23-03 Ethics PolicyRESOLUTION NO. 23-122
RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CUPERTINO
ADOPTING THE CITY OF CUPERTINO CODE OF ETHICS AND CONDUCT
FOR ELECTED AND APPOINTED OFFICIALS
WHEREAS, the City Council of the City of Cupertino has determined that a
Code of Ethics and Conduct benefits the public by increasing public confidence in
the integrity of local government and its effective and fair operations; and
WHEREAS, the Cupertino Code of Ethics and Conduct will guide the
conduct of City Officials and support their independent, impartial, and fair
decision-making and execution of policy; and
WHEREAS, City Council wishes to maintain an atmosphere of respect and
civility in the performance of City affairs and public business.
NOW, THEREFORE, BE IT RESOLVED that:
1.The City Council of the City of Cupertino hereby adopts the attached
"City of Cupertino Code of Ethics and Conduct for Elected and
Appointed Officials;" and
2.Resolution No. 20-011 is hereby repealed and rescinded.
PASSED AND ADOPTED at a regular meeting of the City Council of the City of
Cupertino this 7th day of November, 2023, by the following vote:
Members of the City Council
AYES: Wei, Mohan, Fruen
NOES: Chao, Moore
ABSENT: None
ABSTAIN: None
SIGNED:
________
Hung Wei, Mayor
City of Cupertino
________________________
Date
ATTEST:
________
Kirsten Squarcia, City Clerk
________________________
Date
11/14/23
11/14/23
City of Cupertino
CODE OF ETHICS AND CONDUCT FOR
FOR
ELECTED AND APPOINTED OFFICIALS
November 7, 2023
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PURPOSE
The Cupertino City Council adopts this Code of Ethics and Conduct as guidelines
for elected and appointed officials to exercise their office and conduct themselves in
a manner that instills public confidence and trust in the fair operation and integrity
of Cupertino’s city government.1
In accordance with state law and Title 2 of the Cupertino Municipal Code,
Cupertino’s elected and appointed officials include the members of the City Council,
the Mayor, and appointed officers of City boards. committees, and commissions
(collectively, “Members”), and the City Manager, the City Attorney, the City Clerk,
and the City Treasurer. For purposes of this Ethics Code, City Officials shall also
include Department Heads of any department identified in Chapter 2.48 of the
Municipal Code.
ETHICS
The citizens and businesses of Cupertino and the general public are entitled to have
fair, ethical, and accountable local government. To this end, the public should have
full confidence that their elected and appointed officials:
▪Comply with both the letter and spirit of the law and policies affecting the
operations of government and their respective roles and responsibilities;
and
▪Are independent, impartial, and fair in their judgment and actions; and
▪Use their public office for the public good and not for personal gain; and
▪Conduct their deliberations and make their decisions in an atmosphere of
respect and civility, and during public meetings in accordance with Open
Meeting laws, except for confidential proceedings allowed by law.
Therefore, members of the City Council, City Boards and Commissions, the City
Clerk, the City Treasurer, the City Manager and the City Attorney, and Department
Heads (hereinafter, “City Officials”) shall conduct themselves in accordance with the
following ethical standards:
1 These guidelines are intended to memorialize the values of the City of Cupertino
relative to the conduct of its elected and appointed officials and do not supersede
other rules and laws that govern City officials.
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1.Act in the Public Interest. Recognizing that stewardship of the public
interest must be their primary concern, City Officials should work for the
common good of the people of Cupertino and not for any private or
personal interest, and should assure fair and equal treatment of all persons,
claims, and transactions coming before them.
2.Comply with both the spirit and the letter of the law and City Policy. City
Officials shall comply with applicable federal, state, and local laws in the
performance of their public duties. These include the United States and
California constitutions; the Cupertino Municipal Code; laws concerning
financial disclosures, sources of income, and gifts; conflicts of interest laws;
elections; campaign contributions, incompatible offices, and employer
responsibilities; and open government rules.
3.Conduct of City Officials. The professional and personal conduct of City
Officials while exercising their office should be above reproach and avoid
situations that create the appearance of impropriety. Officials shall refrain
from abusive conduct, personal charges, or verbal attacks upon the character
or motives of other City Officials, City staff, or the public.
4.Respect for Process. City Officials shall perform their duties in accordance
with the processes and rules of order established by the City Council,
including but not limited to the City Council Procedures Manual and the
Commissioner’s Handbook.
5.Conduct at Public Meetings. City Officials should come prepared to
address items and issues at public meetings; listen courteously and
attentively to all public discussions before the body; and focus on the
business at hand.
6.Decisions Based on Merit. City Officials shall base their decisions on the
merits and substance of the matter at hand and the best interests of the City of
Cupertino. When making adjudicative decisions that require determination of
the facts of a particular case and application of the law and rules, decision-
makers should maintain an open mind until the conclusion of the hearing on
the matter and shall base their decisions on the facts presented at the hearing
and the law.
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7.Quasi-Adjudicative Matters. For adjudicative matters pending before the
body, City Officials shall rely on the agenda materials and information
received or presented at the public meeting to support their decision. To the
extent substantive or material information regarding an adjudicative matter is
received outside of a public meeting, decision- makers shall publicly disclose
the circumstances and the outside source of information. Consultation
with the City Attorney is strongly advised to ensure the integrity and legality
of decisions made on adjudicative matters.
8.Conflicts of Interest. City Officials should exercise caution and use their
best efforts to avoid the appearance of impropriety in their actions and
decisions. City Officials shall not participate in any governmental decision
regarding a matter in which they have (a) a material financial interest, or (b)
any other interest that materially interferes with the City Official’s ability to
make an impartial decision in the best interest of the City. In addition, no
City Official shall participate in making any quasi-adjudicatory decision if
the City Official has made statements outside of the quasi-adjudicatory
hearing that demonstrate an unacceptable probability of bias against a
participant in the hearing. Nothing in this Code shall be interpreted to limit
a City Officials’ ability to express their views regarding a matter of public
interest, except as necessary to protect due process rights or otherwise
ensure fair adjudicative decision-making. City Officials shall comply with
all applicable California Fair Political Practices Commission (FPPC)
regulations requiring the reporting and disclosure of economic interests.
Potential conflicts of interest should be discussed with the City Attorney at the
earliest opportunity prior to a public meeting or hearing in order to ensure
time to research and analyze the facts. City Officials are referred to the
Cupertino Municipal Code, Section 2.18.030, which provides, among other
things, that the City Attorney may render informal advice to individual
Councilmembers regarding potential conflicts of interest, as appropriate.
However, Councilmembers are protected from potential liability for a conflict
of interest only upon taking action that complies with a written opinion issued
by the FPPC.
If informed to seek formal advice from the FPPC , a Member shall not
participate in a decision until the FPPC has issued a written opinion that
concludes there is no conflict. The Member shall provide the City Attorney a
copy of the written request to the FPPC and the opinion, and will conform
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their participation to the advice given.
If a conflict of interest exists regarding a particular matter or decision, a City
Official shall not participate in the decision or discuss the matter with other
decision-makers, unless otherwise permitted by law. In addition, even if an
affiliation or relationship with an organization, entity, or individual does not
create a conflict of interest with respect to the decision of a legislative body, a
Member’s affiliation or relationship with any organization, entity, or
individual that would be materially affected by a decision regarding a matter
before the legislative body should be disclosed before the Member
participates in deliberations regarding the matter. A violation of this Code
shall not invalidate a decision of the legislative body, except as otherwise
provided by state or federal law.
9.Gifts and Favors. City Officials shall not take advantage of services or
opportunities for personal gain, by virtue of their public office, which are not
available to the general public. City Officials shall refrain from accepting gifts,
favors, or promises of future benefits that might compromise their
independence of judgment or action or give the appearance of impropriety.
10.Confidential/Privileged Information. Public Officials have a duty to maintain
the confidentiality of privileged documents and communications and the legal
advice provided to or by them, in accordance with the law. This includes
information gathered during a closed session and advice rendered by the City
Attorney. City Officials shall not disclose confidential or privileged information
without proper legal authorization, nor use such information to advance their
personal, financial, or other private interests.
11.Use of Public Resources. City Officials shall not use public resources that are
not available to the public in general (e.g., City staff time, equipment,
supplies, or facilities) for private gain or for personal purposes not authorized
by law.
12.Representation of Private Interests. In keeping with their role as independent
representatives of the City and stewards of the public interest, City Officials
shall not appear on behalf of the private interests of third parties before the
Council or any Commission or proceeding of the City, nor should members of
Commissions appear before their own bodies or before the Council on behalf
of the private interests of third parties on matters related to the areas of
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service of their bodies. This section shall not limit a City Official’s ability to
represent themself in any City proceeding to the extent permitted by law, nor
shall this section limit a City Official’s rights of speech or petition under the
United States or California Constitutions.
13.Advocacy. Members should represent the official policies and positions of the
City Council or Commission to the best of their ability when designated as
delegates for this purpose. When presenting their individual opinions and
positions, Members should explicitly state they are speaking in their personal
capacity and not in their official capacity as members of their respective
bodies. When speaking in their personal capacities, Members should state
their views do not represent their bodies’ official positions. Members
have the right to endorse candidates for Council seats and other elected
offices; however, Members should not mention or display endorsements
during Council meetings, Commission meetings, or other official City
meetings and shall not use public resources for electioneering purposes.
14.Policy Role of Members. Members shall respect and adhere to the Council-
Manager structure of Cupertino City government as outlined in the
Cupertino Municipal Code. In this structure, the City Council determines the
budget priorities and policies of the City with input provided by City staff
and Commissions and the general public. Members shall not interfere with
the administrative functions of the City or the professional duties of City
staff; nor shall they impair the ability of staff to implement Council policy
decisions. Neither Commissioners nor other advisory body Members, nor
advisory bodies as a whole, shall direct the activities City staff or interfere
with the implementation of Council-adopted policies.
15.Independence of Commissions. Because of the value of the independent
advice of Commissions to the public decision-making process, members of
the City Council shall refrain from using their position to unduly influence
the deliberations or outcomes of Commission proceedings and shall comply
with Section 4.6 of the Cupertino City Council Procedures Manual.
16.Positive Workplace Environment. City Officials should support a positive
and constructive workplace environment for City employees and for citizens
and businesses dealing with the City. Members should recognize their
special role with City employees and in no way create the perception of
inappropriate direction to staff.
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CONDUCT GUIDELINES
The Conduct Guidelines are designed to describe the manner in which City
Officials should treat one another, City staff, constituents, and others they
come into contact with while representing the City of Cupertino.
17.City Officials’ Conduct with Each Other in Public Meetings and
Private Encounters
City Officials are individuals with different backgrounds, personalities,
values, opinions, and goals who have chosen to serve in public office to
protect the City’s interests and the wellbeing of the community they serve. In
all cases, this common goal should guide City Officials’ conduct with each
other and with the public, particularly when individuals may not agree on
every issue.
(a)Respect and facilitate the role of the Chair in maintaining order.
It is the responsibility of the Chair of a Council or Commission meeting
to keep the discussion germane to the matter before the legislative body,
to rule out irrelevant discussion, and to ensure civil discussion among
Councilmembers. City Officials should recognize and assist the Chair to
focus discussion on noticed agenda items. If there is disagreement about
the agenda or the Chair’s actions, those objections should be voiced
politely and with reason, and where appropriate, acted upon by the
legislative body following procedures outlined in Rosenberg’s Rules of
Order and the Cupertino City Council Procedures Manual.
(b)Practice civility and decorum in discussions and debate.
Difficult questions, challenges, and disagreements with a particular point
of view, and criticism of ideas and information are legitimate elements of
debate and public discourse of a free democracy in action. Robust
discussion and free debate, however, do not justify making belligerent,
personal, impertinent, slanderous, threatening, abusive, or disparaging
comments.
(c)Work through the Chair to address offensive personal comments.
If a Member is personally offended by the remarks of another Member,
the offended Member should make notes of the actual words used and
call for a "point of personal privilege" that challenges the other member
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to justify or apologize for the language used. The Chair shall maintain
control of this discussion.
(d)Demonstrate effective problem-solving approaches.
City Officials have a public stage and have the responsibility to show
how individuals with different points of view can find common ground
and seek a compromise that benefits the community as a whole.
(e)Continue respectful behavior in private.
The same level of respect and consideration of differing points of view that
is appropriate for public discussions should be maintained in private
conversations.
18.City Officials’ Conduct with the Public in Public Meetings
Making the public feel welcome is an important part of the democratic
process. No signs of partiality, prejudice, or disrespect should be evident on
the part of individual City Officials toward an individual participating in a
public forum. Every effort should be made to be fair and impartial in
listening to public testimony.
(a)Be welcoming to speakers and treat them with respect.
Members’ primary responsibility during public testimony is to listen.
Welcome all public speakers and encourage their active participation in
public meetings by listening to their comments. Avoid engaging public
speakers in debate, and call on the Chair whenever a point of order or
clarification is required.
(b)Be fair and equitable in allocating public hearing time to individual speakers.
Consistent with legal requirements, the Chair should determine and
announce limits on speakers at the start of a public meeting or hearing
process. Time limits for speakers at City Council meetings shall be
consistent with the City Council Procedures Manual.
(c)Practice active listening.
It is disconcerting to some speakers to have Members not looking at
them when they are speaking. It is fine to look down at documents or to
make notes, but reading for a long period of time or gazing around the
room may give the appearance of disinterest. Members should try to be
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conscious of facial expressions, and avoid those that could be interpreted
as "smirking," disbelief, anger, or boredom.
(d)Maintain an open mind.
Members of the public deserve an opportunity to influence the thinking
of elected and appointed officials.
(e)Ask for clarification, but avoid debate and argument with the public.
Only the Chair—not individual Members—can interrupt a speaker
during a presentation. However, a Member can ask the Chair for a
point of order if the speaker is off topic, exceeds the time allotted for
public comment, or engages in behavior or discussion/language that
is disruptive or violates the law.
(f)Avoid personal comments that could offend members of the public.
Whether addressing an individual member of the public or the public at
large, it is never appropriate to make belligerent, personal, impertinent,
slanderous, threatening, abusive, or disparaging comments.
19.City Officials’ Conduct with the Public in Unofficial Settings
(a)Make no promises on behalf of the Council, Commission, or City.
Members will frequently be asked to explain a Council or
Commission action or to give their opinion about an issue as they
meet and talk with constituents in the community. It is appropriate to
give a brief overview of City policy and to refer to City staff for further
information. Members should not overtly or implicitly promise Council
or Commission action or promise that City staff will do something
specific for the constituent.
(b)Make no personal comments about other City Officials.
It is acceptable to publicly disagree about an issue, but it is not acceptable
to make derogatory personal comments about other City Officials.
20.City Officials’ Conduct with City Staff
Governance of a city relies on the cooperative efforts of Councilmembers who
set policy, appointed officials who advise elected officials, and City staff who
implement and administer the Council’s policies. Every effort should be made
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to be cooperative and show mutual respect for the roles and contributions
made by each individual for the good of the community.
The City of Cupertino operates under a Council/Manager form of government
as established in Cupertino Municipal Code Chapter 2.28 whereby the City
Council, acting through a majority of its members, sets policy, and provides
oversight over the administrative services of the City only through the City
Manager. The Council/Manager form of government is intended to provide
the best of unencumbered professional/technical staff input balanced with the
collective oversight of elected officials. Under the Council/Manager form of
government neither the City Council, nor individual Councilmembers, can
give orders to any subordinate of the City Manager. The City Manager takes
their orders and instructions from the City Council only when given at a duly
held meeting of the City Council. No individual Councilmember can give any
orders or instructions to the City Manager.
(a)Treat all staff as professionals.
Clear, honest communication that respects the abilities, experience, and
dignity of individual staff members is expected. Poor behavior towards
staff is not acceptable.
(b)Do not direct or attempt to influence City Manager or staff priorities outside of a
noticed meeting.
Individual Councilmembers and other City Officials shall not direct the
City Manager or other City staff or attempt to influence policy or
administrative actions or priorities. Policy direction and oversight of
administrative activities shall be conducted by a majority of the Council at a
duly noticed City Council meeting.
(c)Do not disrupt City staff from their jobs.
City Officials should not disrupt City staff while they are in meetings,
on the phone, or otherwise performing their job functions in order to
have their individual needs met. Do not attend City staff meetings unless
requested by staff—even if the elected or appointed official does not say
anything, their presence may imply support of a position, show
partiality, or intimidate staff, and may hampers staff’s ability to perform
their job impartially.
(d)Never publicly criticize an individual employee.
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City Officials should not criticize the performance of City employees in
public, to the employee directly, or to the employee’s manager (other
than the City Manager or City Attorney). Comments about staff
performance should only be made to the City Manager or City Attorney
through private correspondence or conversation. The City Manager is
solely responsible for the appointment, discipline, and dismissal of City
employees, except for the City Attorney and City Attorney’s Office staff.
(e)Do not get involved in administrative functions.
City Officials acting in their individual capacity shall not attempt to
influence City staff on the making of appointments, awarding of contracts,
selecting of consultants, processing of development applications, or
granting of City licenses and permits.
(f)Do not solicit political support from staff.
City Officials should not solicit any type of political support (e.g.,
financial contributions, display of posters or lawn signs, name on
support list) from City staff. City staff may, as private citizens with
constitutional rights, support political candidates, but all such activities
must be done away from the workplace and outside of work hours.
(g)Attorney-Client Relationship.
In representing the City, the City Attorney provides advice to City staff
and City Officials. However, in accordance with law and the Rules of
Professional Conduct, the City Attorney represents the City as a
municipal organization, and any attorney-client relationship established
belongs to the City, acting by and through a majority vote of the City
Council. To the extent permitted by law, only the City Council as a body
and not individual Councilmembers can waive the attorney-client
privilege.
21.Council Conduct with Commissions
The City has established several Commissions as a means of gathering more
community input. Citizens who serve on Commissions become more involved
in government and serve as advisors to the City Council. They are a valuable
resource to the City’s leadership and should be treated with appreciation and
respect.
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(a)Avoid unduly influencing Commission meetings.
Councilmembers may attend any Commission meeting, which are
always open to any member of the public. However, it is important for
Commissions to be able to make objective recommendations to the City
Council on items before them. To avoid undue influence on
Commissioners, Councilmembers shall refrain from commenting
during Commission meetings or becoming involved in Commission
deliberations.
(b)Limit contact with Commission Members to clarifying questions.
Councilmembers should not attempt to influence or publicly criticize
Commission recommendations or to influence or lobby individual
Commission Members on any item under their consideration.
It is acceptable for Councilmembers to contact Commission Members in
order to clarify a position taken by the Commission.
(c)Respect that Commissions serve the community, not individual.
Councilmembers.
The City Council appoints individuals to serve on Commissions, and it
is the responsibility of Commissions to follow policy established by
the Council. Commission Members do not report to individual
Councilmembers. Appointment and reappointment to a Commission
should be based on such criteria as expertise, ability to work with staff
and the public, and commitment to fulfilling official duties.
(d)Be respectful of diverse opinions.
A primary role of Commissions is to represent diverse points of view in
the community and to provide the Council with advice based on a full
spectrum of concerns and perspectives. Councilmembers may have a
closer working relationship with some individuals serving on
Commissions, but must be fair and respectful of all Commissioners.
(e)Keep political support away from public forums.
Commission Members may offer political support to a
Councilmember, but not in a public forum while conducting official
duties. Conversely, Councilmembers may support Commission Members
who are running for office, but not in a public forum while conducting
official duties.
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22.Conduct with the Media
(a)The Mayor is the official spokesperson for the City Council on City positions.
The Mayor is the designated representative of the City Council to present
and speak on the official City position. If the Mayor is not available, the
Mayor may designate the Vice Mayor as the City’s designated
representative. If an individual Councilmember is contacted by the
media, the Councilmember should be clear about whether their
comments represent the official City position or a personal viewpoint.
(b)Choose words carefully and cautiously.
Comments taken out of context can cause problems. Be especially cautious
about humor, sardonic asides, sarcasm, or word play. It is never
appropriate to use personal slurs or swear words when talking with the
media.
(c)Media conduct of Commission Members.
Commission Members are not authorized to represent the City to media
outlets (including broadcast, print, and social media sites) outside of
official Commission meetings unless specifically authorized to do so. If
an individual Commissioner or non-Council Committee Member is
contacted by the media, the Member should be clear about whether their
comments represent the official City position or a personal viewpoint.
COMPLIANCE
23.Acknowledgement of Code of Ethics and Conduct.
City Officials should sign an acknowledgement that they have read and
understand the guidelines contained in the Code of Ethics and Conduct.
24.Ethics Training for City Officials.
City Officials must comply with state or City mandated requirements for ethics
training, as set forth in Section 5.6 of the City Council Procedures Manual.
Ethics training must be completed prior to representing the City on
intergovernmental assignments or Council subcommittees. Commissioners who
fail to complete required ethics training shall be subject to removal from office
by the City Council.
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25. Behavior and Conduct.
The Cupertino Code of Ethics and Conduct sets forth guidelines and standards
of ethical conduct desired and expected for members of the Cupertino City
Council and Commissions and other City Officials. City Officials themselves
have the primary responsibility to assure that ethical standards are understood
and met, and that the public can continue to have full confidence in the integrity
of City government. The sanctions authorized by this Code are alternatives to
any other remedy allowed by law to remedy conduct that violates this Code or
state or federal law. Nothing in this Code shall be construed to give rise to a
cause of action against the City or any City Official.
(a) City Council.
Individual Councilmembers should point out to the offending
Councilmember alleged violations of the Code of Ethics and Conduct. If the
offenses continue, then the matter should be referred confidentially to the
City Attorney. Also, should the City Manager or City Attorney believe an
investigation into a Councilmember’s conduct is warranted, they may refer
the matter to the City Council. The City Attorney, in consultation with the
City Manager, shall determine if the alleged violation(s) are supported by
credible evidence and, if so, present the alleged violation(s) to the full City
Council.
(b) Commissioners and Other Members.
Commission or Committee Chairs should report apparent violations of
this Ethics Code to the Mayor, the City Manager, and/or the City
Attorney. Counseling, verbal reprimands, and written warnings may be
administered by the Mayor to Commission and other Members failing
to comply with this Code or with City policy. These lower levels of
sanctions should be kept private to the extent allowed by law.
When deemed warranted, the Mayor or majority of Council may call for
an investigation of Member conduct. Also, should the City Manager or
City Attorney believe an investigation into a Member’s conduct is
warranted, they may refer the matter to the Mayor or Council. The Mayor
or Council should ask the City Manager or the City Attorney to
investigate the allegation and report the findings.
(c) Admonishment, Reprimand, and Censure.
The City Council may admonish, reprimand, or censure any
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Councilmember or other Member for a violation of the Municipal Code,
this Ethics Code, or state or federal law. In addition, the City Council may
impose additional sanctions on Commissioners or non-Council Committee
Members whose conduct does not comply with the City’s policies, up to
and including removal from office.
Prior to the imposition of a penalty of reprimand, censure, or removal
from office, the Member shall be provided advanced notice of the
allegations against them and an opportunity to respond the allegations.
Any form of discipline imposed by Council should be determined by a
majority vote of at least a quorum of the Council at a noticed public
meeting, and such action should be preceded by a report to Council.
IMPLEMENTATION
The Code of Ethics and Conduct is intended to be self-enforcing and is an
expression of the standards of conduct for City Officials expected by the City. It
therefore becomes most effective when City Officials are thoroughly familiar with it
and embrace its provisions.
For this reason, this document should be included in the regular orientations for
candidates for City Council, City Manager, City Attorney, applicants to
Commissions, and other newly elected and appointed City Officials. City Officials
entering office should sign a statement (example below) acknowledging they have
read and understand the Code of Ethics and Conduct. In addition, the Code of
Ethics and Conduct should be periodically reviewed by the City Council and
updated as necessary.
I affirm that I have read and understand the City of Cupertino Code of Ethics
and Conduct for Elected and Appointed Officials.
Signature Date