonest, or disrespectful campaign on your
behalf or against an opponent.

The most difficult challenge for you and the
City's program often comes from groups who are
not part of your campaign and with whom, by
law, you can have no contact or coordination.

The ad from the
San Jose Mercury News
illustrates the problem. How do you repudiate an
anonymous third party who has launched an
unfair attack on an opponent in the last few days
of the campaign? Voters will often hold your
campaign responsible, even though you knew
nothing about it.
$ 5,000
REWARD
TO: Residents in support of good government
FROM: The Son Jose Silicon Valley Chamber of Commerce
SUBJECT: $5,000 REWARD
Opponents of Son Jose City Council candidate Magdelano
Carrosco are sending unauthorized mailings to residents of District 5. The first mailer implied, among other things, that Ms. Carrasco supports communism. This was a blatant attempt to mislead voters, and on illegal misrepresentation of her campaign platform.

The San Jose Silicon Valley Chamber of Commerce, the San Jose Mercury News and community leaders including the Jobs First Coalition have joined together to condemn the
unauthorized mailing as criminal, and ore standing together to demand that action be tok en.

We are offering a $5,000 reword for information leading to the identification and conviction of those responsible for the production and distribution of these illegal flyers.

Anyone with information about this serious crime con report it without giving their name. Tips resulting in the conviction of those responsible will receive a $5,000 cash reward. Please call Crime Stoppers at f4081 947-7867.

Vigorous debate during campaigning is to be expected, but political terrorism cannot be tolerated. Good government starts with honest campaigning. We encourage you to join us in putting on end to these dishonest and deceitful tactics.

)callartaglie. tos
r: kevespAper
MerearylInn Cu,

CHAMBER OF

COMMERCE
.7665 Firs&
Coalition

We will discuss new approaches to the dilemma of the third party attack when we meet on August 24 th , but an early message to your network is important. Ask them to help you foster public trust in Santa Clara. Tell them you are not running a crush the competition campaign and they will not help you if they do so, either in support of you or in opposition to someone else.

Let these groups know early and clearly how they can help your campaign build public trust. Be equally clear about the actions you will take and the damage to your long- term relationship with them if they harm public trust by an attack that raises questions of honesty, fairness, or respect.
24 12677374.2 SA460-029

Let them know that in the City of Santa Clara residents focus on campaign ethics issues. Residents expect candidates to be credible role models for trustworthy leadership, and that includes taking responsibility for volunteers and supporters. Let your supp orters know that public trust is at greater risk than ever in this continuing recession and that you plan not only to avoid unfair and dishonest attacks, but you have set the bar much higher for yourself and for them: to run a campaign that actively promot es public trust.

Then send out your most persuasive supporters to let the third parties know that you meant what you said. Ask them to communicate that you really don't want an overzealous supporter to put you in the uncomfortable position of having to explain to the peopl e of Santa Clara that you really didn't know anything about an unfair negative attack.

Let everyone involved in your campaign know that you are going to win the right way.

Review with them how you plan to address critical choices during the campaign, why you are making that choice, and help them to do the same:
"Compete in a selfish struggle for power" or "Compete honorably for public service." "Do whatever it takes to win" or "Do the right thing to win the right way." "Practice politics -as -usual" or "Practice trustworthy leadership." "Give voters another experience of 'the dirty business of politics" or "Earn public trust for yourself, the City, and the Council on which you will serve." S. ADDITIONAL RESOURCES
Like the Code of Ethics & Values, this Guide is a living document. The following pages are reserved for additional resources and new pages as they are developed.

As of August 17, 2010 these resources include:
• Biography of Thomas E. Shanks, Ph.D.
• Behavioral Standards for City Council Members

12677374.2 SA460-029

Biography of Thomas E. Shanks, Ph.D.

Thomas Shanks, Ph.D., is an ethics, values, and organizational development consultant, facilitator, and speaker who resides in San Jose, California. Since 2006, he has been President of The Ethics Company, which he founded in 1992 as Thomas Shanks Consulting. From 1982 to 2007, he was a full -time member of the faculty at Santa Clara University where he served as Assistant Professor of Communication (1982 -1988), Associate Professor of Communication (1988 -2007), founder and first Chair (1985- 1991) of the undergraduate Department of Communication, and Senio r Associate Dean of the College of Arts and Sciences (1990 -1995). At the University, Shanks taught undergraduate courses in communication ethics, new technologies, public policy, survey research, journalism, television production, and graduate courses in Engineering Ethics.

From 1985-2002 he was also associated with the University's Markkula Center for Applied Ethics. A founding member of the Center's Steering Committee (1985-1992), Shanks served as the Center's second Executive Director (1992-1999), and then as Director of Business and Public Policy Programs (1999-2000), and Senior Fellow in Business Ethics and Public Policy (2000-2002). He was a Senior Scholar with the Washington, D.C., Ethics Resource Center (1999-2002) and has been an expert witness in two legal cases involving ethics.

In 1999, the San Jose Mercury News recognized his ethics work by naming him as one of the Millennium 100, approximately 100 people over the last century who have "made Silicon Valley what it is today" and wrote, "As Executive Director from 1992-1999, Shanks elevated the (Ethics) Center into the region's standard bearer for teaching the value of ethical conduct — not only in high technology, but also in the health industry, government, banking, public service and other disciplines" (S.J. Mercury News, December 19, 1999.) Since 1998, Shanks has been ethics consultant to the City of Santa Clara (CA) for a unique non -partisan, nonpolitical educational program in ethical decision -making and values -based management for local government officials, City staff, and candidates for political office. The International City Management Association chose the Santa Clara program as one of its "Best Practices Case Studies" in 2000. In 2002 and then again in 2007, the League of California Cities honored the City's programs in campaign ethics and "Vote Ethics" with the Helen Putnam Award for Excellence. In 2002, the United Nations included Santa Clara's program as one of just two "best practice" programs in campaign ethics world-wide.

From January 2004 to March 2005 he worked with the City of Milpitas (CA) on developing and implementing a Code of Ethics and an accountability process for public officials and candidates. He has also worked extensively with the Santa Clara County Library S ystem, the County's Early Childhood Local Planning Council, and conducted ethics and team -building workshops for the League of California Cities, and the Cities of Sunnyvale, San Carlos, Mountain View, and San Mateo, Leadership Santa Clara, Leadership Los Gatos, and the Counties of Santa Clara, San Mateo, Sonoma, and Santa Barbara. In late 2007, he began on -going work with the Cities of Atascadero and Rancho Palos Verdes on conflict resolution, teambuilding, and public trust.

His corporate clients have included Juniper Networks, the Charles Schwab Corporation, Edwards Lifesciences Inc., the Investment Management Consultants' Association, and the start -up technology company, Propel, whose ethics and values program was featured i n a cover story in SV (Silicon Valley), the Sunday magazine of the San Jose Mercury News ("Value Judgments: Do Well or Do Right?", April 16, 2000, pp. 8 -16.) From 1993 -2002, he advised the Tech Museum of Innovation in San Jose, California, on the integrati on of ethics throughout the museum. In 1995, he established the Applied Ethics Center at O'Connor Hospital and served as the Chair of its Steering Committee until 2002.

Shanks writes regularly about ethics, values, and communication. He authored or co -authored a series of articles and cases (especially Everyday Ethics, Thinking Ethically, Framework for Ethical Decision -Making) for the Markkula Center's Issues in Ethics, which have been distributed widely through the Internet. He is currently writing a book, titled: At Our Best: Local Governments, Ethics, and Public Trust.

From 1967-1999, Shanks was a member of the Society of Jesus, commonly known as the Jesuits, a Roman Catholic group of priests and brothers with a specialty in education. He served as a Jesuit priest from 19771999.

He has a B.A. in Philosophy and Psychology from Saint Louis University (1971), an M.S. in Education from Fordham University in New York City (1975), a Master of Divinity from the Jesuit School of Theology at Berkeley (1977), and a Ph.D. in Communication Theory and Research from Stanford University (1985). 6241 GINASHELL CIRCLE [email protected]
SAN Jos, CA 95119-1236 408-529-5318 25
26 12677374.2 SA460-029

City of Santa Clara

PROGRAM IN ETHICS & VALUES

BEHAVIORAL STANDARDS FOR CITY COUNCIL MEMBERS'

INTRODUCTION
Ten years ago, the City of Santa Clara began its ethics and values program to foster public trust by promoting and maintaining the highest standards of personal and professional conduct. Since the adoption of the Code of Ethics & Values in 2000, the City Council has promised the people of Santa Clara that Council Members, all elected and appointed officia ls, candidates for public office, and City Staff will meet the most demanding ethical standards and demonstrate the highest levels of achievement in practicing eight core values identified in the Code.

This information is presented in four columns. Columns 1 and 2 reproduce the approved Code of Ethics. Columns 3 and 4 list the behavioral standards. 1 This document is based on the Behavioral Standards for Commissioners, Boards, and Other Appointed Officials, developed during 2000-2002, and approved by the City Council in February 2003. A representative committee of Board Members and Commissioners, working with the City's initial Ethics Ordinance Committee, drafted that document. It was then revised based on extensive feedback from all Board Members, Commissioners, and Staff Liaisons. In a working session in April, 2008, the Council used that document to develop the first draft of its own standards. The City's Ethics Consultant, Dr. Tom Shanks, and City Staff drafted the fmal version for City Council review on May 6. 2008.

Approved by City Council on May 20, 2008.
27 12677374.2 SA460-029

City of Santa Clara

PROGRAM IN ETHICS & VALUES

I am trustworthy,
acting with the
utmost integrity
and moral courage
• Voting my honest
conviction, explaining my
ethical reasoning,
respecting the minority,
and upholding the
majority as the decision
of the Council
• Promising my vote before
facts are known in order
to gain favor with a
crony, endorser, lobbyist,
or special interest
• Vigorously debating an
issue, listening carefully
to all sides, making my
best judgment call, even
if it's not popular, and
taking responsibility for
my actions
• Preparing to vote by
assessing how various
options advance or harm
the best interests of the
City as well as the City's
Mission and Core Values,
working to minimize any
harm
• Saying whatever the vocal
public wants to hear,
dodging criticism of an
unpopular vote, shifting
the blame to the majority,
other members, or City
Staff
• Always taking the short -
term view, representing
few stakeholders,
believing ethics and City
values have no bearing on
decisions
• Finding an imaginative
solution that is in the
best interests of the
City, is fair, respects
individual rights and the
Council's duties, and
advances City values
• Saying and doing
whatever it takes, no
holds barred, to advance
one's personal position,
power, influence or
political career
28 12677374.2 SA460-029

29 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Ethical
(continued)
I extend equal
opportunities and
due process to all
parties in matters
under
consideration. If I
engage in unilateral
meetings and
discussions, I do so
without making
voting decisions
• Being available to anyone
who wants to discuss an
issue, keeping an open
mind and not committing
to vote for or against an
item until after hearing
the full public discussion
• Promoting the interests
of the business
community without first
considering the interests
of all stakeholders
• Giving special treatment
to the companies that pay
the most in taxes and to
my largest campaign
donors
I show respect for
persons,
confidences, and
information
designated as
"confidential"
• Referring media
questions on Closed
Session or other
confidential matters
to the City Manager's
Office, rather than
saying "No Comment"
• Telling others about
Closed Session
proceedings, especially
when it is an important
issue and I want input on
how to decide
• Confirming a rumor,
remaining silent,
communicating non -
verbally, or in other ways
providing information that
is confidential or that the
Council Member has
promised not to reveal
• Treating the public and
City Staff, at all times,
the way I treat highly
regarded colleagues in
businesses or
professions
• Acting based on
stereotypes, rumors,
"ancient history,"
and prior negative
experiences with an
individual or groups
• Bringing to the attention
of the City Manager any
concern about the
actions or work of City
Staff, or any complaint
from the public
• Criticizing or
embarrassing the City
Manager or other City
Staff in public
• Failing to publicly
recognize extraordinary
City Staff work

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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Ethical
(continued)
• Showing courtesy and
interest in word and
action to City Staff,
public, and elected and
appointed officials
• Complimenting the work
of a single City Staff
member when a staff
team actually did the
work
• Speaking and acting out
of the belief that City
Staff and all members of
the Council are on the
same team and
committed to doing their
best to serve residents
• Engaging publicly or
privately in personal
verbal attacks against
Council colleagues or City
Staff; interrupting while
they are speaking, rolling
eyes, demeaning them, or
in other ways treating
them inappropriately
Professional I use my title(s) only
when conducting
official City
business, for
information
purposes, or as an
indication of
background and
expertise, carefully
considering whether
i am exceeding or
appearing to exceed
my authority
• Using City titles for
identification at
League meetings or
when on other official
City business, or when
seeking information
directly related to a
Council matter from
appropriate sources
• Using a City title when
making dinner
reservations or making
purchases
• Referring friends to City
businesses and suggesting
they mention the name of
a Council Member to get
the best prices
I apply my know -
ledge and expertise
to my assigned
activities and to the
interpersonal
relationships that
are part of my job in
a consistent,
confident,
competent, and
productive manner
• Preparing by reading the
agenda packet before
meetings
• Asking the City Manager
informational questions
ahead of time to assist in
being prepared
• Arriving on -time to
meetings, paying
attention and listening
actively
• Rushing into meetings
late and being obvious
about opening the
agenda packet for the
first time or speed -
reading the packet
while City Staff or the
public are presenting
information

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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Professional
(continued)
• Asking questions that will
advance the discussion,
contribute to decision -
making, and have not
been covered in the
agenda packet
• Taking no notes,
remembering little, if
any, of the information
in the agenda packet,
asking to have
information repeated
constantly
• Listening attentively to
the public, City Staff,
and other Council
members who may
speak at meetings
• Making little or no eye
contact with any speaker
during the meeting
• Leaving during public
comment and returning
only after it is over
• Making comments to
someone else while the
public is speaking
I approach my job
and work -related
relationships with a
positive attitude
• Approaching Council
work informed of issues,
enthusiastic, energized,
interested, ready to
participate, and focused
• Approaching Council work
half -heartedly, coming to
meetings eager to leave
• Short -circuiting a
discussion; being
perceived as rude by
other Council Members,
City Staff, or the public
• Making guests feel
welcomed at meetings
• Treating new Council
Members as colleagues,
encouraging them to
express their opinions,
and offering them
positive feedback
• Acting in a superior
manner with newly
elected Council members
• Never making time to be
responsive to residents
who want to discuss
issues
I keep professional
knowledge and
skills current and
growing
• Making it a priority to
attend League meetings,
Electric Joint Powers
Agency meetings, and
committees
• Assuming there is nothing
new to learn
• Going to League meetings
and conferences to be
seen, but never attending
any training

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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Professional
(continued)
• Reading background
materials for general
preparation including
professional journals,
books, and articles
• Skipping meetings with
the City Manager,
assuming you know as
much, if not more, than
she does on this issue
Service-Oriented I provide friendly,
receptive,
courteous service
to everyone
• Not just answering
questions, but sharing
helpful knowledge of
Council or government
functions, even if the
person asking isn't sure
what they need to know
• Acting like it's a bother
anytime a resident asks a
question or when they
make inquiries about
Council/government
business
• Seeking the opinions of
those who are hesitant
or unwilling to come
forward with their ideas,
but trying not to force
anyone to speak in a
public forum if they are
uncomfortable or
unprepared
• Making guests or others
feel stupid, intimidated,
dismissed, manipulated,
or demeaned by reading
the newspaper, falling
asleep, laughing at a
private joke with another
Council Member, or
repeatedly leaving the
room during discussions
I am attuned to,
and care about,
the needs and
issues of
residents, public
officials, and city
workers
• Talking with residents
and actively listening at
City gatherings to be
aware of what is going
on in this community and
other communities
• Being arrogant or
uninterested when
responding to residents
outside of City Hall
about their concerns and
debating with them to
prove them wrong or
misinformed
• Attending City events and
interacting effectively
with the public, aware
that others expect
Council Members to be
role -models
• Showing up late to City
events, leaving early, and
spending most of the time
talking only to one or two
friends

33 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 2
City Basic Actions and
Core Value Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Service-Oriented
(continued)
• Relaying things heard or
provided to the Council or
the City Manager or other
appropriate parties for
follow -up
• Withholding important
information to use it for
narrow personal purposes
at a later time
in my interactions
with constituents, l
am interested,
engaged, and
responsive
• Acting in a pleasant and
friendly manner and
encouraging people to
speak their mind;
welcoming constructive
criticism as well as
compliments
• Through word and action,
discouraging people from
proposing what they
believe are solutions or
expressing their concerns
• Focusing on the speaker
and trying to see the
world as they do in order
to understand their needs
• While seeming to be
engaged in one
conversation, scanning the
environment for someone
more interesting or
important to speak with;
abruptly stopping the
previous conversation to
speak with the more
important person
FiscallyResponsible i make decisions
after prudent
consideration of
their financial
impact, taking into
account the long -
term financial
needs of the City,
especially its
financial stability
• Before deciding how to
vote, reviewing
cost/benefit analysis and
all related studies, along
with City Staff
recommendations
• Allowing other Council
members who have more
expertise in budgeting to
take the lead in budget
discussions, trusting that
they know better, and
never improving personal
expertise
• Consider the City's short
and long term financial
condition prior to
proposing new or
expanded City projects
• Ignoring the constraints
of the City budget when
making decisions
• Citing "budget
constraints" as the reason
for not supporting a
motion, when the real
reason is how it will look
in the next election
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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Fiscally Responsible
(continued)
I demonstrate
concern for the
proper use of City
assets (e.g.,
personnel, time,
property,
equipment, funds)
and follow
established
procedures
• Allocating resources
according to the City's
plan and in compliance
with the law and the
City's goals to provide
residents with a better
environment in which to
live
• Taking advantage of any
opportunity to get
something "free" from
the City
• Seeking discounts from
the City's vendors solely
because of my position
• Using City equipment
only for Council work,
not for personal use or
for my business
• Coming to City Hall
regularly and asking City
Staff to make just a few
copies for personal use
• Respecting City Staff
time and being especially
careful to ask the City
Manager to take on
special research or other
projects only if
convinced that this work
is critical and necessary
for the Council to better
serve the needs of
residents
• Asking a lot of questions
that focus on non
substantive details, being
unable to separate what's
important from what's not
• Representing the public's
interests to the best of my
ability
• Balancing long -term
impacts and short -term
goals
• Acting as if I "own" the
City or my seat on the
Council
I make good financial
decisions that seek
to preserve programs
and services for City
residents
• Being fully aware of
and understanding the
approved City budget,
having solicited
explanations from the
City Manager, if
necessary
• Taking as many trips as
possible at the City's
expense because of a
personal feeling that the
compensation is not
sufficient and some
reward for City work is
deserved
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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Organized i act in an efficient
manner, making
decisions and
recommendations
based upon research
and facts, taking into
consideration short
and long -term goals
• Being cognizant of the
importance of scarce
meeting time and
preparing accordingly,
with the result that the
Council spends time on
the important issues and
deals efficiently with
other issues
• Relying solely on prior
knowledge and spending a
great deal of the
Council's time proving to
everyone how much I
know on all issues, large
and small
i follow through in a
responsible way,
keeping others
informed, and
responding in a
timely fashion
• Sharing my research and
experience with others
on the Council, making
worthwhile
contributions and
welcoming alternative
viewpoints
• Using hear -say from a
third party as the sole
basis for making a
decision
• Returning phone calls
and email promptly, if at
all possible; if unable,
letting the person know
when to expect a
response
• Failing to acknowledge
receipt of requests for
information
• Responding only to
people who can help with
personal political goals
• Eventually getting around
to sending information,
but never in a timely
manner
i am respectful of
established City
processes and
guidelines

• Participating fully in
orientation sessions and
other sessions in order
to understand how the
City's policies and
procedures impact the
effectiveness of the
Council
• Criticizing City policies
in public without first
expressing concerns to
City Staff or gaining
knowledge necessary in
order to offer
constructive criticism
• Helping to establish
reasonable timetables
and then following them
• Being flexible in setting
meeting dates and times
• Ignoring deadlines, not
keeping people informed,
and making excuses which
damage public trust

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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Organized
(continued)
• Being able to explain to
residents, businesses,
and visitors how the
City's policies and
procedures are examples
of the City's Core Values
in practice
• Being cynical about
policies and cavalier
about following
procedures because of a
failure to see how these
are related to fairness
and the common good
Communicative I convey the City's
care for and
commitment to its
residents
• Being able to explain the
City's goals to anyone
and describe personal
commitment to them
• Supporting superb,
affordable City services
and conveying that
commitment effectively
to residents
• Plotting and scheming to
accomplish personal
agendas
• Deciding how you will vote
and writing out those
reasons prior to any public
comment
• Becoming angry at a
resident who is critical of
the Council
i communicate in
various ways that i
am approachable,
open -minded and
willing to participate
in dialog
• Being available to the
public in person, at
events, and through
telephone and written
correspondence to
provide both answers
to questions and
dissemination of
important information
• Confusing residents,
spreading rumors and
gossip, or slandering
elected or appointed
officials, City Staff, or
anyone
• Interrupting someone
who has the floor
• Listening attentively,
being open to multiple
perspectives, and
allowing the possibility of
changing opinions and
points of view
• Listening solely to find
flaws, to spot differences,
and to counter arguments
• Going out of my way
during meetings to show
why I am always right and
others are not
• Making it a practice to
communicate equally
well to all stakeholders,
regardless of their
influence, power, or
campaign donations
• Dominating meetings and
asking many more
questions than time
allows, effectively
excluding the input of
others

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The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Communicative
(continued)
I engage in effective
two-way
communication, by
listening carefully,
asking questions, and
determining an
appropriate
response which adds
value to
conversations
• During meetings, giving
residents and others the
benefit of the doubt and
listening to identify
needs and interests
• Asking questions to
clarify, to understand,
and to augment, in order
to hear the truth as the
resident sees it
• Making the best decision
to advance the
community's values and
goals
• Considering people on the
other side of issues as
enemies, rather than as
colleagues or fellow
residents
• Weakening public debate
by belittling or mocking
someone's viewpoint
• Demonizing anyone who
disagrees with a personal
conviction or viewpoint
Collaborative I act in a
cooperative manner
with groups and
other individuals,
working together in
a spirit of tolerance
and understanding
• Submitting one's best
thinking, respecting all
other participants and
inviting their thoughts in
order to develop better
solutions
• Seeing value in working
with other agencies to
develop consistent
policies, where
appropriate
• Describing people who
hold different viewpoints
as "them"
• Failing to recognize
personal biases,
prejudices, stereotypes,
and their influence on
language and attitudes
toward residents and
others
I work towards
consensus
building and gain
value from diverse
opinions
• Approaching meetings and
discussions assuming that
many people have pieces
of answers and that
cooperation will lead to
workable solutions for the
most difficult problems
• Approaching discussions
as if there's already a
single right answer that
needs to be defended
against opposing
viewpoints
I accomplish the
goals and
responsibilities of
my individual
position, while
respecting my role
as a member of a
team
• Understanding that what
I do speaks more loudly
than what I say
• Showing respect for
Council Members, Staff,
and residents by giving
priority to my City
commitment, doing my
homework
• Focusing first on
satisfying a personal or
hidden agenda
• Actively weakening the
team that the Council and
City Staff have devoted
efforts to build

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1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Collaborative
(continued)
• Understanding that each
Council decision either
builds public trust or
detracts from it
• Dismissing any idea
proposed by a Council
colleague who supported
someone else in the last
election
• Working hard to develop
among Council Members,
other officials, City Staff,
and the public a kindred
spirit of cooperation when
working toward
implementing City values
• Reaching conclusions
based on satisfying
personal or special
interests and refusing to
change one's position
despite good reasons to
reconsider
• Holding grudges and
considering some people
as permanent enemies
I consider the
broader regional
and State -wide
implications of the
City's decisions and
issues
• While serving on County-
wide committees, acting in a
professional manner and
approaching the tasks
responsibly
• Making derogatory
remarks about other
cities, feeling that Santa
Clara is superior
• Serving on County or
State -wide panels, freely
sharing information and
resources so everyone
may benefit from the
City's experience
• Having tunnel vision and
ignoring anything beyond
the City, depriving the
City of the benefit of a
broader, regional
perspective

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1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Progressive I exhibit a proactive,
innovative approach
to setting goals and
conducting the
City's business
• Contributing personal
experiences and
expertise to advance the
goals of the Council and
the City as a whole
• Anticipating future
problems or
opportunities, raising the
issues at the appropriate
time for City Staff to
investigate and for
Council to consider
• Being dogmatic in
approaching decision -
making and only doing
things the way they've
always been done
• Never taking a forward
looking, principled or
values -centered stand,
but preferring to solve
issues in an ad hoc
manner
• Focusing on the short
term, being concerned
only about meeting
minimum requirements of
law, politics, or efficiency
i display a style
that maintains
consistent
standards, but is
also sensitive to
the need for
compromise,
"thinking outside
the box," and
improving existing
paradigms when
necessary
• Being able to explain
how a decision is
consistent with ethical
standards and the City's
Core Values
• Committing to ongoing
improvement,
progressive government,
and moral imagination in
solving problems
• Lying about personal
mistakes and downplaying
their importance
• Manipulating discussions
and decisions to advance
personal, political
aspirations
• Speaking and listening
only to one's friends on
the Council
• Taking responsibility for
actions, making
appropriate apologies or
restitution when a
mistake is made, and
implementing a plan to
develop practical skills to
avoid such mistakes in
the future
• Actively listening, asking
clarifying questions, and
giving careful
consideration to all
• Holding on to opinions
and viewpoints so
stubbornly that mistakes
are made, impacting
public trust
• Letting personal
limitations impede
progress or the work of
the Council
• Playing the role of
pessimist whenever a new
idea is presented, trying
to bulldoze personal ideas

40 12677374.2 SA460-029

The Code of Ethics & Values Behavioral Standards
1 City
Core Value
2 Basic Actions and
Character Traits
3 Council Members Engage
in Positive Behaviors Like
4 Council Members Avoid
Negative Behaviors Like
Progressive
(continued)
comments and
viewpoints, even if they
are expressed by people
who think differently,
have different beliefs,
and have different
groups of supporters
despite budget
limitations, prior
agreement, or consensus,
and undermining new
ideas by gossiping with
others before the idea
has a chance to be
explored
I promote
intelligent and
thoughtful
innovation in order
to forward the
City's policy
agenda and City
services
• Encouraging talented and
diverse individuals to
become involved in City
service, as well as
recognizing and
celebrating talent and
new ideas that help the
City reach its goals,
improve City services,
and implement City Core
Values in best practice
• Pushing change in the City
without ample thought,
and causing change only
for the sake of change, or
only to fulfill a campaign
promise

12677374.2 SA460-029

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Published: August 18, 2022
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5 LCW’S PROPOSED EDITS TO CITY COUNCIL ADMONITION
AND CENSURE POLICY (COUNCIL POLICY 047)

Adopted May 2018 P&P 047 Page 1 of 3

City of
Santa Clara
The Center of What's Possible
City of Santa Clara Council
Policy Manual

ADMONITION AND CENSURE POLICY
PURPOSE This policy applies only to the Mayor and City Council members for improper conduct that may result in admonition or censure.

POLICY It is the policy of the City Council that all of its members shall abide by federal and state law, City ordinances, and City policies, including the Code of Ethics and Values. Violations of such law or policy tends to injure the good name of the City and to undermine the effectiveness of the City Council as a whole.

For violations of City policy, Council may take action to admonish or censure the Council Member in accordance with this policy. For criminal conduct, the Council may/shall refer the matter to the Office of the District Attorney for handling. For matters within the jurisdiction of the Fair Political Practices Commission (FPCC), Council may/shall refer it to the FPCC for handling.

Nothing in this policy shall preclude individual Council Members from making public statements regarding such alleged conduct.

This policy provides definitions and procedures related to two types of action: admonition and censure.

Admonition
An admonition is a formal expression of disapproval that serves as a warning to correct inappropriate behavior without imposing disciplinary sanctions. It is typically issued for minor misconduct or ethical lapses that do not rise to the level of requiring severe consequences, such as censure or removal from office. While it is non-
punitive in nature, an admonition
underscores the need for the official to adhere to established rules and standards of conduct. Depending on the situation, it may be delivered privately or publicly, aiming to encourage accountability and improvement in behavior rather than inflict penalties. Admonitions play a role in promoting ethical governance while maintaining proportionality in addressing misconduct. An admonition may typically be directed to any and all member(s) of the City Council, reminding them that a particular type of behavior is in violation of law or City policy, and that, if it occurs or is found to have occurred, could make a member subject to censure.

Adopted May 2018 P&P 047 Page 2 of 3

or vote. While it does not carry legal penalties or remove the member from office, censure serves as a significant public rebuke, reinforcing the importance of ethical governance and accountability. It is both a symbolic and practical measure intended to uphold the integrity of the Council and to deter future misconduct by highlighting the seriousness of the member’s actions.

PROCEDURE Procedure for Admonition
An individual Council Member can make an admonition at any Council meeting during the Public Presentations or Reports of Members and Special Committees portion of the meeting.

Procedure for Censure

Initiation and Review of Censure
Any member of the City Council, a City staff member, or a member of the public may raise concerns about a Council Member ’s conduct that may warrant censure.

The concerns must be submitted in writing to the Ad Hoc Ethics Commission detailing the specific behavior or actions in question. After findings are made by the Ad Hoc Ethics Commission, then the matter will come back to the City Council.

Drafting and Presentation of the Censure Resolution
A formal resolution of censure is drafted, clearly outlining:
• The specific behavior or actions being censured.
• References to applicable ethical standards or City policies violated. • The purpose and scope of the censure (e.g., public reprimand, loss of committee assignments for a specified period of time, required training, etc.).

Formal Discussion in Public Session
The issue is placed on the agenda for a public City Council meeting. A member of the Ad Hoc Ethics Commission will present the Commission’s findings.

The Council Member facing potential censure is provided an opportunity to address the Council.

City Council Vote
The censure resolution is brought to a vote during a public meeting. A majority or 2/3 vote is required for adoption.

Public Announcement of the Censure
If adopted, the censure resolution is read aloud and entered into the Council’s public records. A press release may be issued to inform the public of the Council’s action and its basis.

Adopted May 2018 P&P 047 Page 3 of 3

Implementation
Any additional measures associated with the censure (e.g., removal from leadership roles or committees for a specified period of time) are implemented immediately.

Reference: City Council-approved policy dated 5/15/2018 6 LCW’S PROPOSED CITY COUNCIL ADMONITION AND
CENSURE POLICY (COUNCIL POLICY 047)

(REPLACEMENT) ADMONITION AND CENSURE POLICY

PURPOSE
This policy applies only to the Mayor and City Council members for improper conduct that may result in admonition or censure.

It is the policy of the City Council that all of its members shall abide by federal and state law, City ordinances, and City policies, including the Code of Ethics and Values. Violations of such law or policy tends to injure the good name of the City and to undermine the effectiveness of the City Council as a whole.

This policy provides definitions and procedures related to two types of action: admonition and censure fo
r violation of City policy.

DEFINITIONS
Admonition
An admonition is a formal expression of disapproval that serves as a warning to correct inappropriate behavior without imposing disciplinary sanctions. It is typically issued for minor misconduct or ethical lapses that do not rise to the level of requiring severe consequences, such as censure or removal from office. While it is non-punitive in nature, an admonition underscores the need for the official to adhere to established rules and standards of conduct. Depending on the situation, it may be delivered privately or publicly, aiming to encourage accountability and improvement in behavior rather than inflict penalties. Admonitions play a role in promoting ethical governance while maintaining proportionality in addressing misconduct. An admonition may typically be directed to any all member(s) of the City Council, reminding them that a particular type of behavior is in violation of law or City policy, and that, if it occurs or is found to have occurred, could make a member subject to censure.

Censure
Censure is a formal statement of disapproval issued by the Council against one of its members for conduct deemed inappropriate, unethical, or inconsistent with the responsibilities of their role. Unlike an admonition, censure is an official action that reflects the Council’s collective judgment and is typically adopted through a formal resolution or vote. While it does not carry legal penalties or remove the member from office, censure serves as a significant public rebuke, reinforcing the importance of ethical governance and accountability. It is both a symbolic and practical measure intended to uphold the integrity of the Council and to deter future misconduct by highlighting the seriousness of the member’s actions.

PROCEDURES
Procedure for Admonition
--
An individual Council Member can make an admonition at any Council meeting during the Public Presentations or Reports of Members and Special Committees portion of the meeting.

Procedure for Censure
Initiation and Review of Censure
Any member of the city council, a city staff member, or a member of the public may raise concerns about a council member’s conduct that may warrant censure.

Formal Discussion in Public Session
The issue is placed on the agenda for a public City Council meeting. A member of the Ad Hoc Ethics Commission will present the Commission’s findings.

The Council Member facing potential censure is provided an opportunity to address the Council.

City Council Vote
The censure resolution is brought to a vote during a public meeting. A majority or 2/3 vote is required for adoption.

Implementation
Any additional measures associated with the censure (e.g., removal from leadership roles or committees for a specified period of time) are implemented immediately. 7 LCW’S PROPOSED EDITS TO CHAPTER 2.145,

RESTRICTIONS ON ACTIVITIES OF CITY OFFICIALS AND

CERTAIN CITY EMPLOYEES

Chapter 2.145

RESTRICTIONS ON ACTIVITIES

OF CITY OFFICIALS AND

CERTAIN CITY EMPLOYEES
Sections:

2.145.010 Purpose.

2.145.020 Definitions.

2.145.030 Prohibitions - Post service activities for compensation.

2.145.040 Exceptions.

2.145.050 Applicability.

2.145.060 Waiver.

2.145.070 Sanctions.

2.145.010 Purpose.

The purposes of this chapter are:
a) To prevent former City officials and designated City employees from using their influence with the City or agency for personal gain.
b) To prevent private for-profit business entities from obtaining a real or perceived unfair advantage in dealing with the City or agencies by hiring former City or agency officials and/or designated City employees.
c) To comply with the City "Code of Ethics and Values." d) To attempt to assure the independence, impartiality and integrity of City and agency officials and designated City employees in making governmental actions and decisions. (Ord. 1755 § 2, 7-18-00).

2.145.020 Definitions.

For purposes of this chapter, the terms below shall have the following meaning:
a) "Agency official" shall mean, respectively, the Chairperson and agency members of (1) the Redevelopment Agency of the City of Santa Clara ("RDA"), (2) the Sports and Open Space Authority of the City of Santa Clara ("SOSA"), (3) the City of Santa Clara Housing Authority ("HA") and (4) the Santa Clara Stadium Authority ("SA"). The RDA, SOSA, HA and SA may be referred to individually or collectively as "agency" as the context indicates.
b) “City Official” shall mean the Mayor, Vice Mayor, and City Council members. c) "Commission" shall mean any body (commission, board, etc.) created by the City Charter, City Code or action of the City Council whose members are required to file statements of economic interest pursuant to the State Political Reform Act of 1974 (Government Code Section 81000 et seq.) d) "Commission official" shall mean any member of a City commission. e) "Designated City employee" shall be those City employees designated from time to time by the City Manager as subject to the provisions of this chapter. Annually, the City Manager will provide the City Council with a list of designated City employees.
f) "Nonprofit organization" shall mean an entity which would qualify as such under the Federal Internal Revenue Code and has engaged in programs or projects which have received financial or other formal support from the City Council or agency board within the past five years. g) "Transitional services" shall mean services involving technical or specialized knowledge required to complete a project or to provide temporary consulting services to the City or agency. h) "Work" shall mean any activity, for which compensation is received from any source, including compensation received as an independent contractor. Work includes the supervision or direction of others performing work, except as provided in SCCC 2.145.050. Work for the City or an agency also includes any action of any sort whatsoever taken in one's official capacity. Service by a City or an agency official or designated City employee on any type of board, committee, subcommittee or similar body as a representative of the City or agency is deemed to be work for the City or an agency. (Ord. 1755 § 2, 7-18-00; Ord. 1884 § 1, 4-19-11).

2.145.030 Prohibitions - Post service activities for compensation.

Except as provided otherwise in this chapter, for one year immediately following the termination of City, agency or commission office or employment, former City officials, agency officials, commission officials (collectively referred to as "affected City official(s)") and designated City employees shall not, for compensation:
a) Work on any matter which the affected City official or designated City employee previously worked on for the City.
b) Represent anyone else before the City Council, a City agency, a City commission or staff of the City. c) Receive any gift or payment in excess of the amount determined from time to time by the Fair Political Practices Commission from any person who was, in any way, involved in or affected by the work of the affected City official or designated City employee. (Ord. 1755 § 2, 7-18-00).

2.145.040 Exceptions.

The following work shall not be subject to the prohibitions of SCCC 2.145.030:

a) As an employee or volunteer of a nonprofit organization, as defined in SCCC 2.145.020(f). b) As an employee of a governmental entity.
c) As an employee pursuant to City Charter Section 802 which, subject to the civil service provisions of the City Charter, grants authority to the City Manager to make personnel appointments. d) As an independent contractor of the City or agency where it has been determined that it is in the best interest of the City or agency to retain the former affected City official or City employee to provide transitional services. Such determination shall be made by the person or body authorized to enter into such a contract. In the independent contractor situation, the City or agency shall contract directly with the former affected City official or City employee. The rate of compensation for such services sh all not exceed the former official or employee's rate of pay, including benefits, at the time City or agency service terminated. (Ord. 1755 § 2, 7-18-00).

2.145.050 Applicability.
a) The provisions of this chapter shall not apply to prevent a former affected City official or designated City employee from testifying as a percipient witness in any legal proceeding. b) The provisions of this chapter shall not apply to prevent a former affected City official or designated City employee from working as a supervisor of a person or persons performing work that would be prohibited by this chapter, so long as the supervisor is screened from any personal participation in the work and receives no part of the fee therefrom. (Ord. 1755 § 2, 7-18-00).

2.145.060 Waiver.

The City Council, RDA, SOSA, HA or SA may waive the prohibitions of SCCC 2.145.030, upon full disclosure of the facts surrounding the proposed activity, if the City Council, RDA, SOSA, HA or SA finds that such waiver is in the best interest of the City or agency and that such waiver is not inconsistent with the purposes of this chapter as set forth in SCCC 2.145.010. (Ord. 1755 § 2, 7-18-00; Ord. 1884 § 2, 4-19- 11).

2.145.070 Sanctions.

In addition to any other remedy provided in this Code, the following sanctions shall also apply to any violations of this chapter where appropriate:
a) Upon the petition of any person, a court or the presiding officer of any proceeding shall, after providing notice and an opportunity for hearing, exclude any person found to be in violation of this chapter from further participation, or from assisting or counseling any other participant, in the matter then pending before such court or body.

b) The City or agency shall be entitled to recover from any former City or agency official or designated City employee the monetary value of any compensation or thing of value provided to such person in violation of the provisions of this chapter. (Ord. 1755 § 2, 7-18-00).

12677378.2 SA460-029
8 LCW’S PROPOSED CHAPTER 2.145 RESTRICTIONS ON

ACTIVITIES OF CITY OFFICIALS AND CERTAIN CITY

EMPLOYEES

10/1/24, 12:50 PM Chapter 2.145 RESTRICTIONS ON

12677378.2 SA460-029
Chapter 2.145

RESTRICTIONS ON ACTIVITIES

OF CITY OFFICIALS AND

CERTAIN CITY EMPLOYEES
Sections:

2.145.010 Purpose.

2.145.020 Definitions.

2.145.030 Prohibitions - Post service activities for compensation.

2.145.040 Exceptions.

2.145.050 Applicability.

2.145.060 Waiver.

2.145.070 Sanctions.

2.145.010 Purpose.

The purposes of this chapter are:
(a) To prevent former City officials and designated City employees from using their influence with the City or agency for personal gain.
(b) To prevent private for-profit business entities from obtaining a real or perceived unfair advantage in dealing with the City or agencies by hiring former City or agency officials and/or designated City employees.
(c) To comply with the City "Code of Ethics and Values." (d) To attempt to assure the independence, impartiality and integrity of City and agency officials and designated City employees in making governmental actions and decisions. (Ord. 1755 § 2, 7-18-00).

2.145.020 Definitions.

For purposes of this chapter, the terms below shall have the following meaning:
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12677378.2 SA460-029
(a) "Agency official" shall mean, respectively, the Chairperson and agency members of (1) the Redevelopment Agency of the City of Santa Clara ("RDA"), (2) the Sports and Open Space Authority of the City of Santa Clara ("SOSA"), (3) the City of Santa Clara Housing Authority ("HA") and (4) the Santa Clara Stadium Authority ("SA"). The RDA, SOSA, HA and SA may be referred to individually or collectively as "agency" as the context indicates.
(b) "City official" shall mean the Mayor, Vice Mayor, and City Council members. (c) "Commission" shall mean any body (commission, board, etc.) created by the City Charter, City Code or action of the City Council whose members are required to file statements of economic interest pursuant to the State Political Reform Act of 1974 (Government Code Section 81000 et seq.) (d) "Commission official" shall mean any member of a City commission. (e) "Designated City employee" shall be those City employees designated from time to time by the City Manager as subject to the provisions of this chapter. Annually, the City Manager will provide the City Council with a list of designated City employees.
(f) "Nonprofit organization" shall mean an entity which would qualify as such under the Federal Internal Revenue Code and has engaged in programs or projects which have received financial or other formal support from the City Council or agency board within the past five years. (g) "Transitional services" shall mean services involving technical or specialized knowledge required to complete a project or to provide temporary consulting services to the City or agency. (h) "Work" shall mean any activity, for which compensation is received from any source, including compensation received as an independent contractor. Work includes the supervision or direction of others performing work, except as provided in SCCC 2.145.050. Work for the City or an agency also includes any action of any sort whatsoever taken in one's official capacity. Service by a City or an agency official or designated City employee on any type of board, committee, subcommittee or similar body as a representative of the City or agency is deemed to be work for the City or an agency. (Ord. 1755 § 2, 7-18-00; Ord. 1884 § 1, 4-19-11).

2.145.030 Prohibitions - Post service activities for compensation.

12677378.2 SA460-029
(a) Work on any matter which the affected City official or designated City employee previously worked on for the City.
(b) Represent anyone else before the City Council, a City agency, a City commission or staff of the City.
(c) Receive any gift or payment in excess of the amount determined from time to time by the Fair Political Practices Commission from any person who was, in any way, involved in or affected by the work of the affected City official or designated City employee. (Ord. 1755 § 2, 7-18-00).

2.145.040 Exceptions.

The following work shall not be subject to the prohibitions of SCCC 2.145.030:
(a) As an employee or volunteer of a nonprofit organization, as defined in SCCC 2.145.020(f). (b) As an employee of a governmental entity.
(c) As an employee pursuant to City Charter Section 802 which, subject to the civil service provisions of the City Charter, grants authority to the City Manager to make personnel appointments. (d) As an independent contractor of the City or agency where it has been determined that it is in the best interest of the City or agency to retain the former affected City official or City employee to provide transitional services. Such determination shall be made by the person or body authorized to enter into such a contract. In the independent contractor situation, the City or agency shall contract directly with the former affected City official or City employee. The rate of compensation for such services shall not exceed the former official or employee's rate of pay, including benefits, at the time City or agency service terminated. (Ord. 1755 § 2, 7-18-00).

2.145.050 Applicability.
(a) The provisions of this chapter shall not apply to prevent a former affected City official or designated City employee from testifying as a percipient witness in any legal proceeding. (b) The provisions of this chapter shall not apply to prevent a former affected City official or designated City employee from working as a supervisor of a person or persons performing work that would be prohibited by this chapter, so long as the supervisor is screened from any personal participation in the work and receives no part of the fee therefrom. (Ord. 1755 § 2, 7-18-00).

2.145.060 Waiver.
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12677378.2 SA460-029
The City Council, RDA, SOSA, HA or SA may waive the prohibitions of SCCC 2.145.030, upon full disclosure of the facts surrounding the proposed activity, if the City Council, RDA, SOSA, HA or SA finds that such waiver is in the best interest of the City or agency and that such waiver is not inconsistent with the purposes of this chapter as set forth in SCCC 2.145.010. (Ord. 1755 § 2, 7- 1800; Ord. 1884 § 2, 4-19-11).

2.145.070 Sanctions.

In addition to any other remedy provided in this Code, the following sanctions shall also apply to any violations of this chapter where appropriate:
(a) Upon the petition of any person, a court or the presiding officer of any proceeding shall, after providing notice and an opportunity for hearing, exclude any person found to be in violation of this chapter from further participation, or from assisting or counseling any other participant, in the matter then pending before such court or body.
(b) The City or agency shall be entitled to recover from any former City or agency official or designated City employee the monetary value of any compensation or thing of value provided to such person in violation of the provisions of this chapter. (Ord. 1755 § 2, 7-18-00).

The Santa Clara City Code is current through Ordinance 2069, passed July 16, 2024.

Disclaimer: The City Clerk's Office has the official version of the Santa Clara City Code. Users should contact the City Clerk's Office for ordinances passed subsequent to the ordinance cited above.

City Website: https://santaclaraca.gov/
City Telephone: (408) 615-2220
Codification services provided by General Code
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Governance and Ethics CommitteeJanuary 16, 2026

Governance and Ethics Committee
January 16, 2026