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Press Releases
The Katz Plan for a Clean and Open
Government in the City of Philadelphia
PHILADELPHIA, PA - July 10, 2003 -
Executive Summary
As we work toward making Philadelphia a destination of choice for residents,
businesses and visitors and reversing the city's decline, it is essential
that we restore integrity and fair play in government. The political and
ethical climate is a consideration taken into account when individuals or
companies make all-important decisions about where to locate.
For too long, our city's "pay to play" practices have cost us money, robbed
taxpayers and cheated our seniors, children and those in need of vital City
services. Now is the time to stop these secretive and self-serving practices
and give the City of Philadelphia a government they can be proud of.
Philadelphians deserve an accessible and honest city government. A
customer-friendly City Hall under the Katz Administration will be open to
all citizens - not just those with connections. People will no longer be
rewarded simply because they know, are related to, or gave contributions to
someone. Restoring the integrity of the city government must happen before
any other policies can be accomplished. The Katz Administration will not
operate for one day under the veil of secrecy and cynicism that has
characterized so many others.
As Mayor, Sam Katz will issue an executive order on his first day in office
that states Sam's expectations of higher ethical standards and good conduct
for all City employees, especially those he appoints, and sets in motion a
process that will accomplish the following in his first 100 days in office:
Clean and Open Government:
· End "pinstripe patronage" by subjecting professional service contracts to
competition.
· Increase the transparency and fairness of city government and quasi-city
government agencies by making all contract information easily available to
the public on the web.
· Require open meetings and open records.
Personnel Practices:
· Develop a handbook with standards of conduct plainly spelled out for easy
reference by City employees and officers and those seeking to do business
with the City.
· Establish a training program for City employees and officers of the
administration, agencies and quasi-public agencies on ethics and the proper
code of conduct.
· Call on City Council for the final passage of Bill No. 010743, the
anti-nepotism bill, "prohibiting City officers and employees from taking or
recommending certain personnel actions affecting family members." Sam will
then sign this bill into law.
Code of Ethics:
· Make our current Code of Ethics function more productively by
re-activating the Board of Ethics which will meet regularly - at a minimum,
four times a year as required by ordinance.
· Create a Task Force to review the City's current Code of Ethics and make
recommendations to improve its provisions, language and schedule of fines
and disciplinary action for violations.
· Open the Board of Ethics meetings to the public and make the transcripts
from those meetings readily available - on the web and in libraries.
· Increase the independence of the Board of Ethics by amending the
Philadelphia Code so that members of the Board of Ethics serve staggered
four-year terms, and are appointed by the Mayor and approved by City
Council.
INTRODUCTION
Nearly one hundred years after "The Shame of the Cities" was published, many
of Lincoln Steffens' criticisms still ring true. We live in a city where
"pay to play" politics, familial considerations and a secretive government
are accepted as a way of life. As we work toward bringing Philadelphia into
the 21st century and reversing a decline that is five decades in the making,
we must restore the concept of integrity and fair play. Philadelphians
deserve an open, accessible and honest city government.
If Philadelphia, the nation's 5th largest city, wants to compete with other
major cities for residents and business, we must adopt standards that allow
us to play in that arena. We can't hope to remain a first class city if we
continue to allow these second rate practices. Our best efforts to attract
national and global companies will continue to be thwarted if businesses
believe that large campaign contributions or personal connections are the
only ways for them to compete in Philadelphia.
The City's reputation for cronyism and secrecy is shameful, and our "pay to
play" government costs city taxpayers millions of dollars every year. In a
City Council budget hearing, the new Procurement Commissioner William
Gamble, who has worked in several other cities, admitted that,
In all candor, this is the first city where I have worked where politics is
a major role-player. Normally, in the bidding process it doesn't happen. You
give out the specifications, the bids come in, you evaluate the bids.and it'
s over.
In 1999, then candidate for mayor, John Street said:
We ask and they give. The people who support me in the general election have
a greater chance of getting business from my administration than the people
who support Sam Katz. I think that's the way it works [and] anybody who
doesn't acknowledge that's the way it works is either a liar or thinks you'
re really stupid.
That's not that way it will work in a Katz Administration. A
customer-friendly government under the Katz Administration will be open to
all citizens - not just those with connections. People will no longer be
rewarded simply because they know, are related to, or gave contributions to
someone.
MAINTAINING INTEGRITY IN OTHER CITIES
Other cities' efforts to clean up municipal government provide excellent
models for us to follow. One of the most creative examples comes from New
York City. In 1995, the City Conflicts of Interest Board aired a game show
on the citywide cable access channel designed to educate city employees and
the general public about ethics. The program featured the City Consumer
Affairs Commissioner quizzing three city employees about potential conflicts
of interest while an attorney with the Board commented on their responses.
The video was then used as part of an ethics-training program for employees
at various agencies.
New York City is not the only large city offering mandatory ethics training.
Seven of the ten largest cities require such training; Houston offers it to
new city officials and even Detroit has legislation pending that would
require it. Only Philadelphia neither requires nor offers ethics training
for city employees. Educating employees about ethics is limited to one
provision in the Code of Ethics that states:
It shall be the duty of each head of a department, agency, authority, board,
and commission to furnish a copy of this ordinance to each and every
employee under his or her direction.
Starting in October 2002, San Antonio convened an ethics committee to
conduct an extensive, three-month review of its rules governing the conduct
of city employees. From this process emerged a number of recommendations
ranging from suggestions on the proper conduct of City Council members
during public hearings to local municipal ordinances to regulate campaign
contributions. Perhaps the most powerful revision of San Antonio's Code of
Ethics states the following:
Public service is a public trust. All city officials and employees are
stewards of the public trust. They have a responsibility to the citizens of
San Antonio to enforce the City Charter and the associated ordinances and
codes. To ensure and enhance public confidence in city government, each city
official must not only adhere to the principles of ethical conduct set forth
in this code and technical compliance therewith, but they must scrupulously
avoid the appearance of impropriety at all times.
The authors of that provision understand that when it comes to the conduct
of public officials, the public's perception of reality is as important as
the reality itself. That is the attitude we need in Philadelphia.
MAKE CITY GOVERNMENT OPEN AND FAIR
No more cronyism, conflicts of interest and secrecy.
The source of much of the unethical behavior in city government is the City'
s longstanding and widespread practice of awarding no-bid contracts for
"professional services" and the insider transactions commonly made by
quasi-city agencies. "Professional services" traditionally include such
things as legal representation, financial services, accounting/auditing
services, medical services, and real estate appraisals. (Quasi-city agencies
that the City controls, or has strong influence over, include Penn's Landing
Corporation, Philadelphia Port Authority, Redevelopment Authority,
Philadelphia Housing Authority, Philadelphia Authority for Industrial
Development, Philadelphia Industrial Development Corporation, Philadelphia
Gas Works and others).
Applicable state law and the City Home Rule Charter do not require
professional service contracts to be put through a competitive process, even
though common sense says there should be some form of competition. The
selection process for professional services contracts varies. The City has a
professional services contracts manual that defines the process but the
degree of adherence is difficult to gauge. Millions of dollars of "sole
source" contracts are awarded every year by the City and quasi-city
agencies. This practice prevents taxpayers from getting the best deal,
costing us money.
As Mayor, Sam Katz will end no-bid contracts and "pinstripe patronage" by:
· For the City: subjecting all professional services to an open competitive
process.
· For quasi-city agencies: subjecting all contracts and transactions,
including professional service contracts, to an open competitive process.
An important reason why these practices continue is the difficulty that the
public, the media and others have with getting information on contracts and
transactions.
As Mayor, Sam Katz will end the secrecy and increase the transparency and
honesty of city government by:
· Publishing the City's "Advanced Procurement Inventory Control System"
(ADPICS) on the City's website. This is an information system that tracks
all bids and requests for proposals that go through the Procurement
Department's competitive bidding process, including materials, supplies,
equipment, furniture, capital projects and many services.
· Publishing the City's "Automated Contract Information System" (ACIS) on
the city's website. This is an information system that tracks all
"professional service" contracts.
· Publishing on the City's website and the websites of individual agencies,
complete copies of all contracts of quasi-city government agencies.
· Requiring open records and open public meetings. All meetings held by
boards, commissions and authorities that the Mayor controls should be open
to the public. Sam Katz will require this pledge from all board members he
appoints. Financial and ethical disclosure forms of appointed city officials
should be posted on the web and in libraries. The minutes of all public
meetings should be posted on the web and in libraries. Local campaign
finance reports should be publicly posted, also. The schedule of City
Council bills and public hearings should be posted on the web and in
libraries.
With these increased sources of information, City taxpayers will have more
information so they can determine that City tax dollars are being spent for
the betterment of the City and not just to line the pockets of the
politically connected.
NEPOTISM
Anti-nepotism rules are important. The integrity of government and the
guarantee of a fair and level playing field when doing business with public
officials are major factors used by individuals and companies when deciding
where to live and do business. Even if a family member is competent and
qualified, the public may nonetheless believe that family considerations
were paramount in his/her selection. The result is the appearance of
impropriety.
In December 2001, Councilman Michael Nutter introduced City Council Bill No.
010743 to prohibit city employees from "taking any personnel action
concerning a relative," including hiring or suggesting people for jobs in
government or quasi-public agencies. This bill sought to put Philadelphia on
a level with 8 of the other 10 largest cities in the country. Among the top
10 cities, only Detroit and Philadelphia lack antinepotism rules.
Councilman Jim Kenney aptly noted in January 2002, "the two cities that don'
t have anti-nepotism rules are the two cities that lost population" in the
nineties. A vital part of encouraging population growth and opening the city
to new residents is opening the government to their participation.
Philadelphia's closest competitor for jobs, Camden, has also realized the
importance of removing even the hint of impropriety by introducing
anti-nepotism legislation of its own. Camden is undergoing a revitalization
effort, and has introduced this legislation in order to insure a more
customer friendly reputation.
Philadelphia must join with other major cities and embrace anti-nepotism
legislation. Nepotism in city government is simply not in the public
interest and as such should be made illegal.
As Mayor, Sam Katz will:
· Call on City Council for the passage of an anti-nepotism bill,
"prohibiting City officers and employees from taking or recommending certain
personnel actions affecting family members." Sam will then sign this bill
into law.
THE CODE OF ETHICS
Most Philadelphians probably do not even know that Philadelphia has a Code
of Ethics (attached - Appendix A). In 1962, City Council and Mayor James
Tate created a Code of Ethics to supplement Article X of the City Charter.
In its 40-year history the Board has seen several periods of sustained
activity but, of late, it has been dormant.
The genesis of the Board of Ethics may be found in the Final Report of the
Mayor's Ad Hoc Committee on Improvement in Municipal Standards and
Practices, commonly referred to as the Fordham Committee Report, issued on
March 15, 1962.
Mayor James Tate created the Committee of Ethics, which set up preliminary
guidelines for the ethical behavior of city employees. Later that year, Tate
signed City Council Bill 1715-A on Standards of Conduct and Ethics. The
purpose of this ordinance was to supplement Article X of the City Charter,
(which prohibited certain activities of Councilmen, city officers, city
employees and others). This ordinance established the Board of Ethics for
the City of Philadelphia.
When it was established, the Board of Ethics was charged with "rendering
advisory opinions to officers and employees with respect to ethical
standards in municipal service and with making recommendations to the Mayor
and to the Council directed to improvement in ethical standards in the City
service or to organization and procedure related to administration and
enforcement of such standards." The ordinance requires that the Board "shall
hold meetings open to the public at least four (4) times during each
calendar year and shall make an annual report of its actions and
recommendations to the Mayor and City Council."
The Board assumed an active role after Abscam, which ensnared three Council
members and two local congressmen. After the1980's Abscam bribery scandal
Mayors Bill Green and W. Wilson Goode - as well as City Council - toughened
up the city's ethics code and requirements for employees to disclose outside
financial interests.
During its period of peak activity in the 1980s, when the Board of Ethics
held meetings and advised city employees, it did so publicly, releasing its
opinions, sometimes without the names of the subjects. For example, the
Board of Ethics conducted public hearings when a union gave Mayor Goode free
suits. It also advised then-District Attorney Edward G. Rendell to pay
several parking tickets on his city-owned car. In the early '90s, the City
Solicitor's Office started advising city employees on ethical behavior. Now,
few opinions on ethical matters are available to the public, and consent of
the subject is required.
There are six members serving on the Board of Ethics, all of which are
appointed by the Mayor. Mayor John Street did not make his first
appointments to the Board until the end of his second year in office. The
list of current members is attached (Appendix B). The current Board has no
regular meetings and cannot be described as "active." The Board meets at the
call of the Chair, City Solicitor Nelson Diaz, generally when there is a
request for an opinion. According to the Law Department, there are no
pending requests.
The Code is poorly drafted, making it difficult for the average person to
understand. It makes no provision for a handbook that can be used as a quick
and easy reference for employees, nor does it offer any training for
employees to allow them to penetrate the dense, legal terminology of the
Code. The end result is a Code of Ethics that has little use and sits tucked
away among the hundreds of other ordinances that make up the Philadelphia
Code.
As Mayor, Sam Katz will:
· Make our current Code of Ethics function more productively by
re-activating the Board of Ethics, which will meet regularly - at a minimum,
four times a year as required by the ordinance.
· Open the Board of Ethics meetings to the public and make the minutes from
those meetings readily available - on the web and in libraries.
· Create an Ethics Task Force to review our current Code of Ethics and make
recommendations to improve it.
· Enforce our current Code of Ethics and change applicable law to increase
the fine for violations. The ordinance sets a $300 fine for those who
violate the ordinance, and prohibits offenders from ever holding elective
office or city employment.
· Increase the independence of the Board of Ethics by staggering the
four-year terms of its members and requiring City Council approval of some
or all of the Mayoral appointments. An ordinance would be required to make
this change.
· Develop a handbook for easy reference for city employees and officers and
those seeking to do business with the City.
· Establish a training program for city employees and officers on ethics and
proper code of conduct and behavior. All officers and their senior staff
should be required to attend an ethics seminar offered by the Board of
Ethics as part of an orientation when they are appointed, and every four
years thereafter. Attending this program will be a condition of employment
and non-compliance will also result in a $500 fine. Sam will ask for a civil
service regulation that includes other senior and mid-level managers in this
requirement.
· Work with City Council and other quasi-city agencies to make these rules
applicable for City Council and other branches of city government - such as
the Zoning Board of Adjustment, Penn's Landing Corporation, Philadelphia
Port Authority, Redevelopment Authority, Philadelphia Housing Authority,
Philadelphia Industrial Development Authority and others.
Appendix A
CHAPTER 20-600. STANDARDS OF CONDUCT AND ETHICS [Note 22]
§20-601. Definitions.
(1) Board. Board of Ethics.
(2) 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.
(3) 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.
(4) 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 member of
City Council, 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
member of City Council, City officer or employee.
(5) Annual Salary. Payment for services pursuant to Section 20-303, 304 and
305 of this Chapter except in those instances in which the rate of
compensation is based upon the number of meetings attended or days
worked.[Note 23]
(6) 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.[Note 24]
(7) Commodity. Any movable or tangible thing that is produced or used as the
subject of barter or sale.[Note 25]
(8) Gift. A payment, subscription, advance, forbearance, rendering or
deposit of money, services or anything of value, unless consideration of
equal or greater value is received. "Gift" shall not include a political
contribution otherwise reported as required by law, a commercially
reasonable loan made in the ordinary course of business, or a gift received
from a member of the individual's immediate family or from a relative within
the third degree of consanguinity of the individual or of the individual's
spouse or from the spouse of any such relative.[Note 26]
(9) Immediate Family. A spouse residing in the individual's household and
minor dependent children.[Note 27]
(10) 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.[Note 28]
(11) Indirect Interest in Real Estate. Any business entity the assets of
which are 80 percent or more in real property.[Note 29]
(12) Person. A business, individual, corporation, union, association, firm,
partnership, committee, club or other organization or group of persons.[Note
30]
(13) 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.[Note 31]
§20-602. Representation by City Officers, Employees and Members of Council.
(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 Section 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 paragraph 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, 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.
(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.
§20-603. Post-Employment Representation.
(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.
§20-604. Gifts, Loans and Favors to City Personnel.
(1) No member of Council or other City officer or employee, shall solicit,
accept or receive any gift, loan, gratuity, favor or service of substantial
economic value that might reasonably be expected to influence one in his
position in the discharge of his official duties, from any person, firm,
corporation or other business or professional organization.
(2) No person, firm, corporation or other business or professional
organization shall offer, make or render any gift, loan, gratuity, favor or
service of substantial economic value to any member of Council or other City
officer or employee which might reasonably be expected to influence such
officer or employee in the discharge of his official duties.
§20-605. Exparte Communication.
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.
§20-606. Board of Ethics.
(1) In enacting this ordinance the Council does so in recognition of the
fact that the Mayor has created a Board of Ethics and for the purpose of
providing legislative standards for the operation of that Board in
performing the following functions:
(a) Rendering advisory opinions to officers and employees with respect to
ethical standards in the municipal service pursuant to written request by
the officer or employee concerned or by an appropriate superior of the
officer or employee concerned; and publishing advisory opinions with such
deletions as may be necessary to prevent disclosure of the identities of the
officers or employees concerned.
(b) Making recommendations to the Mayor and to the Council directed to
improvement in ethical standards in the City service or to organization and
procedure related to administration and enforcement of such standards.
(c) The Board of Ethics shall hold meetings open to the public at least four
(4) times during each calendar year and shall make an annual report of its
actions and recommendations to the Mayor and City Council.
§20-607. Conflict of Interest.
(a) 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, 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.
(b) 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, 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 Section 20-608(a) (b) (c) of this ordinance 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.
(c) 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, 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.
§20-608. Public Disclosure and Disqualification.
(1) Any member of City Council having a financial interest, under Section
20-607(a), (b), in any legislation including ordinances and resolutions,
shall make public the nature and extent of such interest as set forth in
paragraph (a) hereof. Other City officers and employees having a financial
interest in legislation, including ordinances and resolutions, shall make
public the nature and extent of their interest as set forth in paragraph (b)
hereof. When any member of City Council or other officer or employee has a
financial interest in an award, lease, case, claim, decree or judgment, such
person shall make public the nature and extent of the interest as set forth
in paragraph (c) hereof. Thereafter, such person shall disqualify himself or
herself from any further official action regarding such legislation
including ordinances and resolutions; award, contract, lease, case, claim,
decree or judgment.
(a) In the case of a member of Council, it shall be done at the scheduled
public hearing of such legislation including ordinances and resolutions; if
such interest occurs after the public hearing and prior to five (5) days
before such legislation is to be acted upon, it shall be made by registered
or certified mail to the Chief Clerk of the Council and all members of the
Council and be announced by the presiding officer of the Council at the time
the legislation is called up for consideration; if such interest occurs less
than five (5) days prior to the action by the Council on such legislation,
the member shall announce his interest publicly on the floor of the Council
in public session. This provision shall apply notwithstanding the fact that
the member of Council did not participate or was absent upon or during the
vote or consideration of such legislation.
(b) In the case of any other City officer or employee having such interest
in legislation including ordinances and resolutions, he shall notify the
Chief Clerk of the Council and every member of the Council, by registered or
certified mail, at least five (5) days prior to the public hearing on the
legislation and such notice shall be made part of the official records; in
the event said interest occurs after the public hearing, the City officer or
employee shall notify the Chief Clerk of the Council and every member of the
Council by registered or certified mail, prior to the time of the Council
meeting when action is to be taken upon said legislation.
(c) Where there is a financial interest, as set forth in Section 20-607(a),
by any member of Council or other City officer or employee in any award,
contract, lease, case, claim, decree or judgment, other than legislation,
the person having such interest, prior to any City action thereon, shall
notify, by registered or certified mail, the Commissioner, Secretary and/or
Executive Director of the pertinent agency, authority, board or commission,
and the Board of Ethics and the Department of Records which shall maintain a
public record of such notices; in the event of action within a department or
by a department head, such notice by registered or certified mail shall be
given, prior to any action taken, to the Mayor, the Managing Director, the
Board of Ethics and the Department of Records which shall maintain a public
record of such notices.
This section shall not apply to routine applications or requests for routine
information or other matters which are of a ministerial nature and do not
require substantial discretion on the part of a City officer or employee.
§20-609. Confidential Information.
No member of the Council or other elected official or City officer or
employee, paid or unpaid, full-time or part-time, shall directly or
indirectly disclose or make available confidential information concerning
the property, government or affairs of the City without proper legal
authorization, for the purpose of advancing the financial interest of
himself or others.
§20-610. Statement of Financial Interests.[Note 32]
(1) All individuals who are paid an annual salary pursuant to the provisions
of Sections 20-303, 20-304 and 20-305 of this Chapter and all members of
boards and commissions whether compensated or not shall file a statement of
financial interests for the preceding calendar year with the Board of Ethics
no later than the first day of May of each year that he holds office and of
the year after he leaves such office except that for calendar year 1983 the
effective filing date shall be July 1, 1984. All such individuals or members
who take office after the effective filing date or less than thirty (30)
days before the effective filing date must file a statement of financial
interest for the preceding calendar year within thirty (30) days of taking
office.[Note 33]
(2) The statement of financial interests filed pursuant to this Section
shall be signed under penalty of perjury and include the following
information for the prior calendar year with regard to the individual
required to file the statement:
(a) The name, address and position of the individual required to file
statement.
(b) The occupation or profession of the individual required to file the
statement.
(c) Any direct or indirect interest in any real estate which was sold or
leased to the City of Philadelphia or any of its departments, boards,
commissions, authorities or other agencies; purchased or leased from the
City of Philadelphia or any of its departments, boards, commissions,
authorities or other agencies; or was subject to any condemnation proceeding
by the City of Philadelphia or any of its departments, boards, commissions,
authorities or other agencies.
(d) The name and address of each creditor to whom is owed in excess of five
thousand ($5,000) dollars and the interest rate thereon. However, loans or
credit extended between members of the immediate family and mortgages
securing real property, which is the principal residence of the individual
filing, shall not be included.
(e) The name and address of any person who is the direct or indirect source
of income totaling in the aggregate five hundred ($500) dollars or more.
However, this provision shall not be construed to require the divulgence of
confidential information protected by statute or existing professional codes
of ethics.
(f) The name and address of any person from whom a gift or gifts valued in
the aggregate at two hundred ($200) dollars or more were received, and the
value and the circumstances of each gift.
(g) The source of any honorarium received which is in excess of one hundred
($100) dollars.
(h) Any office, directorship or employment of any nature whatsoever in any
business entity.
(i) Any financial interest in any legal entity engaged in business for
profit.
(3) Except for gifts reported under §20-610(2)(f), the statement of
financial interests need not include specific amounts for any of the items
required to be listed.
(4) All statements of financial interest filed pursuant to the provisions of
this Section shall be made available for public inspections and copying
during regular office hours.
§20-611. Notice to Members of Council, Other City Officers and
Employees.[Note 34]
It shall be the duty of each head of a department, agency, authority, board,
and commission to furnish a copy of this ordinance to each and every
employee under his or her direction.
§20-612. Penalties.[Note 35]
(1) In addition to the penalties as presently provided by law, any person in
violation of this Chapter shall be punishable by fine not exceeding three
hundred (300) dollars. Except with respect to Section 20-610, any person in
violation of this Chapter is forever disqualified from holding any elected
or appointed City office or employment with the City, its agencies,
authorities, boards or commissions.
(2) City Council shall have the right to repeal legislation enacted in
violation of this ordinance. The Mayor, with the concurrence of a majority
of all the members of City Council, may void any award, contract, lease,
case, claim, decision, decree or judgment made in violation of this
ordinance, provided that no such legislative act including ordinances and
resolutions, award, contract, lease, case, claim, decision, decree of
judgment may be avoided because of the interest of an officer or employee
unless such contract is made in the official capacity of such officer or
employee or by a board or body of which he is an officer, member or
employee.
(3) Repeat Offenders. Any person who commits, on more than one occasion, a
violation of this Chapter, shall be guilty of a separate offense of Repeat
Violation, and for each such Repeat Violation, shall be subject to a fine of
not more than three hundred (300) dollars, or imprisonment for not more than
ninety (90) days, or both. A person shall be guilty of a Repeat Violation
regardless whether the second or subsequent violation occurs before or after
a judicial finding of a first or previous violation. Each violation, after
the first, shall constitute a separate Repeat Violation offense.
§20-613. Severability.[Note 36]
If any provision of this ordinance or the application thereof to any person
or circumstances is held invalid, the invalidity shall not affect other
provisions or applications of the ordinance which can be given effect
without the invalid provision or application and to this end the provisions
of this ordinance are severable.
§20-614. Repealer.[Note 37]
This ordinance hereby repeals any prior inconsistent ordinance.
Endnotes
[Note 22] 22. Added, 1963 Ordinances, p. 480; amended, 1974 Ordinances, p.
122.
[Note 23] 23. Added, 1982 Ordinances, p. 1748.
[Note 24] 24. Added, 1982 Ordinances, p. 1748.
[Note 25] 25. Added, 1982 Ordinances, p. 1748.
[Note 26] 26. Added, 1982 Ordinances, p. 1748.
[Note 27] 27. Added, 1982 Ordinances, p. 1748.
[Note 28] 28. Added, 1982 Ordinances, p. 1748.
[Note 29] 29. Added, 1982 Ordinances, p. 1748.
[Note 30] 30. Added, 1982 Ordinances, p. 1748.
[Note 31] 31. Added, 1982 Ordinances, p. 1748.
[Note 32] 32. Added, 1982 Ordinances, p. 1748; amended, 1984 Ordinances, p.
710.
[Note 33] 33. Amended, 1983 Ordinances, p. 1460.
[Note 34] 34. Renumbered, 1982 Ordinances, p. 1748.
[Note 35] 35. Amended and renumbered, 1982 Ordinances, p. 1748; amended,
Bill No. 758 (approved July 24, 1995).
[Note 36] 36. Renumbered, 1982 Ordinances, p. 1748.
[Note 37] 37. Renumbered, 1982 Ordinances, p. 1748.
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Appendix B
BOARD OF ETHICS MEMBERS
as of 5/1/2003
CHAIR
Name: Nelson A. Diaz Name: Toi Shields, Esquire
Title: City Solicitor Title: Vice President, Legal
Org.: City of Philadelphia Law Dept. Org.: PA Convention Center Auth.
Address: 1515 Arch Street, 17th Floor Address: One Convention Center Place
Philadelphia, PA 19102-1595 1101 Arch Street
Philadelphia, PA 19107-2299
Name: Jay R. Goldstein, Esquire Name: Charles Bush, Esquire
Title: Title:
Org.: Kleinbard, Bell & Brecker, LLP Org.:
Address: 1900 Market Street, Suite 700 Address: 5111 Dakota Street,
Philadelphia, PA 19103 Suite 202,
Philadelphia, PA 19131-2414
Name: Reverend Damone Jones, Sr. Name: Evan Meyer, Esquire
Title: Title: Senior Attorney
Org.: Bible Way Baptist Church Org.: City of Philadelphia Law Dept.
Address: 1323 North 52nd Street Address: 1515 Arch Street, 17th Floor
Philadelphia, PA 19131 Philadelphia, PA 19102-1595
Name: Jami Wintz McKeon, Esquire
Title:
Org.: Morgan, Lewis & Bockius, LLP
Address: 1701 Market Street
Philadelphia, PA 19103-2921