SR-11-24-2015-3B
City Council
Report
City Council Regular Meeting: November 24, 2015
Agenda Item: 3.B
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To: Mayor and City Council
From: Rick Cole, City Manager, City Manager's Office, Administration
Subject: Adoption of Citywide Code of Ethics
Recommended Action
Staff recommends that the City Council adopt the proposed Code of Ethics and direct
staff to proceed with implementation of the Code and related policies.
Executive Summary
To strengthen the City’s commitment to the highest standards of good governance, staff
is proposing that the Council adopt a values-based Code of Ethics. It is based on the
principles of fairness, transparency, accountability, and integrity. While the organization
has been without a Council-adopted values-based Code of Ethics, the day-to-day
standards of ethical behavior by staff have consistently been high . State law, local law,
and long-standing administrative instructions detail expectations to avoid conflicts of
interests, obligations to remove one from potential conflicts of interest, protections for
whistleblowers, and grievance processes. Yet legal standards set only a minimum –City
staff should always strive for the highest ethical standards. Adoption of a values-based
Code of Ethics would reinforce current behavior and expectations and provide staff with
more resources and training to appropriately handle possible ethical dilemmas. Once
the Code of Ethics is adopted, it would be fully integrated into the organization’s
communications, training programs, and administrative processes.
Background
Development of a formal Code of Ethics was initiated upon staff’s review of the Institute
for Local Governance’s (ILG) “Good Governance Checklist”. This checklist, which was
provided to the Council on August 18, 2015 via an Information Item, maintains that
agency adoption of a values-based Code of Ethics is a good practice to promote public
trust and confidence. The proposed values-based Code of Ethics and implementation
would meet the ILG’s ethics-related expectations, as noted below, with the exception of
including ethics values in the agency’s mission statement because the City of Santa
Monica does not have a mission statement.
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Agency provides information on policies, including ethics policy, upon onboarding
Ethics values are included in the agency’s mission statement
Agency has adopted a value-based Code of Ethics
Ethics are part of agency’s hiring practices and interview process
Agency has adopted a whistleblower protection policy and posted it on the
agency website
Agency supervisors and staff are familiar with legal protections related to
whistleblowing activities and receive ongoing training
Additionally, on July 14, 2015 the Council directed staff to return with proposals for a
comprehensive City of Santa Monica Ethics Code to establish standards of ethical
conduct, to provide guidance on ethical acts, to promote public confidence in the
integrity of the City’s governance and administration, to provide for the consideration of
potential ethical problems before they arise, and to provide for fair and effective
administration and enforcement of the Code.
While the organization has been without a Council-adopted values-based Code of
Ethics, ethical challenges and violations have been few and far between. This is likely
because the City adheres to the ethical standards established by State law, the City
Charter, the Municipal Code and the City’s internal Administrative Instructions. Thus,
cultural expectations for employee behavior have long included maintaining the highest
ethical standards.
State Law
Various state laws establish ethical standards for the conduct of the public's business,
and state law requires that all public officials in the state receive ethics training on these
laws every two years. In Santa Monica, the City Attorney and City Clerk provide this
training. Additionally, on line training is available for those officials who cannot attend
one of the three training sessions conducted biannually by the City.
California laws requiring ethical conduct by public officials include various provisions of
the Penal Code, which, among other things, prohibit bribery an d public corruption.
Additionally, the California Government Code contains various laws that impose ethical
constraints on public officials and employees.
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Primary among these are the Political Reform Act and Government Code section 1090,
which regulate financial conflicts of interest. These two laws prohibit both actual
conflicts of interest and the appearance of such conflicts.
The Political Reform Act prohibits a government official from participating in making a
decision in which she or he has a financial interest. The prohibition applies to actually
making the decision (e.g. voting on the decision), to participating in its making, and to
using official position to influence the decision at any stage of the decision -making
process. Officials who are disqualified from participation by the Political Reform Act are
required to disclose their conflicts publicly and recuse themselves. There are
exceptions to the prohibition against conflicted officials' participation. In addition to the
provisions governing conflicts of interest, the Political Reform Act also establishes
various financial reporting requirements applicable to public officials, candidates, and
proposed ballot measures.
Government Code Section 1090 reflects and codifies the common law prohibition
against "self-dealing" in the context of making contracts. It prohibits a public officer or
employee from participating in the making of any contract in which he or she has a
financial interest. The prohibition contained in Government Code Section 1090 is very
strict. Recusal does not cure potential Section 1090 violations. So, if one member of a
board or commission is disqualified by Section 1090, the entire body is disqualified from
acting on the contract. Moreover, violation of Section 1090 is a felony. The City
Attorney's Office routinely provides advice about the application of Government Code
Section 1090 and the Political Reform Act, and the California Fair Political Practices
Commission processes complaints of violations and provides advice upon request.
State law also prohibits officials from using their government positions or government
information, property or resources for private gain, prohibits a single official from holding
incompatible offices and prohibits the receipt of gifts or discounts (not available to the
general public) from transportation companies. And, in addition to these statutory
provisions, the California common law (the law made in court decisions) also prohibits
officials from using their official positons to serve their private interests.
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The City Charter
City Charter section 1302 reflects state law on conflicts of interest. It prohibits City
Council members, other City officials, and City employees from being financially
interested, directly or indirectly, in any City contract, sale or transaction. If such a
prohibited interest exists, Section 1302 specifies that the contract shall be void.
City Charter Article XXII, commonly referred to as the Oaks Initiative, was adopted by
the voters in 2000 for the purpose of "reducing the corruptive influence of emoluments,
gifts, and prospective campaign contributions on the decision of public officials …".
The measure prohibits a public official from receiving specified personal benefits from a
person or entity after the official votes or takes other action to award a "public benefit"
(such as a land use approval or contract) to that person or entity. The measure requires
the City to provide notice and information about its requirements to all applicants,
bidders, proposers and others seeking discretionary permits, contracts, and other
benefits from the City.
Santa Monica and other cities have challenged this measure in court – not because of
any dispute about the need to prohibit corruption through "kickbacks" but because its
extremely broad wording may, among other things, impinge on constitutional rights,
including rights to participate in the political process and to seek employment.
Nonetheless, the City implements the measure in various ways, which include , but are
not limited to, providing information about the requirements to City contractors and by
keeping track of Council votes which might trigger the measure's requirements (and
thereby preclude receipt of campaign contributions from those benefitting f rom the
votes).
The Municipal Code
The Municipal Code establishes standards for employee behavior. These standards
help ensure that employees behave ethically, and the standards are routinely enforced.
Specifically, section 2.04.420 lists the following types of employee misconduct,
incompetency and/or inefficiency as grounds for suspension, demotion or discharge:
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(a) Conviction of a crime;
(b) Use of excessive force on a person in custody;
(c) Conduct unbecoming an officer or employee of the City, either on or off
duty. In matters of general conduct, officers or employees shall be governed by the
ordinary and reasonable rules of behavior observed by law abiding and self -respecting
citizens, and shall commit no act either on or off duty tending to bring reproach or
discredit to the City;
(d) Violation of any lawful official regulation or order, or failure to obey any
proper direction made and given by an individual acting in a supervisory capacity;
(e) Reporting for duty, or being on duty under the influence of any intoxicant,
or absenting oneself from duty or rendering oneself unfit to perform fully one’s duties for
reasons attributable to, or produced by, use of intoxicants;
(f) Offensive conduct or obscene language in public, or towards the public,
City officials, or employees, either on or off duty;
(g) Incompetency, inefficiency, or repeated inattention to duties in the
performance of job duties;
(h) Carelessness or negligence with the monies or other property of the City,
appropriating to his or her own use any property of the City, or loaning, selling, or giving
away such property without legal authorization;
(i) Using or attempting to use political influence in securing promotion, leave
of absence, transfer, change of rate of pay, or work assignment;
(j) Inducing, or attempting to induce, an officer or employee in the service of
the City to commit an unlawful act or to act in violation of any lawful departmental or
official regulation or order;
(k) Taking for his or her personal use from any person, a fee, gift, or other
valuable thing in connection with official work for the City, when such gift or other
valuable thing is given in the expectation of receiving favored treatment;
(l) Seeking or accepting election, nomination, or appointment, as an officer of
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a political club or organization, or taking any active part in any municipal political
campaign, or seeking signatures to any petition seeking to advance the candidacy of
any person for any municipal office; attempting, while on or off dut y, to influence the
vote of another member on duty for or against any candidate for municipal office;
(m) Willfully making any false statements, certificates, marks, ratings, or
reports, or in any manner committing or attempting fraud against the City.
Administrative Instructions
The City’s administrative instructions detail operational policies and expectations and
currently address ethical behavior. Employees involved in the procurement process
must avoid any and all conflicts of interest, as well as the appearance of a conflict of
interest. Any employee who may have a conflict of interest is expected to notify his or
her supervisor of the possible conflict and disqualify him or herself from influencing the
decision.
Any person who reports a potential ethics issue, whether or not the allegation is found
to have merit, is currently protected from punishment or harassment.
Currently, the City’s response to a perceived ethical violation follows the pre -grievance
process and formal grievance process established in the City’s Administrative
Instruction regarding Preventing Workplace Harassment. An employee who believes
that he or she has witnessed an ethical violation is directed to utilize the same process
used when an employee believes that he or she has been harassed in the workplace.
The process begins with informing the employer, its agents, or supervisors of the
grievance. The next step is to notify the Director of Human Resources and the City
Attorney’s Office. The complainant has the right to initiate a grievance proceeding
pursuant to the grievance section of the employee’s Memorandum of Understanding
with the City. Investigation is then authorized, concluding with a report and prompt and
effective remedial action. A pre-grievance process allows for the resolution of the issue
at the earliest possible date. A formal grievance procedure is used for the resolution of a
complaint if the complaint is not adjusted to the satisfaction of the employee during the
pre-grievance process. This process, along with the conflict of interest policy and
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whistleblower protections, is outlined in the City’s Administrative Instructions.
We Do the Right Thing Right
In 2006 City Manager Lamont Ewell tasked employees with improving the City’s
external customer service. An interdepartmental customer services committee formed
and developed eight standards for interactions with the public and named the effort
“We Do the Right Thing Right”:
We maintain the highest ethical standards.
We are polite, helpful, respectful and understanding at all times.
We solve problems and provide accurate information and timely, responsive
service.
We promote a safe and welcoming environment for the public and staff.
We are sensitive to the special needs of our customers.
We value customer feedback and are committed to continuous improvement.
We provide excellent customer service to our colleagues, which in turn benefits
our service to the public.
We contribute to a sustainable community that meets the needs of current and
future generations.
The program was branded and launched with outreach materials. A mechanism for
“catching” employees “doing the right thing right” was developed. Delivery of customer
service was added to employee performance evaluations. Maintaining the highest
ethical standards has become an embedded value of the organization’s culture.
Discussion
Development of a discrete Code of Ethics was begun at the end of 2014 by the City’s
Management Rotators. Research was conducted to gather other cities’ codes, best
practices, and guidance from professional organizations. This research led towards
development of a draft Code of Ethics which was first presented in January 2015 to a
task force comprised of representatives from the City’s employee bargaining units. In
February 2015, members of the City’s executive team reviewed the draft Code and
gave direction that helped to ground the Code in the organization’s shared values, as
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well as the adopted values of the Police, Fire, and Library departments and be
responsive to guidance from the International City and County Manager’s Association
(ICMA). The draft values-based Code of Ethics was presented to the bargaining unit
task force in April 2015 for review and discussion. Conversation with the representatives
included case studies of common ethical dilemmas and the draft Code’s applicability in
such situations. In May and June over 100 employees from job classifications at all
levels of the organization were engaged in similar discussions about the draft Code and
common ethical dilemmas. Employees were grouped by job function, which allowed
people in different departments with similar jobs to dialogue about case studies
applicable to their work area. These conversations resulted in changes and clarifications
to the Code’s language and highlighted issues to be addressed during implementation.
In July, the Council directed staff to return with proposals for a comprehensive City of
Santa Monica Ethics Code. Through the summer and fall of 2015, staff developed an
implementation plan for Council’s consideration.
Staff is now proposing that the Council adopt the following citywide Code of Ethics.
Fairness
I value all stakeholders, and treat all people with dignity.
I follow City processes and maintain objectivity in my decision making.
I provide equal access to all.
I respect diversity of opinions.
Integrity
I am a guardian of the public’s trust.
I represent the City well, refraining from acts that may bring reproach or discredit
to the City.
I use public resources appropriately, not for private benefit or political purposes.
I decline and do not seek gifts, favors, and other special treatment.
Transparency
I support the public’s right to know by making information accessible.1
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I facilitate public involvement in decision making processes.
I disclose information that may be perceived as a conflict of interest.
Accountability
I accept individual and collective responsibility for my actions.
I adhere to laws, polices, standards of conduct, and report violations.
I am Reliable, Respectful, Resourceful, Responsive, and Reflective.
1. Excludes confidential and legally protected information
The Code of Ethics would apply to Councilmembers, Board and Commission members,
and all City staff, who would be held accountable to these expectatio ns. It would be
included in candidate materials, job and appointment application packets , as well as
supplemental purchasing materials so all parties understand the conduct expected of
City officials and staff.
By and large, Santa Monica employees engage in ethical behavior every day. The City
adheres to the ethical standards established by State law, the City Charter, the
Municipal Code and the City’s internal Administrative Instructions. Staff makes
innumerable decisions in the course of doing their job s which reflect the law and
reinforce the principles of fairness, integrity, transparency, and accountability. The
organization’s culture is embedded with the “We Do the Right Thing Right” principles
and the “5Rs of Teamwork”, which call upon staff to be reliable, respectful, resourceful,
responsive, and reflective. The Oaks Initiative requires that all applicants, bidders,
proposers and others seeking discretionary permits, contracts, or other benefits from
the City of Santa Monica over $25,000 must disclose information about the individuals
seeking a public benefit. Public officials are prohibited from receiving benefits from that
person or entity. Adoption of a values-based Code of Ethics would reinforce current
behavior and expectations and provide staff with more resources and training to
appropriately handle possible ethical dilemmas.
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Training in Place
The curriculum of the City’s Pre-Supervisory Academy, a ten-week course offered three
times a year, already includes discussion about ethics and ethical dilemmas. The class
is led by the Assistant City Manager and the Director of Human Resources. Hundreds of
Santa Monica employees have taken this course and engaged in such discussions. The
class would be modified to include the Council-adopted, values-based Code of Ethics.
Moreover, a new academy for managers and supervisors began this year and includes
a module on ethical behavior and the role of a supervisor when ethical issues are
raised.
New Opportunities
Once the Code is adopted, implementation would begin in earnest. Many of these
efforts would occur simultaneously.
The roll-out of the Code would begin with a challenge to employees to create a name,
tagline, or other memorable description, similar to “We Do the Right Thing Right”, “5Rs
of Teamwork”, or “SMi: A City that Learns”. This ask would help introduce the Code
and its values to the organization, stimulate creative thinking, and create buy-in.
Marketing materials may include videos, posters, or other materials that assist to quickly
and easily integrate the language of fairness, integrity, transparency, and accountability
into the culture.
Cross-departmental conversations about what ethics means and how to respond to
ethical dilemmas would be convened with small groups (7-9 people per group) of
supervisors and managers. Case studies would be used to guide the conversation.
These conversations would reinforce the ethical commitments already in place
throughout the organization and help people to continue to do the right thing themselves
and as they supervise and support their teams. Supervisors and managers would then
have similar conversations with their staff. A library of ethical dilemma case studies
would be created to assist with such discussions.
The Code would be added to:
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Council candidate materials
Applications for Boards or Commissions
Employment applications
New employee orientation packet
Supplemental purchasing materials
Employee performance evaluations
The City of Santa Monica website in multiple locations including the City Clerk’s,
Human Resources and Finance Department pages to alert potential and current
candidates, employees, and persons doing business with the City of the City’s
standards of ethical conduct
The Code would be distributed to:
Elected officials
Appointed Board and Commission members
Staff
New trainings would be added to the City’s established training calendar to address
ethics laws and whistleblower protections. The orientation curriculums for new
employees, elected officials, and appointed officials would include the City’s values-
based Code of Ethics. “Lunch and Learn” sessions would include case studies and
conversations about ethical issues in the organization or the news, such as those in
Bell, Enron, and other places.
Reporting
One of the stated values of the Code is “I adhere to laws, polices, standards of conduct,
and report violations.” This value is proposed to reinforce the concept of individual and
collective responsibility to maintaining an ethical workplace by taking personal
responsibility and holding others accountable. Currently, confidential reports of
suspected violations of the Code of Ethics, including instances of fraud, conflicts of
interest, misuse of public funds and other breeches, may be made to supervisors, to the
Department of Human Resources, or the City Attorney’s office. The project team would
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look to this process as well as additional ways employees and members of the public
might easily and confidentially report alleged unethical behavior.
Reports of unethical behavior are currently handled in the manner outlined in the City’s
Administrative Instruction regarding Harassment in the Workplace. This process would
be evaluated by the Code of Ethics project team and likely serve as a guide for
developing a reporting process and policy specifically for ethical concerns. In addition,
similar processes, such as grievance processes, would be examined.
Moreover, existing administrative instructions would be reviewed and updated and new
instructions would be created to ensure congruency with the adopted Code of Ethics,
reporting procedures, and whistleblower protections, all of which would be posted on
the City’s intranet. Discipline for ethical violations would be guided by the City’s
Municipal Code, Charter, established progressive discipline process, and available legal
action if warranted.
These steps would align the organization with most of the ILG -defined best practices
regarding ethics as stated below:
Officials decline overly generous or duplicative allowances/benefits that could
create public perception issues or present ethical concerns
Orientation of newly elected officials, newly appointed officials and newly hired
staff address the issue of permissible and impermissible uses of public resources
Vendors receive information about ethics standards for doing business with the
Agency
Agency requires top level staff to participate in training on ethics laws and
principles as relevant to their duties within the agency
Staff participates in professional associations that provide guidance on ethics as
it relates to their role in the organization
Next Steps
Upon Council’s approval of the proposed Code of Ethics, staff will finalize the
implementation plan and develop a timeline for each component, with the goal of
moving items forward as swiftly as possible and in some case simultaneously. The
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project team would include staff from the City Manager’s Office, the Human Resources
Department, and the City Attorney’s Office.
Financial Impacts and Budget Actions
There is no immediate financial impact or budget action necessary as a result of the
recommended action. Staff will return to Council if specific budget actions are required
in the future.
Prepared By: Danielle Noble, Deputy City Manager
Approved
Forwarded to Council
Attachments:
A. Supplemental Staff Report for Code of Ethics
B. July 14, 2015 13-item (web link)
C. August 18, 2015 Good Governance Information Item
City Council
Supplemental Report
City Council Regular Meeting: November 24, 2015
Agenda Item: 3.B
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To: Mayor and City Council
From: Rick Cole, City Manager, City Manager's Office, Administration
Subject: Supplemental Staff Report Regarding Code of Ethics Proposal
Recommended Action
Staff recommends that the City Council:
1. Adopt the values-based Code of Ethics, which would be applicable to staff only,
2. Direct staff to implement the Code of Ethics within the organization.
Executive Summary
This supplemental staff report clarifies that staff recommends that the values-based
Code of Ethics would be applicable to staff only. The focus of the recommended
approach, which is the first step in developing a comprehensive Code of Ethics
program, is on promoting an ethical organizational culture and environment by assisting
staff to be aware of ethics, ethical dilemmas, and to deal proactively and responsibility
with such situations. In response to Council’s direction to pursue a “comprehensive City
of Santa Monica ethics code”, staff will return to Council with additional ethics code
recommendations including any that arise from the independent advisor’s review of
Council-manager best practices.
Background
Development of a formal Code of Ethics was originally initiated upon staff’s review of
the Institute for Local Governance’s (ILG) “Good Governance Checklist” in the fall of
2014. On July 14, 2015 the Council directed staff to return with proposals for a
comprehensive ethics code, applicable to City officials, employees, consultants,
candidates and those who do business with the City.
The values-based Code of Ethics proposed by staff draws from established
organizational culture (We Do the Right Thing Right and the 5Rs of Teamwork), existing
policies and procedures, and reflects State and local law. Staff looked at the way other
cities (City of Glendale, City of Huntington Beach, City of Palo Alto, City of Pasadena,
City of San Diego, City of Santa Clara) approach ethics and the guidance offered by a
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number of professional organizations (Institute for Local Government, International
City/County Managers’ Association, CityEthics.org).
Discussion
As a first step in the process of developing a comprehensive City of Santa Monica
ethics code, staff is presenting the Council with the proposed values for adoption, which
were developed through an iterative process with staff, are centered on fairness,
integrity, transparency, and accountability and set expectations about:
Dignity
Equality of access
Diversity
Maintaining the public’s trust
Representing the City of Santa Monica
Use of public resources
Gifts, favors, and special treatment
Providing access to information
Facilitating public involvement in decision making
Conflicts of interest
Disclosure
Personal and collective responsibility
Following the law, city policy, and standards of conduct
Duty to report potential violations
Being a good team member
Staff is not presenting all of the administrative and enforcement components of the
program at this point. Developing administrative and enforcement elements in advance
of Council’s approval of the concepts would not have allowed the Council to be involved
in the process. Instead, staff seeks Council’s adoption of the proposed values and
direction to proceed with the next steps of the program. Implementation would take the
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form of developing new and modifying existing administrative instructions and internal
procedures, creating reporting mechanisms, offering training and other resources, and
leading by example.
The focus of the recommended approach is on initiating an effort to help staff be aware
of ethical dilemmas, expectations for behavior, and to be proactive in their response.
Staff is seeking to promote an ethical organizational culture and environment by
assisting staff to deal responsibility with conflict situations and thus build the public’s
trust in government. That includes facilitating open discussions about ethical matters
among staff, adding training, and ensuring that advice is easily sought and given.
However, when enforcement is necessary, the organization has, and will continue to,
first look to State and local law. Staff are held accountable to the expectations in the
Municipal Code and may face consequences up to and including termination. The City
has administrative instructions regarding conflicts of interest and disclosure
requirements, nepotism, employee political activity, and offers whistleblower
protections; the City Attorney’s Office and Human Resources Department handle such
issues as well as investigations into alleged ethical violations. And, in order to convey
the importance of the Code, the program would led by staff from the City Manager’s
Office (the Assistant to the City Manager) with strong partnership from the Human
Resources Department and City Attorney’s Office.
As a valuable foundation, staff is proposing that the Council adopt a set of shared
values and direct staff to begin implementation of an ethics program for staff. Strategies
and program elements would likely evolve over time. Staff will return to Council as
necessary with additional components of a comprehensive Code of Ethics program.
Independent Advisor
The Council recently authorized engaging an advisor to conduct an independent review
regarding best practices of California charter cities with a Council-manager form of
government. Upon completion of the independent review, staff will consider if additional
components, rules, or the like should be added to the City’s ethics program and return
to Council with additional recommendations.
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Financial Impacts and Budget Actions
There is no immediate financial impact or budget action necessary as a result of the
recommended action. Staff will return to Council if specific budget actions are required
in the future.
Prepared By: Danielle Noble, Deputy City Manager
Approved
Forwarded to Council
Information Item
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Date: August 18, 2015
To: Mayor and City Council
From: Danielle Noble, Deputy City Manager
Subject: The Institute for Local Government’s (ILC) Good Governance Checklist
Introduction
The Institute for Local Government has created a checklist to help local government’s
address two fundamental questions:
1. What practices can a local agency put in place to promote public trust and
confidence?
2. What practices can minimize the risk of missteps that could undermine or
damage this trust and confidence?
Once the Good Governance Checklist has been completed, an agency can determine
their standing in relation to the practices required by law, and those considered best
practices which exceed the minimum statutory requirements. Thus, the checklist can aid
municipal organizations in identifying potential shortfalls in areas related to public trust
and confidence and respond. The City of Santa Monica has completed the checklist,
and this information item is meant to inform the Council of the results.
Background
The Institute for Local Government is an nonprofit 501(c)(3) research and education
affiliate of the League of California Cities and the California State Association of
Counties. The organization’s purpose is to promote good governance throughout
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California at the local level. For over 50 years, the institute has provided local
governments with pertinent information and best practices to facilitate effective public
service.
Discussion
The checklist is divided into four areas:
1. Stewardship of Public Resources
a. Financial Practices
b. Use of Public Resources
c. Procurement
d. Contracting
2. Transparency
a. Open Government Practices
b. Meetings
c. Decision-Making
3. Education, Training, and Personnel
4. Campaigns
The City is compliant with most of the standards listed under “Minimum Standards/Good
Practices” in each of the four areas. Out of the 106 minimum standards, only 12 are
currently unmet:
1. Agency creates and documents accounting policies and procedures
2. Legislative body members make required brief report of meeting attendance at
the agency’s expense at the next meeting of the body
3. Agency institutes a policy for receipt of free tickets/event admissions for officials
and ensures reporting compliance on the FPPC Agency Report of Ceremonial
Role Events and Ticket/Admission Distributions (Form 802).
4. Agency officials maintain regular office hours
5. Agency Report of Appointments (form 806) is posted on agency website
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6. Decision-makers consider potential impacts to the resources of other local, state,
or federal tribal agencies when making decisions.
7. Agency provides information on policies, including ethics policy, upon onboarding
8. Ethics values are included in the agency’s mission statement
9. Agency has adopted a value-based code of ethics
10. Ethics are part of agency’s hiring practices and interview process
11. Agency has adopted a whistleblower protection policy and posted in on the
agency website
12. Agency supervisors and staff are familiar with legal protections related to whistle-
blowing activities and receive ongoing training.
For almost all of the unmet standards, work to meet the standard is in process. Six of
the unmet standards fall into the category of ethics. A Code of Ethics is currently being
developed that will meet the expectations of “Minimum Standards/Good Practices”. The
rest of the items that are not being addressed are simply not applicable to the City. For
instance, one recommendation states an agency should institute a policy to provide
officials with free tickets and event admissions to maintain reporting compliance the
FPPC Agency Report of Ceremonial Role Events and Ticket Admission Distributions;
but, the tickets have not yet met the threshold for reporting under the code. The one
standard that is unmet, applicable to the City of Santa Monica, and not being currently
addressed by the City is:
6. Decision-makers consider potential impacts to the resources of other local, state,
federal or tribal agencies when making decisions
The City does pay heed to the potential impact of the surrounding area, particularly the
western portion of LA County. The consideration of surrounding cities is evidenced by
the City’s active participation in the Westside Cities Council of Governments. However,
there are no specific mechanisms in place to consistently measure the impact of
decisions made by Santa Monica and members of the WCCOG regarding resources
from state and federal agencies.
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The City of Santa Monica is also compliant with the majority of standards listed under
“Beyond the Minimum/Better Practices” in each of the four areas. These standards
essentially represent the best practices to ensure public trust and confidence. Out of the
95 items, 67 were met by the City. Thus there are 28 unmet “Beyond the
Minimum/Better Practices”. The recommendations that are not being addressed relate
to additional training, ethics beyond the minimum, and collaborations with outside
agencies.
1. Managers are given information and training to take responsibility for internal
controls
2. Manager involvement follows GFOA’s best practices including
a. Trainings for all employees
b. Documentation of internal controls
c. Practical means for employees to report management override of
internal controls that could indicate fraud.
d. Periodic evaluation of internal controls
3. Agency officials receive training and information of how to review and/or
comment on a budget and question to ask
4. Staff and elected officials receive periodic reminders on the provisions of the
policy that most likely apply to them
5. Members make a brief report on meetings and conferences attended agency
expense, underscoring the value received.
6. Officials decline overly generous or duplicative allowances/benefits that could
create public perception issues or present ethical concerns.
7. Orientation of newly elected officials, newly appointed officials and newly hired
staff address the issue of permissible and impermissible uses of public resources
8. Vendors receive information about ethics standards for doing business with the
agency
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9. Agency creates a “transparency portal” on its website that provides anticipated
information the public needs from all agency departments in one easy to find
location
10. Agency makes Statement of Economic Interests (Form 700) disclosures
available on agency website
11. Agency makes Ticket/Admission Distribution form (Form 802) available on the
agency website
12. Agency makes Payment to Agency Report (Form 801) available on the agency
website
13. Agencies participating in joint use or shared services provide online access to
documents and materials about cross-agency relationships
14. Agency has or creates youth commissions as an opportunity to connect with
younger generations about public services and needs.
15. Agency collaborates and partners with other local agencies to engage shared
constituencies, through activities such as joint meetings and newsletters.
16. Agency website contains a dedicated page for links to other local, state and
federal agencies, clarifying the functions and services of each agency and makes
referrals to other agencies where appropriate
17. Agency distributes the Local Appointments List broadly through social and print
media, ethnic media, community-based organizations, and clergy and
congregations.
18. Agency publicizes unexpected vacancies broadly through press releases, social
and print media, ethnic media, community-based organizations, and clergy and
congregations
19. Agency staff creates a map of the 500-foot boundaries for each decision-maker
to help him or her determine if there is a potential conflict of interest in a decision
20. When appropriate agency shares training services and costs among neighboring
local agencies
21. Agency conducts join education and information sessions among city, county,
school and special district elected officials about roles, responsibilities and
6
purpose of each local government agency to clarify and raise awareness among
decision-makers
22. When appropriate agency shares training services and costs among neighboring
local agencies (e.g. computer classes for fundamental software programs)
23. Elected and appointed officials receive basic overview training within two months
of assuming position
24. Certificates of compliance are easily accessible to the public and media (for
example posted on the agency website)
25. Agency requires top level staff to participate in training on ethics laws and
principles as relevant to their duties within the agency
26. Compliance is a condition of continuing appointment (for appointed officials) and
reimbursement (elected officials)
27. Agency coordinates with other local agencies to provide AB 1234 training to all
local officials and designated staff, including cities, counties, schools and special
districts
28. Staff participates in professional associations that provide guidance on ethics as
it relates to their role in the organization
Summary
Taken as a whole, the checklist demonstrates the City of Santa Monica’s practices both
maintain and bolster the integrity of the organization. And, the checklist has provided a
clear direction for the City to strengthen its practices to best cultivate public confidence
and trust. Work is underway to meet expectations thus far unmet, most notably the
development of a Code of Ethics. Once the Code is finished and implemented, the City
will have satisfied almost all of the standards that foster public confidence and trust in
not only the services provided, but in the individuals providing the services.
Prepared By: Colin van Loon, Intern
Attachment: The Institute for Local Government’s (ILC) Good Governance Checklist
What practices can a local agency put in place to promote public trust and confidence? What practices can
minimize the risk of missteps that could undermine or damage this trust and confidence?
The Institute for Local Government (ILG) has created a checklist to help elected officials, county
administrative officers, city managers, agency counsel, local agency staff and the community-at-large
answer these fundamental questions. Some of the “good practices” are those necessary to comply with
California law. Others set the agency’s sights higher and take good practices to a level of “better practices.”
Whenever possible, the checklist offers references for further information on a topic.
The checklist is divided into the following areas:
1 Stewardship of Public Resources
(Financial Practices, Use of Public Resources, Procurement and Contracting)
2 Transparency
(Open Government Practices, Meetings, Decision-Making)
3 Education, Training and Personnel
4 Campaigns
This checklist can be used by elected officials and staff to evaluate the current practices of an agency,
identify deficiencies in policy and procedures, set goals and foster communication within the agency about
its practices.
The checklist combines legal requirements included in California law as well as practices suggested by the
following resources:
•Government Finance Officers Association’s best practices, available at www.gfoa.org/best-practices
•Institute for Local Government’s “Ethics Law Compliance Best Practices,” available at
www.ca-ilg.org/ethicsbestpractices
•League of California Cities City Managers Department, “Transparency and Your City
Self-Assessment Checklist,” draft version available at www.cacities.org/Resources-Documents/
Member-Engagement/Professional-Departments/City-Managers/Transparency-Subcommittee/
Transparency-and-Your-City-checklist
•California Special District Leadership Foundation, “District Transparency
Certificate of Excellence Checklist,” available at www.sdlf.org/transparency.htm
•Sunshine Review, “2013 Transparency Report Card,” available at
http://ballotpedia.org/Transparency_report_card_%282013%29
In addition, the League of California Cities helped develop an extensive fiscal assessment tool
designed to probe more extensively into local agency fiscal conditions. This tool is available at
www.californiacityfinance.com/Diagnostic1405.pdf.
Good Governance Checklist:
Good and Better Practices
2
ABOUT THE INSTITUTE FOR LOCAL GOVERNMENT
The Institute for Local Government is the nonprofit 501(c)(3) research and education affiliate of the
League of California Cities and the California State Association of Counties. For more information and
to access the Institute’s resources on ethics visit www.ca-ilg.org/trust. If you would like to access this
resource directly, go to www.ca-ilg.org/goodgovernance.
The Institute welcomes feedback on this resource:
• Email: ethicsmailbox@ca-ilg.org Subject: Good Governance Checklist: Good and Better Practices
• Mail: 1400 K Street, Suite 205 ▪ Sacramento, CA ▪ 95814
THANKS TO OUR SUPPORTERS
The Institute for Local Government would like to thank the following partners for their support:
ACKNOWLEDGMENTS
The Institute appreciates the contributions of the following individuals whose time and effort contributed
to this publication: Rebecca Burleson, City of Signal Hill; Hal Conklin; Shelley Desautels, City of Claremont;
Susan Garcia, City of Lemon Grove; Rod Gould, City of Santa Monica; Brenda Haggard, City of Elk Grove;
Maricela Hernandez, City of Calabasas; Randi Johl-Olson, Legislative Director, California City Clerks
Association; Michael Kasperzak, City of Mountain View; Debra McNay, City of Rancho Cucamonga; Dave
Millican; Beth Minor, City of Palo Alto; Jeanine Plute and Jerryl Soriano, City of Desert Hot Springs; JoAnne
Speers; William C. Statler; and Jeff Vincent, Center for Cities + Schools.
HOW TO USE THIS INFORMATION
Although the Institute endeavors to help local officials understand technical and legal concepts that apply
to their public service, these materials are not technical or legal advice. Officials are encouraged to consult
technical experts, attorneys and/or relevant regulatory authorities for up-to-date information and advice
on specific situations.
Aleshire & Wynder, LLP
Best Best & Krieger, LLP
Burke Williams & Sorensen, LLP
Hanson Bridgett
Kronick Moskovitz Tiedemann & Girard
Liebert Cassidy Whitmore
Meyers Nave
Renne Sloan Holtzman Sakai, LLP
Richards Watson & Gershon
The Institute for Local Government receives funding from a variety of sources. Its public service ethics
program relies on support from private donations like the ones acknowledged above, as well as
publications sales and training fees to produce resources to assist local officials in their service to their
communities.
3
FINANCIAL PRACTICES | GENERAL
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Consistent with generally accepted accounting
principles, agency fully and accurately discloses
both positive and negative financial information
to the public and financial institutions including:
•Summaries of all municipal funds, fund
balances and changes
•Summaries of all municipal revenues and
expenditures
•Five year financial forecast
•General status of reserves and any un-
funded obligations (for example, pension
obligations)
□Agency creates and documents accounting
policies and procedures
Resource:
•www.gfoa.org/documenting-
accounting-policies-and-procedures
□Agency discloses budget and financial
documents on agency website. See Government
Finance Officers Association’s (GFOA) Best
Practice: Using Websites to Improve Access
to Budget Documents and Financial Reports,
available at www.gfoa.org/sites/default/files/
CCIUsingWebsites.pdf
□Agency prepares five year financial forecasts for
both general and other funds, examining issues
such as overall economic trends, environmental
and regulatory risks, unfunded liabilities,
adequacy of fee levels, fund balances, cost
deferrals and infrastructure condition
□Agency officials discuss forecasts, comparing
actual results to forecasts, accompanied by a
broader discussion of risks that could affect core
agency service levels and facilities during public
meetings
□Agency officials and the public they serve are
clear on the financial implications (short and
long term) of the policy and other decisions
being made; management and decision-makers
support a culture of transparency regarding the
agency’s financial situation
□Agency engages in energy efficiency and
conservation measures to save money and
natural resources
Resource:
•www.ca-ilg.org/energy-efficiency-conser-
vation
STEWARDSHIP OF PUBLIC RESOURCES
4
FINANCIAL PRACTICES | INTERNAL AGENCY CONTROLS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency segregates duties among staff to
minimize risk of error or misconduct
□Agency has created a system of authorizations,
approval and verification for transactions
□Diligent reconciliation process requirements are
in place and followed to compare various sets of
data to one another; discrepancies are identified
and investigated and corrective action is taken
when necessary
Resource:
•www.osc.state.ny.us/agencies/ictf/docs/
intcontrol_stds.pdf
□Managers are given information and training to
take responsibility for internal controls
□Manager involvement follows GFOA’s best
practices including:
•Trainings for all employees
•Documentation of internal controls
•Practical means for employees to report
management override of internal controls
that could indicate fraud
•Periodic evaluation of internal controls
Resource:
•www.gfoa.org/getting-management-
involved-internal-control
FINANCIAL PRACTICES | PERIODIC FINANCIAL REPORTS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □A certified public accountant prepares agency
annual financial reports in accordance with
generally accepted accounting principles
□Agency officials receive periodic financial
reports (mid-year at a minimum)
□Reports provide a clear and complete picture of
the agency’s assets and liabilities
□Periodic financial investment reporting occurs in
open meetings
□Agency complies with the Government Finance
Officers Association, financial reporting best
practices. For more information see www.gfoa.
org/conforming-governmental-accounting-
auditing-and-financial-reporting-standards
□Agency posts and archives periodic reports on
the agency website
□Reviewing officials receive training/information
on how to evaluate reports
Resources:
•www.ca-ilg.org/FinancialReportingand
Accounting
STEWARDSHIP OF PUBLIC RESOURCES
5
FINANCIAL PRACTICES | BUDGET
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency makes complete current fiscal year
budget available on agency website
□Agency has a clear capital financing and debt
management policy that addresses how it
selects external consultants such as bond
counsel, financial advisors, trustees, engineering
consultants and underwriters
□Capital financing and debt management policies
address disclosure and relations with rating
service agencies
□Agency complies with Government Finance
Officers Association’s, “Best Practices in Public
Budgeting” available at www.gfoa.org/services/
nacslb/
□Agency makes budgets for the past three years
available on agency website
□Agency officials receive training and information
of how to review and/or comment on a budget
and questions to ask
Resource:
•www.ca-ilg.org/budget-creation-and-
monitoring (materials and informational
video)
□Agency provides information on the budget to
the public through a variety of channels, with an
emphasis on presenting the information in plain
and understandable terms
Resource:
•www.ca-ilg.org/engaging-public-budgeting
□Agency holds public budget workshops to get
community input on perceived needs
FINANCIAL PRACTICES | EXPENSE REIMBURSEMENT POLICY
See Use of Public Resources section below
STEWARDSHIP OF PUBLIC RESOURCES
6
FINANCIAL PRACTICES | AUDITS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency auditing practices meet California State
Controller’s requirements
Resource:
•www.sco.ca.gov/ard_local_info_
resources.html
□Agency secures independent audits of financial
reports no later than 180 days after year end
□Agency fully cooperates with state and federal
audits
□Agency posts most recent audit, including
opinions on internal controls and other matters,
on agency website as well as making such
reports available at libraries
□Agency periodically changes auditors to provide
a fresh view of agency finances (no less than
every six years)1
□Agency governing body meets with auditor to
review results of audit in a full and frank manner
during a public meeting; officials treat any issues
identified as opportunities to improve agency
practices and not as opportunities to blame staff
□Agency auditing practices exceed State
Controller’s requirements
Resource:
•www.sco.ca.gov/ard_local_info_
resources.html
□Auditors review agency procedures for handling
potential conflicts of interests among agency
staff
□Agency posts the past three years’ audits on
agency website
□Agency officials receive information and training
on how to review and comment on an audit
Resource:
•www.ca-ilg.org/audits
STEWARDSHIP OF PUBLIC RESOURCES
7
USE OF PUBLIC RESOURCES* | EXPENSE REIMBURSEMENT
*AGENCY FUNDS AND ANYTHING PURCHASED WITH THOSE FUNDS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency has required travel and expense
reimbursement policies for elected and
appointed officials,2 as well as for staff
Resource:
•www.ca-ilg.org/SampleReimbursement
Policies
□Agency provides the expense reimbursement
policy to all new employees and officials
□Staff carefully and consistently reviews
compliance with expense reimbursement policy
and receives support from top management and
governing body in doing so
□Compliance with expense reimbursement policy
is subjected to independent verification
□Legislative body members make required brief
report of meeting attendance at the agency’s
expense at the next meeting of the body3
□Policy and organizational culture emphasizes the
value of being conservative about using public
resources
Resources:
•www.ca-ilg.org/reimbursementpolicy
•“Buying Meals for Others on the Public’s
Dime” available at www.ca-ilg.org/dime
□Agency posts the expense reimbursement policy
on agency website
□Staff and elected officials receive periodic
reminders on the provisions of the policy that
most likely apply to them
□Members make a brief report on meetings
and conferences attended at agency expense,
underscoring the value received
USE OF PUBLIC RESOURCES* | ALLOWANCES
*AGENCY FUNDS AND ANYTHING PURCHASED WITH THOSE FUNDS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Any allowance (for example, a telephone
or technology allowance) is backed up by
documentation explaining the factual basis for
the allowance
□Officials decline overly generous or duplicative
allowances/benefits that could create public
perception issues or present ethical concerns
STEWARDSHIP OF PUBLIC RESOURCES
8
USE OF PUBLIC RESOURCES* | AGENCY RESOURCES AND EQUIPMENT
*AGENCY FUNDS AND ANYTHING PURCHASED WITH THOSE FUNDS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency adopts policy which takes into account
proscriptions against:
•Gifts of public resources
•Personal use of public resources
•Political use of public resources (see Cam-
paign section below)
□Agency policy is consistently applied
□Staff and elected officials understand and
comply with mass mailing prohibitions4
Resource:
•www.ca-ilg.org/massmailing
□Those with special access to agency equipment
receive training and periodic reminders on
prohibitions of use of agency resources for
personal or political purposes
□Orientation of newly elected officials, newly
appointed officials and newly hired staff address
the issue of permissible and impermissible uses
of public resources
□Agency periodically reminds team members of
policies and proscriptions at relevant time points
(for example, before election season)
□Agency explores opportunities to share limited
resources among a network of local agencies
(cities, schools, special districts, counties, etc.)
to leverage capital and staff resources through
joint training programs, sharing services, and
joint use of facilities and equipment
Resource:
•www.ca-ilg.org/shared-services-
and-joint-use
STEWARDSHIP OF PUBLIC RESOURCES
9
PROCUREMENT AND CONTRACTING | RULES AND POLICIES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency has a transparent and fair process for
selecting with whom it will do business
□Agency complies with state competitive bidding
requirements for public works projects5
□Agency has clear organization-wide standards
and guidelines regarding procurement and
contracting
□Agency has policy for advertising contracts open
for bidding
□Agency has policies in place for the proper
disposal of surplus property – policies are
communicated to staff
□Local officials involved in contracting decisions
receive information and/or training on the laws
prohibiting self-dealing in agency contracts6
□Officials involved in contracting and purchasing
decisions must be included in an agency’s
conflict of interest code and regularly file a
Statement of Economic Interests (Form 700)7
•Form 700 is available at: www.fppc.ca.gov
□Agency completes Agency Report of Consultants
(Form 805)8 and ensures that all consultants
in designated positions complete and file a
Statement of Economic Interests (Form 700)
•Form 805 is available at: www.fppc.ca.gov/
forms/805.pdf
□Agency complies with both the letter and the
spirit of procurement laws and policies, that all
interested parties are given the opportunity to
do business with the agency on an equal basis
□Agency website explains processes for doing
business with the agency
□Agency website includes information about
contract opportunities and Requests for
Proposals (RFPs)
□Vendors receive information about ethics
standards for doing business with the agency
□Agency conducts periodic training and outreach
to educate prospective and current vendors on
the agency contracting process
□Agency engages in climate friendly purchasing
practices
Resource:
•www.ca-ilg.org/climate-friendly-purchasing
□Agency engages in regional or shared bidding
processes among local agencies in a geographic
area to reduce costs.
STEWARDSHIP OF PUBLIC RESOURCES
10
OPEN GOVERNMENT PRACTICES | PROMOTING TRANSPARENCY
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency anticipates information the public needs
concerning the agency’s activities and makes
the information available through a variety of
channels including the agency website
□Local officials and designated staff are current
in making their Statement of Economic Interests
(Form 700) disclosures
•Form 700 is available at: www.fppc.ca.gov
□Agency institutes a policy for receipt of free
tickets/event admissions for officials and ensures
reporting compliance on the FPPC Agency
Report of Ceremonial Role Events and Ticket/
Admission Distributions (Form 802)9
•Form 802 is available at: www.fppc.ca.gov/
forms/802.pdf
□Agency creates a “transparency portal” on its
website that provides anticipated information
the public needs from all agency departments in
one easy to find location
□Agency makes Statement of Economic Interests
(Form 700) disclosures available on the agency
website
□Agency makes Ticket/Admission Distribution
Report (Form 802) available on the agency
website
□Agency makes Payment to Agency Report (Form
801) available on the agency website
•Form 801 is available at: www.fppc.ca.gov/
forms/801.pdf
□Agency uses an electronic filing system to
make posting and completion of the required
disclosures easier
OPEN GOVERNMENT PRACTICES | PUBLIC RECORDS ACT REQUESTS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency adopts policy for handling Public
Records Act requests and makes the policy
available on website and through other channels
□A designated staff member handles all records
requests in order to ensure prompt compliance
with records requests
□(Alternative for Larger Agencies) Designated
staff members within each department receive
training on Public Records Act compliance to
enable the department to properly respond to
such requests.
□Agency accepts online records requests
□Agency anticipates commonly requested records
and posts them on the agency website, including
all Fair Political Practices Commission forms
□Agencies participating in joint use or shared
services provide online access to documents and
materials about cross-agency relationships
TRANSPARENCY
11
OPEN GOVERNMENT PRACTICES | PUBLIC ENGAGEMENT
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency has an easy to use website that makes
public information readily available
□Agency website uses plain language and
minimizes the use of acronyms to ease
understanding
□Agency provides information explaining how the
decision-making process works and how people
can provide input
Resource:
•www.ca-ilg.org/PEOrientations
□Agency engages in regular communications
through a variety of channels to keep the public
up-to-date on agency activities
Resource:
•www.ca-ilg.org/PEstrategiccommunications
□Communications are translated as needed and
distributed to appropriate community groups
Resource:
•www.ca-ilg.org/EthnicMediaInfographic
□Agency officials maintain regular office hours
□Department heads maintain an “open door
policy” for the public
□Residents can subscribe to an e-notification system
for meetings, summaries of actions taken at
meetings, workshops or other events/information
□Agency uses social media and other digital tools
to engage and communicate with the public
Resource:
•www.ca-ilg.org/online-engagement-guide
□Agency uses mobile app for community
members to report issues
Resource:
•www.ca-ilg.org/technology-and-public-input
□Agency develops relationships with community
based organizations, neighborhood groups,
ethnic media and clergy/congregations to
distribute information and solicit input on issues
of potential interest to those groups
Resource:
•www.ca-ilg.org/partnering-communi-
ty-based-organizations
□For potentially controversial and/or complex
issues, the agency creates additional
opportunities for individuals to learn about and
have input into decisions on those issues
Resource:
•www.ca-ilg.org/DeeplyHeldConcerns
□Agency has or creates youth commissions
as an opportunity to connect with younger
generations about public services and needs
Resource:
•www.ca-ilg.org/engaging-youth
□Agency collaborates and partners with other
local agencies to engage shared constituencies,
through activities such as joint meetings and
newsletters
TRANSPARENCY
12
OPEN GOVERNMENT PRACTICES | INFORMATION ABOUT KEY ELECTED AND APPOINTED OFFICIALS AND STAFF
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Contact information, including telephone
numbers, mailing addresses, office locations and
email addresses are available on agency website
and kept current
□Terms of office/appointment and next election
date are disclosed
□Agency Report of Appointments (Form 806) is
posted on agency website10
•Form 806 is available at: www.fppc.ca.gov/
forms/806.pdf
□Website and other communications explain
terms of office and next election/appointment
date for elected and appointed officials
□Materials and information on how to seek
election and appointment are available on
agency website
□Agency website contains a dedicated page for
links to other local, state and federal agencies,
clarifying the functions and services of each
agency and makes referrals to other agencies
where appropriate
OPEN GOVERNMENT PRACTICES | BOARDS AND COMMISSIONS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency complies with California law relating to
creation of a Local Appointments List (Maddy
Act), which is a list of all appointed positions that
expire within the next calendar year. The list
is made available to members of the public by
various means and provided to the local library
with the largest service population11
□Agency posts unexpected vacancies in the
agency’s clerk’s office, the local library with the
largest service population and other locations as
directed by the legislative body12
□Agency posts the Local Appointments List on
the agency website on or before January 2 of
each year
□Agency supports leadership program(s) to
familiarize potential applicants who are thinking
of applying to boards and commissions with
relevant roles and responsibilities
□Agency distributes the Local Appointments List
broadly through social and print media, ethnic
media, community-based organizations, and
clergy and congregations
□Agency publicizes unexpected vacancies broadly
through press releases, social and print media,
ethnic media, community-based organizations,
and clergy and congregations
□Agency encourages local officials to engage in
widespread outreach through their networks
to inform all segments of the community
about opportunities to serve on boards and
commissions
TRANSPARENCY
13
MEETINGS | POLICIES AND PROCEDURES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □All elected and appointed officials have received
information/training related to California’s open
meeting laws13
Resources:
•www.ca-ilg.org/abc
□Chairperson receives training/information about
the role of the chairperson
Resources:
•www.ca-ilg.org/chairmeeting
□All members of the decision-making body
receive training/information about roles,
responsibilities and purpose
□Agency has adopted rules of procedure to
govern meetings that meet the needs of the
agency and the public
Resources:
•www.ca-ilg.org/parliamentarysimplified
□Agency promotes civility in public meetings
Resources:
•www.ca-ilg.org/PromotingCivility
□A statement of basic rules and protocol related
to public participation is included on meeting
agendas and orally stated at the beginning of
public comment period
□Agency engages in processes to enable the
public to understand how to most effectively
communicate concerns about issues before the
agency
Resources:
•www.ca-ilg.org/publicmeetings
MEETINGS | WEBSITE CONTENT
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency posts regular meeting agendas 72 hours
in advance and special meeting agendas 24
hours in advance on agency website14
□Current year meeting minutes and agendas are
available on agency website
□Community members can sign up for email
notices/reminders of public meetings
□Calendar of date, time, location of meetings is
available on the agency website
□Agency posts meeting agendas for regular
meetings earlier than required to enable the
public to understand upcoming issues before
the agency
□Agency makes archives of meeting minutes and
agendas for three years or longer
□Agency makes available live audio/video streams
and archived recordings of meetings available
on the agency website
□Agency posts video recordings of meetings with
relevant accompanying materials
□Agency emails meeting agendas to subscribers
with information on how to view related
materials on the website
TRANSPARENCY
14
DECISION-MAKING | DECISION-MAKERS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □California Fair Political Practices Commission’s
Form 700 (Statement of Economic Interests) is
distributed and collected in a timely manner on
an annual basis (required by law15)
□Decision-makers know where the 500-foot
boundaries are with respect to their various
property interests16
□Officials are advised of prohibitions against self-
dealing in addition to the Political Reform Act17
□Agency staff creates a map of the 500-foot
boundaries for each decision-maker to help him
or her determine if there is a potential conflict of
interest in a decision
DECISION-MAKING | PROCESSES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency has adopted a conflict of interest code
as required by the Political Reform Act18
□Decision-makers receive training on due
process rules applicable to quasi-adjudicatory
(administrative) hearings.
Resources:
•www.ca-ilg.org/bias
□Decision-makers know the agency’s policies for
disclosure of information they receive outside of
adjudicatory hearings
□Agency policies are applied consistently to those
seeking agency approvals, regardless of personal
connections
□Decision-makers listen attentively at public
hearings, particularly adjudicatory hearings
□Decision-makers consider potential impacts to
the resources of other local, state, federal or
tribal agencies when making decisions
□Decision-makers voluntarily abstain when their
ability to make decisions in the public interest (as
opposed to personal or political interests) might
be reasonably questioned
Resource:
•www.ca-ilg.org/abstentions
TRANSPARENCY
15
EDUCATION/TRAINING | ONBOARDING
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency provides materials on duties and
responsibilities for all newly elected and
appointed officials and staff
Resources:
•www.ca-ilg.org/new-local-public-service
□Agency provides information on policies,
including ethics policy, upon onboarding
□Orientation on duties and responsibilities is
available to all newly elected and appointed
officials and staff
Resources:
•www.ca-ilg.org/OrientationMaterials
□When appropriate agency shares training
services and costs among neighboring local
agencies
EDUCATION/TRAINING | ONGOING EDUCATION
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency supports continuing education activities
for staff, appointed and elected officials
(including those that are required by law for
certain professional license-holders)
□Agency requires attendance at sexual
harassment prevention training for elected
officials and those in supervisory positions (two
hours every two years required for those in
supervisory positions)19
□Agency publicizes and makes available resources
to help local officials understand ethics laws
□Agency encourages regular attendance at local
and/or statewide continuing education activities
□Agency plans regular training sessions and
budgets for attendance at trainings
□Agency provides information and guidance on
handling ethical dilemmas in the workplace
□Agency conducts joint education and
information sessions among city, county, school
and special district elected officials about
roles, responsibilities and purpose of each
local government agency to clarify and raise
awareness among decision-makers
□When appropriate agency shares training
services and costs among neighboring local
agencies (e.g. computer classes for fundamental
software programs)
EDUCATION, TRAINING & PERSONNEL
16
EDUCATION/TRAINING | PROMOTING ORGANIZATIONAL ETHICS
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Ethics values are included in the agency’s
mission statement
□Agency has adopted a value-based code of
ethics
Resources:
•www.ca-ilg.org/ethicscodes
□Ethics are part of agency’s hiring practices and
interview process
□Agency values collaboration and partnerships
with other local agencies and community-based
organizations
□Agency’s leadership leads by example by
consistently demonstrating agency’s values
through actions
□When collaborating with other agencies, staff
and leadership show respect and decorum for
the formal and informal processes of partners
and the community, developing and formalizing
agreements when necessary
EDUCATION/TRAINING | ETHICS TRAINING (AB 1234)20
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Elected and appointed officials receive two
hours of ethics training every two years (and
basic overview training within one year of
assuming position)21
•Online training available at:
www.fppc.ca.gov
□All local officials who must receive AB 1234
training are current on their training
□Top level staff voluntarily receives training on
ethics laws and principles as relevant to their
duties within the agency
□Elected and appointed officials receive basic
overview training within two months of
assuming position
□Agency takes steps to make AB 1234 training
meaningful, understandable and helpful
□AB 1234 training is in-person (as opposed to
online) to enable discussion and questions
□Certificates of compliance are easily accessible
to the public and media (for example posted on
the agency website)
□Agency requires top level staff to participate in
training on ethics laws and principles as relevant
to their duties within the agency
□Compliance is a condition of continuing
appointment (for appointed officials) and
reimbursement (elected officials)
□Subsequent trainings are more in depth
examinations of required topics22
□Agency coordinates with other local agencies
to provide AB 1234 training to all local officials
and designated staff, including cities, counties,
schools and special districts
EDUCATION, TRAINING & PERSONNEL
In reference to check box 1, column 2.
Not past practice, but will direct newly
appointed Boards & Commission
members to training with
appointment letter. CAO conducts
training with new Council members.
17
PERSONNEL | PRACTICES AND POLICIES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency has fair and merit based processes in
place for hiring and advancing employees
□Agency consistently makes a concerted effort to
advertise widely for open positions
□Elected officials generally play a role in selection
of chief executive, department heads, agency
counsel, and non-elected or appointed staff and
provide regular guidance and feedback to those
employees
Resources:
•www.ca-ilg.org/Board-Chief-Executive-
Relations
□Officials understand and abide by agency’s
adopted policies relating to who makes hiring
and other personnel decisions relating to
subordinate staff
□Agency has a non-discrimination policy and
abides by its terms
□Agency has adopted and follows an anti-
nepotism policy
□Agency has adopted a whistleblower protection
policy and posted it on the agency website23 (see
Speaking Truth to Power section below)
□Agency has adopted policies regarding second
jobs and other potentially incompatible
activities24
□Agency posts compensation and benefits
information for all officials and employees on
the agency website
□Agency completes salary comparison/
benchmarking for staff positions using a
reputable salary survey every five years - agency
posts summary of results on agency website
EDUCATION, TRAINING & PERSONNEL
18
PERSONNEL | INCENTIVES FOR SPEAKING TRUTH TO POWER25
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency has an adopted policy clearly explaining
procedures for reporting and investigating
allegations of misconduct and protection of
those that report misconduct
□Unlawful conduct is dealt with swiftly, firmly and
consistently within the agency
□Agency supervisors and staff are familiar with
legal protections related to whistle-blowing
activities and receive ongoing training
Resource:
•www.ca-ilg.org/whistle
□Agency supports employees who bring forward
truthful, but potentially unwelcome, unsolicited,
unpopular or difficult information to the
attention of relevant decision- makers
□Governing bodies encourage chief executive
and financial staff to regularly analyze financial
trends for areas of potential concern/risks so the
body can discuss and address them
□Staff participates in professional associations
that provide guidance on ethics as it relates
to their role in the organization - for a list
of local agency professional associations
with ethics codes see www.ca-ilg.org/
associationsethicscodes
PERSONNEL | CHIEF EXECUTIVE
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency chief executive has a college degree in
relevant field and a minimum of five years of
broad-based management experience
□Chief executive is or is willing to become a
member of the International City/County
Management Association (ICMA) in good
standing and adheres to ICMA’s declaration of
ideals. For more information see www.icma.org
□The hiring process includes ethics questions in
interviews
Resource:
•“Promoting Personal and Organizational
Ethics” available at www.ca-ilg.org/ppoe
PERSONNEL | AGENCY COUNSEL
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency counsel is an active member of the
California State Bar in good standing with at
least five years’ experience in municipal law. See
www.calbar.ca.gov
□Agency counsel is familiar with and adheres to
the California State Bar’s Rules of Professional
Conduct. See www.calbar.ca.gov/ethics
□The hiring process includes ethics questions in
interviews
□Agency counsel acts in accordance with the
ethical principles and values set forth by the
agency and other relevant organizations. For
example, “Ethical Principles for City Attorneys”
available at www.cacities.org/attorneys
EDUCATION, TRAINING & PERSONNEL
19
PERSONNEL | AGENCY CLERK
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Agency clerk is or is willing to become a member
of the International Institute of Municipal Clerks
(IIMC) in good standing and adheres to IIMC’s
code of ethics. For more information see
www.iimc.com
□Agency encourages clerks to engage in
education, mentorship and professional
development activities through the California
Clerk of the Board of Supervisors Association
and the California City Clerks Association
Resources:
•www.ccbsa.net
•www.californiacityclerks.org
EDUCATION, TRAINING & PERSONNEL
20
CANDIDATES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Candidates for the governing board receive
information on how to comply with campaign
laws26, including local requirements and
restrictions27
□Agency distributes California’s Code of Fair
Campaign Practices to all candidates28
□Agency provides candidates with information
about ethics laws, including conflicts of interest,
incompatible offices and governmental
transparency requirements that will be relevant
to their service if elected
Resource:
•www.ca-ilg.org/CandidatePamphlet
□A pledge of fair campaign practices is distributed
to and signed by all candidates. Available at
www.ca-ilg.org/campaigncodes
□Agency supports one or more leadership
programs to familiarize potential candidates
who are thinking of running for office with local
issues and decision-making practices
OFFICIALS AND EMPLOYEES
Minimum Standards/Good Practices Beyond the Minimum/Better Practices □Officials and employees are advised of
prohibitions relating to campaign fundraising
directed at agency staff29
□Officials and employees are advised of
restrictions relating to political activities of
public employees30
□Officials and employees are reminded of the
proscriptions against political use of public
resources including the use of equipment,
photocopying, or mailing of campaign related
materials at the public’s expense31
Resources:
•www.ca-ilg.org/massmailing
•The Fair Political Practices Commission fact
sheet on prohibited mass mailings available
at www.fppc.ca.gov
□Agency provides trainings to officials and
employees on prohibitions and restrictions on
the political activities of public employees
CAMPAIGNS
21
References and Resources
Note: Sections in the California Code are accessible at http://leginfo.legislature.ca.gov/.
Fair Political Practices Commission regulations are accessible at www.fppc.ca.gov/index.php?id=52. A source
for case law information is www.findlaw.com/cacases/ (requires registration).
1 See Cal. Gov’t. Code § 12410.6 (“a local agency shall not employ a public accounting firm to provide
audit services to a local agency if the lead audit partner or coordinating audit partner having
primary responsibility for the audit, or the audit partner responsible for reviewing the audit, has
performed audit services for that local agency for six consecutive fiscal years.”).
2 Cal. Gov’t Code § 53232.2.
3 Cal. Gov’t Code § 53232.3.
4 Cal. Gov’t Code § 89001; 2 Cal. Code Regs §§ 18901-18901.1.
5 See Cal. Pub. Cont. Code §§ 20121-20123, 20162-20163.
6 See Cal. Gov’t Code § 1090.
7 See 2 Cal. Code Regs. § 18730.
8 Available at www.fppc.ca.gov/forms/805.pdf.
9 See 2 Cal. Code Regs. § 18944.1.
10 See 2 Cal. Code Regs. § 18705.5.
11 Cal. Gov’t Code §§ 54970-54973.
12 Cal Gov’t Code § 54974.
13 Cal. Gov’t Code § 54950 and following.
14 Cal. Gov’t Code § 54954.2.
15 2 Cal. Code Regs. § 18723.
16 See 2 Cal. Code Regs. § 18705.2(a)(11), (A financial effect in which an official has a financial interest,
other than a leasehold interest, is material whenever the governmental decision would consider
any decision affecting real property value located within 500 feet of the property line of the official’s
real property unless the FPPC provides written advice of the determination that there will be no
reasonably foreseeable measurable impact on the official’s property).
17 See Cal. Gov’t Code § 1090.
18 See Cal. Gov’t Code §§ 87300-14.
19 Cal. Gov’t Code § 12950.1.
20 Cal. Gov’t Code § 53235 requires ethics training for specified local government officials. For more
information see www.ca-ilg.org/ab1234compliance.
21 See Cal. Gov’t Code § 53235(a), (b).
22 See California Attorney General’s Guidelines, available at http://oag.ca.gov/ethics.
23 See Cal. Lab. Code § 1101-06.
24 See Cal. Gov’t Code §1126.
25 Aaron Wildavsky, Speaking Truth to Power: The Art and Craft of Policy Analysis (Boston: Little,
Brown, 1979).
26 See generally Cal. Gov ’t Code §§ 84100 – 84511.
27 See Cal. Gov’t Code § 81009.5 (Local government agencies that have adopted campaign finance
ordinances must submit a copy to the FPPC). Copies or links to these ordinances are posted on the
FPPC website at www.fppc.ca.gov/index.php?id=9.
28 Cal. Elect. Code §§ 20440-20444.
29 See Cal. Gov’t Code § 3205.
30 See Cal. Penal Code § 424; Cal. Gov’t Code § 8314.
31 Cal. Penal Code § 424; Cal. Gov’t Code §§ 8314, 89001; 2 Cal. Code Regs. § 18901.1.