CC 09-19-2023 Item No. 11. Ethics Policy Update_Written Communications (2)1
Lauren Sapudar
From:Peggy Griffin <griffin@compuserve.com>
Sent:Tuesday, September 19, 2023 2:43 PM
To:City Council
Cc:City Clerk
Subject:2023-09-19 City Council Meeting-Agenda Item11-Ethics Policy-Transparency and Conflicts with
Organizations and Employers
CAUTION: This email originated from outside of the organization. Do not click links or open attachments unless you recognize the
sender and know the content is safe.
PLEASE INCLUDE THIS EMAIL AS PART OF WRITTEN COMMUNICATION FOR THE ABOVE CITY COUNCIL MEETING AGENDA
ITEM.
Dear City Council,
As a member of the public, I want my City Councilmembers to be unbiased, listen to public input with an open mind.
That said, I am concerned about the appearances of a conflict of interest whether it meets the strict criteria of the legal
definiƟon or not.
ORGANIZATION CONFLICTS
If a Councilmember has been on the board of an organizaƟon within the last 12 months, their connecƟons and
knowledge are very fresh. Also, the organizaƟon may sƟll be working on “projects” that the Councilmember may have
parƟcipated in. For this reason, I think having been a board member of an organizaƟon within the last 12 months should
be considered a “con flict of interest” and the Councilmember should not be involved in decisions related to that
organizaƟon.
SUGGESTION1:
Add a requirement that any Councilmember who has been on the board of an organizaƟon within the last 12 months
should declare it and recuse themselves from any Council acƟons/decisions/closed sessions associated with that
organizaƟon.
SUGGESSTION2:
If a Councilmember has been on the board of an organizaƟon within the last 5 years, the Councilmember must declare
this at the beginning of the agenda item.
EMPLOYMENT CONFLICTS
OŌen, Councilmembers have “day jobs”. More and more, these jobs can touch upon topics/issues that are City of
CuperƟno concerns. Examples of possible employment conflicts:
‐ A Councilmember represented or is represenƟng a company/organizaƟon within the last year/5 years.
‐ A Councilmember is employed by another city and is assigned on commissions where both CuperƟno and their
employer (other city) have a say. The interest of CuperƟno may not be in line with the interests of their
employer. Whose “hat” will they wear?
SUGGESTION3:
Councilmembers who are employed by other ciƟes should not be on commiƩees or commissions that involve both ciƟes.
They should always announce their employment vs who they represent.
They should recuse themselves from parƟcipaƟng in agenda items that have the potenƟal to impact both ciƟes.
2
We want to know that our elected representaƟves are represenƟng CuperƟno first and always. Being more transparent
is a good thing and builds trust.
Sincerely,
Peggy Griffin
1
Lauren Sapudar
From:Donna austin <primadona1@comcast.net>
Sent:Tuesday, September 19, 2023 1:00 PM
To:City Clerk
Subject:Fwd: City Council Meeting tonight 9/19/23 Agenda Item 11 Code of ethics
Attachments:letter Code of Ethics.docx
CAUTION: This email originated from outside of the organization. Do not click links or open attachments unless you recognize the
sender and know the content is safe.
Sent from my iPhone
Begin forwarded message:
From: Donna austin <primadona1@comcast.net>
Date: September 19, 2023 at 12:59:06 PM PDT
To: hungwei@cupertino.org
Subject: Fwd: City Council Meeting tonight 9/19/23 Agenda Item 11 Code of ethics
Sent from my iPhone
Begin forwarded message:
From: Donna austin <primadona1@comcast.net>
Date: September 19, 2023 at 12:57:48 PM PDT
To: Hung Wei <hungweichien@gmail.com>
Subject: Fwd: City Council Meeting tonight 9/19/23 Agenda Item 11 Code of ethics
Sent from my iPhone
Begin forwarded message:
From: Donna Austin <primadona1@comcast.net>
Date: September 19, 2023 at 12:42:01 PM PDT
To: Kirsten Squarcia <KirstenS@cupertino.org>, Hunghwei@cupertino.org, Sheila Mohan <smohan@cupertino.org>,
liangchao@cupertino.org, jrfruen@cupertino.org, kmoore@cupertino.org, Pamela Wu <PamelaW@cupertino.org>
Cc: Donna austin <primadona1@comcast.net>
Subject: City Council Meeting tonight 9/19/23 Agenda Item 11 Code of ethics
To Kirsten Squarcia: Please distribute to city council, city manager and city attorney and please read. I have attached the
letter and I’ve copied it to this e‐mail. Thank you, Donna Austin
2
To: Mayor Hung Wei, Vice-Mayor Sheila Mohan, and council Members:
Liang Ciao, Kitty Moore, and J.R. Fruen. City Manager: Pamela Wu
I urge the Cupertino City Council to accept the staff's recommendation and
to direct the city attorney to revise the City of Cupertino Ethics Policy to
incorporate the provisions of the 2018 City's ethic's code as amended to
ensure consistency with the Council's procedures manual.
The citizens of Cupertino are entitled to responsible, fair, and honest local
government guided by a strong Code of Ethics! Elected officials, officers,
employees, members of committees, and volunteers, are stewards of the
community and should comply with the laws of the nation, the state and
the city. They should perform their duties with Integrity and respect for one
another, staff and the public. Their actions should be done with:
Objectivity.
Professional Competence
Confidentiality and
Professional Behavior.
This Code will inspire public trust in our officers’ ethical behavior and will
be a model for the community.
Donna Austin
22283 N. De Anza Circle
Cupertino, CA 95014
408-499-9031
Primadona1@comcast.net
Sent from Mail for Windows
To: Mayor Hung Wei, Vice-Mayor Sheila Mohan, and council
Members: Liang Ciao, Kitty Moore, and J.R. Fruen.
I urge the Cupertino city council to accept the staff's
recommendation and to direct the city attorney to revise the City
of Cupertino Ethics Policy to incorporate the provisions of the
2018 City's ethic's code as amended to ensure consistency with
the Council's procedures manual.
The citizens of Cupertino are entitled to responsible, fair, and
honest local government guided by a strong Code of Ethics!
Elected officials, officers, employees, members of committees,
and volunteers, are stewards of the community and should
comply with the laws of the nation, the state and the city. They
should perform their duties with Integrity and respect for one
another, staff and the public. Their actions should be done with:
Objectivity.
Professional Competence
Confidentiality and
Professional Behavior.
This Code will inspire public trust in our officers’ ethical behavior
and will be a model for the community.
Donna Austin
22283 N. De Anza Circle
Cupertino, CA 95014
408-499-9031
Primadona1@comcast.net
1
Lauren Sapudar
From:Kitty Moore
Sent:Tuesday, September 19, 2023 11:36 AM
To:Kirsten Squarcia; City Clerk
Subject:September 19 Agenda Item 11 Written Communications
Attachments:San Jose Council Conduct Policy.pdf; Council Policy Manual Policy Process.pdf
Dear City Clerk,
Please include these two aƩachments for Item 11:
1. San Jose Council Conduct Policy
a. Provides definiƟons for AdmoniƟon, SancƟon, and Censure.
i. AdmoniƟon is similar to a warning and does not necessarily have an invesƟgaƟon to determine
if an allegaƟon is true
ii. SancƟon, allows the Councilmember to respond to the allegaƟon and it is not a punishment or
discipline
iii. Censure is the most serious. It is an official statement by the Council and is puniƟve, but it
carries no fine or suspension of the rights of the member as an elected official.
iv. “…the City Council shall not impose censure on any of its members for the exercise of his or her
first Amendment rights…”
2. Council Policy Manual – City of San Jose
a. This is a brief policy for making policies and who is allowed to change them.
Thank you,
KiƩy Moore
Kitty Moore
Councilmember
City Council
Kmoore@cupertino.org
(408) 777-1389
COUNCIL POLICY
TITLE COUNCIL CONDUCT POLICY PAGE
1 of 4
POLICY NUMBER
0-28
EFFECTIVE DATE November 8, 1994 REVISED DATE November 30, 2004
APPROVED BY COUNCIL ACTION 11/08/94 Item 9(C)
PURPOSE
This Policy applies only to the Mayor and City Council members, and amends and supersedes the original City
Council Policy 0-28, the Censure Policy.
GUIDING PRINCIPLES
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. Violation 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.
Depending on the circumstances of alleged violations of law or policy, the Council may initiate an investigation
of the allegations prior to the filing of a request for any of the actions described in this policy.
Nothing in this policy shall preclude individual Councilmembers from making public statements regarding such
alleged conduct.
Considerations
In deciding whether or not to open an investigation, Council should consider:
• whether an investigation may compromise investigations regarding the same alleged actions, and, if
theactionsmayresultincriminalcharges,whethertherightof theaccusedCouncilmembertoafairjury
trial may be compromised by proceeding with an investigation;
• if persons involved in the allegations may choose to exercise their constitutional right against
self-incrimination, which may limit the investigation's ability to present a full picture of alleged events;
• how to ensure that it ensures protection of the rights of those accused of violations of law or policy,
those making such accusations, and those who have information regarding the accusations.
At any point during any of the processes described in this policy, the Council may refer the matter, as
appropriate, to the Santa Clara County District Attorney or to the San José Elections Commission for
investigation.Followingsuchareferral,theCouncilmayproceedwithanyactionsitchoosestoundertakeunder
the provisions of this policy.
While the Council has broad discretion in deciding actions it may choose to take in response to violations of law
or policy, this policy provides definitions and procedures related to three types of action: admonition, sanction,
and censure.
DEFINITIONS
Admonition
This is the least severe form of action. An admonition may typically be directed to all members of the City
Council,remindingthemthataparticulartypeof behaviorisinviolationof laworCitypolicy,andthat,if itoccurs
City of San José, California
or is found to have occurred, could make a member subject to sanction or censure. An admonition may be
issued in response to a particular alleged action or actions, although it would not necessarily have to be
triggered by such allegations. An admonition may be issued by the City Council prior to any findings of fact
regarding allegations, and because it is a warning or reminder, would not necessarily require an investigation or
separate hearings to determine whether the allegation is true
Sanction
This is the next most severe form of action. Sanction should be directed to a particular member of the City
Council based on a particular action (or set of actions) that is determined to be in violation of law or City policy,
butisconsideredbytheCounciltobenotsufficientlyserioustorequirecensure.Asanctionisdistinguishedfrom
censure in that it is not a punishment. A sanction may be issued based upon Council's review and consideration
of a written allegation of a policy violation. The member accused of such violation will have an opportunity to
provide a written response to the allegation. A sanction may be issued by the City Council and because it is not
punishment or discipline, would not necessarily require an investigation or separate hearings.
Censure
Censure is the most severe form of action contemplated in this policy. Censure is a formal statement of the City
Council officially reprimanding one of its members. It is a punitive action, which serves as a penalty imposed for
wrongdoing, but it carries no fine or suspension of the rights of the member as an elected official. Censure
should be used for cases in which the Council determines that the violation of law or policy is a serious offense.
In order to protect the overriding principle of freedom of speech, the City Council shall not impose censure on
any of its members for the exercise of his or her First Amendment rights, no matter how distasteful the
expression was to the Council and the City. However, nothing herein shall be construed to prohibit the City
Council from collectively condemning and expressing their strong disapprobation of such remarks.
PROCEDURES
Investigation
1. Any member of the City Council may submit, in writing, an allegation concerning a violation of law or
policy to the Rules Committee.
2. The Rules Committee shall determine whether to forward a recommendation to conduct an investigation
to the full Council for consideration as part of the Rules Committee report agenda item at the appropriate
subsequent Council meeting. Part of the determination should include allowing the Councilmember who is the
subject of the allegation the opportunity to address the allegation in writing or by appearing at the Rules
Committee meeting at which the allegation is discussed.
3. If the Council determines, by majority vote, that:
a. An investigation is warranted, it may designate a standing or special committee or one of its members,
including the Mayor, to conduct the investigation. The Council may select an independent investigator
to assist in conducting the investigation. The independent investigator would be managed by the
committee or individual designated by Council to conduct the investigation.
b. An investigation is not warranted, an individual Councilmember is not precluded from submitting a
request for admonition, sanction, or censure in accordance with the provisions of this policy.
4. Inthecourseof theinvestigation,theindividualorcommitteedesignatedtomanageitmustdeterminethe
process by which statements are taken. A witness may choose to provide a signed declaration under penalty of
perjury attesting to his or her knowledge of the facts surrounding the allegations. If a witness is unwilling to
submit such a declaration, the Council may issue a subpoena to compel the witness' testimony, consistent with
its subpoena power granted under the City Charter.
TITLE COUNCIL CONDUCT POLICY PAGE
2 of 4
POLICY NUMBER
0-28
5. At the conclusion of the investigation, the results shall be presented in writing to the full Council. Based
on the results, any individual Council member may file a request for admonition, sanction, or censure.
Admonition
1. A request for an admonition must be submitted to the Rules Committee in writing by a member of the
Council. The request should contain the specific language of the proposed admonition.
2. The Rules Committee shall determine whether to forward the proposed admonition to the full Council for
consideration as part of the Rules Committee report agenda item at the appropriate subsequent Council
meeting.
3. An admonition can be approved by a majority vote of the Council.
Sanction
1. A request for sanction must be submitted to the Rules Committee in writing by a member of the Council.
The request should contain specific allegations of conduct in violation of federal or state law, City ordinances,
and City policies, including the Code of Ethics.
2. A copy of the request for sanction shall be provided to the Council Member accused of the conduct by
personal service at least twenty-four (24) hours prior to the Rules Committee meeting at which it will be
considered.
3. The Rules Committee shall determine that either:
a. The proposed sanction should be forwarded to the City Council for consideration as part of the Rules
Committee report agenda item at the appropriate subsequent Council meeting; or
b. An admonition, rather than sanction, should be recommended to the City Council for consideration; or
c. No action is required.
4. This determination is subject to confirmation by the City Council as part of the Rules Committee report at
the next Council meeting.
5. A sanction is based on the Council's review of the written record and of the information provided as part
of the public hearing of the issue as part of the Council meeting. A sanction action must be approved by a
majority vote of the Council.
Censure
1. A request for a censure hearing must be submitted to the Rules Committee in writing by a member of the
Council. The request must contain the specific allegations of conduct in violation of federal or state law, City
ordinances, and City policies, including the Code of Ethics, upon which the proposed censure is based.
2. A copy of the request for censure and the charges shall be served on the Council Member accused of the
conduct by personal service at least twenty-four (24) hours prior to the Rules Committee meeting at which it will
be considered.
3. The Rules Committee shall determine that either:
a. Further investigation of the charges is required; or
b. The matter is to be set for a separate public hearing; or
c. The recommended level of action is admonition or sanction, rather than censure; or
d. No action is required.
4. This determination is subject to confirmation by the City Council as part of the Rules Committee report at
the next Council meeting.
TITLE COUNCIL CONDUCT POLICY PAGE
3 of 4
POLICY NUMBER
0-28
5. Depending on the determination of the Rules Committee and the confirmation of the City Council;
a. If further investigation is required, it shall be done by an ad hoc committee appointed by the Mayor. If
the Mayor is the subject of the charges, the committee shall be appointed by the Vice Mayor.
The following guidelines apply to ad hoc committee investigations:
i) The committee may be staffed by administrative and legal staff.
ii) If authorized by City Council, the committee may subpoena witnesses and documents.
iii) In making a determination, the committee should determine if taking all the facts and evidence
into consideration, there are reasonable grounds to believe or not believe that the conduct,
violation, or offense occurred.
iv) ThecommitteeshallissueafinalreportandrecommendationstotheCityCouncil.Thefinalreport
shall be made available to the public.
b. If a separate public hearing is set, it must be set far enough in advance to give the member of Council
subject to the charges adequate time to prepare a defense, and that member shall be given the
opportunity to make an opening and closing statement and to question his or her accusers. The
membersubjecttothechargesmayberepresentedandmayhavetherepresentativespeakorquestion
on his or her behalf. The Mayor, or Vice Mayor if the Mayor is the subject of the charges, would preside
at the hearing. The rules of evidence shall not apply to the hearing, which is not a formal adversarial
proceeding. The City Attorney or designee shall provide legal advice to the City Council during the
hearing.
6. A decision to censure requires the adoption of a Resolution making findings with regard to the specific
charges, based on substantial evidence, and approved by a two-thirds vote of the Council.
TITLE COUNCIL CONDUCT POLICY PAGE
4 of 4
POLICY NUMBER
0-28
COUNCIL POLICY
TITLE COUNCIL POLICY MANUAL PAGE
1 of 2
POLICY NUMBER
0-1
EFFECTIVE DATE August 3, 1970 REVISED DATE October 31, 2006
APPROVED BY COUNCIL ACTION 10/31/06 Item 3.2(I)
BACKGROUND
The San José City Council is charged with the responsibility of establishing municipal policies to guide the
various functions of the City. Regulatory policies established by the City Council are adopted by ordinance and
included in the Municipal Code; however, other policies are established, which by their nature, do not require
adoption by ordinance. These applicable policy statements adopted by action of the City Council need to be
consolidated in a reference document for easy access.
GUIDING PRINCIPLES
1. Government transparency and accessibility
2. Clarity in policies, practices and procedures
3. Government accountability
PURPOSE
The purpose of this policy is to:
1. Clearly state and compile policies of the City Council covered by ordinances, resolutions, or other
Council actions.
2. Establish clear processes and procedures by which the City Council and Organization shall conduct
City business and activities; propose new policies; and review and revise policies contained in the
"Council Policy Manual" so that it is kept current.
3. Establishproceduresforthepreparation,codification,distribution,andmaintenanceof Councilpolicies
and the "Council Policy Manual."
4. Provide for the availability of these policies to the public.
POLICY
1. There is hereby established a "Council Policy Manual" which will contain all City policy statements
adopted by resolution of the City Council.
2. Generally, policy statements in this "Council Policy Manual" will incorporate only such municipal
matters by which the responsibility of decision is vested in the City Council by virtue of the City Charter,
Municipal Code, or specific ordinances and resolutions.
3. Policy statements of the City Council shall be prepared in writing and approved by action of the City
Council. Once approved, statements of policy will be reproduced, distributed, and included in the
"Council Policy Manual" accompanied by resolution number and date of adoption, if applicable.
City of San José, California
4. Unlessotherwisestatedinapolicy,thewaiverof aprovisionof aCouncilpolicyrequiressixvotesof the
City Council or when authority is granted to the City Manager or other Council Appointee if so noted in
the actual policy. Additionally, the request to waive a policy, or provision of a policy, by the City Council
must be clearly delineated on the City Council Agenda, such as:
Recommendation:
(a) Approval to consider the recommendation to waive a provision of Policy XXX pursuant to Policy
0-1, Council Policy Manual.
(b) Staff's recommendation.
5. Each policy statement shall include: a) a brief background description of the problem, b) the purpose
of the policy, c) the policy statements, and d) other criteria or procedural sections as required.
6. The Office of the City Clerk shall be responsible for the preparation and continuing maintenance, of the
"Council Policy Manual".
7. The "Council Policy Manual" shall be made available to the public via the City's internet website and a
hard copy maintained in the Office of the City Clerk available for public reference.
PROCEDURE
1. Drafts of proposed Council policies and proposed amendments to existing policies shall be referred to
the City Manager for review, evaluation, and reporting to the City Council.
2. The City Manager has the authority to make amendments, on as needed basis and at least bi-annually,
and such amendments shall be limited to:
• Updates to the Table of Contents
• Nouns/pronouns that do not change the essence of the Policy rather result in "clean up" of the
Policy (i.e., easier to read)
• Administrative/Procedural changes to implement a Policy that do not change the essence of the
Policy, rather result in efficiencies, cost savings, improved customer service.
The City Manager is not authorized to change legal and/or policy principles.
3. Such drafts may be referred by the Rules Committee or City Council to a Council Committee for
discussion, analysis, and recommendation.
4. The City Clerk shall be responsible for the assignment of tentative and final policy numbers and the
Administration is responsible for titles to a proposed policy draft.
5. After official adoption by the City Council, the City Clerk shall be responsible for final preparation,
codification and distribution of the statement of policy.
6. Annually the Office of the City Clerk and City Manager shall review the Table of Contents and
Cross-Reference in the "Council Policy Manual" for needed additions, changes, deletions deemed
appropriate. Nothing in this policy shall prevent any individual member of the Council, City Manager, or
City Attorney from suggesting revisions or new policies to the Council Policy Manual at other times
during the year.
TITLE COUNCIL POLICY MANUAL PAGE
2 of 2
POLICY NUMBER
0-1