HomeMy WebLinkAbout1514 CalvertIn Re: Raymond Calvert,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
08 -035
Order No. 1514
4/30/09
5/15/09
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission conducted
an investigation regarding possible violation(s) of the Public Official and Employee Ethics
Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq., by the above -named Respondent. At the
commencement of its investigation, the Investigative Division served upon Respondent
written notice of the specific allegations. Upon completion of its investigation, the
Investigative Division issued and served upon Respondent a Findings Report identified as
an "Investigative Complaint." An Answer was not filed. A Stipulation of Findings and a
Consent Agreement waiving an evidentiary hearing were submitted by the parties to the
Commission for consideration. The Stipulated Findings are set forth as the Findings in this
Order. The Consent Agreement has been approved.
This adjudication of the State Ethics Commission is issued under the Ethics Act and
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 the Ethics Act.
Calvert, 08 -035
Page 2
I. ALLEGATIONS:
That Raymond Calvert, a (public official /public employee) in his capacity as a
Supervisor for Buffalo Township, Washington County, violated Sections 1103(a), 1104(a)
and 1105(b) of the State Ethics Act (Act 93 of 1998), 65 Pa.C.S. §§ 1103(a), 1104(a), and
1105(b), when he used the authority of his public position for private pecuniary benefit by
participating in the decision of the Board of Supervisors resulting in his appointment as
Township Building Inspector; when he participated in approving compensation for himself
as Building Inspector, which was not approved by the Buffalo Township Board of Auditors;
when he failed to file a Statement of Financial Interests for [the] 2003 calendar year; and
when he failed to disclose on Statement of Financial Interests forms filed for the 2005,
2006, and 2007 calendar years, all sources of income in excess of $1,300.00.
II. FINDINGS:
1. Raymond Calvert served as a Supervisor for Buffalo Township, Washington
County, from June 6, 1995, through December 31, 2007.
a. Calvert served as board Chairman from January 2, 1996, through January 5,
1997.
b. Calvert served as board Secretary /Treasurer from January 6, 1997, through
December 31, 2007.
c. Calvert resigned as a Buffalo Township Supervisor effective January 1,
2008, as a result of relocating outside of Buffalo Township.
2. Calvert served Buffalo Township concurrently in two separate employee positions
between the dates of January 6, 2003, through December 31, 2007.
a. Calvert served as the township secretary /treasurer from January 6, 2003,
through December 31, 2007.
b. Calvert served as the township Building Inspector from January 6, 2003,
through January 1, 2007.
c. Calvert served as the Alternate Building Inspector from January 2, 2007,
through December 31, 2007.
3. Buffalo Township is a second -class township governed by a three - member board of
supervisors.
a. Supervisors currently receive $150.00 gross per meeting paid quarterly as
payment for services in their supervisor capacity.
1. Regular meetings are scheduled once per month on the first
Wednesday of the month.
2. Special meetings are held throughout the year as needed.
4. Voting at Buffalo Township meetings occurs in group aye /nay fashion aftera motion
is made and properly seconded.
a. Any objections or abstentions cast are specifically documented in the
minutes.
1. During Calvert's tenure, minutes were taken by office secretary
Calvert, 08 -035
Page 3
Denise Folle.
2. Folle documented votes taken as passing unanimously if no specific
objection or abstention was voiced by any of the supervisors present.
5. Signature authority over township accounts lies with all three township supervisors.
a. Township checks require the signatures of at least two supervisors.
1. All three supervisors normally sign township checks if available to do
SO.
b. Signatures on township checks must be live signatures.
1. Facsimile stamps are not utilized.
6. From at least March 1973, Buffalo Township has maintained a zoning ordinance to
address construction /development within the township.
a. Zoning Ordinance No. 17 was enacted by the township supervisors on
March 8, 1973.
b. Zoning Ordinance No. 27 was enacted by the township supervisors on
August 23, 1984.
1. Zoning Ordinance No. 27 amended Zoning Ordinance No. 17.
7 Zoning Ordinances 17 and 27 set forth the establishment of a Zoning Officer
position to administer and enforce the Zoning Ordinances for Buffalo Township.
a. Zoning Ordinance No. 27 set forth specific duties of the Zoning Officer,
which included, among others, the following:
1. Receipt, examination, and processing of all applications for Zoning
Permits;
2. Issuance of permits for Permitted Uses, Special Exception Uses, and
Conditional uses in accordance with the literal terms of the
Ordinance, upon order of the Zoning Hearing Board, and upon order
of the township supervisors respectively;
3. Conduction of inspections and surveys to determine compliance or
non - compliance with the terms of the Ordinance;
4. Issuance of Building Permits and Occupancy Certificates.
b. Zoning Ordinance No. 27 prohibited the zoning officer from holding any
elective office in the township.
8. The township zoning officer was responsible for the issuance of building permits in
conjunction with the enforcement of the township zoning ordinances.
a. The township zoning officer was appointed by the township supervisors.
9. Building permit and occupancy permit fees were established via specific fee
schedules as set forth in Township Resolution No. 8 adopted on January 7, 1980.
Calvert, 08 -035
Page 4
a. Building permit and occupancy permit fees established by Resolution No. 8
remained in effect until July 7, 2004.
10. Construction /development projects requiring the services of the township zoning
officer generally followed an established application procedure as follows:
a. Initial contact with the township office secretary and completion of an
application for required permits.
1. The township office secretary subsequently forwarded the
information /application to the township zoning office for review.
b. Contact of the applicant by the zoning officer for property information, project
information, etc.
c. Research by the zoning officer of the property's zoning classification in order
to determine required setbacks.
d. Determination by the zoning officer that the project was permissible and
issuance of a building permit.
1. Issuance of the building permit required the payment of fees
established via Resolution No. 8.
2. Permit fees required were paid to the township.
11. Once the building permit was issued by the zoning officer, the property owner(s)
had one year to complete the project.
a. After completion, the zoning officer traveled to the project site to inspect the
completed work per the applicable township ordinance.
b. If completed in accordance with township ordinance, the zoning officer
issued an occupancy permit for the project.
1. Issuance of the occupancy permit required the payment of fees
established via Resolution No. 8.
2. Occupancy permit fees were paid to the township.
3. Issuance of the occupancy permit effectively closed the project.
12. The township zoning officer's salary of $100.00 per month plus mileage and ten
percent of all building permit and occupancy permit fees collected each month was
set by the Board of Supervisors.
a The township zoning officer presented a monthly report to the township
regarding fees collected for building permits issued, occupancy permits
issued, sub - division fees, etc.
1. The total amount due to the zoning officer was documented on the
monthly report.
2. Payment issued to the zoning officer was included on the monthly bill
list approved by the township supervisors.
13. The township had no established municipal building code regarding construction in
Calvert, 08 -035
Page 5
the township prior to the adoption of the Uniform Construction Code (UCC).
a. The township supervisors discussed the possibility of adopting the UCC
dating back to at least 2002.
b. Calvert participated in the discussion with the remaining supervisors
regarding the adoption of the UCC.
14. The UCC statute, also known as the Pennsylvania Construction Code Act (Act), is
documented under 35 P. S. §§ 7210.101 to 7210.1103.
a. As a general rule, the Act applies to the construction, alteration, repair, and
occupancy of all buildings in the Commonwealth with various exclusions as
documented in Section 7210.104.
15. Enforcement of the UCC began on April 9, 2004, by the Department of Labor and
Industry for all State owned buildings and elevators regardless of location.
a. Municipalities were given a ninety day grace period beginning on April 9,
2004, to decide on whether to opt -in or opt -out of UCC enforcement.
16. The purpose of the Act includes, but it not limited to, the following:
a. To provide standards for the protection of life, health, property, and
environment and for the safety and welfare of the consumer, general public,
and the owners and occupants of buildings and structures;
b. To encourage standardization and economy in construction by providing
requirements for construction and construction materials consistent with
nationally recognized standards;
c. To assure that officials charged with the administration and enforcement of
the technical provisions are adequately trained and supervised; and
d. To start a process leading to the design, construction, and alteration of
buildings under a uniform standard.
17. Pennsylvania municipalities had the choice to either opt -in or opt -out regarding
enforcement of the UCC.
a. Opt -in municipalities represent those municipalities that elected to enforce
the UCC locally.
1. Enforcement of the UCC for opt -in municipalities occurs via the
municipality's own employees or via certified third -party agencies
retained by the municipality.
b. Opt -out municipalities represent those municipalities that relinquished all
UCC enforcement authority to either the Department of Labor and Industry or
certified third -party agencies retained by the property owner.
1. Enforcement of the UCC for opt -out municipalities by the Department
of Labor and Industry is limited to non - residential buildings and
structures.
2. Enforcement of the UCC for opt -out municipalities by certified third
party agencies applies to residential code enforcement.
Code
Number
Certification
Category
10
15
Building Inspector
18
Fire Inspector
19
Electrical Inspector
20
Mechanical inspector
21
Plumbing Inspector
22
Energy Inspector
23
Accessibility Inspector /Plans
Examiner
24
Building Plans Examiner
25
Electrical Plans Examiner
26
Mechanical Plans Examiner
27
Plumbing Plans Examiner
28
Energy Plans Examiner
29
Building Code Official
30
Elevator Inspector
31
Passenger Ropeway Inspector
Code
Number
Certification Category
10
Residential Building
Inspector
11
Residential Electrical
Inspector
12
Residential Mechanical
Inspector
13
Residential Plumbing
Inspector
14
Residential Energy
Inspector
Calvert, 08 -035
Page 6
c. The Department of Labor and Industry has sole jurisdiction for enforcement
of the UCC regarding all elevators and all state owned buildings regardless
of location.
18. The Pennsylvania Construction Code Act and UCC regulations establish training
and certification requirements for all construction code officials in Pennsylvania.
a. Officials can become certified in five residential categories established by
the Pennsylvania Department of Labor and Industry as shown below:
1. Officials must become certified in each category for which they wish
to complete inspections.
b. Officials can become certified in fifteen commercial categories established
by the Pennsylvania Department of Labor and Industry as shown below:
1 Officials must become certified in each category for which they wish
to complete inspections.
aa. An individual who holds a commercial inspection certification
may perform the corresponding residential inspection without
holding a certification for that residential category.
Calvert, 08 -035
Page 7
c. Certifications are valid for a three year period.
19. For one - family and two - family dwelling units as well as utility and miscellaneous use
structures, the UCC requires all of the following inspections:
a. Foundation inspection;
b. Plumbing, mechanical, and electrical inspection;
c. Frame and masonry inspection;
d. Wallboard inspection; and
e. Final inspection.
1. The final inspection cannot be approved until all previous inspections
are successfully completed and passed.
20. In or about 2002, Calvert was approached by the remaining township supervisors
and requested to perform the responsibilities of building inspector for the township
as a result of the township's anticipated adoption of the UCC.
a. Calvert agreed to perform the duties of building inspector for the township at
the same inspection rate Calvert received as a contract employee of the
Washington County Sewage Council.
1. Calvert was employed as a contract Sewage Enforcement Officer for
the Washington County Sewage Council at that time.
2. Calvert received payment ranging from $25.00 per hour for hourly
services up to $75.00 per specific test /inspection performed based on
his Agreement with the Local Cooperative Sanitation Council (a /k/a
Washington County Sewage Council) dated June 10, 2002.
b. The wage presented by Calvert was accepted by the remaining supervisors.
21. The discussion and decision regarding Calvert holding the building inspector
position and Calvert's wage for the position did not occur at a public meeting.
a. The discussion held and decision made occurred informally.
b. The township did not publicly advertise or collect resumes /applications for
the newly created position of building inspector.
22. Calvert was appointed as the township Building Inspector at the January 6, 2003,
township supervisors' reorganization meeting.
a. Minutes note Calvert's presence and participation in the motion to appoint
him to the building inspector position.
1. Minutes document the motion to appoint Calvert as the building
inspector passing unanimously with no abstentions noted.
b. The position of building inspector did not exist in the township prior to
Calvert's appointment to the position.
1. Calvert was appointed to the position in 2003 as the result of
Re- organization Meeting
Position
Date
January 5, 2004
Building Code Inspector
January 3, 2005
Building Code Inspector
January 3, 2006
Building Code Inspector
January 2, 2007
Alternate Building Code Inspector
Calvert, 08 -035
Page 8
continued anticipation of the township's adoption of the UCC.
23. Although appointed as the building inspector in 2003, Calvert performed no work in
the building inspector position during the 2003 calendar year.
a. Calvert received no wages as the township building inspector in 2003.
b. The township had not yet adopted the UCC by the end of 2003.
24. Calvert was subsequently appointed as the township building inspector by the
Board of Supervisors from 2004 through 2006 and as the alternate building
inspector in 2007 as shown below:
a. Calvert was appointed as the sole building inspector in 2004.
b. Calvert and HMT Associates were both appointed as building inspectors in
2005 and 2006.
1. HMT Associates is an engineering firm based in Washington, PA.
2. Calvert was specifically documented as the residential building
inspector for 2006 while HMT Associates was specifically
documented as the commercial building inspector for 2006.
c. HMT Associates was appointed as the primary building inspector in 2007
with Calvert appointed as an alternate building inspector if HMT Associates
was unavailable.
1. Calvert is not documented as having performed any building
inspector services or received any building inspector wages in 2007.
aa. Calvert no longer wished to perform the responsibilities of
building inspector in 2007.
d. Township meeting minutes confirm Calvert's presence and participation in
the vote to appoint himself as the building /alternate building inspector at
each reorganization meeting from 2004 through 2007.
1. Minutes document each vote appointing Calvert as the township
building /alternate building inspector passing unanimously with no
abstentions noted.
25. At the March 3, 2004, regular meeting of the township supervisors, Calvert
announced that the township would be advertising an Ordinance for opting -in to the
UCC.
a. Calvert stated that the UCC was to take effect on April 9, 2004.
26. Per Section 7210.501 of the Act, municipalities were required to enact an ordinance
concurrently adopting the UCC as their municipal building code and the
Calvert, 08 -035
Page 9
International Gas Code for purposes described in Section 7210.102 of the Act.
a. The initial election period spanned the time frame of April 9, 2004, through
July 8, 2004.
27. The township adopted the UCC at the April 7, 2004, regular supervisors meeting via
passage of Ordinance No. 42.
a. Calvert made the motion to pass Ordinance No. 42.
b. The motion to pass Ordinance No. 42 passed unanimously with no
abstentions noted.
c. The motion documented the effective date of the Ordinance as July 1, 2004.
1. Section 1 of Ordinance No. 42 documents Buffalo Township's election
to administer and enforce the provisions of the Pennsylvania
Construction Code Act, Act 45 of 1999, 35 P.S. §§ 7210.101-
7210.1103, as amended from time to time, and its regulations.
2. Section 2 of Ordinance No. 42 specifically documents Buffalo
Township's adoption of the UCC, contained in 34 PA. Code, Chapters
401 -405, as amended from time to time, as the municipal building
code for the township.
3. Section 6 of Ordinance No. 42 specifically documents that fees
assessable by the Municipality for the administration and enforcement
undertaken pursuant to the Ordinance and the Code will be
established by the governing body by resolution from time to time.
4. Section 7 of Ordinance No. 42 specifically documents the Ordinance
as becoming effective five days after the date of passage of the
Ordinance.
aa. Ordinance No. 42 is documented as being duly enacted and
ordained on April 7, 2004.
5. Ordinance No. 42 was signed by Calvert, Swiger, and Supervisor
Richard Folle.
28. Per Section 403.102 of the UCC, contained in 34 PA Code, Chapters 401 -405,
municipalities adopting an ordinance to enforce the UCC are to submit written
notification to the Pennsylvania Department of Labor and Industry of adoption of the
ordinance and the following information within thirty days of adoption:
a. The number and date of adoption of the ordinance;
b. The name of the building code official;
c. The business address of the building code official;
d. The business phone number of the building code official; and
e. The electronic mail address of the building code official, if available.
29. On July 19, 2004, Buffalo Township's "Pennsylvania Universal Construction Code:
Municipal Election Form" was received at the director's office at the Bureau of
Code
Number
Certification
Category
10
Residential Building
Inspector
12
Residential Mechanical
Inspector
13
Residential Plumbing
Inspector
14
Residential Energy
Inspector
Calvert, 08 -035
Page 10
Occupational and Industrial Safety, Department of Labor and Industry.
a. The form noted Buffalo Township's election to enforce the provisions of Act
45 of 1999 (i.e. the Pennsylvania Construction Code Act).
b. The form documents Calvert as the Building Code Official along with the
township's name and telephone number.
c. The form noted the number of the UCC adoption ordinance as No. 42.
d. The form noted the effective date of the ordinance as July 7, 2004.
e. Swiger's signature is present on the form as the Chief Elected Official.
f. Calvert was the township representative who completed the information on
the form.
30. Although appointed as the township building inspector in January 2003 and
January 2004, Calvert was not a certified inspector at that time.
a. Calvert was not certified through the Bureau of Occupational and Industrial
Safety, Department of Labor and Industry until August 3, 2004.
1. Calvert had begun taking classes necessary to become a certified
building inspector as early as 2001.
31. Calvert obtained certifications from the Bureau of Occupational and Industrial
Safety, Department of Labor and Industry, effective August 3, 2004, in the
categories noted below:
a. Calvert's certifications expired on August 3, 2007.
32. Construction /development projects requiring the services of the township building
inspector generally followed an established application procedure as follows:
a. Initial contact with the township office secretary and completion of an
application for required permits.
1. The application specified township requirements regarding plot plans,
surveys, etc.
b. Once completed, the application was returned to the township office for
review by Calvert.
1. Calvert reviewed the entire application, calculated the entire fee for
the project, and either personally contacted the property owner or
Calvert, 08 -035
Page 11
provided the information to the office clerk for dissemination to the
property owner.
c. Submission of the required fees by the property owner to the township.
1. Fees determined included all fees necessary for completion of the
entire project.
d. Determination by Calvert that the project was in order and issuance of the
permit.
33. As the township building inspector, Calvert submitted a monthly report to the
township office secretary regarding services performed which included fees due
Calvert for each inspection performed and the monthly fee total.
a. Calvert wrote the monthly report by hand and provided it to the office
secretary for typing and eventual accompaniment with the corresponding
month's meeting minutes.
b. Reports submitted by Calvert for the monthly meeting referenced services
performed for the prior month (i.e. June report submitted for presentation at
the July meeting).
34. Article VI, Section 602(c) of the Second Class Township Code addresses the ability
of supervisors to be employed by their respective municipality.
a. A supervisor may be appointed by the board of supervisors to be employed
as roadmaster, laborer, secretary, treasurer, assistant secretary, assistant
treasurer, or in any employee capacity not otherwise prohibited by the
Second Class Township Code or any other Act.
35. Article VI, Section 606(a) of the Second Class Township Code addresses
compensation of township supervisors not only in their supervisor capacity, but also
when employed by the township in an additional position.
a. Wages for working supervisors must be established by the township
auditors.
1. Section 606(a) specifically notes, among other information, the
following: The compensation of supervisors, when employed as
roadmasters, laborers, secretary, treasurer, assistant secretary,
assistant treasurer or in any employee capacity not otherwise
prohibited by this or any other act, shall be determined by the board
of auditors, at an hourly, daily, weekly, semi - monthly or monthly
basis, which shall be comparable to compensation paid in the locality
for similar services."
aa. Calvert received payment from Buffalo Township on a
monthly basis in the position of building inspector.
36. Wages received by Calvert were paid in association with payment received by the
township from the property owner based on the fee schedule established by the
township via the passage of Resolution No. 59 at the July 7, 2004, supervisors
meeting.
a. Minutes document Calvert's presence at the July 7, 2004, meeting and
Calvert's participation in the vote.
Calvert, 08 -035
Page 12
1. Calvert made the motion to approve Resolution No. 59 and voted in
favor of its adoption.
b. Resolution No. 59 was passed by unanimous vote.
1. No abstentions are documented in the minutes regarding the vote.
c. Resolution No. 59 amended Resolution No. 8.
1. Resolution No. 59 adopted an amendment to the Building Permit Fee
schedule to go along with the UCC ordinance previously adopted.
2. Resolution No. 59 bears the signatures of Calvert, Swiger, and Folle.
37. Buffalo Township's current fee schedule in place regarding zoning, building permits,
sub - divisions, etc. is established via Resolution No. 73.
a. Resolution No. 73 amended Resolution No. 59.
1. Resolution No. 73 bears the signatures of Calvert, Folle, and
Supervisor Frank Julian, Sr.
b. Resolution No. 73 was passed at the February 7, 2007, regular township
meetings via unanimous vote.
c. Minutes document Calvert's presence at the February 7, 2007, meeting and
Calvert's participation in the vote.
1. Calvert made the motion to approve Resolution No. 73 and voted in
favor of its adoption.
2. No abstentions are documented in the minutes regarding the vote.
38. The Buffalo Township Auditors hold annual re- organization meetings for the
purpose of board re- organization, election of officers, and setting of wages and
benefits for working supervisors.
a. The auditors' re- organization meeting is normally held the day after the
township supervisors' re- organization meeting.
39. Minutes of the auditors' re- organization meetings are taken by the auditor holding
the office of board secretary.
a. Neither the township auditors, the township secretary /treasurer, nor the
office secretary maintain a bound volume of the auditors' re- organization
meeting minutes.
1. Copies of auditors' re- organization meeting minutes were provided in
loose leaf form to the office secretary once a hard copy was
generated.
b. No auditor's re- organization meeting minutes are on file with the township
office or in the possession of the township auditors for calendar years 2004
through 2006.
40. Calvert's wages as the township building inspector were not established or
Calvert, 08 -035
Page 13
approved by the township auditors in 2004, 2005, or 2006.
a. Kandice Harrison, Frank Bellotti, and Carl Brock served as auditors for
Buffalo Township in 2004, 2005, and 2006.
1. Harrision, Bellotti, and Brock were aware that Calvert was serving as
the township building inspector.
2. Although aware of Calvert's service as building inspector for the
township, the auditors were not requested to establish nor did the
auditors ever establish any wages for Calvert as the building
inspector.
41. Calvert's monthly building inspector reports note services provided and fees
charged to Buffalo Township as the building inspector spanning the months of
September 2004 through December 2006.
a. No building inspector report was on file at the township building for January
2005.
42. Calvert received compensation for services performed as the township building
inspector in the amount of $4,871.38 (net) during the time frame of November2004
through December 2006.
a. Calvert voted to approve monthly bill lists on twenty -one out of twenty three
occasions on which payment to Calvert as the township building inspector
was documented.
1. Calvert, as the secretary /treasurer, prepared the monthly bill list by
hand and provided it to the office secretary for typing on a monthly
basis.
aa. As the secretary /treasurer, Calvert included his wages in the
position of building inspector on the monthly list of bills to be
paid.
1. Calvert documented his own wages due after the
township office secretary withheld required taxes from
the gross amount due.
b. Calvert signed all twenty -three checks as an authorized township signatory
which were issued to him for services performed as the township building
inspector.
c. Calvert either cashed or deposited into a personal financial account all
checks received as the township building inspector for eventual personal
use.
43. In a sworn statement provided to Commission investigators on January 9, 2009,
Calvert provided the following information:
a. Calvert did not voice a vote at township re- organization meetings during
votes to appoint himself into the position of building inspector.
1. Calvert did not verbally abstain from votes taken at re- organization
meetings regarding his appointment as the township building
inspector.
Year:
2003
2004
2005
2006
2007
Filing Date:
None
12/30/04
02/02/07
02/02/07
04/07/08
Calvert, 08 -035
Page 14
2. Calvert was silent regarding his annual building inspector
appointment.
b. Calvert did not abstain from votes to approve bill lists on which payment to
Calvert was documented for services performed as the building inspector.
c. Calvert's wages as the township building inspector were never presented to
or approved by the township auditors.
d. Calvert filed a timely Statement of Financial Interests with Buffalo Township
for the 2003 calendar year.
e. Calvert's failure to disclose income from Buffalo Township on Statements of
Financial Interests for calendar years 2004 through 2007 was an oversight.
THE FOLLOWING FINDINGS RELATE TO ALLEGATIONS THAT CALVERT FAILED
TO FILE STATEMENTS OF FINANCIAL INTERESTS FOR CALENDAR YEAR 2003
AND FAILED TO DISCLOSE BUFFALO TOWNSHIP AS A SOURCE OF INCOME ON
STATEMENTS OF FINANCIAL INTERESTS FILED FOR CALENDAR YEARS 2005,
2006, AND 2007.
44. Statement of Financial Interests filing requirements for public officials and public
employees are mandated by Section 1104 of the State Ethics Act.
a. Calvert was required to file Statements of Financial Interests by May 1St
annually in his position as a Buffalo Township Supervisor.
45. A review of /request for records on July 28, 2008, at the Buffalo Township office
revealed the following Statements of Financial Interests on file for Calvert for
calendar years 2003 through 2007:
No Statement of Financial Interests was discovered for Calvert at the
township municipal office for calendar year 2003.
46. Calvert is required to file a Statement of Financial Interests annually with the
Washington County Sewage Council in his position as a contract sewage
enforcement officer.
a.
a. Calvert typically photocopied his copy of his annual Statement of Financial
Interests filed with Buffalo Township and submitted said copy to the
Washington County Sewage Council.
47. Calvert had a Statement of Financial Interests on file with the Washington County
Sewage Council for calendar year 2003.
a. Calvert's 2003 calendar year Statement of Financial Interests on file with the
Washington County Sewage Council is dated January 6, 2004.
1. Calvert's 2003 calendar year Statement of Financial Interests
documents his position as a supervisor for Buffalo Township.
Position
2005
2006
2007
Secretary- Treasurer
',3,600.00
',3,600.00
',3,600.00
Building Inspector
$3,225.00
$2,270.00
$0.00
Supervisor
$1,950.00
$1,950.00
$1,950.00
Total
$8,775.00
$7,820.00
$5,550.00
Calvert, 08 -035
Page 15
48. Calvert did not disclose Buffalo Township as a direct or indirect source of income
on his Statements of Financial Interests filed for calendar years 2005, 2006, and
2007.
a. Calvert documented only his employment with the Washington County
Sewage Council on Statements of Financial Interests filed for calendar years
2005, 2006, and 2007.
49. Calvert received wages from Buffalo Township during calendar years 2005, 2006,
and 2007 in excess of the $1,300.00 reporting threshold required via Section
1105(b) of the State Ethics Act.
a. Wages received by Calvert from Buffalo Township as documented by
Calvert's IRS Form W -2s for 2005, 2006, and 2007 in his supervisor
secretary /treasurer position as well as his building inspector position are
noted below:
III. DISCUSSION:
As a Supervisor for Buffalo Township, Washington County, from June 6, 1995,
through December 31, 2007, Respondent Raymond Calvert (hereinafter also referred to as
"Respondent," "Respondent Calvert," and "Calvert ") has been a public official /public
employee subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics
Act "), 65 Pa.C.S. § 1101 et seq.
The allegations are that Calvert violated Sections 1103(a), 1104(a), and 1105(b) of
the Ethics Act when he, as a Supervisor for Buffalo Township, Washington County used
the authority of his public position for private pecuniary benefit by participating in the
decision of the Board of Supervisors resulting in his appointment as Township Building
Inspector; when he participated in approving compensation for himself as Building
Inspector, which was not approved by the Buffalo Township Board of Auditors; when he
failed to file a Statement of Financial Interests for the 2003 calendar year; and when he
failed to disclose on Statement of Financial Interests forms filed for the 2005, 2006, and
2007 calendar years, all sources of income in excess of $1,300.00.
Pursuant to Section 1103(a) of the Ethics Act, a public official /public employee is
prohibited from engaging in conduct that constitutes a conflict of interest:
§ 1103. Restricted activities
(a) Conflict of interest. —No public official or public
employee shall engage in conduct that constitutes a conflict of
interest.
65 Pa.C.S. § 1103(a).
The term "conflict of interest" is defined in the Ethics Act as follows:
§ 1102. Definitions
Calvert, 08 -035
Page 16
"Conflict" or "conflict of interest." Use by a public
official or public employee of the authority of his office or
employment or any confidential information received through
his holding public office or employment for the private
pecuniary benefit of himself, a member of his immediate family
or a business with which he or a member of his immediate
family is associated. The term does not include an action
having a de minimis economic impact or which affects to the
same degree a class consisting of the general public or a
subclass consisting of an industry, occupation or other group
which includes the public official or public employee, a
member of his immediate family or a business with which he or
a member of his immediate family is associated.
65 Pa. C. S. § 1102.
Section 1103(a) of the Ethics Act prohibits a public official /public employee from
using the authority of public office /employment or confidential information received by
holding such a public position for the private pecuniary benefit of the public official /public
employee himself, any member of his immediate family, or a business with which he or a
member of his immediate family is associated.
Section 1104(a) of the Ethics Act provides that each public official /public employee
must file a Statement of Financial Interests for the preceding calendar year, each year that
he holds the position and the year after he leaves it.
Subject to certain statutory exceptions not applicable to this matter, Section
1105(b)(5) of the Ethics Act requires the filer to disclose on the Statement of Financial
Interests the name and address of any direct or indirect source of income totaling in the
aggregate $1,300 or more.
As noted above, the parties have submitted a Consent Agreement and Stipulation of
Findings. The parties' Stipulated Findings are set forth above as the Findings of this
Commission. We shall now summarize the relevant facts as contained therein.
Respondent Calvert served as a Supervisor for Buffalo Township ( "Township ") from
June 6, 1995, through December 31, 2007. Respondent served as Chairman of the
Township Board of Supervisors ( "Board ") from January 2, 1996, through January 5, 1997.
Respondent served as Board Secretary /Treasurer from January 6, 1997, through
December 31, 2007.
The Township is a second -class township. The Board consists of three members.
Voting at Township meetings occurs in group aye /nay fashion after a motion is
made and properly seconded. Any objections or abstentions cast are specifically
documented in the minutes. During Respondent's tenure, votes were recorded as passing
unanimously if no specific objection or abstention was voiced by any of the supervisors
present.
All three Township supervisors have signature authority over Township accounts.
Township checks require the live signatures of at least two supervisors.
Township Zoning Ordinances enacted in 1973 and 1984 established a Zoning
Officer position to administer and enforce the Zoning Ordinances for the Township. The
Township Zoning Officer was appointed by the Township supervisors. Per Township
Zoning Ordinance No. 27 enacted in 1984, the duties of the Zoning Officer included
processing zoning permit applications, issuing zoning - related permits, conducting
Calvert, 08 -035
Page 17
inspections and surveys to determine compliance or non - compliance with the Zoning
Ordinance, and issuing building permits and occupancy certificates. (Fact Findings 7 a
(1) -(4)). Township Zoning Ordinance No. 27 prohibited the Zoning Officer from holding
any elective office in the Township. See also, 53 P.S. § 10614.
By at least 2002, the Township Supervisors were discussing the possibility of
adopting the Uniform Construction Code (UCC). Respondent participated in the
discussion with the remaining supervisors regarding the adoption of the UCC.
In or about 2002, Respondent was approached by the remaining Township
supervisors and requested to perform the responsibilities of building inspector for the
Township as a result of the Township's anticipated adoption of the UCC. Respondent
agreed to perform the duties of building inspector for the Township at the same inspection
rate Respondent received as a contract employee of the Washington County Sewage
Council. The wage presented by Respondent was accepted by the remaining supervisors.
The Township did not publicly advertise or collect resumes /applications for the newly
created position of building inspector. (Fact Finding 21 b).
Respondent was formally appointed as the Township Building Inspector at the
January 6, 2003, Township supervisors' reorganization meeting. The position of building
inspector did not exist in the Township prior to Respondent's appointment to the position.
(Fact Finding 22 b).
In subsequent years, Respondent was appointed by the Board to serve as: (1) the
sole Township building inspector in 2004; (2) one of two building inspectors in 2005; (3)
the residential building inspector in 2006; and (4) the alternate building inspector in 2007.
Per the Township meeting minutes, Respondent participated in each vote
appointing Respondent as the township building inspector /alternate building inspector from
2003 through 2007. Respondent has claimed that he did not voice a vote at Township re-
organization meetings during votes to appoint him to the position of building inspector.
Respondent has acknowledged that he did not verbally abstain from such votes.
Although appointed as the Township building inspector in 2003, Respondent
performed no work and received no wages as the Township building inspector during the
2003 calendar year. The township had not yet adopted the UCC.
At the Board's April 7, 2004, regular meeting, the Board adopted the UCC via
passage of Ordinance No. 42. Respondent made the motion to pass Ordinance No. 42.
The motion passed unanimously with no abstentions noted. Ordinance No. 42 was signed
by Respondent and other supervisor(s).
During the time frame of November 2004 through December 2006, Respondent
received compensation for services performed as the Township building inspector in the
amount of $4,871.38 (net). Respondent is not documented as having performed any
building inspector services or received any building inspector wages in 2007.
Respondent's wages as the Township building inspector were never presented to or
approved by the Township auditors. Respondent's compensation as Township building
inspector was based upon a fee schedule established by the Township via the passage of
Resolution No. 59 at the July 7, 2004, supervisors meeting. Respondent made the motion
and voted to approve Resolution No. 59. Resolution No. 59 was passed by unanimous
vote. Resolution No. 59 bears the signatures of Calvert and other supervisor(s).
As the Township Secretary /Treasurer, Respondent included his wages as building
inspector on the monthly list of bills to be paid. Respondent voted to approve monthly bill
lists on twenty -one out of twenty three occasions on which payment to Respondent as the
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Page 18
Township building inspector was included on the bill list. Respondent signed as an
authorized Township signatory all twenty -three checks that were issued to him for services
performed as the Township building inspector. Respondent either cashed or deposited
into a personal financial account all checks received as the Township building inspector for
eventual personal use.
With regard to Respondent's Statements of Financial Interests ( "SFIs "), the parties
have stipulated that a review of the Township records on July 28, 2008, revealed that the
Township did not have an SFI on file for Respondent for calendar year 2003. Respondent
claims that he timely filed the form with the Township. The parties have stipulated that
Respondent filed an SFI for calendar year 2003 with the Washington County Sewage
Council, which form noted his position as a Supervisor for the Township.
The parties have stipulated that Respondent did not disclose the Township as a
direct or indirect source of income on his SFIs filed for calendar years 2005, 2006, and
2007, despite having received wages in excess of $1,300.00 from the Township in each of
those years.
Having highlighted the Stipulated Findings and issues before us, we shall now apply
the Ethics Act to determine the proper disposition of this case.
The parties' Consent Agreement sets forth a proposed resolution of the allegations
as follows:
3. The Investigative Division will recommend the following in relation to
the above allegations:
a. That an unintentional violation of Section 1103(a) of the
Public Official and Employee Ethics Act, 65 Pa.C.S.
§1103(a) occurred in relation to Calvert's participation
as a member of the Buffalo Township Board of
Supervisors in relation to his appointment as the
Township Building Inspector; and
b. That an unintentional violation of Section 1103(a) of the
Public Official and Employee Ethics Act, 65 Pa.C.S.
§1103(a) occurred as to Calvert's approval of
compensation for services rendered by Calvert as
Building Inspector, when said compensation was not
approved by the Buffalo Township Board of Auditors;
and
c. That a technical violation of Section 1104(a) of the
Public Official and Employee Ethics Act, 65 Pa.C.S.
§1104(a) occurred when Calvert failed to maintain a
Statement of Financial Interests for the 2003 calendar
year with Buffalo Township, Washington County; and
d. That a technical violation of Section 1105 of the Public
Official and Employee Ethics Act, 65 Pa.C.S. §1105
occurred in relation to Calvert's failure to disclose on
Statements of Financial Interests forms filed for the
2005, 2006, and 2007 calendar years, sources of
income in excess of $1,300.00, namely compensation
from his service as a supervisor — secretary /treasurer
and building inspector for Buffalo Township,
Washington County.
Calvert, 08 -035
Page 19
4. Calvert agrees to make payment in the amount of $1,200.00 in
settlement of this matter payable to the Commonwealth of
Pennsylvania and forwarded to the Pennsylvania State Ethics
Commission within thirty (30) days of the issuance of the final
adjudication in this matter.
5. Calvert agrees to file Statements of Financial Interests with Buffalo
Township, through the Pennsylvania State Ethics Commission, for
calendar year 2003, and amended Statements of Financial Interests
for [the] 2005, 2006, and 2007 calendar years within thirty (30) days
of the issuance of the final adjudication in this matter.
6. The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter; and make no
specific recommendations to any law enforcement or other authority
to take action in this matter. Such, however, does not prohibit the
Commission from initiating appropriate enforcement actions in the
event of Respondent's failure to comply with this agreement or the
Commission's order or cooperating with any other authority who may
so choose to review this matter further.
Consent Agreement, at 2.
In considering the Consent Agreement of the parties, we shall accept the parties'
recommendation for a finding that an unintentional violation of Section 1103(a) of the
Ethics Act occurred in relation to Respondent's participation as a Township Supervisor as
to Respondent's appointment as the Township Building Inspector. Although, pursuant to
the Second Class Township Code, a supervisor serving on a three - member board is not
excluded from voting on the issue of his own appointment /employment to a position that is
authorized by law, 53 P.S. § 65602, it would appear that the parties are treating
Respondent's service as Township Building Inspector as unauthorized based upon
Township Zoning Ordinance No. 27. If the parties had not determined to enter into a
Consent Agreement, we could have been presented with factual and legal issues as to
whether prohibitions against a Zoning Officer holding elective office would apply to
Respondent as a Building Inspector. However, given: (1) that the parties have entered into
a comprehensive Consent Agreement, with benefit of legal counsel; and (2) the parties are
in agreement that the finding of the aforesaid unintentional violation of Section 1103(a)
would be appropriate as part of an overall settlement of this case, we shall accept the
parties' proposed disposition. We note that this determination in this case based upon the
agreement of the parties should not be considered as precedent for other cases, which
would be determined based upon their own facts and circumstances.
Accordingly, we hold that per the Consent Agreement of the parties, an
unintentional violation of Section 1103(a) of the Ethics Act occurred in relation to
Respondent's participation as a Township Supervisor as to Respondent's appointment as
the Township Building Inspector.
The parties have further recommended a finding that an unintentional violation of
Section 1103(a) of the Ethics Act occurred as to Respondent's approval of compensation
for services rendered by Respondent as Township Building Inspector, when said
compensation was not approved by the Township Board of Auditors. Per the Second
Class Township Code, wages for working supervisors must be established by the township
auditors. 53 P.S. § 65606. Respondent's wages as the Township Building Inspector were
never presented to or approved by the Township auditors.
Respondent used the authority of his public position when he made the motion and
Calvert, 08 -035
Page 20
voted to approve Resolution No. 59, establishing a fee schedule and the basis for the
compensation of the building inspector. In his capacity as the Township
Secretary /Treasurer, Respondent included his wages as Building Inspector on the monthly
list of bills to be paid. Respondent used the authority of his public office when he voted to
approve monthly bill lists on twenty -one out of twenty three occasions on which payment to
Respondent as the Township Building Inspector was included on the bill list. Respondent
further used the authority of his public office when he signed as an authorized Township
signatory all twenty -three checks that were issued to him for services performed as the
Township Building Inspector. The private pecuniary benefit that Respondent received was
unauthorized compensation as a Building Inspector.
We hold that an unintentional violation of Section 1103(a) of the Ethics Act occurred
as to Respondent's approval of compensation for services rendered by Respondent as
Building Inspector, when said compensation was not approved by the Township Board of
Auditors.
As for Respondent's SFIs, the parties have recommended a finding that a technical
violation of Section 1104(a) of the Ethics Act occurred when Respondent failed to maintain
an SFI for the 2003 calendar year with the Township, as well as a finding that a technical
violation of Section 1105 of the Ethics Act occurred in relation to Respondent's failure to
disclose the Township as a source of income in excess of $1,300.00 on his SFIs filed for
the 2005, 2006, and 2007 calendar years.
Factually, a review of the Township records on July 28, 2008, revealed that the
Township did not have an SFI on file for Respondent for calendar year 2003. Additionally,
the parties have stipulated that Respondent did not disclose the Township as a direct or
indirect source of income on his SFIs filed for calendar years 2005, 2006, and 2007,
despite having received wages in excess of $1,300.00 from the Township in each of those
years.
We hold that a technical violation of Section 1104(a) of the Ethics Act occurred
when Respondent failed to maintain an SFI for the 2003 calendar year with the Township.
We further hold that a technical violation of Section 1105 of the Ethics Act occurred in
relation to Respondent's failure to disclose the Township as a source of income in excess
of $1,300.00 on his SFIs filed for the 2005, 2006, and 2007 calendar years.
As part of the Consent Agreement, Respondent has agreed to make payment in the
amount of $1,200.00 in settlement of this matter payable to the Commonwealth of
Pennsylvania and forwarded to this Commission within thirty (30) days of the issuance of
the final adjudication in this matter.
Respondent has further agreed to file with the Township, through this Commission,
an SFI for calendar year 2003 and amended SFIs for calendar years 2005, 2006, and
2007, within thirty (30) days of the issuance of the final adjudication in this matter.
We determine that the Consent Agreement submitted by the parties sets forth the
proper disposition for this case, based upon our review as reflected in the above analysis
and the totality of the facts and circumstances. Accordingly, Respondent is directed to
make payment in the amount of $1,200.00 payable to the Commonwealth of Pennsylvania
and forwarded to this Commission by no later than the thirtieth (30 day after the mailing
date of this adjudication and Order.
Respondent is further directed to file with the Township, through this Commission,
an SFI for calendar year 2003 and amended SFIs for calendar years 2005, 2006, and
2007, providing full financial disclosure as required by the Ethics Act, by no later than the
thirtieth (30 day after the mailing date of this adjudication and Order.
Calvert, 08 -035
Page 21
Compliance with the foregoing will result in the closing of this case with no further
action by this Commission. Noncompliance will result in the institution of an order
enforcement action.
IV. CONCLUSIONS OF LAW:
1. As a Supervisor for Buffalo Township, Washington County, from June 6, 1995,
through December 31, 2007, Respondent Raymond Calvert ( "Calvert ") has been a
public official /public employee subject to the provisions of the Public Official and
Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq.
2. Per the Consent Agreement of the parties, Calvert unintentionally violated Section
1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), in relation to his participation as a
Township Supervisor as to his appointment as the Township Building Inspector.
3. An unintentional violation of Section 1103(a) of the Ethics Act occurred as to
Calvert's approval of compensation for services rendered by Calvert as Building
Inspector, when said compensation was not approved by the Township Board of
Auditors.
4. A technical violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a),
occurred when Calvert failed to maintain an SFI for the 2003 calendar year with the
Township.
5. A technical violation of Section 1105 of the Ethics Act, 65 Pa.C.S. § 1105, occurred
in relation to Calvert's failure to disclose the Township as a source of income in
excess of $1,300.00 on his SFIs filed for the 2005, 2006, and 2007 calendar years.
In Re: Raymond Calvert,
Respondent
ORDER NO. 1514
File Docket: 08 -035
Date Decided: 4/30/09
Date Mailed: 5/15/09
1 Per the Consent Agreement of the parties, Raymond Calvert ( "Calvert "), as a
Supervisor for Buffalo Township, Washington County, unintentionally violated
Section 1103(a) of the Public Official and Employee Ethics Act ( "Ethics Act "), 65
Pa.C.S. § 1103(a), in relation to his participation as a Township Supervisor as to his
appointment as the Township Building Inspector.
2. An unintentional violation of Section 1103(a) of the Ethics Act occurred as to
Calvert's approval of compensation for services rendered by Calvert as Building
Inspector, when said compensation was not approved by the Township Board of
Auditors.
3. A technical violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a),
occurred when Calvert failed to maintain a Statement of Financial Interests ( "SFI ")
for the 2003 calendar year with the Township.
4. A technical violation of Section 1105 of the Ethics Act, 65 Pa.C.S. § 1105, occurred
in relation to Calvert's failure to disclose the Township as a source of income in
excess of $1,300.00 on his SFIs filed for the 2005, 2006, and 2007 calendar years.
5. Per the Consent Agreement of the parties, Calvert is directed to make payment in
the amount of $1,200.00 payable to the Commonwealth of Pennsylvania and
forwarded to the Pennsylvania State Ethics Commission by no later than the
thirtieth (30 day after the mailing date of this Order.
6. Calvert is further directed to file with the Township, through the Pennsylvania State
Ethics Commission, an SFI for calendar year 2003 and amended SFIs for calendar
years 2005, 2006, and 2007, providing full financial disclosure as required by the
Ethics Act, by no later than the thirtieth (30) day after the mailing date of this
Order.
7 Compliance with Paragraphs 5 and 6 of this Order will result in the closing of this
case with no further action by this Commission.
a. Non - compliance will result in the institution of an order enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair