For the purposes of this Code, the
following terms shall have the following definitions. All other words
and phrases shall have their normal meaning unless further defined
herein.
APPEARANCE OF IMPROPRIETY
The perception that wrongdoing or misconduct may have occurred;
when a reasonable person could reasonably believe that improper actions
have taken or are taking place.
BOARD
The Board of Ethics of the City of Scranton.
CANDIDATE
An individual who files nomination papers or petitions for
City elected office or who publicly announces his or her candidacy
for City elected office.
CANDIDATE CAMPAIGN CONTRIBUTION
Money, gifts, forgiveness of debts, loans or things having
a monetary value incurred or received by a candidate or his/her agent
for use in advocating or influencing the election of the candidate.
CHARTER
City of Scranton Home Rule Charter.
CITY
The City of Scranton, Pennsylvania.
CODE
City of Scranton Code of Ethics.
CONFLICT OF INTEREST
A situation(s) or potential situation(s) in which a public
official or employee uses or may use his/her office or employment
for the private gain of himself/herself; a member of his/her immediate
family; or a business of any type with which he/she or a member of
his/her immediate family has a material interest.
CONTRACT
An agreement or arrangement for the acquisition, use or disposal
by the City or a City agency or instrumentality of consulting or other
services or of supplies, materials, equipment, land or other personal
or real property. This term shall not mean an agreement or arrangement
between the City or City agency or instrumentality as one party and
a City Official or City Employee as the other party, concerning his/her
expense, reimbursement, salary, wage, retirement or other benefit,
tenure or other matters in consideration of his/her current public
employment with the City or a City agency or instrumentality.
CONTRIBUTION
Money, gifts, forgiveness of debts, loans or things having
a monetary value incurred or received by a candidate or his/her agent
for use in advocating or influencing the election or candidacy of
the candidate.
COVERED ELECTION
Every primary, general, or special election for City elected
office.
ELECTED OFFICIAL
An official elected or appointed to fill a position normally
filled by election.
EMPLOYEE
Any individual receiving full-time salary or wages and benefits
from the City of Scranton.
GIFT
A.
The term "gift," for the purposes
of this Code shall mean: any gratuity, benefit, or any other thing
of value, which is accepted by, paid for, or given to a City employee
or City official, or by another individual or organization on behalf
of a City employee or City official, either directly or indirectly,
without consideration of equal or greater value.
B.
This definition may include, by way
of illustration and without limitation to, the following:
(1)
Preferential rate or terms on a debt,
loan, goods, or services, which rate is below the customary rate and
is not either a government rate available to all other similarly situated
government employees or officials or a rate which is available to
similarly situated members of the public by virtue of occupation,
affiliation, age, religion, sex, or national origin;
(2)
Transportation, lodging, or parking;
(3)
Food or beverage, other than that
consumed at a single sitting or event;
(4)
Membership dues or admissions to
cultural or athletic events, which exceed $250 per calendar year in
the aggregate and $100 per calendar year from any single person, agent
or other interested party; and/or
(5)
Political contributions in excess
of those limitations set forth hereinafter or in any other applicable
laws or regulations, including but not limited to, the City Codified
Ordinances.
C.
The term "gift," for purposes of
this Code, shall explicitly exclude:
(1)
Gifts from direct family members;
(2)
Nonpecuniary awards publicly presented,
in recognition of public service;
(3)
An occasional nonpecuniary gift of
nominal value;
(4)
Complimentary travel for official
purposes; and/or
(5)
Admissions to charitable, civic,
political or other public events.
IMMEDIATE FAMILY
A parent, spouse, living partner, child, brother, or sister,
natural or adopted.
MATERIAL INTEREST
Direct or indirect ownership of more than 5% of the total
assets or capital stock of any business entity.
NO-BID CONTRACT
A contract (as defined herein), which is not awarded or entered
into pursuant to an open and public process, in accordance with Pennsylvania
law, including prior public notice and subsequent public disclosure
of all proposals considered and contracts awarded related thereto.
A no-bid contract excludes sole-source procurement, contracts below
the bidding threshold, and those contracts arising out of an emergency
declaration.
OFFICER
Investigating officer appointed by the Board to oversee the
investigative procedures on behalf of the Board. The investigating
officer need not be a Board member and may be compensated as any other
member of the staff.
OFFICIAL
Any elected or appointed paid or unpaid member of the government
of the City of Scranton, including without limitation members of any
City boards, authorities, and commissions.
ORGANIZATION
An individual, partnership, corporation, or sole proprietorship,
whether for profit or not for profit, or any other form of business
organization.
POLITICAL ACTIVITY
Any activity which promotes the candidacy of any individual
seeking elective office, or the advocacy of any political party or
position, including but not limited to the circulation of election
petitions and the sale or distribution of fund-raising items or tickets.
POLITICAL COMMITTEE
Any committee, club, association, political party, or other
group of persons, which receives contributions or makes expenditures
for the purpose of influencing the outcome of a covered election,
including but not limited to: a) political action committees recognized
under Section 527 of the Internal Revenue Code, and b) the candidate
political committee of a candidate in a covered election.
POST-CANDIDACY CONTRIBUTION
A contribution made to a former candidate or political committee
for use in retiring debt that was incurred to influence the outcome
of a covered election, or for the purpose of defraying the cost of
transition or inauguration of a candidate elected to City elected
office.
PRE-CANDIDACY CONTRIBUTION
A contribution made to a political committee that: a) has
been transferred to, or otherwise becomes available for expenditure
by, a candidate for City elective office; and b) was made before such
candidate became a candidate.
PRIVATE GAIN
Of personal benefit, whether economic, social, or otherwise.
VIOLATION
Any activity that is restricted by the ethics provisions
of the Charter and/or the Code.
Any official or employee of the City
or authorities or boards with decisionmaking authority, including
advisory boards, shall file with the City Clerk a statement of financial
interests for the preceding calendar year by May 1 of each year, as
defined by the State Code of Ethics. Any individual appointed to such
a position after May 1 has 15 working days to file the statement of
financial interest. All statements must be made available for public
inspection and copying at an amount not to exceed actual costs. All
statements must be posted on the City's website.
Every City official and employee
is a public servant. Public servants must treat members of the public
fairly and equitably. Receipt of money, favors, gifts, gratuities,
invitations, food, drink, loans, promises or other benefits (collectively
and subsequently referred to in this section as "gifts") offered to
a public servant because of that person's position may create the
appearance of a conflict interest, if not an actual conflict of interest.
Similarly, solicitation of gifts by a public servant in that person's
capacity as a public servant, for that person's own benefit, likely
establishes a conflict of interest.
Public servants, in performing their
duties, must work for the benefit of the community as a whole, giving
equal consideration to each member of the public, and doing so without
giving special regard because of finances, political affiliations,
gender, orientation, creed, or other categorization.
Conflicts of interest betray the
trust of the public with its government and violate traditional notions
of fair play and substantial justice.
A. Conflicts of interest.
(1) Employees and officials of the City may
not bid on or have a material interest in:
(a)
The furnishing of any materials,
supplies or services to be used in the work of the City;
(b)
Contracts for the construction of
any City facility;
(c)
The sale of any property to the City
or the purchase of any property from the City unless said property
is offered to the general public at auction or by competitive bid.
(2) Employees and officials of the City may
not:
(a)
Use or attempt to use their official
position to secure special privileges or exemptions for themselves
or others;
(b)
Accept employment or engage in any
business or professional activity which might reasonably be expected
to require or induce the disclosure of confidential information acquired
by the public officer or employee by reason of their official position;
(c)
Disclose to others, or use for personal
benefit, any confidential information gained by reason of an official
position;
(d)
Accept other employment which might
impair the independence or judgment of the public officer or employee
in the performance of public duty;
(e)
Receive any compensation for official
services to the City from any source other than the City;
(f)
Transact any business in an official
capacity with any other business entity of which the public officer
or employee is an officer, director, agent, member, or owns a material
interest;
(g)
Have personal investments in any
enterprise which will create a substantial conflict between any private
interest and the public interest.
(3) Outside employment. City officials or employees
may accept, have, or hold any employment or contractual relationship
with any individual, partnership, association, corporation (for-profit
or nonprofit), utility or other organization, whether public or private,
but only if the employment or contractual relationship does not constitute
a conflict of interest or impair their efficiency.
B. Gifts: solicitation; acceptance.
(1) Restriction on acceptance/solicitation
of gifts by City officials and employees.
(a)
No City official or employee or member
of his/her immediate family shall accept or solicit any gift, gratuity,
money, favors, invitations, food, drink, loans, promises, or other
benefits (collectively referred to as "gifts") from any person, firm,
corporation, or association which to his knowledge is interested,
directly or indirectly, in any manner whatsoever, in business dealings
with the City, provided that City official or employee has any influence,
directly or indirectly, in any manner whatsoever, in the City's participation
in those business dealings.
(b)
No City official or employee or member
of his/her immediate family shall accept or solicit any gift that
may in any circumstance appear to be an attempt to influence that
official or employee in the discharge of his or her official duties.
(c)
City officials and City employees
are also subject to those related, applicable ordinances of the City
Charter, Codes of the City of Scranton and the Pennsylvania Public
Official and Employee Ethics Act (65 Pa.C.S.A. § 1101.1 et seq.,
as amended), and all related statutes and regulations.
(2) Exceptions. A City official, employee,
or member of his/her immediate family 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:
(a)
Hospitality provided at a residence
when the donor is present;
(b)
Food, beverages, or entertainment
provided at an event for which attendees do not have to purchase a
ticket;
(c)
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;
(d)
Gifts of food (cookies, candy, etc.)
received shall be made available for consumption on the premises to
the public and employees when such offer may not be reasonably seen
as seeking to influence the public servants or to induce more favorable
treatment toward the donor;
(e)
Gifts resulting solely from the officer's
or employee's outside employment, or from his or her membership in
a bona fide charitable, professional, educational, labor, or trade
organization;
(f)
Rebates or discounts offered to members
of the general public or a class of persons;
(g)
Free admission to an event, including
food, beverages, and entertainment, if the officer or employee is
a guest speaker;
(h)
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;
(i)
Nominal, de minimis tokens of appreciation
given at public appearances;
(j)
Gifts totaling less than $50 from
a single individual during a single calendar year.
(3) Return of gifts: reporting.
(a)
In all but de minimis cases, all
gifts received must be publicly recorded and submitted to the City
Clerk on a form from the City's Board of Ethics specifying: the donor;
the address of the donor; the date received; a concise description
of the gift; and the value of the gift. A gift having a value in excess
of $50 may not be considered de minimis.
(b)
The City Clerk shall file the gift
disclosure form with the Board of Ethics and have the gift form uploaded
onto the City's website.
(c)
The Ethics Board shall designate two members (hereinafter the Subcommittee) who will evaluate the propriety of gifts valued at $50 or more, and determine if the gift must be returned to the donor. The Subcommittee shall evaluate the propriety of the gift according to the provisions of Subsection
B(1), Restrictions and B(2), Exceptions, above.
(d)
The Subcommittee shall issue a written
opinion to the party that submitted the form within 21 days unless
a shorter timeline is agreed upon. The opinion shall include all material
facts relied on by the Subcommittee, and articulate a basis for the
decision. All opinions shall be posted on the City's website. The
officer or employee shall have the right to appeal the decision to
the full Ethics Board.
(4) Political candidates for City offices.
(a)
The provisions of Subsection
B(1),
(2), and
(3) above shall not apply to any campaign contribution to any candidate for City office, whether or not he or she is a City official or employee, provided the campaign contribution is legal and appropriately reported according to the Pennsylvania Election Code at 25 P.S. § 2600 et seq., as amended, and all related statutes and regulations, as applicable and Ethics Code §
6-23.3, Campaign contributions and reporting requirements.
(b)
The provisions of Subsection
B(1),
(2), and
(3) above shall apply in full to any other gift received by any candidate for City office, whether or not he or she is a City official or employee.
(c)
Upon certification of any individual's
candidacy for City office, the City Clerk shall provide the candidate
with a copy of this article and a brief explanation of its requirements,
receipt of which shall be acknowledged by the candidate's signature.
C. Nepotism. Hiring a relative is a special
type of a conflict of interest that should be avoided. No public official
or employee shall appoint, hire, advance or advocate the appointing,
hiring or advancing of a member of his/her immediate family or household
member to a City position.
D. Whistleblowing.
(1) Employees are expected to expose a violation
of the Code of Ethics by any employee or business entity with which
the City is doing business if such a violation creates a serious and
specific danger to the public's health, safety or welfare.
(2) Employees are expected to expose improper
use of public office or any other abuse or neglect on the part of
a City employee or public official. An employee with knowledge of
actions or activities of ethical concern shall report them to the
Board of Ethics. The identity of the employee will be confidential
information of the Board of Ethics until a full investigation is initiated.
(3) Retaliation against an employee who reports
any violation, abuse or other improper action is strictly prohibited.
Any such action will be a violation of the Code of Ethics and subject
to the disciplinary and corrective action as ordered by the Board
of Ethics.
E. Fraudulent or other activity.
(1) City employees or officials are expected
to act ethically in the performance of all duties and responsibilities
and avoid any involvement with, or any appearance of, behavior constituting
fraud, misappropriation or other inappropriate conduct while carrying
out the duties and obligations of their employment or office.
(2) City employees or officials may not willfully
or deliberately act, attempt to act, conspire to act, or solicit with
the intent to act, carry out, or participate in any of the following
activities:
(a)
Embezzlement of money or resources
for private purposes or use from any City official, City employee,
City department, City contractor or subcontractor or third-party agent
doing business with the City government;
(b)
Misappropriation of City funds, supplies,
assets or resources;
(c)
Falsification of any City record,
including personnel records;
(d)
Forgery or alteration of any check,
bank draft, bank account, or other financial document;
(e)
Forgery or alteration of timecard
data and/or information;
(f)
Receipt of a bribe or kickback, or
willing participation in a scheme of bribery;
(g)
Impropriety in the handling or reporting
of money or financial transactions;
(h)
Using insider knowledge of City activities
to earn or generate any gift, profit or pecuniary benefit;
(i)
Accepting, requesting, or seeking
any material item or pecuniary benefit from contractors, vendors or
parties providing services or materials to the City;
(j)
Unauthorized destruction, removal
or inappropriate use of City property, including data records, furniture,
fixtures and equipment;
(k)
Making false or intentionally misleading
written or oral statements or representations in carrying out any
official or employment duty or obligation; or
(l)
Participation in any willful or deliberate
act carried out with the intention of obtaining an unearned or unauthorized
benefit by way of deception or other unethical means.
(3) City employees or officials are to be familiar
with the types of fraud and the potential activities and circumstances
that may give rise to a fraudulent activity within his or her department,
bureau, and area of responsibility.
(4) City employees or officials are charged
with the duty to be alert for any indication of fraudulent activity,
and all City employees or officials have a duty to report immediately
any suspected fraudulent activity to the City Board of Ethics.
F. Use of City property and personnel. City
employees or officials may not use any personnel, equipment, supplies,
facilities, vehicles, or any other property owned and belonging to
the City for their private purposes, use, enjoyment, or benefit. City
employees or officials who hold a supervisory position may not use
the time, effort and resources of any subordinate City employees or
officials for their private purposes, use, enjoyment, or benefit.
G. Political activities. The appropriate provisions
of the Act of the United States Congress, popularly known as the "Hatch
Act," shall apply to and regulate the conduct of all employees of
the City of Scranton.
H. Awarding contracts.
(1) To the extent that it is not inconsistent
with federal or state law: i) a City employee, ii) a City official,
iii) any immediate family of a City employee or City official; or
iv) any for-profit business entity in which the City employee, City
official, or any immediate family has a material interest, shall not
enter into any contract valued at $500 or more with the City or any
City agency or instrumentality, unless the contract has been awarded
through an open and public process, in accordance with Pennsylvania
law, including prior public notice and subsequent public disclosure
of all proposals considered and contracts awarded. In such a case,
the City official or City employee shall not have any supervisory
or overall responsibility for the implementation or administration
of the contract. Any contract or subcontract made in violation of
this subsection may be subject to further penalties, pursuant to the
terms and provisions of the Pennsylvania Public Official and Employee
Ethics Act (65 Pa.C.S.A. § 1101.1 et seq.).
(2) Prior to entering into or awarding any
no-bid contract, the City Employee, Official, agent or instrumentality
entering into such no-bid contract on behalf of the City must immediately
provide the Board of Ethics with the following information:
(a)
The name and address of all contracting
parties;
(b)
A draft copy of the contract to be
entered into;
(c)
A report in compliance with Section
1641 of the Pennsylvania Election Code (25 P.S. § 3260a), which
shall provide the following:
[1]
An itemized list of all political
contributions known to each contracting party by virtue of the knowledge
possessed by every officer, director, associate, partner, limited
partner, or individual owner that has been made by:
[a]
Any officer, director, associate,
partner, limited partner, individual owner or members of the immediate
family of the aforementioned parties when the contributions exceed
an aggregate of $1,000 by any individual during the preceding year;
or
[b]
Any employee or members of his or
her immediate family whose political contribution exceeded $1,000
during the preceding year.
(d)
Any other information that the Board
of Ethics may require.
(3) In the event that the intended recipient of a City no-bid contract or any officer, director, associate, partner, limited partner, individual owner, member, employee, or immediate family of any of the aforementioned parties has made a donation to a political committee of a City employee, City official, agent or instrumentality, in excess of the contribution limitations set forth in §
6-23.3 herein during any of the preceding two calendar years from the date the draft copy of the proposed contract is submitted to the Board of Ethics, then and in that event the City is prohibited from awarding that no-bid contract to that intended party.
(4) For purposes of this section, the office
that is considered to have ultimate responsibility for the award of
the contract shall be as provided for by the established purchasing
policies of the City of Scranton.
All Board proceedings and records
relating to an investigation shall be confidential until a final determination
is made by the Board, except as may be required to affect due process.
The final order shall become a public record once the subject has
exhausted all appeal rights or has failed to timely exercise such
rights. All other file material shall remain confidential.