[Amended by Ord. No. 40-1990; 1-28-2019 by Ord. No. 51-2019]
A.
The proper operation of democratic government
requires that public officials and employees be independent, impartial
and responsible to the people; that government decisions and policy
be made in the proper channels of governmental structure; that public
office not be used for personal gain; and that the public have confidence
in the integrity of its government.
B.
Each official or employee of the City of
Scranton must be constantly on guard against conflicts of interest.
No official or employee should be involved in any activity which might
be seen as conflicting with his/her responsibilities to the City.
The people of Scranton have a right to expect that their representatives
act with independence and fairness towards all groups and not favor
a few individuals or themselves.
C.
The following principles, although not
representing substantive rights, are fundamental driving forces for
officials and employees of the City of Scranton in everything they
do.
(1)
Public office as a public trust. Public
servants should treat their office as a public trust, only using the
powers and resources of public office to advance public interests,
and not to attain personal benefits or pursue any other private interest
incompatible with the public good.
(2)
Independent, objective judgment. Public
servants should employ independent, objective judgment in performing
their duties, deciding all matters on the merits, free from avoidable
conflicts of interest and both real and apparent improper influences.
(3)
Accountability and democratic leadership.
Public servants should honor and respect the principles and spirit
of representative democracy and set a positive example of good citizenship
by scrupulously observing the letter and spirit or laws and rules.
(4)
Respectability and fitness for public office.
Public servants should safeguard public confidence in the integrity
of government by being honest, fair, caring and respectful and by
avoiding conduct creating the appearance of impropriety or which is
otherwise unbefitting a public official. In recognition of these aforementioned
goals and principles, there is hereby established a Code of Ethics
to be administered by the Board of Ethics. The purpose of this Code
is to establish ethical standards of conduct for all officials and
employees of the City of Scranton, its agencies and authorities, whether
elected or appointed, paid or unpaid, by providing guidelines to clarify
actions or inactions which are incompatible with the best interests
of the City and by directing disclosure of private, financial or other
interests in matters affecting the City. The provisions and purpose
of this Code and such rules, regulations, opinions and disciplinary
decisions as may be promulgated by the Board pursuant hereto, and
under provisions of Article XI of the Charter, are hereby declared
to be in the best interest of the City.
(5)
To the extent and only to the extent this
code conflicts with the existing rights of labor or its members by
statute or contract then such statute or contract shall supersede
this code.
A.
Composition and structure of Board.
(1)
Composition. The Board established hereunder
shall be composed of five residents of the City of Scranton. The members
to be appointed shall be appointed as follows: two by the Mayor, two
by City Council and one by the Controller. Thereafter, the appointments
or reappointments shall be made by the Mayor, City Council or the
Controller to their respective appointed positions.
(2)
Terms of service. Members of the Board
shall serve for terms of three years, except that members shall continue
to serve until their successors are appointed and qualified. The terms
of the initial members shall be staggered, with one member serving
a term of one year, two members serving for two years, and two members
serving for three years. The initial Board's staggered terms shall
be determined by lottery.
(3)
Vacancy. An individual appointed to fill
a vacancy occurring other than by the expiration of a term of office
shall be appointed for the unexpired term of the member he/she succeeds
and is eligible for appointment thereafter according to the terms
herein.
(4)
Election of Chairperson and Vice Chairperson.
The Board shall elect a Chairperson and a Vice Chairperson annually
at a meeting held in January of each year. The Vice Chairperson shall
act as Chairperson in the absence of the Chairperson or in the event
of a vacancy in that position.
(5)
Quorum. A majority of the members of the
Board shall constitute a quorum, and the votes of a majority of the
members present are required for any action or recommendation of the
Board.
(6)
Staff. The Board shall appoint a Solicitor,
a Secretary and such other staff as may be deemed necessary. The Solicitor,
Secretary and such other staff as may be necessarily appointed need
not be members of the Board.
(7)
Meetings. The Board shall meet at the call
of the Chairperson or at the call of a majority of its members.
(8)
Investigative officer. The Board shall
appoint an investigating officer as set forth herein. The Board shall,
from time to time, determine an amount to be paid as reasonable compensation
to the investigating officer as payment for such services. The investigative
officer shall be a member in good standing of the Lackawanna County
Bar and shall have so been for at least five years. The investigative
officer need not be a resident of the City of Scranton and shall not
be a Board member. The investigating officer is authorized to retain
the services of investigators and may only delegate nondiscretionary
functions.
B.
Powers and duties. The powers and the duties
of the Board of Ethics may be summarized as follows:
(1)
Give advice as to the application of the
ethics provisions of the Charter of the City of Scranton and this
Code of Ethics.
(2)
Receive and dispose of complaints of violations
of the ethics provisions of the Charter and Code of Ethics, and exercise
discretion in declining to pursue an investigation if such a course
would be in the best interest of the citizens of the City of Scranton
or where the activity complained of amounts to no more than a de minimis
violation.
(3)
Appoint an investigating officer to conduct
investigations and to issue findings reports where appropriate.
(4)
Hold hearings, issue subpoenas and compel
the attendance of witnesses, administer oaths, take testimony, require
evidence on any matter under investigation before the Board, and issue
orders, including but not limited to those related to adjudications
and penalties.
(5)
Conduct educational programs to promote
the ethical conduct of public officials, City employees, and individuals
and groups doing business with the City.
(6)
Adopt rules and regulations to administer,
implement, enforce and interpret the Code of Ethics.
C.
Prohibitions. Due to their special position,
Board members have a higher duty than other public officials to avoid
conflicts of interest. Respect for the Code can be maintained only
if members are models of ethical behavior. The prohibitions in this
section are in addition to the duties, responsibilities or obligations
imposed upon the Board members as public officials under other provisions
of the Code.
(1)
No member may hold or campaign for any
other public office.
(2)
No member may hold office in any political
party or political organization or political committee.
(3)
No member may hold a position of employment
or appointment with any municipal government or any board or commission
formed by the City of Scranton.
(4)
No member may actively participate in or
contribute to any political campaign in the City of Scranton for a
candidate running for or from the office of the Mayor, City Council,
Controller and Tax Collector. This does not abridge the right of a
member to vote or attend a debate, speech or similar event that is
held primarily for the purpose of communicating a candidate's platform
or position on issues of public concern.
(5)
No member shall receive compensation but
shall be reimbursed by the City for documented expenses actually incurred.
D.
Preservation. Complaints and proceedings
pending before the Board at the time this Code is adopted shall be
preserved insofar as they are consistent with recent orders of the
Court of Common Pleas of Lackawanna County. The Board shall take any
and all steps necessary to adjudicate all pending complaints so as
to comply with said orders, including the establishment of a committee
of Board members not previously involved in the disposition of said
complaints to adjudicate and dispose of the same. Said committee shall
consist of at least three Board members and shall act with the authority
of the Board in adjudicating said complaints and instituting penalties
and restitution where applicable.
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.
The Administrative Code of the City of Scranton.
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.
The Board of Ethics of the City of Scranton.
An individual who files nomination papers or petitions for
City elected office or who publicly announces his or her candidacy
for City elected office.
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.
The one political committee used by a candidate to receive
all contributions and make all expenditures.
City of Scranton Home Rule Charter.
The City of Scranton, Pennsylvania.
The offices of Mayor, City Council, Controller, and Tax Collector.
City of Scranton Code of Ethics.
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.
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.
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.
Every primary, general, or special election for City elected
office.
An official elected or appointed to fill a position normally
filled by election.
Any individual receiving full-time salary or wages and benefits
from the City of Scranton.
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.
This definition may include, by way
of illustration and without limitation to, the following:
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;
Transportation, lodging, or parking;
Food or beverage, other than that
consumed at a single sitting or event;
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
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.
The term "gift," for purposes of
this Code, shall explicitly exclude:
A parent, spouse, living partner, child, brother, or sister,
natural or adopted.
A person.
Direct or indirect ownership of more than 5% of the total
assets or capital stock of any business entity.
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.
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.
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.
An individual, partnership, corporation, or sole proprietorship,
whether for profit or not for profit, or any other form of business
organization.
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.
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.
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.
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.
Of personal benefit, whether economic, social, or otherwise.
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.
A.
City employees and officials often have
access to important nonpublic information regarding the property,
operations, policies or affairs of the City. Such information may
concern, among other things, employees and officials, real estate
transactions, expansion of public facilities, or other City projects.
Using or furnishing information that would place employees or recipients
in an advantageous position over the general public constitutes a
violation of public trust. Anyone who is privy to confidential information
may not disclose that information to any private citizen and should
disclose it to other public employees only if appropriate and in the
normal course of their duties as employees or officials of the City
of Scranton.
B.
Should an official or employee find himself/herself
in any direct or indirect financial interest with any person or other
entity proposing to contract with the City, that individual must fully
disclose said interest and refrain from voting upon or otherwise participating
in the transaction or the making of such decision, contract or sale.
Violation of this section shall render the contract voidable by the
decisionmaking body or upon review and authority of the Board of Ethics.
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.
(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.
A.
Penalties. Upon any violation of the City
provisions, including the undertaking of wrongful acts as described
above or in the City of Scranton Home Rule Charter, any of the following
penalties shall be available to the Ethics Board for imposition:
(1)
Admonition: in compliance with existing
personnel practices, collective bargaining agreements and/or statutes,
a letter to the respondent, the Mayor, the Director of the department
in which the respondent is employed, if any, and the complainant,
if any, indicating that the respondent has been found to have violated
the City provisions;
(2)
Public censure: in compliance with existing
personnel practices, collective bargaining agreements and/or statutes,
notification to the respondent, the Mayor, the Director of the department
in which the respondent is employed, if any, and the complainant,
if any, and the news media indicating that a violation of the City
provisions took place and that the Board strongly disapproves of the
actions of the public official or public employee;
(3)
Recommendation to the Mayor without compensation
for a stated period of time not to exceed 30 days, in compliance with
existing personnel practices, collective bargaining agreements and/or
statutes, with notification to the respondent, the Mayor, the Director
of the department in which the respondent is employed, if any, and
the complainant. If any such suspension is not imposed by the City,
a written explanation of such decision shall be provided within five
days to the Board;
(4)
Recommendation to the Mayor in compliance
with existing personnel practices, collective bargaining agreements
and/or statutes, with notification going to the respondent, the Mayor,
the Director of the department in which respondent is employed, if
any, and the complainant, if any. If any such termination is not imposed
by the City, a written explanation of such decision shall be provided
within five days to the Board;
(5)
Referral to the appropriate authorities
for criminal prosecution in cases where a violation of this article
is also a violation of federal or state law;
(6)
Ineligibility for holding any office or
position within the City for a period of up to five years;
(7)
Imposition of a fine, not to exceed $1,000
per violation;
(8)
Imposition of an administrative fine of
not more than $1,000 to defray the actual cost and expense of investigating
any violation; and
(9)
Any person who realizes financial gain
by way of a violation of any provisions of this article, in addition
to any other penalty provided by law or this article, shall pay into
the Treasury of the City a sum of money up to the financial gain resulting
from the violation. The Board shall determine the amount of financial
gain realized; and
(10)
Any public official, public employee, person,
corporation, company or other entity found to have participated in
or benefited from a violation of this article may be barred from participating
in business dealings with the City for a period of time not to exceed
five years, said period of time to be determined by the Board, in
addition to being subject to any other penalty (prescribed by this
article) deemed appropriate by the Board.
B.
Restitution; other penalties and remedies. After finding that an individual has violated any provision of the Charter or this Code within the jurisdiction of the Board as provided for in this Code, the Board may take one or more of the following actions, if appropriate, in addition to penalties described in Subsection A:
(1)
Order the subject to make restitution to
those incurring damage or injury as a direct result of the actions
of the subject that have been adjudicated as a violation of the Code
or Charter;
(2)
Order the subject to cease and desist from
engaging in a particular activity that is in violation of the Code,
Charter, or any order issued by the Board;
(3)
Order the subject to take specified action
to bring him/her into compliance with Board directives;
(4)
Refer the matter for review or with specific
recommendation for action to law enforcement, regulatory or other
authorities with jurisdiction of the matters;
(5)
Institute appropriate civil or equitable
action to enforce the order and decision of the Board; and
(6)
Recommend to City Council the forfeiture
of the office or position held by the subject with the City and recommend
that the subject be ineligible to hold any City office or position
for a period of up to five years following such decision.
A.
Upon the written request of any public
official or City employee, or without such request should a majority
of the Board deem it in the public interest, the Board may render
advisory opinions concerning matters of governmental ethics, shall
consider questions as to ethical conduct, conflicts of interest and
the application of ethical standards set forth in this article, and
shall issue an advisory opinion in writing as to any such question.
The Board may in its discretion publish its advisory opinions with
any redactions necessary to prevent disclosure of the identity of
the person who is the subject of the opinion. Such opinions shall
be rendered within 30 days of the request for same.
B.
An advisory opinion may be used as a defense
in any subsequent investigation or prosecution, provided that the
official or employee who sought the opinion did so in good faith and
only to the extent material facts were not misrepresented in the request
for the opinion.
A.
Who may file. Any person may file a complaint
about alleged ethics violations of the Scranton Code of Ethics or
the City Charter. In addition, the Board may initiate proceedings.
A person signing a complaint shall:
B.
How to file.
(1)
Complaints must be submitted on forms provided
by the Board. The Board shall make available this form upon request.
The complaint shall state the name, job or office held by the alleged
violator and a description of the facts that are alleged to constitute
a violation. It must contain a notarized signature subject to the
penalties of 18 Pa.C.S.A. § 4904 relating to unsworn falsification
to authorities. The Board shall establish a separate PO Box through
which to receive complaints. This PO Box shall be generally accessible
by the investigative officer and/or the Secretary, provided that the
Secretary is not a Board member.
(2)
Complaints must be filed within one year
(365 days) of the date on which the alleged ethics violation that
is the subject of the complaint occurred. Any complaint filed after
this date shall be rejected.
C.
Jurisdiction; preliminary investigation.
(1)
Each complaint filed with the Board shall
be immediately directed to and preliminarily reviewed by an investigating
officer appointed by the Board (the "officer") to determine whether
the complaint falls within the jurisdiction of the Board. The aforesaid
determinations shall be made within 30 days of the filing of the complaint.
If the officer determines that the Board does not have jurisdiction
over the matter underlying the complaint, the complainant will be
notified, and no further action will be taken with regard to the complaint.
If, however, the officer determines that the complaint falls within
the jurisdiction of the Board, the officer shall authorize a preliminary
investigation.
(2)
The preliminary investigation shall be
initiated and accomplished at the sole direction of the officer. If
the officer, in his/her sole discretion, finds that the violation(s),
as alleged in the complaint, would, if proved, constitute a deminimis
infraction, he/she may decline to initiate a preliminary investigation
and dismiss the complaint, if to do so would be in the best interest
of the citizens of the City of Scranton.
(3)
At the onset of the preliminary investigation,
the officer shall notify both the complainant and the subject of the
investigation of the filing of the complaint, the nature of the same,
and the initiation of a preliminary investigation.
(4)
The preliminary investigation shall be
completed within 60 days of the officer's finding of jurisdiction.
(5)
If, at any time during the preliminary
investigation, an extension is necessary and justified, the officer
shall have additional time in thirty-day segments. The officer shall
timely notify both the complainant and the subject of the investigation
of each such extension.
(6)
At the conclusion of the preliminary investigation,
the officer shall determine whether there may exist facts to support
the complaint. If the inquiry fails to establish such facts, the officer
shall dismiss the complaint and notify both the complainant and the
subject of the complaint of the dismissal of the complaint. If, however,
at the conclusion of the preliminary investigation the officer determines
that there may exist facts to support the complaint, the officer shall
authorize a full investigation.
D.
Full investigation. If a preliminary investigation
uncovers facts to support the complaint, the officer shall authorize
a full investigation. The complainant and the subject of the investigation
shall be notified within three days of the initiation of a full investigation,
and the subject shall be notified of the identity of the complainant.
Until the investigation is concluded or terminated, the officer will
notify both the complainant and the subject of the investigation of
the status of the investigation at least every 90 days. Within 180
days of the initiation of the full investigation, the officer must
either terminate the investigation or issue a findings report to the
subject.
E.
Findings report.
(1)
The findings report shall set forth the pertinent findings of fact as determined by the officer. The officer shall deliver the findings of fact to the complainant and the subject of the investigation. The subject of the investigation may, within 30 days of the report, request an evidentiary hearing, unless an extension is obtained from the officer. When such a request is received by the officer, the officer shall immediately notify the Board of the request for a hearing, and the names of the parties involved. The Board shall upon receipt of such notice engage two attorneys: one to represent the facts in support of the complaint; and one to advise the Board in matters related to the evidentiary hearing. Following a full investigation and issuance of a findings report, the investigative officer shall deliver a copy of the findings report to the Board of Ethics within 10 days of the report's deliverance to the complainant and the subject of the investigation. Should the subject of the investigation fail to request an evidentiary hearing within 30 days of the issuance of the findings report, the Board shall adopt the findings report. After adoption of the findings report, should there be a violation of the City provision(s), the Board shall issue a final order finding that the subject was in violation of the City provision(s). A copy of said final order shall be immediately delivered to both the complainant and the subject of the complaint along with any penalties imposed by the Board, if any, as enumerated under § 6-21 of the Ethics Code.
[Amended 11-10-2022 by Ord. No. 30-2022]
(2)
The Board Solicitor shall not have any
involvement in a particular matter once the findings report has been
issued.
F.
Evidentiary hearing.
(1)
Timing. An evidentiary hearing must be
held within 45 days of the filing of a request for the same.
(2)
Evidence. The subject of the investigation
shall have reasonable access to any evidence intended to be used at
a hearing. The subject of the investigation shall have the opportunity
to be represented by counsel and to subpoena witnesses, present evidence,
cross-examine witnesses against him/her, submit argument and shall
be entitled to exercise all rights of confrontation and the like afforded
him/her by the United States Constitution and the Pennsylvania Constitution.
(3)
Closed hearing. The hearing shall be closed
to the public unless the subject requests an open hearing in writing
to the Board at least five days before the hearing.
G.
Decision by Board; final order.
(1)
At the conclusion of the evidentiary hearing,
the Board will determine by majority vote of those members presiding
whether the evidence supports a finding that the subject of the complaint
violated provisions of either the Charter or the Code.
(2)
Upon reaching a determination on the complaint,
the Board shall issue a final order. A copy of said final order shall
be immediately delivered to both the complainant and the subject of
the complaint.
H.
Petition for reconsideration. A subject,
having been found to have violated a provision of the Charter or Code,
may file a petition for reconsideration of the Board's decision. Such
petition shall be filed with the Board within 10 days of the day the
Board issues its final order.
I.
Protection of complainant. No person may
be penalized, nor any employee of the City be discharged, suffer change
in his/her official rank, grade or compensation, denied a promotion,
or threatened, for a good faith filing of a complaint with the Board,
or providing information or testifying in any Board proceeding.
J.
Mediation.
(1)
In addition to the procedures set forth
above regarding preliminary investigation, full investigation, and
findings report, the officer may, in his/her sole discretion, engage
in mediation of a complaint at any time prior to the issuance of the
findings report. The purpose of mediation would be to resolve the
complaint in a voluntary manner, compliant with the Charter and the
Code.
(2)
In the event the officer determines that
mediation would be useful, he/she shall notify both the complainant
and the subject of the investigation of his/her intent to mediate
and obtain the consent of both parties to mediate. If the complainant
and the subject agree to mediation, the officer shall conduct the
mediation in whatever manner he/she deems best under the circumstances,
considering the time in the investigative process when the mediation
will take place.
(3)
If a resolution is achieved following mediation, the officer shall prepare and present to the Solicitor a written mediation report, which shall be signed by the subject and the officer. The Solicitor shall immediately present the mediation report to the Board for review and approval. If a complete resolution is not achieved following mediation, the officer shall prepare and present to the Solicitor a statement indicating only that mediation occurred, but the matter was not resolved at mediation. The statement shall not state any particulars of the mediation, names, or identifying information of the parties. The Solicitor shall immediately present such statement to the Board for review. The matter shall then continue to proceed in accordance with Subsections A to I above.
(4)
Any mediated resolution must be compliant
with the Charter and the Code. It shall be the sole province of the
Board to determine if a mediated resolution is compliant with the
Charter and the Code. At the Board's sole discretion and direction,
it may resubmit a matter to mediation to resolve any aspect of a mediated
resolution that is not compliant with the Charter or Code or as the
Board may desire for other administrative reasons.
(5)
If the Board approves a mediated resolution of the entire matter, the Board shall issue a final order. A copy of said final order shall be immediately delivered to both the complainant and the subject of the complaint. In all respects, the general confidentiality provisions of the Code shall apply. There shall be no release or settlement agreement. If the Board does not approve a mediated resolution of the entire matter, the matter shall continue to proceed in accordance with Subsections A to I above. However, nothing in this Subsection J shall prevent the officer and the subject from entering into a stipulated administrative settlement after the issuance of a findings report and a subject's demand for evidentiary hearing.
(7)
Miscellaneous matters.
(a)
Knowledge by the Board of the identity
of the complainant or subject is permitted, provided that the identity
of the complainant or subject is revealed to the Board only through
a mediation report.
(b)
Nothing herein shall preclude the
Board from taking any action permitted by the Charter or Code with
respect to the mediation, any resolution, and the issues raised in
the complaint.
(c)
All mediations, and all information
exchanged, created, or transmitted in any way involving a mediation
under these procedures, shall be confidential except as provided by
the Code.
(d)
The officer shall not be permitted
or compelled to testify in any proceeding, before any court, tribunal,
or hearing board, including the Board, concerning any aspect of mediation.
(e)
The officer/mediator shall not exchange any information with the Board or Solicitor concerning the mediation except as reduced to writing as provided in Subsection J(3) above.
(f)
At all times, as between the officer and the Solicitor and/or Board, the officer shall form, keep and maintain a wall of separation between himself/herself as it pertains to any information obtained, learned, reported, supplied, or otherwise brought forth at the mediation except as reduced to a writing as provided in Subsection J(3) above.
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.
A.
The purpose of the Board of Ethics is to endeavor to maintain a high standard of ethical behavior by City employees and officials. This will be most effective when City employees, officials and citizens work together to set and maintain high ethical standards. Complaints directed to the Board must be based on fact. Those filing complaints must have the intent to improve the ethical climate of the City. Wrongful use of the Code is prohibited, and those individuals engaged in such conduct may be subject to penalties as set forth in § 6-21.
B.
Wrongful use of the Code of Ethics is defined
as either:
(1)
Filing an unfounded, frivolous or false
complaint. A complaint is unfounded, frivolous or false if it is filed
in a grossly negligent manner without a basis in law or fact and was
made for a purpose other than reporting a violation of this Code.
A person has not filed a frivolous complaint if he/she reasonably
believes that facts exist to support the claim and either reasonably
believes that under those facts the complaint is valid under this
Code or acts upon the advice of counsel sought in good faith and given
after full disclosure of all relevant facts within his/her knowledge
and information; or
(2)
Publicly disclosing or causing to be disclosed
information regarding the status of proceedings before the Board and
facts underlying a complaint before the Board, including the identity
of persons involved and that a complaint has been filed.
A.
Campaign contribution limitations.
(1)
During a calendar year in which a covered
election is held and in each calendar year thereafter:
(a)
To the extent that it is not inconsistent
with federal or state law, hereinafter, no individual shall make,
and no candidate and/or no candidate political committee shall accept,
a candidate campaign contribution, including those contributions made
to or through one or more political committees by such individual,
in excess of $2,700.
(b)
To the extent that it is not inconsistent
with federal or state law, hereinafter, no organization (excluding
individuals covered by the Code of Ethics as part of the Administrative
Code, as amended), shall make, and no candidate and/or no candidate
campaign committee shall accept, a candidate campaign contribution,
including those contributions made to or through one or more political
committees by such organization, in excess of $5,000.
(c)
To the extent that it is not inconsistent
with federal or state law, hereinafter, no political committee (excluding
candidate political committees) shall make, and no candidate and/or
no candidate campaign committee shall accept, a candidate campaign
contribution in excess of $5,000.
(2)
Candidate's personal resources. The limitations
imposed by the Code of Ethics as part of the Administrative Code,
as amended, shall not apply to contributions from a candidate's personal
resources to his or her candidate political committee.
(3)
Volunteer labor. The limitations imposed
by this section shall not apply to volunteer labor.
(4)
Adjustments.
(a)
On January 1, 2020, and on every January 1 every four years thereafter, the maximum contribution amounts set forth in § 6-23.3 shall be adjusted, as follows: on the December 15 immediately preceding the adjustment, the City Business Administrator shall calculate the CPI multiplier by dividing the average consumer price index for Scranton, Pennsylvania, during the then-current calendar year by the average Consumer Price Index for Scranton, Pennsylvania, during the calendar year of 2013. To determine the average Consumer Price Index for Scranton, Pennsylvania, the City Business Administrator shall use the latest available figures for the Consumer Price Index for all Urban Consumers (CPI-U), Scranton, Pennsylvania, as measured by the United States Department of Labor, Bureau of Labor Statistics. After calculating the CPI multiplier, the Business Administrator shall determine the new maximum amounts as follows:
[1]
The maximum amount for purposes of § 6-23.3A(1)(a) shall equal $2,700, multiplied by the CPI multiplier, rounded to the nearest $100.
[2]
The maximum amount for purposes of § 6-23.3A(1)(b) and (c) shall equal $5,000, multiplied by the CPI multiplier, rounded to the nearest $100.
(b)
The Business Administrator shall
calculate the new maximum amounts in writing to the Mayor, the City
Controller, the City Council President, and the City Clerk.
(5)
Candidate political committees. A candidate
shall have no more than one candidate political committee and one
checking account for the City elected office sought, into which all
contributions and post-candidacy contributions for that sought office
shall be made, and out of which all expenditures for that sought office
shall be made, including expenditures for retiring debt and for transition
or inauguration to that office. If the candidate maintains other political
or nonpolitical accounts for which contributions are solicited, such
funds collected in these accounts shall not be used for the purpose
of influencing the outcome of a covered election, or to retire debt
that was incurred to influence the outcome of that covered election,
or to cover transition or inauguration expenses.
(6)
Enforcement; injunctive relief.
(a)
The provisions of this section shall
be enforced by the City of Scranton Board of Ethics, in accordance
with the Code of Ethics (of the City Administrative Code, as amended),
including but not limited to the complaint, investigation, restitution
and penalties provisions thereof.
(b)
In addition to the provisions of
the Code of Ethics, any person residing in the City of Scranton, including
the City Solicitor, may bring an action for injunctive relief in any
court of competent jurisdiction to enjoin any violations of, or to
compel compliance with, the provisions of this section in accordance
with the Code of Ethics as part of the Administrative Code, as amended.
The court may award to a prevailing plaintiff in any such action his
or her costs of litigation, including reasonable attorney's fees.
B.
Reporting requirements.
(2)
Campaign finance disclosure.
(a)
Whenever a candidate, treasurer of
a candidate political committee, or other representative of a candidate
political committee files a required report of receipts and expenditures
with the Lackawanna County Board of Elections and/or Secretary of
the Commonwealth as required by the Pennsylvania Election Code (25
P.S. § 2601 et seq.), or other applicable laws or regulations,
such person shall at the same time file with the City Clerk a copy
of all information set forth in such report(s), in that format mandated
by the Board of Ethics. Such filing with the City Clerk shall be accompanied
by a written statement, signed by the person making the filing, that
subscribes and swears to the information set forth in such filing.
(b)
The City Administration shall make
all reports of receipts and expenditures and written statements filed
with the City Clerk available for review by the public on the City's
website.
C.
Required notice of contribution limits.
(1)
The Board of Ethics shall post on the City's
website a notice setting forth the contribution limits set forth in
this Code together with a plain English explanation of the provisions
of this section and the penalties and remedies for violations thereof.
Such notice shall remain posted and available for review on the City's
website at all times.
