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(1) Agency. Any office, department, board, commission, or other entity that is part of the government of the City, including City Council.
(3) Board. Board of Ethics.
(4) Board or commission member. A member of any City of Philadelphia board or commission established by The Philadelphia Home Rule Charter, The Philadelphia Code, or an Executive Order.
(5) Business. Any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust or legal entity organized for profit.
(6) City. City of Philadelphia.
(7) Commodity. Any movable or tangible thing that is produced or used as the subject of barter or sale.
(8) Family member. A parent, spouse, life partner, child, brother, sister or like relative-in-law.
(9) Financial Interest. An interest involving money or its equivalent or an interest involving any right, power or privilege that has economic value.
(10) Gift. A payment, subscription, advance, forbearance, rendering or deposit of money, services or anything of value given to, or for the benefit of, an officer or employee, unless consideration of equal or greater value is received. "Gift" shall not include a political contribution otherwise reportable as required by law, a commercially reasonable loan made in the ordinary course of business, or a gift received from a Family member of the individual or from a relative within the third degree of consanguinity of the individual or of the individual's spouse or Life Partner, or from the spouse or Life Partner of any such relative.
(11) Government entity. Any agency, office, department, board, commission, authority, or other entity that is part of the United States or a State, local, or foreign government.
(12) Income. Any money or thing or value received, or to be received as a claim on future services, whether in the form of a fee, salary, expense, allowance, forbearance, forgiveness, interest, dividend, royalty, rent, capital gain or any other form of recompense or any combination thereof.
(13) Indirect Interest in Real Estate. Any business entity the assets of which are eighty percent (80%) or more in real property.
(15) Major life event. Marriage, separation from City employment, birth or adoption of a child, death or serious illness of a family member, 25th or 50th wedding anniversary, a ceremony celebrating a religious or cultural life cycle event such as baptism, first communion, or bar mitzvah, or a similarly rare and significant event in someone's life.
(16) Money or monetary gifts. Cash, checks, money orders, or the equivalent, including pre-paid debit or gift or credit cards.
(17) Official action. An act or omission taken by an officer or employee in his or her official capacity that requires discretion and is not ministerial in nature.
(18) Officer or Employee. Any person who is elected or appointed to a position in any branch of the government of the City and/or County of Philadelphia or to any elected or appointed position which serves the City and/or County of Philadelphia including, but not limited to, members of agencies, authorities, boards and commissions however elected or appointed; persons serving full-time or intermittently; persons serving with or without compensation.
(19) Part-time Service. Service rendered by any City officer or employee who is not employed by the City on a full-time basis in any capacity. This shall include members of agencies, authorities, boards and commissions who are paid on the basis of each meeting attended.
(20) Person. A business, individual, corporation, non-profit, union, association, firm, partnership, committee, political committee, club, or other organization or group of persons.
(21) Reception. An afternoon or evening event at which only items such as appetizers, beverages, or light fare are served or a morning event at which items such as coffee, juice, pastries, or bagels are served.
(22) Relative within the third degree of consanguinity. An individual's family members and grandparent, grandchild, great-grandparent, great-grandchild, aunt who is a sister of a parent of the individual, uncle who is a brother of a parent of the individual, nephew who is a child of a brother or sister of the individual, or niece who is a child of a brother or sister of the individual.
(23) Security. Any contract, transaction or scheme whereby a person invests his money in a common enterprise and there is an expectation of profit solely through the efforts of a third party. The term security shall include, but not be limited to, any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas or other mineral rights, or, in general, any interest or instrument commonly known as a "security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, warrant or right to subscribe to or purchase, any of the foregoing.
(24) Solicit. To directly or indirectly request, ask, appeal for, or demand any gift, cash or otherwise, that falls within the confines and definitions of this Chapter.
(25) Subordinate. An officer or employee is the subordinate of his or her superior and of his or her superior's superiors.
(26) Superior. An officer or employee whose official duties include directing or evaluating the performance of an officer or employee and any superior of that officer's or employee's superior.
(27) Transactions Involving the City. Any proceeding, application, submission, request for a ruling, or other determination, contract, lease, claim, case, award, decision, decree, judgment or legislation including ordinances and resolutions or other particular matter which the City officer or employee in question believes, or has reason to believe (a) is or will be the subject of City action; or (b) is one to which the City is or will be a party; or (c) is one in which the City has a direct proprietary interest. This shall not include routine applications or requests for routine information or other matters which are of a ministerial nature and do not require the exercise of discretion on the part of any City officer or employee.
Notes
| 36 | Amended, Bill No. 140054-A (approved March 31, 2014). |
(1) (a) No member of the Council nor other City officer or employee shall assist another person by representing him directly or indirectly as his agent or attorney, whether or not for compensation, in any transaction involving the City. This Section shall not apply to any assistance rendered by any member of Council or other City officer or employee in the course of or incident to his official duties, or to any person who holds any City office or position who is not compensated for his service by the City. Subject to subsection 20-602(4).
(b) No member of Council or other City officer or employee shall accept any fee from anyone for referring any matter to another person where the member of Council or other City officer or employee would be barred from assisting or representing them under this ordinance.
(2) An uncompensated City officer or employee or a compensated City officer or employee whose service is part-time (excluding members of City Council or other City officers or employees who are paid on an annual basis) is subject to the foregoing subsection only in relation to a particular matter (a) in which he has at any time participated through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or (b) which is pending in the department, agency, authority, board or commission of the City in which he is serving.
(3) A member of Council or other City officer or employee may take uncompensated action, not inconsistent with the faithful performance of his duties, to aid or assist any person who is the subject of disciplinary, or other personnel administration proceedings with respect to those proceedings.
(4) A member of the Council or any other City officer or employee may act, with or without compensation, on his own behalf or as agent or attorney for, or otherwise aiding or assisting, his parents, spouse, Life Partner, child, brother, sister or any person for whom he is serving as guardian, executor, administrator, trustee, or other personal fiduciary, except in those matters in which he has participated personally as a member of Council, City officer or employee, through decision, approval, disapproval, recommendation, the rendering of advice, investigation, or otherwise, or which are the subject of his official responsibility. 37
(5) No member or employee of a partnership, firm, corporation, or other business organization or professional association organized for profit of which a member of the Council or other City officer or employee is a member shall represent any person directly or indirectly as agent or attorney in any matter in which such member of the Council or other City officer or employee has the responsibility for decision, approval, disapproval, recommendation, the rendering of advice, investigation or otherwise determining such matters, unless such member of the Council or other City officer or employee shall disclose such fact and disqualify himself from such responsibility in the manner set forth in Section 20-608.
Notes
| 37 | Amended, Bill No. 110716 (approved December 21, 2011). |
(1) No person who has served for compensation as a member of Council, City officer or employee shall assist, at any time subsequent to his City service or employment, another person, with or without compensation, in any transaction involving the City in which he at any time participated during his City service or employment.
(1) No City officer or employee shall accept or receive gifts worth more than ninety-nine dollars ($99) in the aggregate per calendar year or any gifts of money from any person who is seeking official action from that officer or employee or who has a financial interest at the time, or in close proximity to the time the gift is received, which the officer or employee is able to substantially affect through official action. An officer or employee may not solicit gifts of any value from a person who is seeking official action from that officer or employee or who has a financial interest the officer or employee is able to substantially affect through official action.
(2) No person shall offer, make or render gifts worth more than ninety-nine dollars ($99) in the aggregate per calendar year or any gifts of money to any City officer or employee if the person is seeking official action from that officer or employee or has a financial interest at the time, or in close proximity to the time the gift is received, which the officer or employee is able to substantially affect through official action.
(3) An officer or employee may accept, but not solicit, the following gifts, notwithstanding that the person giving the gift may be seeking official action from that officer or employee or may have a financial interest the officer or employee receiving the gift is able to substantially affect through official action:
(a) Hospitality provided at a residence when the donor or a family member of the donor is present;
(b) Food, beverages, or entertainment provided at a reception for which attendees do not have to purchase a ticket;
(c) Rebates or discounts offered to members of the general public or a class of persons, including rebates or discounts offered to a class of officers or employees;
(d) Gifts resulting solely from the officer's or employee's membership in a bona fide charitable, professional, educational, labor, or trade organization;
(e) Free attendance at an event celebrating a major life event of another individual, for which attendees do not have to purchase a ticket;
(f) Food and beverages provided to all participants in the ordinary course of a meeting where the food and beverages are provided at the site of the meeting;
(g) Food and beverages provided by a superior, subordinate, or other co-worker and consumed as part of an office or agency event;
(h) Gifts resulting solely from the officer's or employee's outside employment;
(i) Gifts resulting solely from the officer's or employee's life partner's or spouse's business or employment activities;
(j) Free admission to political events, including food and beverages, if the officer or employee is permitted to engage in political activity in coordination with candidates, political parties, or partisan political groups;
(k) Payment or reimbursement of an officer's or employee's reasonable expenses for admission, travel, lodging, or food and beverage related to attendance at an event, convention, conference, seminar, or fact-finding trip that will benefit the City and is reasonably related to the officer's or employee's official duties or expertise.
(l) Tickets for public events given to an elected officer or employee that the elected officer or employee does not personally make use of and gives to members of the public, who shall not include a family member of the officer or employee or a member of the officer's or employee's government or campaign staff.
(m) A gift from a government entity.
(4) Other Limitations On Gifts.
(a) No person shall give a gift to an officer or employee through another person if this Ordinance would prohibit the person from giving the gift directly to the officer or employee.
(b) A gift to another person is a gift to an officer or employee if the officer or employee solicits the gift and receives a financial benefit from it.
(c) If a person offers an officer or employee a gift prohibited by this Ordinance, the officer or employee shall not suggest or request an alternative recipient, such as a charity.
(5) Valuation of Gifts.
(a) The value of a gift is the retail cost the officer or employee would incur to purchase the gift. An officer or employee who does not know the retail cost of a gift shall estimate the retail cost by reference to similar items of like quality.
(b) The value of a ticket entitling the holder to food, refreshments, entertainment, or any other benefit shall be the face value of the ticket.
(6) Written Approval.
(a) Elected officers and board and commission members. An elected officer or a board or commission member does not need to obtain written approval in order to accept a gift pursuant to subsection (3)(k) 39 of this Section.
(b) Heads of Executive Branch agencies. The head of an Executive Branch agency must obtain written approval from either the Mayor or the Mayor's designees prior to accepting a gift pursuant to subsection (3)(k) 40 of this Section. The written approval must identify the date of the receipt and nature of the gift and describe how the officer's or employee's participation or attendance will benefit the City and is related to his or her official duties and/or expertise.
(c) Most officers and employees. Any officer or employee not covered by subsection (6)(a) or subsection (6)(b) 41 must obtain written approval from the head of his or her agency, or the agency head's designee, prior to accepting a gift pursuant to subsection (3)(k) 42 of this Section. The written approval must identify the date of the receipt and nature of the gift and describe how the officer's or employee's participation or attendance will benefit the City and is related to his or her official duties and/or expertise.
(d) Factors relevant to determining whether an officer's or employee's attendance at an event, convention, conference, seminar, or fact-finding trip will benefit the City and is reasonably related to the officer or employee's official duties or expertise include but are not limited to:
(.1) Whether the officer or employee is scheduled to deliver a speech, make a presentation, serve on a panel, or otherwise represent the City in his or her official capacity; and
(.2) Whether the officer or employee will receive training or information that he or she can use to fulfill his or her official duties.
(7) The Board shall not impose a civil penalty on an officer or employee who receives a gift restricted by this Ordinance if he or she within three days of receiving the gift:
(a) If the gift is perishable and it is not practicable to return it to the donor, donates the gift to charity, shares it with co-workers, or destroys it; or
(b) Notifies the Board's Executive Director by postal mail or e-mail that he or she has returned the gift to the donor or paid the donor the full value of the gift and provides the following information:
(.1) The officer's or employee's name and title;
(.2) The source of the gift;
(.3) The date the gift was received or accepted; and
(.4) The date the gift was returned or paid for, and, if paid for, the amount paid.
Notes
| 38 | Amended, Bill No. 140054-A (approved March 31, 2014). |
| 39 | Enrolled bill read "...pursuant to 3(k)...." |
| 40 | Enrolled bill read "...pursuant to 3(k)...." |
| 41 | Enrolled bill read "...covered by § 6(a) or § 6(b)...." |
| 42 | Enrolled bill read "...pursuant to 3(k)...." |
No person shall, directly or indirectly, communicate in any way with any member of any board, agency, authority or commission of the City as to any adjudicative matter which is, or which may reasonably be, expected to be pending before such board, agency, authority or commission for the purpose of influencing said member of such board, agency, authority or commission, unless a full disclosure of such communication is simultaneously made available to the other party or parties in interest with respect to such matter. This shall not apply to any communication by a member of Council or by any other City officer or employee in the performance of his official duties.
(1) Powers and Duties.
(a) Rules and Regulations. The Board shall promulgate rules and regulations as are necessary to implement and interpret the provisions of this Chapter consistent with the goal of providing clear guidance regarding standards of conduct and ethics.
(b) Mandatory Training and Education.
(.1) The Board shall have the responsibility of training and educating all City officers and employees regarding the standards of conduct and ethics. In fulfilling this responsibility, the Board shall prepare and disseminate educational materials regarding the provisions contained within this Chapter and related interpretive regulations, including a Code of Ethics Manual, and shall develop and conduct routine and mandatory educational and training programs for all City officers and employees. The Board shall consult with City departments and agencies in developing and conducting routine and mandatory educational and training programs for all City employees. Failure to attend a mandatory ethics program shall be deemed a violation of this Chapter.
(.2) Within sixty (60) days of the effective date of the Ordinance adding this provision to The Philadelphia Code, each head of a City department shall provide a copy of this Chapter to all employees under his or her direction. Thereafter, on or before the tenth day after an individual becomes a City officer or employee, each head of a City department shall provide a copy of this Chapter to all such new officers or employees. Upon receipt of a copy of this Chapter, the City officer or employee shall sign a written statement that such officer or employee has read and shall conform with the provisions of this Chapter, and this statement shall be placed in the City officer's or employee's personnel file. Failure of a City officer or employee to receive a copy of this Chapter, failure to receive and sign such written statement, or failure to maintain the written statement on file shall have no effect on the duty of the City officer or employee to be in compliance with this Chapter.
(.3) Within one year of the effective date of the Ordinance adding this provision to The Philadelphia Code and annually thereafter, all elected City officers, all cabinet members, all City department heads, and all board and commission members, and their respective staff members as determined by the Board based on staff position, shall participate in an educational and training program conducted by the Board. Failure to attend the mandatory ethics program shall be deemed a violation of this Chapter.
(.4) The Board shall develop procedures for all City officers and employees to obtain informal guidance and assistance in understanding and maintaining compliance with the standards of conduct and ethics.
(c) Ethics Training and Education for Businesses. The Board shall develop, in conjunction with the Procurement Commissioner, a code of business ethics manual and conduct education and training programs for use by all businesses who may conduct business with the City.
(d) Advisory Opinions.
(.1) The Board shall render advisory opinions with respect to all matters pertaining to the standards of conduct and ethics. An advisory opinion shall be rendered on the request of a City officer or employee or a supervisor of such City officer or employee and shall apply only to such City officer or employee. The request shall be in such form as the Board may require and shall be signed by the person making the request. The opinion of the Board shall be based on such facts as are presented in the request or subsequently submitted in a written, signed document.
(.2) Advisory opinions shall be issued only with respect to proposed future conduct or action by a City officer or employee. A City officer or employee whose conduct or action is the subject of an advisory opinion shall not be subject to penalties or sanctions under this Chapter by virtue of acting or failing to act due to a reasonable reliance on such opinion, unless material facts were omitted or misstated in the request for the opinion. The Board may amend a previously issued advisory opinion after giving reasonable notice to the City officer or employee that it is reconsidering its opinion; provided that such amended advisory opinion shall apply only to future conduct or action of the City officer or employee.
(.3) The Board shall make public its advisory opinions with such deletions as may be necessary to prevent disclosure of the identity of any City officer or employee or other involved party in accordance with regulations promulgated by the Board.
(e) Financial Disclosure.
(.1) All Statements of Financial Interest required pursuant to Section 20-610 shall be filed with the Board.
(.2) The Board shall issue rules and regulations concerning the filing of Statements of Financial Interest for the purpose of ensuring compliance by all City officers and employees with the applicable provisions of financial disclosure law. The Board shall investigate any instances of non-compliance and take appropriate action.
(f) Complaints.
(.1) The Board shall receive written complaints alleging violations of this Chapter. All such complaints must be signed by the complainant and the Board shall preserve the confidentiality of the complainant and keep information, records and proceedings relating to an investigation confidential at all times.
(.2) Whenever a written complaint is received by the Board, it shall:
(.a) Dismiss the complaint if it determines that no further action is required by the Board;
(.b) Investigate internally;
(.c) Make an initial determination as to whether there is probable cause to believe that a City officer or employee has violated a provision of this Chapter and, if so, proceed to adjudicate the matter in accordance with the regulations promulgated under subsection (g) of this Section; or
(.d) Refer the alleged violation of this Chapter to the head of the City agency in which the City officer or employee serves if the Board deems the violation to be minor or if related disciplinary charges are pending against the City officer or employee; or
(.e) Refer the alleged violation to the Inspector General or other appropriate enforcement authorities.
(g) Investigations and Referrals.
(.1) The Board shall have the power to conduct an investigation of any matter related to the Board's responsibilities under this Chapter.
(.2) Whenever a City agency receives a complaint alleging a violation of the provisions of this Chapter or determines that a violation of this Chapter may have occurred, it shall refer such matter to the Board. Such referral shall be reviewed and acted upon by the Board in the same manner as a complaint received by the Board under subsection (e) of this Section.
(h) Adjudication. The Board shall, by regulation, provide for adjudication of alleged violations of this Chapter; or Section 10-102, 10-105 or 10-107 of the Home Rule Charter (relating to City Officers and Employees; Gratuities; and Political Activities); insuring in each case that notice and an opportunity to be heard are provided prior to any final decision by the Board. If the Board finds that there has been a violation of this Chapter it may impose penalties pursuant to Section 20-612. If the Board finds that there has been a violation of Section 10-102, 10-105 or 10-107 of the Charter, it may impose penalties pursuant to Section 10-109 of the Charter (relating to Penalties), provided that no penalty set forth in Section 10-109 other than a monetary penalty shall be issued in an adjudication under this subsection (h). Findings and decisions of the Board on any actions taken by the Board shall be final and there shall be no further appeal other than to court as provided by law. 44
(i) Confidentiality. Except as otherwise provided in this Chapter, the records, reports, memoranda and files of the Board shall be confidential and shall not be subject to public inspection, except as otherwise provided by law. Also, no person shall disclose or acknowledge to any other person any information relating to a complaint, investigation, referral or pending adjudication, except as otherwise provided by law.
(j) Retaliation and Interference Prohibited. No person shall discharge, change the official rank, grade or compensation, deny a promotion, or threaten any of these actions, or in any other manner discriminate or retaliate against another person for filing a complaint with, requesting advice from, or providing information to the Board, or for otherwise participating in any Board proceeding. No person shall interfere with or obstruct any Board inquiry, investigation, hearing, or other proceeding, nor shall any person interfere with or obstruct any other person from participating in any Board inquiry, investigation, hearing, or other proceeding. 45
(k) Frivolous Complaints. If an officer or employee has reason to believe a complaint to the Board is frivolous, or without probable cause and made primarily for a purpose other than that of reporting a violation of this Chapter, or a person publicly disclosed or caused to be disclosed that a complaint against an officer or employee has been filed with the Board, the official or employee shall notify the Board and the Board shall conduct an investigation.
(l) Annual Report and Recommendations.
(.1) The Board shall submit an annual report to the Mayor and City Council. The report shall include a summary of the proceedings and activities of the Board, a description of the education and training conducted, a summary and evaluation of complaints and referrals received and their disposition, such legislative and administrative recommendations the Board deems appropriate, the rules of the Board, and an index of opinions and orders of that year. The report, which shall be made available to the public, shall not contain any information which, if disclosed, would constitute an invasion of the privacy of a City officer or employee.
(.2) The Board shall, whenever it deems necessary, make recommendations to the Mayor and to City Council which seek to improve the administration and enforcement of this Chapter, including any legislative changes which help strengthen or clarify the standards of conduct and ethics.
(2) Mandatory Cooperation with the Board. All City officers and employees shall cooperate fully with any request of the Board made pursuant to the execution of the Board's powers and duties. Any City officer or employee who fails or refuses to cooperate with the Board shall be deemed to be in violation of this Chapter.
Notes
| 43 | Amended, Bill No. 051024 (approved December 15, 2005). Section 3 of Bill No. 051024 provides: "Effective Date. This Ordinance shall take effect upon the certification of the approval by the electors of the amendment to the Philadelphia Home Rule Charter providing for the creation and appointment of a Board of Ethics." Such an amendment was approved and became effective June 5, 2006. |
| 44 | Amended, Bill No. 110072 (approved April 27, 2011). |
| 45 |
(1) Unless there is public disclosure and disqualification as provided for in Section 20-608 hereof, no member of Council, or other City officer or employee shall be financially interested in any legislation including ordinances and resolutions, award, contract, lease, case, claim, decision, decree or judgment made by him in his official capacity, or by any board or body of which he is a member nor shall any financial interest be held by a parent, spouse, Life Partner, child, brother, sister or like relative-in-law, or by any person, firm, partnership, corporation, business association, trustee or straw party for his or her benefit, nor shall a member of Council or other City officer or employee be a purchaser at any sale or vendor at any purchase made by him in his official capacity. This latter prohibition shall apply so as to prevent a parent, spouse, child, brother, sister or like relative-in-law or any person, firm, partnership, corporation, business association, trustee or straw party from being such purchaser or vendor for or on behalf of the member of City Council, City officer or employee.
(2) In the event that a financial interest in any legislation (including ordinances and resolutions) award, contract, lease, case, claim, decision, decree or judgment, resides in a parent, spouse, Life Partner, child, brother, sister, or like relative-in-law of the member of City Council, other City officer or employee; or in a member of a partnership, firm, corporation or other business organization or professional association organized for profit of which said member of City Council, City officer or employee is a member and where said member of City Council, City officer or employee has knowledge of the existence of such financial interest he or she shall comply with the provisions of subsections 20-608(1)(a), (1)(b), and (1)(c) and shall thereafter disqualify himself or herself from any further official action regarding such legislation (including ordinances and resolutions) award, contract, lease, case, claim, decision, decree or judgment.
(3) No member of Council or other City officer or employee shall become financially interested, subsequent to final action, in any legislation including ordinances and resolutions, award, contract, lease, case, claim, decision, decree or judgment made by him in his official capacity, during his term of office or employment and until two (2) years have elapsed since the expiration of service or employment in the term of office of said member of Council or other City officer or employee.
This prohibition shall apply so as to prevent a parent, spouse, Life Partner, child, brother, sister or like relative- in-law or any person, firm, partnership, corporation, business association, trustee or straw party from becoming financially interested for or on behalf of a member of City Council, City officer or employee within said two (2) year period.
Notes
| 46 | Amended, Bill No. 110716 (approved December 21, 2011). |
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