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You Think Your Boardroom is Political?
SCCE Annual Compliance and Ethics InstituteOctober 5, 2015
Hope Caldwell | Associate Director of Compliance | Princeton University * Formerly Chief Integrity Officer for the City of PhiladelphiaStephanie Tipton | Chief Integrity Officer | City of Philadelphia
A Case Study from the City of Brotherly Love
This presentation is not associated with Princeton University
POLL EVERYWHEREGETTING TO KNOW YOU
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
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“All our municipal governments are more or less bad….Philadelphia is simply the most corrupt and the most contented.”
- Lincoln Steffens, 1903
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“It’s a new day. It’s a new way.”
- Mayor Michael Nutter, 2008
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Friday, September 25, 2015
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Ethics in Philadelphia Government10
An Evolution
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
The “Bug”
2003
New Laws
2006
Ethics Board
2006
CIO Position
2008
ARRA2009
Ethics EO’s
2011IG Stronger
2014
Open Data
2012
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You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
11City of Philadelphia: WorkforceA Snapshot
City government represents a large and diverse workforce.
City of Philadelphia: Workforce
The City’s workforce is overwhelmingly
unionized
83%
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
12A Snapshot
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You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
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Rank Organization
1 Federal Government
2 City of Philadelphia
3 University of Pennsylvania
4 School District of Philadelphia
5 Children’s Hospital of Phila.
Three of the top five largest employers in the City are
public entities.
City of Philadelphia: WorkforceA Snapshot
City’s Ethics & Compliance Program
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
14Reporting Structure
City Controller
City Solicitor
Risk Management
Ethics Board
Inspector General
Chief Integrity Officer Mayor
PUBLIC
STATE ETHICS COMMISSION
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Chief Integrity Officer15
Who Are We?
Created by Executive Order in 2008
• Promote honesty, integrity, and transparency in City government
• Jurisdiction over departments/contractors in the Executive Branch
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
The Office increases awareness of, and
compliance with, ethics rules by being a proactive, responsive and reliable
resource to City employees, vendors, and
the public.
The City of Philadelphia becomes a model for
transparent government operations through
improved access to City information and on‐going
public engagement.
The Office prevents potential wrong‐doing by proactively addressing
ethical issues through the development of City
policies and procedures in concert with City departments.
Education/Outreach Provide Guidance
(formal and informal)
IntegrityWorks Open Data
(contracts, vacant land, leases)
Taskforce/Workgroups
Policy‐making
Chief Integrity OfficerOur Goals
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You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
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Strong “Tone from the Top”
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
17City’s Ethics & Compliance ProgramWins
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
18City’s Ethics & Compliance ProgramWins
Strong Network of Internal Watchdogs
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You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
19City’s Ethics & Compliance ProgramWins
Integrity Office: Proactive Outreach & Communication
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
20City’s Ethics & Compliance ProgramWins
Integrity Office: Open Data & Transparency Efforts
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Jurisdictional Overlap & Limitations
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
21City’s Ethics & Compliance ProgramChallenges
AgencyExecutiveBranch
Legislative Branch /
Row Offices
Judicial Branch
CityContractors / Recipients of City Funds
State Ethics Commission
Board of Ethics
Inspector General
Chief Integrity Officer
City Controller
City Solicitor
Complex/Varied Public Integrity Laws
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
22City’s Ethics & Compliance ProgramChallenges
Gifts Political Activity
Conflicts of Interest
• City Ethics Code• Executive Order
• City Charter• Regulation
• State Ethics Act• City Ethics Code
• State Ethics Act• City Ethics Code• Executive Order
Financial Disclosures
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Leadership Transitions
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
23City’s Ethics & Compliance ProgramChallenges
Regulatory Compliance Decentralized
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
24City’s Ethics & Compliance ProgramChallenges
Example Regulation Agency(s) Responsible
ADA Various
EPA Regulations Various
Insurance Risk Management
Building Safety L&I
Grants Various
OSHA HR
Tax Revenue/Water Revenue
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Lack of Resources: Office of the Chief Integrity Officer
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
25City’s Ethics & Compliance ProgramChallenges
“Philadelphia works better for all of us with an ethical and open government, which is why making it more so should be high on the next mayor's to-do list.”
- Philadelphia Inquirer, 2015
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City’s Ethics & Compliance Program
• Broad charge for next Chief Integrity Officer
• Permanency of key oversight positions
• Sustaining the “gains”
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
27The Future
SHARE YOUR THOUGHTSSMALL GROUP BREAK‐OUT
You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love
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1. Discuss the wins & challenges of your own ethics and compliance programs.
2. What can the public sector learn from corporate best practices and vice versa?
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Thank you!Questions?
Stephanie TiptonChief Integrity OfficerCity of Philadelphia
[email protected]@PHL_Integrity
Hope CaldwellAssoc. Director of Compliance
Princeton [email protected]
Stephanie TiptonChief Integrity OfficerCity of Philadelphia
[email protected]@PHL_Integrity
Hope CaldwellAssoc. Director of Compliance
Princeton [email protected]
Contact Information
This presentation is not associated with Princeton University
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