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HomeMy WebLinkAbout1061 AnticoIn Re: Frank Antico STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 File Docket: X -ref: Date Decided: Date Mailed: Before: Daneen E. Reese, Chair Austin M. Lee, Vice Chair Roy W. Wilt Allan M. Kluger Rev. Joseph G. Quinn Boyd E. Wolff Julius Uehlein 96- 035 -C2 Order No. 1061 8/14/97 8/26/97 This is a final adjudication of the State Ethics Commission. Procedurally, the Investigative Division of the State Ethics Commission conducted an investigation regarding a possible violation of the Public Official and Employee Ethics Law, Act 9 of 1989, P.L. 26, 65 P.S. §401 gt sgg., by the above - named Respondent. At the commencement of its investigation, the Investigative Division served upon Respondent written notice of the specific allegation(s). Upon completion of its investigation, the Investigative Division issued and served upon Respondent a Findings Report identified as an "Investigative Complaint." An Answer was filed and a hearing was waived. A Consent Agreement was submitted by the parties to the Commission for consideration which was subsequently approved. This adjudication of the State Ethics Commission will be made available as a public document thirty days after the mailing date noted above. However, reconsideration may be requested. Any reconsideration request must be received at this Commission within thirty days of the mailing date and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §21.29(b). A request for reconsideration will not affect the finality of this adjudication but will defer its public release pending action on the request by the Commission. The files in this case will remain confidential in accordance with Act 9 of 1989, 65 P.S. §408(h). Any person who violates confidentiality of the Ethics Law is guilty of a misdemeanor subject to a fine of not more than $1,000 or imprisonment for not more than one year, 65 P.S. §409(e). Confidentiality does not preclude discussing this case with an attorney at law. Antico, 96- 035 -C2 Page 2 I. ALLEGATION: That Frank Antico (Antico), a former public employee of the City of Philadelphia, Department of Licenses and Inspections, violated the following provisions of the State Ethics Act (Act 9 of 1989) when he represented businesses and individuals for promised or actual compensation on matters before his former governmental body within one year of leaving employment with that body. Section 3. Restricted activities (g) No former public official or public employee shall represent a person, with promised or actual compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body. 65 P.S. §403(g). And that Frank Antico, a former public employee of the City of Philadelphia, Department of Licenses and Inspections, violated the following provisions of the State Ethics Act (Act 9 of 1989) when he failed to file Statements of Financial Interests for the 1995 and 1996 calendar years with the City of Philadelphia, and when he filed deficient Statements of Financial Interests for the 1993 and 1994 calendar years by failing to disclose sources of income. Section 4. Statement of financial interests required to be filed (a) Each public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the commission no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Each public employee and public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency, body or bureau in which he is employed or to which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Any other public employee or public official shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed or within which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Persons who are full -time or part-time solicitors for political subdivisions are required to file under this section. 65 P.S. §404(a). Section 5. Statement of financial interests (b) The statement shall include the following information for the prior calendar year with regard to the person required to file the statement. Antico, 96- 035 -C2 Page 3 (5) The name and address of any direct or indirect source of income totaling in the aggregate $ 1,000 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 or common law privileges. 65 P.S. §405(b)(5). II. FINDINGS: 1. Frank P. Antico was employed by the City of Philadelphia, Department of Licenses and Inspections ( "Department "), from October 15, 1958 to January 18, 1996. 2. Antico was employed with the Department from 1958 and held various positions including Clerk, Zoning Examiner and Code Administrator. a. In 1993, Antico was appointed as the Regulatory Enforcement Director. 3. Antico retired from his position, Licenses and Inspections Business Regulatory Enforcement Director, on January 18, 1996. a. His former governmental body is the City of Philadelphia, Department of Licenses and Inspections and all of the boards and commissions thereunder. 4. The Department of Licenses and Inspections (L &I) administers and enforces the City's code requirements for the enhancement of public safety, including building, fire, health, housing, business, and zoning regulations. a. The Department is responsible for regulating the conduct of businesses and persons by issuing licenses, by conducting inspections, and by enforcing applicable codes and regulations. b. The Department is empowered to take lawful actions necessary to correct dangerous and unlawful conditions, including making necessary emergency repairs to properties, cleaning and sealing abandoned buildings, and demolishing vacant buildings that pose a threat to public safety. c. The Department seeks to generate revenue sufficient to cover the costs of its activities through the sale of permits and licenses and by the collection of costs expended for demolition and clean and seal actions. 5. The Department of Licenses and Inspections ( "Department ") is split into five divisions reporting to a Commissioner. a. Business Regulatory Enforcement Division is responsible for providing business licensing, enforcing commercial and industrial provisions of the fire code, enforcing federal and state weights and measures laws. It is the primary revenue - generator for the Department. Antico, 96- 035 -C2 Page 4 b. Neighborhood Services Division is responsible for cleaning and sealing vacant buildings, providing emergency repairs to tenant occupied buildings, demolishing imminently dangerous buildings, and enforcing the housing code. c. Construction Services Division is responsible for enforcing the building electrical, plumbing and zoning codes. d. Administrative Services Division provides overall support to the entire Department through its Personnel, Training, Budget, Research and Analysis, and General Services Unit. e. Code Enforcement Division provides court enforcement support as well as clerical support for the major operating divisions. 6. The Philadelphia City Charter mandated the creation of the following boards to review appeals from the actions of the Department of Licenses and Inspections: a. Board of License and Inspection Review. b. Zoning Board of Adjustment. c. Board of Building Standards.. 7. The Job Description for the Licenses and Inspections Business Regulatory Enforcement Director, dated March 1993, contains the following duties and responsibilities: a. Managerial and administrative code enforcement work, directing the enforcement of commercial and industrial regulatory requirements for the City's licensing and inspections agency. b. Directs, through subordinate administrators, technical and inspectional staff engaged in determining and ensuring code and regulatory compliance and enforcement and monitoring the issuance of licenses and permits to ensure compliance with the applicable zoning codes. c. Develops and implements strategies and initiatives to increase the assessment and collection of fines levied for non - compliance and coordinating zoning, licensing and inspectional activities in a concerted effort to consistently and effectively enforce regulations are significant aspects of the work. d. The employee must coordinate, through subordinate supervisors, all code enforcement and regulatory enforcement activities for commercial and industrial entities within the City's licensing and inspection agency. 8. The job description contained the following examples of work performed. a. Develops and coordinates, through subordinate supervisors, the implementation of current and proposed zoning, license, inspection, enforcement, and revenue collection activities; Antico, 96- 035 -C2 Page 5 b. Establishes priorities and determines resources required to accomplish objectives; directs, through subordinate supervisors, the activities of an administrative, technical, and clerical staff engaged in conducting inspections, investigations, and related enforcement work to ensure compliance with laws, ordinances and regulations pertaining to commercial and industrial activity, the issuance or original and renewal occupational and business licenses and general purpose permits; c. Ensures through subordinate supervisors that all requirements are met and approvals received prior to the issuance of license or permit; d. Discusses and reviews status of operations, productivity, and problems with subordinate supervisors; e. Develops, modifies, and implements procedures to increase operating efficiency and expedite work flow; monitors activities to determine effectiveness and the achievement of desired results; f. Confers with managers of other city departments and agencies to explain program objectives, initiatives and procedures coordinates the activities of other city agencies and community groups and the department. g. Reviews a variety of reports submitted by subordinates consults on the preparations of training programs for field inspection personnel; h. Advises on training priorities, codes, policies and procedures. i. Reviews related ordinances and code proposals for clarity, enforceability, inconsistencies, conflicts in standards and practices, and practical application; j. Confers with appropriate officials in the development, application, and revision of code(s); k. Approves compliance extensions and /or closing of businesses; I. Explains nature and extent of code requirements and violations; m. Represents and testifies for the department at board and court hearings; discusses activities and problems with business representatives, community groups and the public. n. Conducts confidential inspections and investigations as required; prepares a variety of reports. 9. A Department of Licenses and Inspections Organizational Chart, dated 11 /8/95, confirms that as Director of Business Regulatory Enforcement Frank P. Antico reported directly to Licenses and Inspections Commissioner Bennett Levin. a. Antico had overall supervision of the following departments: License Issuance Weights and Measures Anti o, 96- 035 -C2 Page 6 Business Compliance Special Revenue Initiatives C &I Fire Inspections 10. Antico's duties as Examiner I, Examiner II, Examiner III, Code Administrator II, Code Administrator III, and L &I Business Regulatory Enforcement Director required him to take actions that were reviewed by the Zoning Board of Adjustment, the Board of Licenses and Inspections Review, and the Board of Building Standards, or required him to supervise subordinates who took actions that were reviewed by these Boards. a. Antico's duties and responsibilities in these positions involved licensing and inspecting. b. Appeals taken by individuals /companies of decisions rendered by Antico and /or his subordinates were reviewed by the three boards. c. Antico or someone from his department would be required to appear and present the department's case before the various boards. 11. In January of 1996 Antico started a business "Frank P. Antico, Zoning Consultant, Advisor, and Technician of The Philadelphia Code ". a. Antico operates the business from his residence at 6424 Chelwynde Avenue, Philadelphia, PA. b. Frank P. Antico is the owner and sole employee of the company. c. The business was organized to utilize the experience and expertise gained by Antico during his years of service with the Department. 12. Antico's business was established to provide individuals and companies with representation in their dealings with the City of Philadelphia Department of Licenses and Inspection, the Zoning Board of Adjustment, the Board of Licenses and Inspections Review, and the Board of Building Standards. a. Antico's services were and are provided to individuals and companies in return for compensation. b. This would include representing them in appeals before the three boards, as well as representations before the Business Regulatory Enforcement Division. 13. Individuals providing this type of representation are commonly known as "expeditors. 14. The Department of Licenses and Inspections requires the "expeditor" to present written authorization from the person or company they are representing before they will accept the "expeditor" as the applicant in a zoning matter or license request. 15. Antico prepared, signed, presented documents regarding /or represented the following individuals and companies in matters before the Department of Antico, 96- 035 -C2 Page 7 Date Licenses and Inspections within one year after he left his position with the Department of License and Inspections. Individual or Company Represented 02/06/96 Gloria A. Baker 6111 -13 Greenway Philadelphia, PA 02/06/96 Teresa Petolicchio 3606 Wharton Street Philadelphia, PA 03/08/96 Louis A. Lozzi 3041 Vare Avenue Philadelphia, PA 03/08/96 Giani Fragala 300 S. Juniper Street Philadelphia, PA 03/20/96 Arthur's Catering 12050 Bustleton Ave. Philadelphia, PA 04/04/96 Rick Jones 229 Delancey Street Philadelphia, PA 04/04/96* Slack's Hoagie Shop Prepared and presented to 1619 Grant Avenue Licenses and Inspections Philadelphia, PA 19115 employees a Petition of Appeal to the Zoning Board of Adjustment. 04/09/96 Garden Fresh Description of Fee Paid to Antico Representation For Representation Prepared, named as applicant, signed and presented to Licenses and Inspections employees an Application for Zoning Permit, a Petition of Appeal to the Zoning Board of Adjustment, and appeared in person before the Zoning Board of Adjustment. Prepared, authorized to file and presented to Licenses and Inspections employees a Petition of Appeal to the Zoning Board of Adjustment Prepared, named as applicant, signed and presented to Licenses and Inspections employees a Petition of Appeal to the Zoning Board of Adjustment Prepared, named applicant, $150.00 signed application and presented Licenses and Inspections employees a Petition of Appeal to the Zoning Board of Adjustment Prepared, named applicant and presented to Licenses and Inspections employees an Application for Zoning Permit and /or Use Registration Permit and a Petition of Appeal to the Zoning Board of Adjustment. Prepared, named as applicant and presented to Licenses and Inspections employees an Application for Zoning Permit and /or Use Registration Permit $200.00 $300.00 $800.00 $200.00 $500.00 Testified as an expert witness $250.00 Antico, 96- 035 -C2 Page 8 2244 Fairmont Avenue Philadelphia, PA 04/09/96** Bridget's 726 North 24th Street Philadelphia, PA 04/30/96* Show and Tell 1900 S. Delaware Ave. Philadelphia, PA 06/14/96 Ricky's Pizza 5200 Burton Street Philadelphia, PA 07/31/96 Forman Mills, Inc. 5691 Rising Sun Ave. Philadelphia, PA 10/11/96 Christopher Carvell 2934 S. Smowley St. Philadelphia, PA 10/31/96* Deco Inc. ** 100 Spring Garden Philadelphia, PA 11/05/96* 8th Floor ** 700 N. Delaware Ave. Philadelphia, PA 11/11/96* Libations ** 229 S. Broad Street before the Board of Licenses and Inspections Review Prepared, named applicant, signed appeal and presented to the Board of Licenses and Inspections Review in reference to a denial of a sign license. Testified as an expert witness before Board of Licenses and Inspections Review. Prepared, named as applicant and $300.00 presented to Dept. of Licenses and Inspections employees an Application for Zoning Permit and /or Use Registration Permit. Prepared, named as applicant and $500.00 presented to Licenses and Inspections employees an Application for a Zoning Permit and a Petition of Appeal to the Zoning Board of Adjustment, appointment on Frank Antico letterhead. Prepared, named as applicant and $500.00 presented to Licenses and Inspections employees an application for a Zoning Permit and a Petition of Appeal to the Zoning Board of Adjustment. Prepared and presented to Licenses $500.00 and Inspections employees an application for a zoning permit and a Petition of Appeal to the Zoning Board of Adjustment. Prepared and presented to Dept. of Licenses and Inspection employees an Application for Zoning Permit and /or Use Registration Permit, appointment on Frank Antico letterhead. Prepared and presented to Dept. of Licenses and Inspections employees an Application for Zoning Permit and /or Use Registration Permit, appointment on Frank Antico letterhead. Prepared and presented to Dept. of Licenses and Inspections employees an Application for Zoning Permit Antico, 96- 035 -C2 Page 9 and /or Use Registration Permit, appointment on Frank Antico letterhead. * Indicates the Application contained the name of "Alberta Antico," Frank Antico's wife's name or "Alberta Given," Frank Antico's wife's maiden name. There is no evidence that compensation was received for the services rendered. 16. Antico paid $150 each to another individual to appear and represent Arthur's Catering, Slacks Hoagie Shack and Ricky's Pizza for a total of $450. 17. There is no evidence to indicate what, if any, role Antico served in relation to the application of Christopher Carvell and Slack's Hoagie Shop, other than preparing the paperwork and delivering such to the Department of Licenses and Inspection. 18. Prior to representing a majority of the clients identified in Finding No. 15, Antico was advised of the Ethics Law restrictions on former public employees and official by Licenses & Inspections Commissioner Robert Barnett. 19. On March 13, 1996, Zoning Board of Adjustment Chairman Thomas Kelly questioned Antico, who was appearing before the Board as an applicant for an Appeal filed on behalf of Gloria Baker, 6111 Greenway Avenue, on the property of Antico's representation under the Ethics Law. * * a. Kelly refused to permit Antico to represent the owner of the property and sought the advice of the City Solicitor's office on the matter. 20. On April 1, 1996, Deputy City Solicitor Evan Meyer informed Kelly, by memorandum, that he had the right to refuse Antico permission to represent parties before the Zoning Board of Adjustment based on the Ethics Law's prohibition against a former employee representing individuals before their former governmental body. 21. On April 9, 1996, City Solicitor Joseph Dworetzky, along with Deputy City Solicitors Michael Mather and Evan Meyers met with Stephen Rodos, attorney for Frank Antico and informed him of the City Solicitor's opinion that Antico could not represent clients before the Zoning Board of Adjustment for one year after leaving employment with the City and could not testify as an expert witness on matters before the Zoning Board of Adjustment. a. The issue discussed and the opinion rendered were the subject of a letter, dated April 15, 1996, from City Solicitor Dworetzky to Rodos. b. State Ethics Commission Advice of Counsel Number 91 -507 accompanied Dworetzky's letter of April 15, 1996. 22. Antico, was aware of the prohibitions imposed under the Public Official and Employee Ethics Law, when he submitted applications and petitions to the Department of Licenses and Inspection. 23. Antico listed the names Alberta Antico and Alberta Given as applicant on the documents after the city solicitor's opinion. Antico, 96- 035 -C2 Page 10 a. Alberta Antico is the wife of Frank Antico. b. Given is her maiden name. c. None of the clients (identified in Finding No. 15) that Antico represented had hired his wife to represent them. 24. The documents listing the names Alberta Antico and Albert Given were prepared by Frank Antico. 25. Alberta Antico /Alberta Given never appeared in person at the Department of Licenses and Inspections to present the Applications for Licenses or Petitions for Appeals. a. The documents were presented to Department of Licenses and Inspections employees by Frank Antico. 26. By reason of his past employment with the Department of Licenses and Inspections, Antico had access to Licenses and Inspections employee work areas and to Department of Licenses and Inspections employees that are not available to the general public. 27. During the one year prohibition period, Antico met to discuss the applications for licenses and the Petitions for Appeals with employees that he supervised while employed by the Department of Licenses and Inspections. 28. Frank Antico did not file Statements of Financial Interests in 1997 for the calendar year 1996 and in 1996 for the calendar year 1995. a. Antico did not file a Statement of Financial Interests by May 1, 1996, during his last year of employment with the City of Philadelphia. b. Antico did not file a Statement of Financial Interests by May 1, 1997, with the City of Philadelphia one year after leaving city employment. c. Antico only worked for the City eighteen days in that year. 29. Antico's Statements of Financial Interests filed in 1995 for the calendar year 1994, and in 1994 for the calendar year 1993 did not list information as follows: a. Antico filed a Statement of Financial Interests for the 1993 calendar year on April 22, 1994. 1. The form fails to list direct or indirect sources of income on line 11 b. Antico filed a Statement of Financial Interests for the 1994 calendar year on April 6, 1995. 1. Sources of income (line 11) is marked "none." Antico, 96- 035 -C2 Page 11 III. DISCUSSION: At all times relevant to this matter, the Respondent, Frank Antico, hereinafter Antico, has been a public employee subject to the provisions of the Public Official and Employee Ethics Law ( "Ethics Law "), Act 9 of 1989, Pamphlet Law 26, 65 P.S. §401, et seq. The issues before us are whether Antico, a former public employee of the City of Philadelphia, Department of Licenses and Inspections (DLI), violated Section 3(g) of the Ethics Law as to the allegation that he represented businesses and individuals for compensation on matters before his former governmental body within one year of leaving employment and violated Sections 4 and 5 of the Ethics Law when he failed to file Financial Interests Statements (FIS) for the calendar years 1995 and 1996 and filed deficient FIS's for the calendar years 1993 and 1994. Under Section 3(g) of Act 9 of 1989, a former public official /public employee is prohibited from representing a person for compensation on any matter before the governmental body with which he was associated for a period of one year after he leaves that body. The terms "governmental body ", "person ", and "represent" are defined in the Ethics Law as follows: 65 P.S. §402. Section 2. Definitions "Governmental body." Any department, authority, commission, committee, council, board, bureau, division, service, office, officer, administration, legislative body, or other establishment in the Executive, Legislative or Judicial Branch of a state, a nation or a political subdivision thereof or any agency performing a governmental function. "Person." A business, governmental body, individual, corporation, union, association, firm, partnership, committee, club or other organization or group of persons. "Represent." To act on behalf of any other person in any activity which includes, but is not limited to, the following: personal appearances, negotiations, lobbying and submitting bid or contract proposals which are signed by or contain the name of a former public official or public employee. Section 4(a) of the Ethics Law quoted above requires that each public official /public employee file an FIS for the preceding calendar year, each year that he holds the position and the year after he leaves it. Section 5(b) of Act 9 of 1989 requires that every public official /public employee and candidate list the name and address of any direct or indirect source of income totaling in the aggregate of $ 1,000 or more on the FIS. Antico, 96- 035 -C2 Page 12 facts. Having noted the issues and applicable law, we shall now summarize the salient Antico was employed by the City of Philadelphia, DLI, from October 15, 1958 to January 18, 1996. Antico held a number of positions during his 38 years of public employment at DLI. In 1993, Antico was appointed as Business Regulatory Enforcement Director in which position he continued to serve until his retirement on January 18, 1996. The job description for the position of Business Regulatory Enforcement Director as well as examples of work performed are delineated in Fact Findings 7 and 8. Antico had supervision over various departments: License Issuance, Weights and Measures, Business Compliance, Special Revenue Initiatives, and C &I Fire Inspections. Fact Finding 9. DLI administers and enforces Philadelphia Code requirements for public safety relative to building, fire, health, housing, business, and zoning regulations. DLI regulates businesses and individuals by issuing licenses, conducting inspections and enforcing applicable codes and regulations. DLI is empowered to take legal action to correct dangerous or unlawful conditions that pose a threat to public safety. Lastly, DLI generates revenues to cover the costs of its operations through the sales of permits, licenses, and the collection of certain costs. DLI is composed of five divisions: the Business Regulatory Enforcement Division which provides business licensing, enforces commercial and industrial provisions of the fire code, and enforces federal and state weights and measure laws; the Neighborhood Services Division which cleans and seals vacant buildings, provides emergency repairs to tenant occupied buildings, demolishes imminently dangerous buildings, and enforces the housing code; the Construction Services Division which enforces the building electrical, plumbing and zoning codes; the Administrative Services Division which provides overall support to the entire Department through its Personnel, Training, Budget, Research and Analysis, and General Services Unit; and the Code Enforcement Division, which provides court enforcement support. The Philadelphia City Charter created three boards of oversight as to actions taken by DLI: Board of Licensure and Inspection Review, Zoning Board of Adjustment, and Board of Building Standards. Antico's duties required him to take actions that were reviewed by the three Boards or to supervise subordinates whose actions were also subject to Board review. Following Antico's retirement, he started a business called "Frank P. Antico, Zoning Consultant, Advisor, and Technician of the Philadelphia Code." Antico, who operates the business out of his residence, is the owner and sole employee of the business which provides individuals and businesses with representation for compensation in their dealings with DLI and the three review boards. In performing such services for individuals and businesses, Antico is known as an expeditor which means an individual who provides this type of representation. An expeditor is required by DLI to present a written authorization from any person who is represented by the expeditor. Antico represented individuals and businesses before DLI during the first year after he left his public position. The details as to such representation as well as the fees paid to Antico are delineated in Fact Finding 15. There is no evidence that compensation was received as to some of the representational services performed by Antico, which cases are designated by a "* *" in Fact Finding 15. Antico, 96- 035 -C2 Page 13 Antico was advised of the Ethics Law restrictions on former public employees by the DLI Commissioner prior to the time that Antico represented a majority of the clients listed in Fact Finding 15. In March, 1996, after the Zoning Board of Adjustment Chairman questioned Antico about his representation of a person before the Board and refused to allow Antico to represent that person before that Board, the Chairman sought advice from the City Solicitor's Office. The Chairman was advised by the Deputy City Solicitor that he had the right to refuse Antico permission to represent parties before the Board based upon the prohibition of the Ethics Law. In April, the City Solicitor and Deputy Solicitor met with Antico's attorney and informed him that Antico could neither represent clients nor testify as an expert before the Zoning Board of Adjustment within the one year period. The City Solicitor then sent a letter to Antico's attorney which confirmed the issues discussed and the opinion rendered. Antico was aware of the Ethics Law prohibition when he submitted applications and petitions to DLI. After the City Solicitor's opinion, Antico submitted documents to DLI under the names of Alberta Antico and Alberta Given who is the spouse of Antico. Given is the maiden name of Alberta Antico. Antico submitted the applications to DLI under his spouse's name even though she was not hired by any of these persons for representation before DLI. Antico prepared the documents listing the name of his spouse who never appeared in person before DLI to present documents that were actually prepared by Antico. Due to his prior employment with DLI, Antico had access to employee work areas that were not available to the general public. Further, Antico met to discuss applications with employees whom he supervised while an employee of DLI. Finally, Antico did not file FIS's in 1996 and 1997 for the calendar years 1995 and 1996. For the year 1996, Antico only worked 18 days until his retirement. Further, Antico's FIS's for calendar years 1994 and 1993 were deficient as to sources of income: for the 1994 calendar year FIS, Antico failed to list sources of income and for the 1993 calendar year FIS, Antico listed "none" for sources of income. Having summarized the above relevant facts, we must now determine whether the actions of Antico violated Section 3(g) or Sections 4 and 5 of Act 9 of 1989. Section 3(g) of Act 9 of 1989 prohibits a former public official /public employee from representing a person for compensation before his former governmental body for a period of one year after termination of service. In applying the provisions of the Ethics Law to the instant matter, we find violations of Section 3(g) of Act 9 of 1989 when Antico signed and presented various applications for zoning permits and petitions for appeals; testified on behalf of individuals in appeals; and discussed matters with employees of DLI on behalf of persons for actual consideration within one year of resigning his position of public employment. Antico represented persons for promised consideration before his former governmental body. The term "person" is defined under the Ethics Law as follows: Section 2. Definitions "Person." A business, governmental body, individual, corporation, union, association, firm, partnership, An i o , 96- 035 -C2 Page 14 committee, club or other organization or group of persons. 65 P.S. §402. Antico engaged in such activities for compensation. The activities occurred as to his former governmental body. Lastly, the activities constituted representation. The term "represent" is defined under the Ethics Law as follows: Section 2. Definitions "Represent." To act on behalf of any other person in any activity which includes, but is not limited to, the following: personal appearances, negotiations, lobbying and submitting bid or contract proposals which are signed by or contain the name of a former public official or public employee. 65 P.S. §402. Engaging in the above enumerated activities constituted representation. See, Roller, Order No. 831. We find no violation of Section 3(g) of the Ethics Law as to representational activity taken by Antico which are designated in Fact Finding 15 by "* *." As to those clients of Antico, there is no evidence that Antico received compensation and on that basis we find no violation of Section 3(g). Turning to the matter of restitution, Section 7(13) of Act 9 of 1989, 65 P.S. §407(13), specifically empowers this Commission to impose restitution in those instances where a public official /public employee has obtained a financial gain in violation of the Ethics Law. In this case, the parties, the Investigative Division and Antico, have stipulated to a payment of $1,500 by Antico as restitution. We take administrative notice that Antico has already made payment of the $1,500 to the Commonwealth of Pennsylvania. Turning to the FIS allegations, the Findings reflect that Antico retired on January 18, 1996 but did not file FIS's for the calendar years 1995 and 1996 as required by Section 4 of the Ethics Law. In addition, Antico failed to list sources of income on the FIS's for the calendar years 1993 and 1994. Parenthetically, we take administrative notice that on July 31 ,1997 Antico filed his 1995 calendar year FIS as well as amended FIS's for the calendar years 1993 and 1994 listing his sources of income. As to the failure to file a 1995 calendar year FIS and the deficient filings for calendar years 1993 and 1994, we find technical violations of the Ethics Law noting that Antico has now corrected the non - filing and deficient filings. As to the failure to file the FIS for the 1996 calendar year, we find no violation noting that Antico only worked 18 days in 1996 before he retired. Lastly, we note that the parties have filed a Stipulation of Findings and Consent Agreement which sets forth a proposed resolution of the allegations. We believe that the Consent Agreement is the proper disposition for this case based upon our review as reflected in the above analysis and the totality of the facts and circumstances. Anti , 96- 035 -C2 Page 15 IV. CONCLUSIONS OF LAW: 1. Frank Antico (Antico), as the former Business Regulatory Enforcement Director of the City of Philadelphia, Department of Licenses and Inspections, was a public employee subject to the provisions of Act 9 of 1989. 2. Antico violated Section 3(g) of Act 9 of 1989 when he signed and presented various applications for zoning permits and petitions for appeals; testified on behalf of individuals in appeals; and discussed matters with employees of the Philadelphia Department of Licenses and Inspections on behalf of persons for compensation within one year of resigning his position of employment with the Department. 3. Antico did not violate Section 3(g) of the Ethics Law as to his representation of individuals before his former governmental body within one year of resigning his position with the Department of Licenses and Inspections where no compensation was received. 4. Technical violations of Sections 404(a) and 405(b) of Act 9 of 1989 occurred when Antico, as a public employee, failed to file a Statement of Financial Interests for the 1995 calendar year and when he failed to list any sources of income on his Statements of Financial Interests for the calendar years 1993 and 1994. 5. No violation of Section 404(a) filing requirement occurred regarding the failure to file a Statement of Financial Interests in 1997 as Antico only worked for the City for a period of eighteen days in 1996. In Re: Frank Antico ORDER NO. 1061 File Docket: 97- 035 -C2 Date Decided: 8/14/97 Date Mailed: 8/26/97 1. Frank Antico (Antico), as the former Business Regulatory Enforcement Director of the City of Philadelphia, Department of Licenses and Inspections, violated Section 3(g) of Act 9 of 1989 when he signed and presented various applications for zoning permits and petitions for appeals; testified on behalf of individuals in appeals; and discussed matters with employees of the Philadelphia Department of Licenses and Inspections on behalf of persons for compensation within one year of resigning his position of employment with the Department. 2. Antico did not violate Section 3(g) of the Ethics Law as to his representation of individuals before his former governmental body within one year of resigning his position with the Department of Licenses and Inspections where no compensation was received. 3. Technical violations of Sections 404(a) and 405(b) of Act 9 of 1989 occurred when Antico, as a public employee, failed to file a Statement of Financial Interests for the 1995 calendar year and when he failed to list any sources of income on his Statements of Financial Interests for 1993 and 1994. 4. No violation of Section 404(a) filing requirement occurred regarding the failure to file a Statement of Financial Interests in 1997 as Antico only worked for the City for a period of eighteen days in 1996. 5. Given Antico's payment of $1,500.00 to the Commonwealth of Pennsylvania as to the private pecuniary benefit he received and his filing of his FIS for calendar year 1995 as well as amended FIS's for the calendar years 1993 and 1994 pursuant to the Consent Agreement of the parties, we shall take no further action in this case which is closed. BY THE COMMISSION, DANEEN E. REESE, CHAIR