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HomeMy WebLinkAbout1639 Sulc, Jr. In Re: J. Gregory Sulc, Jr., : File Docket: 11-029 Respondent : X-ref: Order No. 1639 : Date Decided: 6/16/14 : Date Mailed: 6/26/14 Before: John J. Bolger, Chair Nicholas A. Colafella, Vice Chair Raquel K. Bergen Mark R. Corrigan Roger Nick Kathryn Streeter Lewis Maria Feeley 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 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 held. The record is complete. I. ALLEGATIONS: That J. Gregory Sulc, Jr., a public official/public employee in his capacity as a Supervisor for North Strabane Township, Washington County violated Sections 1103(a), 1104(a), 1104(d), and 1105(b)(5), (8), and (9) of the State Ethics Act (Act 93 of 1998) when he used the authority of his public position for a private pecuniary benefit when he participated in discussions and actions of the Township Board of Supervisors to create a position of Parks and Recreation Director, including the qualifications for said position at a time when he had a reasonable expectation that he would be a candidate for the position; when he used confidential information obtained as a result of his public position to solicit support from members of the Board of Supervisors to obtain such position; when he failed to file a Statement of Financial Interests for the 2009 calendar year; when he failed to disclose direct/indirect sources of income on Statements of Financial Interests filed for the 2006, 2007, 2008, 2010 and 2011 calendar years; and when he failed to disclose on Statements of Financial Interests filed for the 2010 and 2011 calendar years his office, directorship and/or employment and his financial interests in E.L. Aquatics. II. FINDINGS: A. Pleadings Sulc, 11-029 Page 2 1. The Investigative Division of the State Ethics Commission received a signed, sworn complaint alleging that J. Gregory Sulc, Jr. violated provisions of the State Ethics Act (Act 93 of 1998). 2. Upon review of the complaint the Investigative Division initiated a preliminary inquiry on November 28, 2011. 3. The preliminary inquiry was completed within sixty days. 4. On January 26, 2012, a letter was forwarded to J. Gregory Sulc, Jr. by the Investigative Division of the State Ethics Commission informing him that a complaint against him was received by the Investigative Division and that a full investigation was being commenced. a. Said letter was forwarded by certified mail, no. 7011 0470 0002 7991 4251. b. The domestic return receipt bore the signature of J. Gregory Sulc, Jr., with a delivery date of February 14, 2012. 5. On June 7, 2012, the Investigative Division of the State Ethics Commission filed an application for a ninety day extension of time to complete the investigation. 6. The Commission issued an Order on July 12, 2012, granting the ninety day extension. 7. On August 20, 2012, the Investigative Division of the State Ethics Commission filed an application for a second ninety day extension of time to complete the investigation. 8. The Commission issued an Order on September 24, 2012, granting the ninety day extension. 9. On January 3, 2013, an amended Notice of Investigation was forwarded to J. Gregory Sulc, Jr., c/o James R. Jeffries, Esquire, by the Investigative Division of the State Ethics Commission informing him that the allegations contained in the January 26, 2012, Notice of Investigation were being amended. a. Said letter was forwarded by certified mail, no. 7011 0470 0002 7996 8742. b. The domestic return receipt bore the signature of Carrie A. Nabors, with a delivery date of January 7, 2013. 10. Periodic notice letters were forwarded to J. Gregory Sulc, Jr., c/o James R. Jeffries, Esquire in accordance with the provisions of the Ethics Act advising him of the general status of the investigation. 11. The Investigative Complaint/Findings Report was mailed to the Respondent on January 16, 2013. 12. J. Gregory Sulc, Jr. served as a Supervisor for North Strabane Township (hereafter also referred to as the “Township”) from January 5, 2004, to September 27, 2011. a. Sulc served as Chairman of the Board of Supervisors (“Board”) from January 4, 2010, to September 27, 2011. b. Sulc served as Vice Chairman of the Board from January 3, 2006, to December 31, 2009. Sulc, 11-029 Page 3 c. Sulc resigned as a Supervisor at the September 27, 2011, regular meeting of the Board in order to accept the position of Township Parks and Recreation Director. 13. Sulc is currently employed by the Township as the Parks and Recreation Director. a. Sulc was appointed to the position by Board vote at the September 27, 2011, regular Board meeting. b. Sulc resigned from his position as a Township Supervisor immediately prior to the motion to employ him as the Parks and Recreation Director. c. Sulc began his employment as the Parks and Recreation Director on September 28, 2011. 14. North Strabane Township is a Second Class Township that is governed by a five- Member Board. a. The Supervisors hold their legislative meetings on the fourth Tuesday of each month. b. Non-legislative meetings are held by the Supervisors on the third Tuesday of each month. 1. The Supervisors hold their non-legislative meetings in order to prepare the agenda for the legislative meetings. c. Special meetings and budget workshop sessions are held as necessary. 15. Voting at Board meetings occurs in roll call fashion after a motion is made and seconded. a. All objections and abstentions are noted in the minutes. 1. Meeting minutes reflect whether or not a Supervisor was present in an executive session. b. The minutes of each meeting are approved for accuracy at each subsequent meeting. 16. Bill lists are presented to the Supervisors at the legislative meetings for approval. a. The bill lists represent all of the bills received by the Township since the previous legislative meeting. 17. Signature authority over the Township financial accounts is maintained by all five Supervisors, the Township Treasurer, and the Assistant Treasurer. a. Township checks require the signature of at least three Supervisors and the signature of either the Treasurer or Assistant Treasurer. b. Payroll checks require the facsimile stamp of the Chairman’s signature and the live signature of either the Treasurer or Assistant Treasurer. 18. Prior to 2008, the Township maintained various parks/recreational facilities for the enrichment of the Township and nearby communities. Sulc, 11-029 Page 4 a. The parks/recreational facilities encouraged/facilitated sporting activities and other events. 19. In 2008 the Board (including Sulc) planned the renovation of a pre-existing Township park to facilitate additional outside recreational activities including picnics and sporting events. a. The renovated park was to serve the purpose of generating revenue in addition to providing recreational activities. b. The estimated cost of the planned renovations totaled approximately eight million dollars. 20. In or about 2009, the Township created an Advisory Board to provide input into the renovation of the pre-existing Township park. a. Sulc and Supervisor William Brooks (“Brooks”) were the Supervisors who voluntarily agreed to serve on the Advisory Board. 21. In 2009 the Board (including Sulc) began discussing the need to create a Parks and Recreation Director position. a. Sulc continually advocated for the creation of the Parks and Recreation Director position. b. Board discussions regarding the Parks and Recreation Director position were general in nature with no formal decision made in 2009 to create the position. c. The Parks and Recreation Director was to be a Township department head that would oversee the operations of the renovated Township park. 22. The general consensus among the Board was that the Parks and Recreation Director position did not need to be created by the Supervisors until the park was close to completion. a. Although the general consensus was that the Parks and Recreation Director position did not need to be created until the park was close to completion, Sulc continually lobbied for the position to be created and filled prior to completion of the park. 23. At or about the time frame he was advocating the creation of the Parks and Recreation Director position, Sulc had only sporadic part-time employment. a. Sulc received unemployment compensation benefits from January 2008 until September 2009. b. Sulc was employed on a part-time basis by Mon Valley YMCA in 2009. c. Sulc received unemployment compensation from January 2010 to April 2010 and again from October 2010 through May 2011. 24. Sulc was employed by Range Resources as a Public Affairs Specialist beginning on or about March 18, 2010. a. Sulc’s formal date of employment was effective on or about March 29, 2010. Sulc, 11-029 Page 5 b. Sulc’s employment with Range Resources represented his first full-time employment for approximately two full years. c. Sulc’s main source of income in 2010 came from his employment with Range Resources. 25. Sulc was serving as Chairman of the Board in 2010 at the time that he accepted employment with Range Resources. a. On March 25, 2010, Sulc electronically signed a Range Resources Disclosure Statement indicating that he would comply with Range Resources’ conflict of interest policy dated October 1, 1992. 1. Sulc identified his service as a Supervisor for North Strabane Township on said form as a “relationship” that could be considered a conflict of interest. 26. At the November 16, 2010, non-legislative meeting of the Board, Frank Siffrinn, Township Manager, presented the Board with proposed Resolution 2010-10 creating the Parks and Recreation Director position. a. The audio recording of the November 16, 2010, non-legislative meeting documents Siffrinn presenting the proposed Resolution “per the Board’s request.” b. Township audio recordings and meeting minutes spanning the timeframe of January 2010 through November 2010 document no discussion, direction, instruction, or request from the Board for Siffrinn to generate a Resolution creating the Parks and Recreation Director position. 27. During the time that the Board (including Sulc) requested the preparation of Resolution 2010-10, the Board did not have a specific date proposed as to when the position would be filled. a. Park renovations were delayed in late 2010, due primarily to inclement weather. 28. Sulc made the motion to approve Resolution 2010-10 at the November 23, 2010, legislative meeting without the Resolution having previously been advertised. a. Township Solicitor James Jeffries informed Sulc during the public meeting that the Resolution would need to be advertised prior to a vote. 1. Sulc’s motion died due to a lack of a second. b. Sulc motioned for Resolution 2010-10 to be approved at a time when the Township had not yet formulated a job description for the position. 29. By or about December 17, 2010, Sulc informed Siffrinn that he was interested in applying for the Parks and Recreation Director position. a. Sulc advised Siffrinn that he was qualified for the position contemporaneous to the time that Siffrinn and Sulc were in the process of creating the job description. b. Sulc made his interest known to Siffrinn at a time when Sulc had no full-time Sulc, 11-029 Page 6 employment and was relying on unemployment benefits. c. Sulc was approximately sixteen days away from receiving his last severance payment from Range Resources when he made Siffrinn aware of his interest in the position. 30. Sulc was President of the Board when he informed Siffrinn of his interest in the Parks and Recreation Director position. a. Siffrinn, as Township Manager, reports to the Board. b. Siffrinn, as the Township Manager, is an at will employee. 31. The Supervisors (including Sulc) reviewed the job description prior to the start of the December 21, 2010, legislative meeting. a. Sulc participated in the Board’s review of the job description and ultimately agreed that the description created by Siffrinn was satisfactory. b. Jeffries advised the Supervisors during the public meeting that it was not necessary to vote to approve the job description. c. No formal vote occurred to approve the job description. 32. The Board routinely holds at least one workshop meeting at the end of each year in order to establish the budget for the following year. a. In 2010 at least one workshop meeting was held by Siffrinn and the Board (including Sulc) to establish the 2011 Township budget prior to the December 21, 2010, legislative meeting. 1. No minutes of any specific budget workshop meeting in 2010 are known to exist. b. Included within the proposed budget were funds specifically allocated for salary and the value of benefits for the Parks and Recreation Director position. c. Sulc was present at the workshop meeting and participated in the discussions related to the 2011 Township budget which included the salary and benefits associated with the Parks and Recreation Director position. 33. At the December 21, 2010, legislative meeting, Supervisor Stephen Motzer (“Motzer”) motioned for Resolution 2010-10 to be approved and formally create/establish the Parks and Recreation Director position. a. Motzer’s motion was seconded by Brooks and passed via a 5-0 vote with Sulc voting in favor of the motion. b. Sulc voted in favor of the motion nine days before Sulc received his last severance payment from Range Resources. c. Sulc had no full-time employment at the time he voted in favor of the creation of the Parks and Recreation Director position. 1. Sulc voted in favor of creation of the Parks and Recreation Director Sulc, 11-029 Page 7 position at a time when he was receiving unemployment benefits. d. Sulc voted in favor of creation of the Parks and Recreation Director position at a time when he had previously expressed interest in the position and reasonably expected to be an applicant. 34. Sulc made the motion to add the advertisement of the Parks and Recreation Director position (item 12G) to the December 21, 2010, agenda immediately following Motzer’s motion. a. The motion to advertise the Parks and Recreation Director position was not on the agenda which had been prepared for the December 21, 2010, meeting. 1. Matters that do not appear on a legislative agenda are usually topics that were not discussed by the Board at the non-legislative meeting held prior to a legislative meeting. 2. Non-legislative meetings are held by the Board in order to create the agenda topics for the following legislative meetings. 3. The Supervisors rarely deviate from the legislative agendas prepared. b. December 17, 2010, non-legislative \[meeting\] minutes document no discussion regarding the advertisement of the Parks and Recreation Director position or placing such on the agenda for the December 21, 2010, legislative meeting. 35. At the December 21, \[2010\], meeting, Supervisor Robert Balogh (“Balogh”) questioned the Board’s specific timeframe to hire the Parks and Recreation Director. a. Sulc responded that a deadline to hire a Parks and Recreation Director had not yet been established. b. Sulc expedited the hiring process by adding item 12G to the December 21, 2010, agenda at a time when the Supervisors had not yet decided when the Parks and Recreation Director should be hired. 36. On or about December 30, 2010, Siffrinn generated an advertisement for the Parks and Recreation position which stated as follows: North Strabane Township, Washington County, PA is currently accepting applications for a full-time experienced Parks and Recreation Director. The position is responsible for the planning, development, coordination and implementation of all active and passive recreational opportunities suitable for all segments of the population. The director will be responsible for long range planning, budgeting, program and policy development, grant writing and oversight of daily operations. Training and supervision of part-time and seasonal staff is required. A four-year college degree in Parks and Recreation/Sports Administration, or similar field, with a minimum of five years of progressively responsible experience is required. Salary commensurate with experience, with an excellent benefits package. Cover letter, resume, references, Sulc, 11-029 Page 8 and salary history to be mailed to: Township Manager, North Strabane Township, 1926 Route 519, Canonsburg, PA 15327 no later than January 17, 2011. a. The Supervisors (including Sulc) expressed no objection to the wording of the advertisement. 1. Any objections to the advertisement by the Supervisors would have resulted in Siffrinn amending the wording of the advertisement. 37. On or about December 30, 2010, Siffrinn submitted the Parks and Recreation Director advertisement to the Pittsburgh Post-Gazette to be published. a. The advertisement appeared in the Pittsburgh Post-Gazette on January 2, 2011. b. The advertisement ran for only one day. 38. Siffrinn informed the Board at the January 18, 2011, meeting that a total of twenty- three applicants applied for the Parks and Recreation Director position as of January 18, 2011. a. At least one response to the advertisement was received by the Township past the January 17, 2011, response deadline. b. Siffrinn went on to inform the Board that “five to six” applicants met the specifications that the Board was looking for. c. Siffrinn questioned at the meeting how the Board wanted to proceed in regards to selecting applicants to be interviewed. d. Siffrinn also questioned what involvement the Board wanted to have in the selection process. e. Sulc recommended to Siffrinn that an executive session be held to discuss those matters since they were personnel in nature. 39. On January 25, 2011, Siffrinn received email communication from an applicant in relation to the Parks and Recreation Director position which stated the following: Mr. Siffrin, I just wanted to touch base with you and ensure you received my resume for the Parks and Recreation Director position. I sent my resume out while we were under ice storm conditions here in the South, so I wasn’t sure if my resume made to you before the deadline. a. On January 27, 2011, Siffrinn responded to the email as follows: I have received your resume; however, I can’t give you a definite date as to when the Township will begin to interview candidates. It could be as early as two weeks or as late as two months. I will keep you informed. I can also tell you that when we start the interview process, you will be one of six that we talk to. Thank you for your interest. Sulc, 11-029 Page 9 1. Siffrinn specifically informed the applicant that he is one of the six applicants to be interviewed. 40. At the April 26, 2011, legislative meeting, Siffrinn informed the Board that he would be conducting interviews for the Parks and Recreation Director position beginning on Friday, April 29, 2011, and concluding on Monday, May 9, 2011. a. Siffrinn scheduled the interviews over a seven-day period (not including weekends). 1. Siffrinn telephonically contacted the applicants in order to arrange each applicant’s initial interview. b. Three of the applicants contacted by Siffrinn resided approximately forty miles or more from North Strabane Township. 1. One applicant resided in Woodruff, South Carolina, approximately 508 miles from the Township building. 2. One applicant resided in Atlantic, Pennsylvania, approximately 104 miles from the Township building. 3. One applicant resided in Pittsburgh, Pennsylvania, approximately 38 miles from the Township building. 41. During Siffrinn’s scheduled one-on-one interviews with each of the six applicants the following topics were discussed regarding the Parks and Recreation Director position: a. Salary. b. Relocation of selected applicant for the position. c. The Board’s vision for the park. d. Applicant’s education/experience related to Parks and Recreation. 42. The Board (excluding Sulc) discussed which applicants should move on in the interview process after the first round of interviews concluded. a. The Supervisors considered their discussions regarding the applicants to be confidential in nature due to the fact that they were discussing personnel matters. b. Although Siffrinn was not asked by the Supervisors to provide any input as to which candidates should move on in the interview process, Siffrinn was present when the Supervisors deliberated. 43. During the Board discussions, Brooks and Balogh did not support Sulc as a viable candidate to continue in the interview selection process. a. Supervisors Jeffrey Stanley (“Stanley”) and Motzer felt that Sulc should move on in the interview process. b. Sulc was not present for or involved when the Board discussed which candidates should move on in the interview process. Sulc, 11-029 Page 10 44. Scoring sheets were utilized by Siffrinn and the Board (excluding Sulc) during the * June 4, 2011, interview session to assist in the evaluation of candidates interviewed. a. The scoring sheets consisted of ten questions with a point value of one through five (lowest to highest) for a maximum possible score of fifty. b. The same scoring sheet and potential point total were utilized for each candidate. 45. Siffrin’s scoring sheets reflect Siffrin’s grading of the seven candidates as follows: Score Applicant 44.5 Applicant 1 42 Applicant 2 39 Applicant 3 38 Applicant 4 36 Applicant 5 35 Applicant 6 23 Greg Sulc a. Siffrinn graded Sulc with a total of twenty-three of a possible fifty points based on Sulc’s performance during the interview. 1. Siffrinn ranked Sulc last out of all seven applicants. b. Sulc’s grade was twelve points lower than the next lowest candidate’s score. 46. Scoring sheets from the remaining Board Members who participated in the interviews were not provided by the Township for review. 47. Although present for the interviews and provided with a scoring sheet to grade the candidates, the Board did not solicit input from Siffrinn regarding which candidate should progress in the interview process. a. The Township Supervisors did not consider or request Siffrin’s input. b. The Township Supervisors did not consider or request Siffrinn’s input although the Board relied on Siffrinn’s selection of candidates to be interviewed by the Board. c. The Township Supervisors did not consider or request Siffrinn’s input although the Board allowed Siffrinn to be present while the Supervisors deliberated over the candidates. d. The Township Supervisors did not consider or request Siffrinn’s input although the Board allowed Siffrinn to score the candidates. e. The Township Supervisors did not consider or request Siffrinn’s input, even though the Supervisors agreed to Siffrinn’s recommendation that the second round of interviews with the candidates consist of a presentation in order to assess the candidates’ qualifications/performance. * 48. The Board was deadlocked from approximately June 4, 2011, through June 24, * 2011, in regards to which applicants should move on in the interview process. Sulc, 11-029 Page 11 * 49. On June 24, 2011, Siffrinn issued correspondence to three of the seven applicants * interviewed on June 4, 2011, advising those applicants that they were selected to continue in the interview process. a. Siffrinn’s correspondence was sent to the applicants even though the Supervisors were deadlocked in their decision as to who should continue in the interview process. b. Sulc was one of the three applicants selected to move on in the interview process. c. No records exist to confirm how Sulc was selected to continue in the hiring process. 50. On June 28, 2011, Siffrinn issued correspondence to the remaining four applicants * interviewed on June 4, 2011, advising them that they were not selected as the successful candidate for the Parks and Recreation Director position. a. Siffrinn’s correspondence was issued even though the Supervisors were deadlocked in their decision as to who should continue in the interview process. b. Sulc was not one of the four applicants receiving the rejection letter. 51. On or about July 4, 2011, Sulc traveled to Brooks’ residence solely for the purpose of lobbying Brooks to support Sulc’s bid for the position of Parks and Recreation Director. a. Brooks was opposed to appointing Sulc to the position. b. During Sulc’s visit, he referenced the good working relationship he had with Brooks as a Supervisor and the accomplishments they made together as Supervisors. c. Sulc indicated that he did not want to see any differences come between him and Brooks and that in the past they had been allies on the Board. d. Sulc’s visit to Brooks’ residence was unannounced. e. Brooks was not personally contacted in any form (in person, telephone, electronic, etc.) by either of the two remaining finalists and solicited for his support. 52. Sulc, after his first interview, contacted Brooks to lobby for support of Sulc’s bid for the position of Parks and Recreation Director. a. Sulc was not present for any of the confidential discussions among the Board Members regarding candidates for the Parks and Recreation Director position during which Brooks indicated he was not supportive of Sulc moving on in the interview process. b. Brooks’ opinions of the candidates were considered confidential information since \[they\] related to personnel matters. Sulc, 11-029 Page 12 c. Only the Supervisors, the Solicitor, and the Township Manager have access to confidential information related to personnel matter\[s\]. d. Sulc did not solicit any of the other Supervisors for their support contemporaneous to when Sulc lobbied Brooks. e. At the time that Sulc lobbied for Brooks’ support, Sulc and Brooks had no previous contact regarding how Brooks felt about Sulc’s bid for the Parks and Recreation Director position. f. Prior to Sulc approaching Brooks, Brooks had made it known only during the confidential Supervisor deliberations that he was not in favor of Sulc moving on in the interview process. 53. Brooks refused to support Sulc in relation to Sulc’s campaign to be selected as the Parks and Recreation Director. a. Brooks informed Sulc that he did not support Sulc due to Brooks’ concern with the public perception of Sulc, a Supervisor, being hired as the Parks and Recreation Director. 54. After the July 12, 2011, presentations were completed the Supervisors deliberated on several occasions as to which applicant was to be selected and offered the Township’s Parks and Recreation Director position. a. Supervisors Brooks and Balogh continued to oppose Sulc’s selection to be hired as the Parks and Recreation Director. b. Supervisors Motzer and Stanley continued to endorse Sulc as the Parks and Recreation Director. 55. Jeffries, as the Township Solicitor, billed the Township in the amount of $3,482.25 for the month of late June 2011/late July 2011. a. Jeffries’ solicitor billings provide brief descriptions of issues addressed and fees charged for each applicable day of the applicable month. 56. Balogh reconsidered his position and decided that he would vote to hire Sulc as the Parks and Recreation Director following Sulc’s offer to resign his position as Township Supervisor. a. Balogh informed Siffrinn and the other Supervisors (including Sulc) of his decision. 57. Sulc submitted $427.94 worth of expenses for reimbursement for \[a\] trip to Harrisburg. a. Expenses consisted of: 1. A hotel stay at the Comfort Inn (located at 5680 Allentown Blvd., Harrisburg, PA 17112) on September 15, 2011, in the amount of $87.69; 2. A meal expense at the Olive Garden (located at 5102 Jonestown Road, Harrisburg, PA 17112) on September 15, 2011, in the amount of $28.00; Sulc, 11-029 Page 13 3. Toll charges in the amount of $26.65; and 4. A mileage reimbursement of $285.60 for distance traveled. b. Sulc was issued Township check #1009 dated November 22, 2011, in the amount of $604.09 as reimbursement for the expenses he incurred during his trip to Harrisburg. c. Of the total $604.09, $427.94 was for reimbursement to Sulc for the expenses he incurred in Harrisburg. d. The remaining $176.15 of the check reimbursed Sulc for other expenses unrelated to his trip to Harrisburg. 58. Agenda items to be addressed at the September 27, 2011, Township legislative meeting were presented for consideration at the September 20, 2011, Township non-legislative meeting. a. The agenda created for the September 27, 2011, Township legislative \[meeting\] under number 12, New Business, included, among other items, number 12N: Approve/reject the hiring of a full-time Parks and Recreation Director. b. Sulc was present at the September 20, 2011, non-legislative Township meeting. 59. Sulc resigned as Supervisor with four years left on his term at the September 27, 2011, Township meeting. a. Sulc resigned at the September 27, 2011, Township meeting immediately prior to Agenda Item 12N: Approve/reject the hiring of a full-time Parks and Recreation Director. 1. Sulc’s resignation was not an agenda item for the September 27, 2011, Township meeting. b. Sulc resigned by reading from a prepared statement. 1. Sulc did not publicly disclose the reason for his resignation. 2. Sulc thanked the Board of Supervisors for selecting him to be the Parks and Recreation Supervisor. 60. Subsequent to Sulc’s resignation, at the September 27, 2011, meeting, the remaining Supervisors voted 3-1 to hire Sulc as the Township’s Parks and Recreation Director at a salary of $60,000.00 per year. a. Supervisor Brooks cast the lone dissenting vote. b. Sulc’s salary was set at approximately the amount Sulc was making at Range Resources, even though the budgeted amount voted on and approved for the position in 2011 by the Supervisors (including Sulc) was $50,000.00. Sulc, 11-029 Page 14 1. Sulc’s salary as the Parks and Recreation Director was set $10,000.00 in excess of that budgeted for the position even though Sulc had no prior Parks and Recreation Director work experience. 61. On or about June 30, 2012, the renovated Township park was completed and opened for public use. a. Sulc was not employed and had no income at the time of his September 27, 2011, appointment as Parks and Recreation Director. 62. Sulc has been compensated a total of $54,422.07 (net) in the position of Parks and Recreation Director, as shown below: Check No. Check Date Check Date Endorsed By Amount Negotiated N/A (direct N/A $728.52 N/A (deposited N/A deposit) 10-3-11) 12787 10-28-2011 $1,603.23 10-28-2011 Sulc 12804 11-10-2011 $1,603.23 11-14-2011 Sulc 12823 11-23-2011 $1,603.23 11-23-2011 Sulc 12842 12-09-2011 $1,603.23 12-12-2011 Sulc 12861 12-22-2011 $1,603.23 12-22-2011 Sulc 12882 1-6-2012 $1,607.36 1-6-2012 Sulc 12903 1-20-2012 $1,607.36 1-20-2012 Sulc 12924 2-3-2012 $1,607.36 2-7-2012 Sulc 12941 2-17-2012 $1,607.36 2-17-2012 Sulc 12958 3-2-2012 $1,607.36 3-2-2012 Sulc 12974 3-16-2012 $1,607.36 3-16-2012 Sulc 12991 3-30-2012 $1,607.36 4-5-2012 Sulc 13011 4-13-2012 $1,607.36 4-17-2012 Sulc 13029 4-27-2012 $1,607.36 4-27-2012 Sulc 13045 5-11-2012 $1,607.36 5-11-2012 Sulc 13060 5-25-2012 $1,607.36 5-25-2012 Sulc 13078 6-8-2012 $1,607.41 6-11-2012 Sulc 13094 6-22-2012 $1,607.36 6-22-2012 Sulc 13121 7-6-2012 $1,607.31 7-9-2012 Sulc 13142 7-20-2012 $1,607.36 7-2-2012 Sulc 13163 8-3-2012 $1,607.36 8-3-2012 Sulc 13182 8-17-2012 $1,607.36 8-17-2012 Sulc 13202 8-31-2012 $1,607.36 8-31-2012 Sulc 13215 9-14-2012 $1,607.36 9-14-2012 Sulc 13229 9-28-2012 $1,607.36 9-28-2012 Sulc 13249 10-12-2012 $1,607.36 10-12-2012 Sulc 13267 10-26-2012 $1,607.36 11-30-2012 Sulc 13282 11-9-2012 $1,854.57 11-30-2012 Sulc 13303 11-21-2012 $1,854.57 11-21-2012 Sulc 13322 12-7-2012 $1,854.62 12-17-2012 Sulc 13323 12-7-2012 $2,897.01 12-21-2012 Sulc 13334 \[sic\] 12-21-2012 $1,854.71 12-21-2012 Sulc Total: $54,422.07 63. Sulc in his official capacity as a North Strabane Township Supervisor was required to file a Statement of Financial Interests form by May 1 annually containing information for the prior calendar year. Sulc, 11-029 Page 15 a. North Strabane Township Supervisors have annually been provided with blank Statement of Financial Interests forms from the State Ethics Commission to complete and file with the Township. 64. Statement of Financial Interests forms on file with the Township as of January 5, 2012, included the following filings for Sulc: a. Calendar Year: 2006 Dated: January 4, 2007 Public Position: Supervisor Political Subdivision: North Strabane Township Profession: Sales Direct or Indirect Source of Income: Lance, Inc., Charlotte, NC b. Calendar Year: 2007 Dated: January 15, 2008 Public Position: Supervisor Political Subdivision: North Strabane Township Profession: Sales Direct or Indirect Source of Income: Heartland Homes c. Sulc filed two SFI forms for calendar year 2008. 1. Calendar Year: 2008 Dated: January 19, 2009 Public Position: Supervisor Political Subdivision: North Strabane Township Profession: Aquatics Director Direct or Indirect Source of Income: YMCA, Charleroi, PA 2 Calendar Year: 2008 Dated: January 20, 2009 Public Position: Supervisor Political Subdivision: North Strabane Township Profession: Financial/Insurance Direct or Indirect Source of Income: block not completed d. Calendar Year: 2010 Dated: January 7, 2011 Public Position: Supervisor Political Subdivision: North Strabane Profession: Aquatics Director Direct or Indirect Sources of Income: Mon Valley YMCA, P.O. Box 64, Charleroi, PA 65. Sulc failed to file an SFI form at any time for calendar year 2009. a. Section 1104(d) of the State Ethics Act provides that no public official may receive compensation from public funds unless he has filed a Statement of Financial Interests. b. Sulc’s IRS W-2 issued by the Township documents Sulc’s receipt of public funds in the amount of $3,250.00 (gross) as a Township Supervisor for calendar year 2010. Sulc, 11-029 Page 16 66. On December 21, 2012, the Township supplied to the Investigative Division Sulc’s SFI for calendar year 2011. a. Sulc’s SFI for calendar year 2011 included the following information: Calendar Year: 2011 Dated: January 20, 2012 Public Position: Director of Parks and Recreation Political Subdivision: None indicated Profession: Director of Parks and Recreation Direct or Indirect Sources of Income: Mon Valley YMCA, Charleroi, PA, North Strabane Twp., Canonsburg, PA 1. Sulc did not include on the SFI for calendar year 2011 his position as an elected Supervisor. 67. Sulc’s IRS W-2 forms for calendar years 2006, 2007, 2008, 2009, 2010, and 2011 document that Sulc received compensation in excess of $1,300.00 for serving as a North Strabane Township Supervisor, as detailed below: Calendar Year of IRS W-2 Form Amount 2006 $2,470.00 2007 $3,250.00 2008 $3,250.00 2010 $3,250.00 2011 $2,437.50 a. Sulc failed to identify the direct source of income (in excess of $1,300.00) that he received from North Strabane Township for serving as a Supervisor on his SFI forms for calendar years 2006, 2007, 2008, 2010, and 2011 \[sic\] \[see, Fact Finding 66 a\]. 68. On or about May 14, 2010, Sulc created the business entity known as “E .L. Aquatics.” a. Sulc is the sole owner of the business. b. The Pennsylvania Department of State issued the entity business #3955534. c. The business address is \[address redacted\]. 1. The business address is the same as Sulc’s home address. d. E .L. Aquatics offers the service of swimming lessons. e. The entity is documented with the Pennsylvania Department of State as currently active within the state of Pennsylvania. 69. Sulc failed to disclose his directorship as sole owner of E .L. Aquatics on his SFIs for calendar years 2010 and 2011. a. Sulc further failed to disclose his financial interest in E. L. Aquatics on his SFIs for calendar years 2010 and 2011. 70. On or about May 18, 2010, Sulc opened a PNC Bank business checking account (\[account number redacted\]) for the purposes associated with E. L. Aquatics. Sulc, 11-029 Page 17 a. The business checking account for E. L. Aquatics confirms that in 2010 and 2011 Sulc received payments in excess of $1,300.00 for services rendered. 71. Sulc failed to disclose his receipt of payments in excess of $1,300.00 via his ownership in E. L. Aquatics on his SFIs for calendar years 2010 and 2011. 72. Sulc’s actions as a Supervisor, including participating in decisions to create the Parks and Recreation position and use of confidential information to lobby Members of the Board to support his position, resulted in a private pecuniary gain of $54,850.01. a. Sulc also received compensation of $3,250 in calendar year 2009, the year when he failed to file a Statement of Financial Interests. Private pecuniary gain determined as follows: Description Amount Sulc’s trip to Harrisburg $427.94 Sulc’s compensation received as a Parks and Recreation Director $54,422.07 Sulc’s failure to file an SFI for calendar year 2009 $3,250.00 Total: $58,100.01 Sulc, 11-029 Page 18 B. Testimony 73. Frank Siffrinn (“Siffrinn”) is employed as the Township’s Manger and Secretary, having served in both positions since November 23, 1992. a. Siffrin’s responsibilities as Township Manager include managing the day-to- day affairs of the Township, overseeing a number of Township departments including the parks and recreation department, preparing the budget, and making recommendations to the Board in terms of hiring and firing. b. Siffrin’s responsibilities as Township Secretary include certifying and attesting to various documents. c. The Board traditionally holds two meetings each month consisting of a non- legislative workshop meeting on the third Tuesday of each month and a legislative meeting on the fourth Tuesday of each month. 1. The Board discusses issues at its workshop meetings. 2. The Board takes action at its legislative meetings. d. ID 2-1 - ID 2-74 consists of minutes of Board meetings. e. ID 8-1 – ID 8-6 consists of W-2 Wage and Tax Statements for the years 2006 through 2011 provided by the Township to Sulc. f. In 2009, the Township paid Sulc Supervisor compensation in the amount of $3,250. g. ID 8-7 – ID 8-8 consists of payroll registers indicating compensation that Sulc received as a Township Supervisor. h. ID 8-9 – ID 8-11 consists of payroll registers indicating compensation that Sulc received from the Township in regard to the Parks and Recreation Director position. i. ID 8-33 – ID 8-66 consists of information pertinent to Sulc’s enrollment as a Township employee. j. In 2007, the Township received two reports that recommended that the Township hire a Parks and Recreation Director. k. In 2007 Siffrinn received a plan entitled “A Comprehensive Parks, Recreation and Open Space Plan” (“the Plan”), which was prepared for the Township by the consulting firm of Environmental Planning and Design, LLC (“the Consultant”). 1. Sulc and Brooks served on a working committee that assisted the Consultant in the preparation of the Plan. l. The Plan recommended that the Township hire an experienced Parks and Recreation Director as part of the Township staff. (See, Fact Finding 85 a). Sulc, 11-029 Page 19 m. Siffrinn testified to his belief that everybody serving on the working Committee, as well as the Board, concurred with the Plan and the recommendations set forth in it. n. Once the Township began the capital expansion of the park, the Board had discussions regarding the Parks and Recreation Director position. 1. Sulc and the other four Board Members were proponents of the Parks and Recreation Director position. o. In 2010, while the park was under construction, the Board directed that the position of Parks and Recreation Director be formally created. p. Siffrinn testified that the Board, not Siffrinn, controlled the process of creating and filling the Parks and Recreation Director position. q. Siffrinn testified that he was charged by the Board to prepare a job description for the position of Parks and Recreation Director to be presented to the Board for review by the Board. r. ID 4-1 – ID 4-4 consists of the job description for the position of Parks and Recreation Director that Siffrinn prepared and submitted to the Board. s. In his testimony, Siffrinn did not identify the precise date when he prepared the job description for the position of Parks and Recreation Director. 1. Siffrinn initially testified that he probably prepared the job description for the position of Parks and Recreation Director in November or December of 2010. (Tr. at 62). 2. Siffrinn subsequently testified that the position of Parks and Recreation Director was created before Siffrinn created the job description. (Tr. at 160). t. Siffrinn testified that he created the job description for the position of Parks and Recreation Director without input from anyone else, including Sulc. 1. Siffrinn testified: “That was my job description. Okay. I wanted that job structured the way I envisioned the job. And there wasn’t going to be any involvement on behalf of Mr. Sulc in terms of how that job description was going to be written.” (Tr. At 153). u. The job description for the position of Parks and Recreation Director was provided to the entire Board, including Sulc. v. Siffrinn testified that when he provided to Sulc the completed job description for the position of Parks and Recreation Director, Sulc presented to Siffrinn a job description or listing of what Sulc felt the position should include and expressed surprise that a lot of the elements in the job description that Siffrinn had prepared mirrored what he (Sulc) had prepared or had in his possession. w. Township Resolution 2010-10 (ID 3-1), which created the position of Parks and Recreation Director, was prepared by the then Township Solicitor, Pat Sulc, 11-029 Page 20 Smider, Esquire (“Smider”), approximately 30 days prior to the Board’s approval of such Resolution on December 21, 2010. x. Smider also indicated that there was no legal prohibition preventing Sulc from holding the position of Township Supervisor and also being hired as a Township Parks and Recreation Director (Tr. At 150-151). y. At the Board’s legislative meeting on November 23, 2010, the Board voted to approve advertisement of Township Resolution 2010-10. 1. Respondent voted in favor of the motion to approve advertisement of Township Resolution 2010-10. z. At the Board’s December 21, 2010, legislative meeting, the Board approved Township Resolution 2010-10. 1. Respondent voted in favor of the motion to approve Township Resolution 2010-10. aa. At the Board’s December 21, 2010, legislative meeting, after Township Resolution 2010-10 had been approved, Sulc made a motion to add to the agenda the advertisement of the Parks and Recreation Director position. 1. Sulc’s motion was approved unanimously by the Board, with Sulc participating in the vote. bb. At the Board’s December 21, 2010, legislative meeting, after the Board had approved Township Resolution 2010-10 and Sulc’s motion to add to the agenda the advertisement of the Parks and Recreation Director position, the Board also approved the 2011 General and Special Fund Budgets (“2011 Budget”), which included appropriations for the position of Parks and Recreation Director. 1. Sulc participated in the unanimous vote of the Board approving the 2011 Budget. 2. The 2011 Budget included an appropriation of $50,000.00 for the salary of the Parks and Recreation Director. 3. ID 5-1 – ID 5-19 consists of the Township’s 2011 Budget. cc. At the Board’s December 21, 2010, legislative meeting, after the Board had approved Township Resolution 2010-10, Sulc’s motion to add to the agenda the advertisement of the Parks and Recreation Director position, and the 2011 Budget, the Board also voted to approve the advertisement of the Parks and Recreation Director position. 1. This motion was approved unanimously by the Board, with Sulc participating in the vote. dd. At the Board’s direction, Siffrinn prepared the advertisement for the Township’s Parks and Recreation Director position. ee. ID 6-1 – ID 6-2 consists of the newspaper advertisement that was placed in the Pittsburgh Post-Gazette for the Township’s Parks and Recreation Director position. Sulc, 11-029 Page 21 1. The advertisement appeared in the Pittsburgh Post-Gazette on Sunday, January 2, 2011. 2. The Township ran the advertisement only once. ff. The advertisement for the Township’s Parks and Recreation Director position indicated that a four-year college degree in parks and recreation/sports administration, or similar field, with a minimum of five years of progressively responsible experience was required for the position. gg. The deadline for submitting résumés for the Parks and Recreation Director position was January 17, 2011. hh. The Township received approximately 25 applications in response to the January 2, 2011, advertisement for the Parks and Recreation Director position. ii. Sulc submitted a cover letter and résumé for the Parks and Recreation Director position by personally hand-delivering them to Siffrinn in Siffrinn’s office either the next-to-the-last day or the last day that applications were being accepted. jj. ID 7-1 – 7-3 consists of the cover letter and résumé that Sulc hand-delivered to Siffrinn for the Parks and Recreation Director position. 1. Sulc’s résumé indicates that Sulc has a degree from Pennsylvania State University in Business Administration. 2. Sulc’s résumé does not reflect any work experience in relation to parks and recreation. kk. Siffrinn testified that to his recollection, after Sulc submitted a résumé for consideration for the Parks and Recreation Director position, Sulc did not vote or make a decision on anything dealing with parks and recreation. ll. Siffrinn recommended to the Board seven applicants (“the Recommended Applicants”) including Sulc to continue in the hiring process for the Parks and Recreation Director position. 1. Siffrinn provided the Supervisors other than Sulc with copies of the Recommended Applicants’ résumés. 2. Siffrinn did not provide candidate résumés to Sulc. mm. Siffrinn met with six of the seven Recommended Applicants before the first interviews occurred. 1. Siffrinn did not meet with Sulc prior to the first interviews because Siffrinn believed that he already knew what he needed to know about Sulc. nn. Siffrinn and Township Supervisors Motzer, Stanley, Brooks, and Balogh conducted the first interviews of the Recommended Applicants on June 25, * 2011. Sulc, 11-029 Page 22 1. Sulc was not involved in interviewing the other Recommended Applicants. oo. Sulc did not have a degree in parks and recreation or as many years of experience as the other Recommended Applicants had. pp. Following the conclusion of the first interviews of the Recommended Applicants, two Board Members favored Sulc continuing in the hiring process and two Board Members did not favor Sulc continuing in the hiring process. qq. The Board identified three of the seven Recommended Applicants to continue on in the hiring process, namely, Dan Miller, Nathan Biddle and Sulc (“the Finalists”). rr. Siffrinn and Township Supervisors Motzer, Stanley, Brooks, and Balogh conducted second interviews of the Finalists on July 12, 2011. 1. For the second interviews, the Finalists gave presentations as to how they would organize a specific event at the Township park. 2. Sulc was not involved in interviewing the other Finalists. ss. Following the second interviews, Siffrinn and Supervisor Brooks observed Dan Miller’s operations as the North Huntingdon Township Parks and Recreation Director, which operations Siffrinn found to be outstanding . tt. Dan Miller’s considerations for accepting the position of Township Parks and Recreation Director, including but not limited to requests for salary and relocation expenses/allowance, were factors weighing against him as an applicant for the position. uu. Nathan Biddle’s salary requirements were substantially lower than those of Dan Miller. vv. Following the second interviews, the Board narrowed the choice down to two of the Finalists and was deadlocked with Supervisors Stanley and Motzer supporting Sulc for the Parks and Recreation Director position and Supervisors Brooks and Balogh supporting Biddle for the Parks and Recreation Director position. ww. It was Siffrin’s impression that the Board remained deadlocked from the time the second interviews were held on July 12, 2011, until the Board meeting held on September 27, 2011. xx. At the September 27, 2011, Board meeting, Sulc resigned from his position as Supervisor and then was immediately hired by the Board as the Township’s Parks and Recreation Director. 1. Supervisors Stanley, Motzer, and Balogh voted to hire Sulc as the Parks and Recreation Director and Supervisor Brooks voted against the hiring. yy. ID 9-1 – ID 9-4 consists of expense documentation for a trip that Sulc took to the Harrisburg area on September 15-16, 2011, as well as other expenses. Sulc, 11-029 Page 23 1. The expenses attributable to Sulc’s trip to the Harrisburg Area totaled $604.09. 2. The Township issued a check to Sulc in the amount of $604.09 to reimburse Sulc for the expenses for his trip to the Harrisburg area on September 15-16, 2011. 74. Lisa Novak (“Novak”) is employed as the Parks and Recreation Director for Collier Township, having held that position for two years. a. Novak has a Bachelor’s degree in parks and recreation and a Master’s degree in exercise science. b. Novak is certified as an Exercise Specialist with the American College of Sports Medicine. c. In November 2010 the Township Tax Collector informed Novak that the Township was considering hiring a Parks and Recreation Director. 1. Novak’s testimony at page 167 of the Transcript that the Township Tax Collector also informed her that a Township Supervisor was interested in the Parks and Recreation Director position, but the Tax Collector did not think the Supervisor had the qualifications, was not offered for the truth of the matter asserted (Tr. at 168), and, although it is questionable whether Respondent raised a proper objection to the testimony as hearsay (Tr. at 167-168), we need not and do not consider such testimony for the truth of the matter asserted or for the purpose of determining when Sulc knew or had a reasonable expectation that he would apply for the position. d. Novak submitted application materials (cover letter, résumé and references) for the Township Parks and Recreation Director position to Siffrinn at the Township office. e. At the end of April 2011, Novak met with Siffrinn at the Township building to discuss the position. 1. During Novak’s meeting with Siffrinn, Novak asked Siffrinn whether Sulc was interested in the position. 2. Novak testified that Siffrinn informed her that Sulc was interested but was told not to apply because he did not have the qualifications for the job. f. Novak was interviewed for the Township Parks and Recreation Director position but was not chosen for the position. 1. Novak received a rejection letter dated June 28, 2011. 75. William Brooks (“Brooks”) served as a Township Supervisor from 2003 until the end of December 2013. a. The Board including Sulc agreed that the Township needed a Parks and Recreation Director prior to the opening of the new park. Sulc, 11-029 Page 24 b. Brooks provided conflicting testimony regarding when he became aware that Sulc was interested in applying for the position of Township Parks and Recreation Director. 1. Brooks testified that he found out that Sulc was interested in applying for the position of Parks and Recreation Director when Sulc applied for the position, which was on January 16 or 17, 2011. (Tr. at 193- 194, 211). 2. Brooks also testified that he knew Sulc would apply for the position of Parks and Recreation Director. (Tr. at 197). 3. Brooks also testified that there was a conversation regarding Sulc applying for the position of Parks and Recreation Director when the Board discussed the idea of hiring a full-time Parks and Recreation Director. (Tr. at 198). c. Brooks’ testimony conflicted with information contained in his January 18, 2012, sworn statement to Commission investigators regarding the time at which he became aware that Sulc was interested in applying for the position of Township Parks and Recreation Director. (Tr. at 193-200, 211). d. Brooks did not support hiring Sulc for the Township’s Parks and Recreation Director position. e. Brooks felt that the Parks and Recreation Director should have experience and possibly prior education in the parks and recreation field. f. While the Board was deadlocked as to filling the Parks and Recreation Director position, with Brooks and Balogh opposed to hiring Sulc, Sulc came to Brooks’ home and asked Brooks about possibly changing his vote due to the deadlock. g. Sulc was eventually hired to the position of Township Parks and Recreation Director with Brooks voting against hiring Sulc for the position. h. Sulc resigned from the position of Township Supervisor prior to being hired as Township Parks and Recreation Director. 1. Brooks testified that Sulc resigned from the position of Township Supervisor in order to get hired and that there was no other way Sulc could have gotten the job as Township Parks and Recreation Director. 76. Robert Balogh (“Balogh”) is a Township Supervisor. a. Balogh’s initial term as a Township Supervisor was from 2005 through 2011. b. In 2009 or 2010, when the Board was considering creating a Parks and Recreation Director position, Sulc was a proponent of creating such position. c. Towards the end of 2010, the Board passed a Resolution to create the position of Parks and Recreation Director. Sulc, 11-029 Page 25 d. Balogh and Sulc had a conversation in which Sulc stated that he (Sulc) was interested in the Parks and Recreation Director position and intended to apply for the position, and Balogh indicated that he (Balogh) did not think it would be appropriate for Sulc to be a Township Supervisor and the Parks and Recreation Director. 1. Balogh testified that he could not remember when this conversation took place. e. Balogh testified that once it became known that Sulc was going to apply for the Parks and Recreation Director position and wanted to be considered for that position, Sulc recused himself from the hiring process. f. Following the first interviews, Balogh did not consider Sulc to be one of the top three applicants. g. Second interviews were held at which the three finalists, including Sulc, gave presentations on an assigned project. h. Following the second interviews, Balogh continued to oppose hiring Sulc as the Parks and Recreation Director because he (Balogh) did not support Sulc serving as both a Supervisor and a Parks and Recreation Director; however, Balogh felt that Sulc gave an excellent presentation that was significantly better than those of the other finalists. i. Following the second interviews, two Supervisors wanted to hire Sulc as the Parks and Recreation Director, and two Supervisors, including Balogh, did not want to hire Sulc as the Parks and Recreation Director. j. Balogh’s main objection to Sulc doing the job of Parks and Recreation Director was the fact that as a Supervisor, Sulc would be his own boss. k. Balogh testified that at some point after the second interviews and before a selection was made to fill the Parks and Recreation Director position, Sulc and Balogh had a conversation in which Sulc expressed a desire to be hired as the Parks and Recreation Director. 1. Balogh responded that as long as Sulc was on the Board, Balogh could not support Sulc for the Parks and Recreation Director position. 2. Sulc stated to Balogh that he (Sulc) would be willing to consider resigning as Supervisor. 3. Balogh testified, “I think I told him that I’d consider it if he would resign.” (Tr. at 236). 4. Balogh testified that this conversation occurred just after artificial turf was laid at the Park. l. Balogh informed Siffrinn and Brooks that he had reconsidered his position as to hiring Sulc. m. Balogh maintained that Sulc had to resign from the Board prior to being appointed to the Parks and Recreation Director position. Sulc, 11-029 Page 26 n. At a meeting in late 2011, Sulc resigned from the Board, and the Board voted to hire Sulc as the Township Parks and Recreation Director after Sulc resigned from the Board, with Balogh voting in favor of hiring Sulc. o. Balogh voted to hire Sulc in order to break the deadlock and because Sulc was no longer a Supervisor. p. Balogh testified that if Sulc did not resign from the position of Supervisor, he (Balogh) would not have voted to hire Sulc. (Tr. at 237-238). 77. Dan Miller (“Miller”) and Nathan Biddle were finalists for the position of Township Parks and Recreation Director in 2011. a. Miller’s salary requirements for the position of Township Parks and Recreation Director included a base salary range of $6,300.00 per month to $7,000.00 per month. b. Biddle testified that he thought he submitted a salary requirement of $45,000.00 per year for the Township Parks and Recreation Director position. c. Neither Miller nor Biddle was selected for the position of Township Parks and Recreation Director. 78. Daniel P. Cali (“Cali”) is employed as a Special Investigator with the Pennsylvania State Ethics Commission. a. ID 8-12 – ID 8-32 consists of copies of cancelled checks that were issued by the Township to Sulc from October 2011 to December 2012 for his employment as Township Parks and Recreation Director. b. Cali testified that he believed Sulc began receiving unemployment compensation on October 23, 2010. c. The last unemployment compensation payment to Sulc was made on May 24, 2011. 79. Respondent J. Gregory Sulc, Jr. (“Sulc”) was elected as a Township Supervisor in 2004. a. The Plan, which the Township received in 2007, recommended that the Township hire a full-time Parks and Recreation Director. b. As a Member of the Board, Sulc was very involved with the Parks and Recreation area. c. Sulc testified that the job description for the position of Parks and Recreation Director was developed after the Board adopted the Resolution creating such position. d. Sulc testified that the adoption of the Resolution creating the position of Parks and Recreation Director and the decision to advertise for the position were just formalities. Sulc, 11-029 Page 27 e. Sulc testified that he decided that he was going to apply for the Township Parks and Recreation Director position a couple of days prior to January 16 or January 17, 2011. 1. Sulc testified that it was not until a couple of days prior to January 16 or January 17, 2011, that he made the decision to apply for the position of Parks and Recreation Director, and that he had been focused on running for office as County Commissioner. f. Sulc testified that he did not think about applying for the Township Parks and Recreation Director position in September, October, November, or December of 2010. g. Sulc testified that his final decision to apply for the Township Parks and Recreation Director position was when he hand-delivered his résumé to Siffrinn on January 16 or January 17, 2011. h. Sulc testified that the $50,000.00 salary for the Township Parks and Recreation Director position that was in the budget was a “benchmark” for budgetary purposes, and that the Board did not know where that number would fall. i. Sulc testified that once he had submitted his résumé to Siffrinn for the Parks and Recreation Director position, he (Sulc) recused himself from anything to do with the position. j. Sulc testified that he does not recall meeting with Balogh regarding the Astroturf in the Park, but that the Astroturf was laid in the Park in October of 2011 after Sulc was awarded the position of Parks and Recreation Director. k. Sulc testified that although the Second Class Township Code did not provide that the positions of Supervisor and Parks and Recreation Director would be incompatible, Sulc informed the Board Members during the first round of interviews that he would step down from his position as a Supervisor if that was required by the Board. l. When Sulc left employment with Range Resources, he was a part-time aquatics director for the YMCA. m. Sulc testified that when he received notice of the allegations in this case, he filed amended Statements of Financial Interests with the Township. C. Stipulations 80. Sulc took office as a Township Supervisor in 2004. (Tr. at 39). 81. ID 8-12 – ID 8-32 consists of copies of checks that Sulc received from the Township and cashed. (Tr. at 305, 307). 82. Sulc was employed by Range Resources from March 29, 2010, to September 24, 2010. (Tr. at 314, 358). 83. If called to testify, Pat Smider, Esquire (“Smider”), former Township Solicitor, would testify that at or about the time Sulc applied for the position of Township Parks and Recreation Director, Smider advised Sulc: (a) that under the Second Class Sulc, 11-029 Page 28 Township Code, the positions of Supervisor and Parks and Recreation Director are not incompatible; and (b) that Sulc should abstain from any decisions with regard to the Parks and Recreation Director position. (Tr. at 365-367). D. Documents 84. R-1 consists of a letter dated April 27, 2007, to Siffrinn from the Managing Principal of the consulting firm of Environmental Planning and Design, LLC, together with a Work Scope regarding the preparation of a Master Site Plan for Lindley Mine Park. 85. R-2 consists of a plan dated February 2007 and entitled “A Comprehensive Parks, Recreation and Open Space Plan” (“the Plan”), which was prepared for the Township by the consulting firm of Environmental Planning and Design, LLC. a. The Plan recommended that the Township hire an experienced Parks and Recreation Director as part of the Township staff. (R-2 at ii). 86. ID 2-1 - ID 2-74 consists of minutes of Board meetings. a. At the Board’s November 16, 2010, non-legislative meeting, Siffrinn reported that the Board had been provided with a copy of a proposed Resolution that would formally establish the position of Township Parks and Recreation Director. (ID 2-11). b. At the Board’s November 23, 2010, legislative meeting, the Board voted to approve advertisement of Township Resolution 2010-10, which Resolution would formally establish the position of Township Parks and Recreation Director. (ID 2-18). 1. Respondent voted in favor of the motion to approve advertisement of Township Resolution 2010-10. (ID 2-18). c. At the Board’s December 14, 2010, non-legislative meeting, Siffrinn reported regarding the Resolution that would formally establish the position of Township Parks and Recreation Director. (ID 2-29). 1. Per the minutes of the Board’s December 14, 2010, non-legislative meeting, Siffrinn was to have a draft of the Parks and Recreation Director job description for the Board’s review by the end of that week. (ID 2-29). d. At the Board’s December 21, 2010, legislative meeting, the Board voted to approve Township Resolution 2010-10. (ID 2-34). 1. Respondent voted in favor of the motion to approve Township Resolution 2010-10. (ID 2-34). e. At the Board’s December 21, 2010, legislative meeting, after Township Resolution 2010-10 had been approved, Sulc made a motion to add to the agenda the advertisement of the Parks and Recreation Director position. (ID 2-34). 1. Sulc’s motion was approved unanimously by the Board, with Sulc participating in the vote. (ID 2-34). f. At the Board’s December 21, 2010, legislative meeting, after the Board had approved Township Resolution 2010-10 and Sulc’s motion to add to the Sulc, 11-029 Page 29 agenda the advertisement of the Parks and Recreation Director position, the Board also approved the 2011 General and Special Fund Budgets (“2011 Budget”), which included appropriations for the position of Parks and Recreation Director. (ID 2-34). 1. Sulc participated in the unanimous vote of the Board approving the 2011 Budget. (ID 2-34). 2. The 2011 Budget included an appropriation of $50,000.00 for the salary of the Parks and Recreation Director. (See, Fact Finding 89 a; ID 5-13). g. At the Board’s December 21, 2010, legislative meeting, after the Board had approved Township Resolution 2010-10, Sulc’s motion to add to the agenda the advertisement of the Parks and Recreation Director position, and the 2011 Budget, the Board also voted to approve the advertisement of the Parks and Recreation Director position. (ID 2-34). 1. This motion was approved unanimously by the Board, with Sulc participating in the vote. (ID 2-34). h. At the Board’s January 18, 2011, non-legislative meeting, Siffrinn reported that the deadline for responses for the Parks and Recreation Director position had been January 17, 2011, and that the Township had received 23 applications. (ID 2-42). i. At the Board’s April 26, 2011, legislative meeting, Siffrinn reported that interviews for the Parks and Recreation Director position would start that Friday and should be concluded by May 9, 2011, and that recommended finalists and résumés would be forwarded to the Board for interviews with the Board later in May. (ID 2-50). j. At the Board’s September 20, 2011, non-legislative meeting, the Manager’s Report referenced consideration to hire a full-time Parks and Recreation Director. (ID 2-63). k. At the Board’s September 27, 2011, legislative meeting, Sulc resigned from his position as Supervisor and then was immediately hired by the Board as the Township Parks and Recreation Director at an annual salary of $60,000.00 plus benefits. (ID 2-72). 1. The vote to hire Sulc as the Township Parks and Recreation Director was 3-1, with Supervisors Stanley, Motzer, and Balogh voting to hire Sulc and Supervisor Brooks voting against the hiring. 87. ID 3-1 consists of Township Resolution 2010-10, which was approved by the Board on December 21, 2010, and which created the position of Township Parks and Recreation Director. 88. ID 4-1 – ID 4-4 consists of the job description for the position of Township Parks and Recreation Director. a. The job description for the position of Township Parks and Recreation Director listed qualifications for the position, which included: (1) graduation from an accredited four year college or university with a degree in Recreation/Sports Administration, or similar field, including course work in organizational management and administration; and (2) a minimum of five Sulc, 11-029 Page 30 years of progressively responsible experience, or any equivalent combination of related education and experience. 89. ID 5-1 – ID 5-19 consists of the Township’s 2011 Budget. a. The Township’s 2011 Budget included an appropriation of $50,000.00 for the salary of the Parks and Recreation Director. (ID 5-13). 90. ID 6-1 – ID 6-2 consists of the newspaper advertisement that was placed in the Pittsburgh Post-Gazette for the Township Parks and Recreation Director position. a. The advertisement provided as follows: Parks and Recreation Director North Strabane Township, Washington County, PA is currently accepting applications for a full-time experienced Parks and Recreation Director. The position is responsible for the planning, development, coordination and implementation of all active and passive recreational opportunities suitable for all segments of the population. The director will be responsible for long range planning, budgeting, program and policy development, grant writing, and oversight of daily operations. Training and supervision of part-time and seasonal staff is required. A four-year college degree in Parks and Recreation/Sports Administration, or similar field, with a minimum of five years of progressively responsible experience is required. Salary commensurate with experience, with an excellent benefits package. Cover letter, resume, references, and salary history to be mailed to: Township Manager, North Strabane Township, 1926 Route 519, Canonsburg, PA 15317 no later than January 17, 2011. ID 6-1. b. The advertisement appeared in the Pittsburgh Post-Gazette on Sunday, January 2, 2011. 91. ID 7-1 – ID 7-3 consists of a cover letter and résumé that Sulc hand-delivered to Siffrinn when applying for the Township Parks and Recreation Director position. 92. ID 8-1 – ID 8-6 consists of W-2 Wage and Tax Statements for the years 2006 through 2011 provided by the Township to Sulc. a. In 2006, Sulc received from the Township Supervisor compensation totaling $2,470.00. (ID 8-1). b. In 2007, Sulc received from the Township Supervisor compensation totaling $3,250.00. (ID 8-2). c. In 2008, Sulc received from the Township Supervisor compensation totaling $3,250.00. (ID 8-3). d. In 2009, Sulc received from the Township Supervisor compensation totaling $3,250.00. (ID 8-4). Sulc, 11-029 Page 31 e. In 2010, Sulc received from the Township Supervisor compensation totaling $3,250.00. (ID 8-5). f. In 2011, Sulc received from the Township Supervisor compensation totaling $2,437.50. (ID 8-6; see, Fact Findings 67, 93-93 a). 93. ID 8-7 – ID 8-8 consists of payroll registers indicating compensation that Sulc received as a Township Supervisor in 2011. (See, Fact Finding 73 g). a. In 2011, Sulc received from the Township Supervisor compensation totaling $2,437.50. (ID 8-7 – ID 8-8). 94. ID 8-9 – ID 8-11 consists of payroll registers indicating compensation that Sulc received from the Township in regard to the Parks and Recreation Director position. (See, Fact Finding 73 h). 95. ID 8-12 – ID 8-32 consists of copies of cancelled checks that were issued by the Township to Sulc from October 2011 to December 2012 for his employment as Township Parks and Recreation Director. (See, Fact Finding 78 a). 96. ID 8-33 – ID 8-66 consists of information pertinent to Sulc’s enrollment as a Township employee. (See, Fact Finding 73 i). D. Other Fact Findings 97. The point at which Sulc had a reasonable expectation that he would apply for the Township’s Parks and Recreation Director position was by or about December 17, 2010, and was certainly prior to the start of the December 21, 2010, legislative meeting of the Board. (Fact Findings 29, 29 a, 31). a. While Siffrinn and Sulc were in the process of creating the job description for the Township Parks and Recreation Director position, Sulc informed Siffrinn that he (Sulc) was interested in applying for the Township Parks and Recreation Director position. Fact Findings 29-29 a. b. The Board reviewed the completed job description for the Township Parks and Recreation Director position prior to the start of the December 21, 2010, legislative meeting. (Fact Finding 31). * \[The record is inconsistent as to whether the Board conducted first interviews of applicants on June 4, 2011, or on June 25, 2011; the outcome of this case does not hinge upon the precise date in June 2011 when the Board’s first interviews occurred.\] III. DISCUSSION: As a Supervisor for North Strabane Township (“Township”) from January 5, 2004, to September 27, 2011, Respondent J. Gregory Sulc, Jr. (hereinafter also referred to as “Respondent,” “Respondent Sulc,” and “Sulc”) was a public official subject to the provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq. The allegations as set forth in the Investigative Complaint/Findings Report are that Respondent Sulc violated Sections 1103(a), 1104(a), 1104(d), and 1105(b)(5), (8), and (9) of the Ethics Act: (1) when he used the authority of his public position for a private pecuniary benefit when he participated in discussions and actions of the Township Board of Supervisors (“Board”) to create a position of Parks and Recreation Director, including Sulc, 11-029 Page 32 the qualifications for said position, at a time when he had a reasonable expectation that he would be a candidate for the position; (2) when he used confidential information obtained as a result of his public position to solicit support from Members of the Board to obtain such position; (3) when he failed to file a Statement of Financial Interests (“SFI”) for the 2009 calendar year; (4) when he failed to disclose direct/indirect sources of income on SFIs filed for the 2006, 2007, 2008, 2010 and 2011 calendar years; and (5) when he failed to disclose on SFIs filed for the 2010 and 2011 calendar years his office, directorship and/or employment and his financial interests in E.L. Aquatics. 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 "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. Per the Pennsylvania Supreme Court’s decision in Kistler v. State Ethics Commission, 610 Pa. 516, 22 A.3d 223 (2011), in order to violate Section 1103(a) of the Ethics Act, a public official/public employee: … must act in such a way as to put his \[office/public position\] to the purpose of obtaining for himself a private pecuniary benefit. Such directed action implies awareness on the part of the \[public official/public employee\] of the potential pecuniary benefit as well as the motivation to obtain that benefit for himself. Sulc, 11-029 Page 33 Kistler, supra, 610 Pa. at 523, 22 A.3d at 227. To violate Section 1103(a) of the Ethics Act, a public official/public employee “must be consciously aware of a private pecuniary benefit for himself, his family, or his business, and then must take action in the form of one or more specific steps to attain that benefit.” Id., 610 Pa. at 528, 22 A.3d at 231. Section 1104(a) of the Ethics Act provides that each public official/public employee must file an SFI for the preceding calendar year, each year that he holds the position and the year after he leaves it: § 1104. Statement of financial interests required to be filed (a) Public official or public employee.-- 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 Pa.C.S. § 1104(a). Section 1104(d) of the Ethics Act provides that no public official shall be allowed to take the oath of office, or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed an SFI as required by the Ethics Act. Pursuant to Section 1105(a) of the Ethics Act, the SFI shall be filed using the form prescribed by this Commission, and all information requested on the SFI shall be provided to the best of the knowledge, information and belief of the person required to file and shall be signed under oath or equivalent affirmation. Section 1105(b) of the Ethics Act and its subsections detail the financial disclosure that a person required to file the SFI form must provide. 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 SFI the name and address of any direct or indirect source of income totaling in the aggregate $1,300 or more. Section 1105(b)(8) of the Ethics Act requires the filer to disclose on the SFI any office, directorship or employment in any business entity. Section 1105(b)(9) of the Ethics Act requires the filer to disclose on the SFI any financial interest in any legal entity engaged in business for profit. The term “financial interest” is defined in the Ethics Act as “\[a\]ny financial interest in a legal entity engaged in business for profit which comprises more than 5% of the equity of the business or more than 5% of the assets of the economic interest in indebtedness.” 65 Pa.C.S. § 1102. Sulc, 11-029 Page 34 We shall now summarize the relevant facts. The Township is governed by the Board, which consists of five Members. The Board traditionally holds two meetings each month consisting of a “non-legislative” workshop meeting on the third Tuesday of each month and a “legislative” meeting on the fourth Tuesday of each month. At non-legislative meetings, the Board discusses issues and prepares the agendas for the legislative meetings. The Board takes action at its legislative meetings. Special meetings and budget workshop sessions are held as necessary. Respondent Sulc served as a Township Supervisor from January 5, 2004, to September 27, 2011. Sulc served as Chairman of the Board from January 4, 2010, to September 27, 2011. Sulc served as Vice Chairman of the Board from January 3, 2006, to December 31, 2009. As a Member of the Board, Sulc was very involved with the Parks and Recreation area. This case involves the hiring of Sulc in 2011 as the Township’s Parks and Recreation Director. During the time period that is relevant to this case, Sulc had sporadic employment in his private capacity. Sulc received unemployment compensation benefits from January 2008 until September 2009. Sulc was employed on a part-time basis by Mon Valley YMCA in 2009. Sulc received unemployment compensation from January 2010 to April 2010. Sulc had full-time employment with Range Resources for approximately six months, from March 29, 2010, to September 24, 2010. Sulc again received unemployment compensation from October 2010 through May 2011. The last unemployment compensation payment to Sulc was made on May 24, 2011. In 2009 the Board (including Sulc) began discussing the need to create a Parks and Recreation Director position. The hiring of a Township Parks and Recreation Director had been recommended to the Township in 2007 by a consulting firm that had prepared a comprehensive parks, recreation and open space plan for the Township. The Township was undertaking the renovation of a pre-existing Township park (“the Park”) at an estimated cost of approximately eight million dollars. The Parks and Recreation Director was to be a Township department head that would oversee the operations of the Park. Although the general consensus among the Board was that the Parks and Recreation Director position did not need to be created until the Park was close to completion, Sulc continually lobbied for the position to be created and filled prior to completion of the Park. At the November 16, 2010, non-legislative meeting of the Board, Township Manager/Secretary Frank Siffrinn (“Siffrinn”) presented the Board with proposed Resolution 2010-10 (“Township Resolution 2010-10”) that would formally create the position of Township Parks and Recreation Director. At the Board’s November 23, 2010, legislative meeting, Sulc made the motion to approve Resolution 2010-10 without the Resolution having previously been advertised. Township Solicitor James Jeffries informed Sulc during the public meeting that the Resolution would need to be advertised prior to a vote. Sulc’s motion died due to a lack of a second. At the time Sulc motioned for Resolution 2010-10 to be approved, the Township had not yet formulated a job description for the position. (Fact Finding 28 b). During the Board’s legislative meeting on November 23, 2010, the Board voted to approve advertisement of Township Resolution 2010-10. Respondent voted in favor of the motion to approve advertisement of Township Resolution 2010-10. Siffrinn testified that he was charged by the Board to prepare a job description for the position of Parks and Recreation Director to be presented to the Board for review by the Board. Per the minutes of the Board’s December 14, 2010, non-legislative meeting, Sulc, 11-029 Page 35 Siffrinn was to have a draft of the Parks and Recreation Director job description for the Board’s review by the end of that week. Per admitted Fact Findings of the Investigative Complaint, by or about December 17, 2010, Sulc informed Siffrinn that he was interested in applying for the Parks and Recreation Director position. Sulc was Chairman of the Board when he informed Siffrinn of his interest in the Parks and Recreation Director position. Sulc advised Siffrinn that he was qualified for the position contemporaneous to the time that Siffrinn and Sulc were in the process of creating the job description. Sulc made his interest known to Siffrinn at a time when Sulc had no full-time employment and was relying on unemployment benefits. Sulc was approximately sixteen days away from receiving his last severance payment from Range Resources when he made Siffrinn aware of his interest in the position. (Fact Findings 29-30). Per admitted Fact Findings of the Investigative Complaint, the Supervisors (including Sulc) reviewed the job description for the Township Parks and Recreation Director position prior to the start of the December 21, 2010, legislative meeting. Sulc participated in the Board’s review of the job description and ultimately agreed that the description created by Siffrinn was satisfactory. Jeffries advised the Supervisors during the public meeting that it was not necessary to vote to approve the job description. (Fact Findings 31-31 b). Sulc’s testimony that the job description for the position of Parks and Recreation Director was developed after the Board adopted the Resolution creating such position (see, Fact Finding 79 c) is contradicted by the aforesaid admitted Fact Findings of the Investigative Complaint. Sulc’s testimony that he decided that he was going to apply for the Township Parks and Recreation Director position a couple of days prior to January 16 or January 17, 2011 (see, Fact Finding 79 e) and that he did not think about applying for the position in December of 2010 (see, Fact Finding 79 f) is contradicted by the aforesaid admitted Fact Findings of the Investigative Complaint. At the Board’s December 21, 2010, legislative meeting, the Board approved Township Resolution 2010-10. Supervisor Stephen Motzer (“Motzer”) motioned for Resolution 2010-10 to be approved and formally create/establish the Parks and Recreation Director position. Motzer’s motion was seconded by Supervisor William Brooks (“Brooks”) and passed via a 5-0 vote with Sulc voting in favor of the motion. Sulc voted in favor of the motion nine days before Sulc received his last severance payment from Range Resources. Sulc had no full-time employment at the time he voted in favor of the creation of the Parks and Recreation Director position. Sulc voted in favor of creation of the Parks and Recreation Director position at a time when he was receiving unemployment benefits. Sulc voted in favor of creation of the Parks and Recreation Director position at a time when he had previously expressed interest in the position and reasonably expected to be an applicant. (Fact Finding 33 d). At the Board’s December 21, 2010, legislative meeting, immediately after Township Resolution 2010-10 had been approved, Sulc made a motion to add to the agenda the advertisement of the Parks and Recreation Director position. Sulc’s motion was approved unanimously by the Board, with Sulc participating in the vote. The motion to advertise the Parks and Recreation Director position was not on the agenda which had been prepared for the December 21, 2010, meeting. The Supervisors rarely deviate from the legislative agendas prepared. At the Board’s December 21, 2010, meeting, Supervisor Robert Balogh (“Balogh”) questioned the Board’s specific timeframe to hire the Parks and Recreation Director. Sulc Sulc, 11-029 Page 36 responded that a deadline to hire a Parks and Recreation Director had not yet been established. Sulc expedited the hiring process by adding to the December 21, 2010, agenda the advertisement of the Parks and Recreation Director position at a time when the Supervisors had not yet decided when the Parks and Recreation Director should be hired. At the Board’s December 21, 2010, legislative meeting, after the Board had approved Township Resolution 2010-10 and Sulc’s motion to add to the agenda the advertisement of the Parks and Recreation Director position, the Board also approved the 2011 General and Special Fund Budgets (“2011 Budget”), which included appropriations for the position of Parks and Recreation Director. Sulc participated in the unanimous vote of the Board approving the 2011 Budget. The 2011 Budget included an appropriation of $50,000.00 for the salary of the Parks and Recreation Director. (Sulc had previously been present at a Board workshop meeting and participated in the discussions related to the 2011 Township budget which included the salary and benefits associated with the Parks and Recreation Director position.) At the Board’s December 21, 2010, legislative meeting, after the Board had approved Township Resolution 2010-10, Sulc’s motion to add to the agenda the advertisement of the Parks and Recreation Director position, and the 2011 Budget, the Board also voted to approve the advertisement of the Parks and Recreation Director position. This motion was approved unanimously by the Board, with Sulc participating in the vote. On or about December 30, 2010, at the Board’s direction, Siffrinn generated an advertisement for the Parks and Recreation position and submitted the advertisement to the Pittsburgh Post-Gazette to be published. The advertisement appeared in the Pittsburgh Post-Gazette on January 2, 2011. The advertisement ran for one day. Similar to the job description, the advertisement for the Township’s Parks and Recreation Director position indicated that a four-year college degree in parks and recreation/sports administration, or similar field, with a minimum of five years of progressively responsible experience was required for the position. The deadline for submitting résumés for the Parks and Recreation Director position was January 17, 2011. Sulc submitted a cover letter and résumé for the Parks and Recreation Director position by personally hand-delivering them to Siffrinn in Siffrinn’s office either the next-to-the-last day or the last day that applications were being accepted. Sulc’s résumé indicates that Sulc has a degree from Pennsylvania State University in Business Administration. Sulc’s résumé does not reflect any work experience in relation to parks and recreation. Siffrinn testified that to his recollection, after Sulc submitted a résumé for consideration for the Parks and Recreation Director position, Sulc did not vote or make a decision on anything dealing with parks and recreation. At the Board’s January 18, 2011, meeting, Siffrinn informed the Board that a total of twenty-three applicants had applied for the Parks and Recreation Director position. Siffrinn went on to inform the Board that “five to six” applicants met the specifications that the Board was looking for. Siffrinn questioned at the meeting how the Board wanted to proceed in regards to selecting applicants to be interviewed. Siffrinn also questioned what involvement the Board wanted to have in the selection process. Sulc recommended to Siffrinn that an executive session be held to discuss those matters since they were personnel in nature. Siffrinn recommended to the Board seven applicants (“the Recommended Applicants”) including Sulc to continue in the hiring process for the Parks and Recreation Sulc, 11-029 Page 37 Director position. Siffrinn provided the Supervisors other than Sulc with copies of the Recommended Applicants’ résumés. Siffrinn did not provide candidate résumés to Sulc. Siffrinn met with six of the seven Recommended Applicants before the first interviews occurred. Siffrinn did not meet with Sulc prior to the first interviews because Siffrinn believed that he already knew what he needed to know about Sulc. Siffrinn and Township Supervisors Motzer, Jeffrey Stanley (“Stanley”), Brooks, and Balogh conducted the first interviews of the Recommended Applicants in June 2011. Sulc was not involved in interviewing the other Recommended Applicants. Scoring sheets were utilized by Siffrinn and the Board (excluding Sulc) during the June 2011 interview session to assist in the evaluation of candidates interviewed. Although Siffrinn ranked Sulc last out of all seven applicants, the Board did not request or consider input from Siffrinn regarding which candidates should progress in the interview process. Following the June 2011 interviews, the Board engaged in confidential discussions regarding which applicants should move on in the interview process. The Board was deadlocked. Brooks and Balogh did not support Sulc as a viable candidate to continue in the interview selection process, and Motzer and Stanley felt that Sulc should move on in the interview process. Sulc was not present or involved when the Board discussed which candidates should move on in the interview process. The Board identified three of the seven Recommended Applicants to continue on in the hiring process, namely, Dan Miller, Nathan Biddle and Sulc (“the Finalists”). No records exist to confirm how Sulc was selected to continue in the hiring process. Siffrinn issued correspondence to the Finalists advising that they were selected to continue in the interview process. Siffrinn notified the others who had been interviewed that they were not selected as the successful candidate for the Parks and Recreation Director position. After Sulc’s first interview, Sulc contacted Brooks to lobby for support of Sulc’s bid for the position of Parks and Recreation Director. On or about July 4, 2011, Sulc traveled to Brooks’ residence solely for the purpose of lobbying Brooks to support Sulc’s bid for the position of Parks and Recreation Director. During Sulc’s visit, Sulc asked Brooks about possibly changing his vote due to the deadlock. Sulc referenced the good working relationship he had with Brooks as a Supervisor and the accomplishments they made together as Supervisors. Sulc indicated that he did not want to see any differences come between him and Brooks and that in the past they had been allies on the Board. Brooks refused to support Sulc in relation to Sulc’s campaign to be selected as the Parks and Recreation Director. Brooks informed Sulc that he did not support Sulc due to Brooks’ concern with the public perception of Sulc, a Supervisor, being hired as the Parks and Recreation Director. Brooks testified that he felt that the Parks and Recreation Director should have experience and possibly prior education in the parks and recreation field. Sulc did not solicit any of the other Supervisors for their support contemporaneous to when Sulc lobbied Brooks. Prior to Sulc approaching Brooks, Brooks had made it known only during the confidential Supervisor deliberations that he was not in favor of Sulc moving on in the interview process. At the time that Sulc lobbied for Brooks’ support, Sulc and Brooks had no previous contact regarding how Brooks felt about Sulc’s bid for the Parks and Recreation Director position. Sulc was not present for any of the confidential discussions among the Board Members regarding candidates for the Parks and Recreation Director position during which Brooks indicated he was not supportive of Sulc moving on in the interview process. Brooks’ opinions of the candidates were considered confidential information since they related to personnel matters. Only the Supervisors, the Solicitor, and the Township Manager have access to confidential information related to personnel matters. Sulc, 11-029 Page 38 Siffrinn and Supervisors Motzer, Stanley, Brooks, and Balogh conducted second interviews of the Finalists on July 12, 2011. Sulc was not involved in interviewing the other Finalists. For the second interviews, the Finalists gave presentations as to how they would organize a specific event at the Township Park. After the July 12, 2011, presentations were completed, the Supervisors deliberated on several occasions as to which applicant was to be selected and offered the Township’s Parks and Recreation Director position. The Board narrowed the choice down to two of the Finalists and was deadlocked with Supervisors Stanley and Motzer supporting Sulc for the Parks and Recreation Director position and Supervisors Brooks and Balogh opposing Sulc and supporting Biddle for the Parks and Recreation Director position. Balogh’s main objection to Sulc doing the job of Parks and Recreation Director was the fact that as a Supervisor, Sulc would be his own boss. Balogh testified that at some point after the second interviews and before a selection was made to fill the Parks and Recreation Director position, Sulc and Balogh had a conversation in which Sulc expressed a desire to be hired as the Parks and Recreation Director. Balogh responded that as long as Sulc was on the Board, Balogh could not support Sulc for the Parks and Recreation Director position. Sulc stated to Balogh that he (Sulc) would be willing to consider resigning as Supervisor. Balogh testified, “I think I told him that I’d consider it if he would resign.” (Tr. at 236). Balogh informed Siffrinn and Brooks that he had reconsidered his position as to hiring Sulc. Balogh maintained that Sulc had to resign from the Board prior to being appointed to the Parks and Recreation Director position. At the Board’s September 27, 2011, legislative meeting, Sulc resigned from his position as Supervisor and then was immediately hired by the Board as the Township Parks and Recreation Director at an annual salary of $60,000.00 plus benefits. The vote to hire Sulc as the Township Parks and Recreation Director was 3-1, with Supervisors Stanley, Motzer, and Balogh voting to hire Sulc and Supervisor Brooks voting against the hiring. Sulc’s salary as the Parks and Recreation Director was set $10,000.00 in excess of that budgeted for the position even though Sulc had no prior Parks and Recreation Director work experience. Sulc was not employed and had no income at the time of his September 27, 2011, appointment as Parks and Recreation Director. Sulc began his employment as the Parks and Recreation Director on September 28, 2011, and continued to hold that position as of the hearing that was held in this case on February 3-4, 2014. From September 28, 2011, through December 21, 2012, Sulc was compensated a total of $54,422.07 (net) in the position of Parks and Recreation Director, as detailed in Fact Finding 62. Per admitted Fact Findings of the Investigative Complaint, Sulc’s actions as a Supervisor, including participating in decisions to create the Parks and Recreation Director position, resulted in a private pecuniary gain of $54,850.01 calculated as the sum of the following: (1) Sulc’s compensation received as Parks and Recreation Director in the amount of $54,422.07; and (2) certain reimbursed expenses in the amount of $427.94 for a trip Sulc took to Harrisburg. (See, Fact Findings 72-72 a). In his official capacity as a Township Supervisor, Sulc was required to file an SFI form by May 1 annually containing information for the prior calendar year. Sulc, 11-029 Page 39 Sulc received Township Supervisor compensation in the following amounts in the indicated years: (1) in 2006, $2,470.00; (2) in 2007, $3,250.00; (3) in 2008, $3,250.00; (4) in 2009, $3,250.00; (5) in 2010, $3,250.00; and (6) in 2011, $2,437.50. Sulc failed to file an SFI form for calendar year 2009. On his SFI forms for calendar years 2006, 2007, 2008, and 2010, Sulc failed to identify the Township as a direct source of income in excess of $1,300.00. Per Fact Finding 66 a, Sulc’s SFI for calendar year 2011 did list the Township as a direct/indirect source of income. Sulc is the sole owner of a business entity known as “E .L. Aquatics,” which Sulc created on or about May 14, 2010. E .L. Aquatics is documented with the Pennsylvania Department of State as currently active within the state of Pennsylvania. Per admitted Fact Findings of the Investigative Complaint, Sulc failed to disclose on SFIs filed for the 2010 and 2011 calendar years his directorship and financial interest in E.L. Aquatics. Sulc failed to disclose his receipt of payments in excess of $1,300.00 via his ownership in E. L. Aquatics on his SFIs for calendar years 2010 and 2011. Sulc testified that when he received notice of the allegations in this case, he filed amended Statements of Financial Interests with the Township. Having summarized the above relevant facts, we must now determine whether the actions of Respondent violated Section 1103(a) of the Ethics Act. As we apply the facts to the allegations, due process requires that we not depart from the allegations. Pennsy v. Department of State, 594 A.2d 845 (Pa. Cmwlth. 1991). A violation of the Ethics Act must be based upon clear and convincing proof. 65 Pa.C.S. § 1108(g). Clear and convincing proof is “so ‘clear, direct, weighty, and convincing as to enable the trier of fact to come to a clear conviction, without hesitance, of the truth of the precise facts in issue.’” In Re: Charles E.D.M., 550 Pa. 595, 601, 708 A.2d 88, 91 (1998) (Citation omitted). It is clear that Sulc violated Section 1103(a) of the Ethics Act when he participated in discussions and actions of the Board to create the position of Township Parks and Recreation Director, including the qualifications for said position, at a time when he had a reasonable expectation that he would be a candidate for the position. The point at which Sulc had a reasonable expectation that he would apply for the Township’s Parks and Recreation Director position was by or about December 17, 2010, and was certainly prior to the start of the December 21, 2010, legislative meeting of the Board. (Fact Findings 29, 29 a, 31, 97). While Siffrinn and Sulc were in the process of creating the job description for the Township Parks and Recreation Director position, Sulc informed Siffrinn that he (Sulc) was interested in applying for the Township Parks and Recreation Director position. Fact Findings 29-29 a. The Board reviewed the completed job description for the Township Parks and Recreation Director position prior to the start of the December 21, 2010, legislative meeting (Fact Finding 31). The necessary conclusion is that Sulc informed Siffrinn that he (Sulc) was interested in applying for the Township Parks and Recreation Director position before the Board reviewed the completed job description prior to the start of the December 21, 2010, legislative meeting. Despite having a reasonable expectation that he would apply for the Parks and Recreation Director position, Sulc proceeded to use the authority of his public office as a Township Supervisor by participating in the Board’s review and agreement to the job description for the Parks and Recreation Director position, which took place immediately prior to the December 21, 2010, legislative meeting of the Board, and by taking the following official actions relating to the Parks and Recreation Director position during the December 21, 2010, legislative meeting of the Board: (1) voting to approve Township Resolution 2010-10 to formally create/establish the Parks and Recreation Director position; (2) making a motion and voting to add to the meeting agenda the advertisement of the Parks and Recreation Director position, which had the effect of expediting the hiring process; (3) voting to approve the 2011 Budget, which included appropriations for the Sulc, 11-029 Page 40 salary of the Parks and Recreation Director; and (4) voting to approve the advertisement of the Parks and Recreation Director position. We are not persuaded by Sulc’s characterization of the adoption of Township Resolution 2010-10 and the decision to advertise the Parks and Recreation Director position as just “formalities.” See, Fact Finding 79 d. These Board actions were necessary steps to create and fill the Parks and Recreation Director position. Sulc’s aforesaid actions were affirmative actions in his official capacity that facilitated securing the Parks and Recreation Director position for himself. Cf., G.L. v. State Ethics Commission, 17 A.3d 445 (Pa. Cmwlth. 2011), allocatur denied, 613 Pa. 648, 32 A.3d 1279 (2011). We find that when Sulc took the aforesaid actions immediately prior to and during the December 21, 2010, Board meeting, Sulc was consciously aware of the opportunity to secure for himself the Parks and Recreation Director employment position, and he took such actions as specific steps in furtherance of attaining that employment position for himself. The resulting private pecuniary benefit to Sulc consisted of the compensation he received as the Township’s Parks and Recreation Director. We hold that Sulc violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he participated in discussions and actions of the Board to create the position of Township Parks and Recreation Director, including the qualifications for said position, at a time when he had a reasonable expectation that he would be a candidate for the position. We do not find a violation of Section 1103(a) with regard to the second allegation of the Investigative Complaint, specifically, the allegation that Sulc violated Section 1103(a) by using confidential information obtained as a result of his public position to solicit support from Members of the Board to obtain the Township Parks and Recreation Director position. The fact that the Board’s discussions regarding the applicants were confidential does not mean that Sulc accessed such confidential information in order to conclude that Brooks and Balogh did not support him for the position. We hold that Sulc did not violate Section 1103(a) of the Ethics Act as to the allegation that he used confidential information obtained as a result of his public position to solicit support from Members of the Board to obtain the Township Parks and Recreation Director position, based upon an insufficiency of evidence. In its Brief, the Investigative Division asserts certain additional violations of Section 1103(a), including that Sulc violated Section 1103(a) of the Ethics Act by the very actions of soliciting support from Brooks and Balogh (irrespective of the alleged use of confidential information while doing so) and resigning from his office in exchange for Balogh’s vote. These additional assertions are not encompassed within the allegations of the Investigative Complaint and may not form the basis for the finding of violations of Section 1103(a) in this case. We hold that Sulc violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file an SFI for the 2009 calendar year. We hold that Sulc violated Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when he failed to disclose direct/indirect sources of income on SFIs filed for the 2006, 2007, 2008, 2010 and 2011 calendar years and when he failed to disclose on SFIs filed for the 2010 and 2011 calendar years his directorship and financial interest in E.L. Aquatics. As for the allegation pertaining to Section 1104(d) of the Ethics Act, Respondent obtained compensation for serving as a Township Supervisor while he was in violation of the financial disclosure requirements of the Ethics Act. As to this allegation, the Investigative Complaint and the Investigative Division’s Brief focus upon Sulc’s receipt of Supervisor compensation in the amount of $3,250.00 when he did not have a Statement of Sulc, 11-029 Page 41 Financial Interests on file for calendar year 2009. Accordingly, we hold that Sulc obtained a financial gain in the amount of $3,250.00 in contravention of Section 1104(d) of the Ethics Act, 65 Pa.C.S. § 1104(d), when he received compensation as a Township Supervisor but failed to properly file with the Township the requisite SFI for calendar year 2009. Cf., Hoover, Order 1402; Nagele, Order 1403. Section 1107(13) of the Ethics Act empowers this Commission to order restitution in instances where a public official/public employee has obtained a financial gain in violation of the Ethics Act. In imposing restitution, we shall not include the reimbursed expenses in the amount of $427.94 for a trip Sulc took to Harrisburg (see, Fact Findings 72-72 a), as such trip was not encompassed within the allegations and does not form the basis for the finding of a violation in this case. Although we are aware that we could order restitution of the established $54,422.07 of compensation that Sulc received as the Township’s Parks and Recreation Director from September 28, 2011, through December 21, 2012, as well as the $3,250.00 of compensation that Sulc received from the Township while failing to properly file with the Township the requisite SFI for calendar year 2009, we shall exercise our discretion and order restitution in the total amount of $20,000.00 as to the compensation Sulc received as the Township Parks and Recreation Director. Accordingly, Sulc is directed to make payment of restitution in the amount of $20,000.00 payable to North Strabane Township and forwarded to this Commission by no th later than the thirtieth (30) day after the mailing date of this adjudication and Order. Sulc is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the aforesaid restitution. It is not clear from the admitted Fact Findings whether Sulc’s SFIs for calendar years 2006, 2007, 2008, 2010 and 2011 are now in compliance with the Ethics Act. To the extent he has not already done so, Sulc is directed to file with the Township amended SFIs for calendar years 2006, 2007, 2008, 2010 and 2011, disclosing all required information, th and to forward copies of such filings to this Commission by no later than the thirtieth (30) day after the mailing date of this adjudication and Order. Noncompliance will result in the institution of an order enforcement action. IV.CONCLUSIONS OF LAW: 1. As a Supervisor for North Strabane Township (“Township”) from January 5, 2004, to September 27, 2011, Respondent J. Gregory Sulc, Jr. (“Sulc”) was a public official subject to the provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq. 2. Sulc violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he participated in discussions and actions of the Township Board of Supervisors (“Board”) to create the position of Township Parks and Recreation Director, including the qualifications for said position, at a time when he had a reasonable expectation that he would be a candidate for the position. 3. Sulc did not violate Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), as to the allegation that he used confidential information obtained as a result of his public position to solicit support from Members of the Board to obtain the Township Parks and Recreation Director position, based upon an insufficiency of evidence. Sulc, 11-029 Page 42 4. Sulc violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of Financial Interests for the 2009 calendar year. 5. Sulc violated Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when he failed to disclose direct/indirect sources of income on Statements of Financial Interests filed for the 2006, 2007, 2008, 2010 and 2011 calendar years and when he failed to disclose on Statements of Financial Interests filed for the 2010 and 2011 calendar years his directorship and financial interest in E.L. Aquatics. 6. Sulc obtained a financial gain in the amount of $3,250.00 in contravention of Section 1104(d) of the Ethics Act, 65 Pa.C.S. § 1104(d), when he received compensation as a Township Supervisor but failed to properly file with the Township the requisite Statement of Financial Interests for calendar year 2009. In Re: J. Gregory Sulc, Jr., : File Docket: 11-029 Respondent : Date Decided: 6/16/14 : Date Mailed: 6/26/14 ORDER NO. 1639 1. As a Supervisor for North Strabane Township (“Township”), J. Gregory Sulc, Jr. (“Sulc”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he participated in discussions and actions of the Township Board of Supervisors (“Board”) to create the position of Township Parks and Recreation Director, including the qualifications for said position, at a time when he had a reasonable expectation that he would be a candidate for the position. 2. Sulc did not violate Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), as to the allegation that he used confidential information obtained as a result of his public position to solicit support from Members of the Board to obtain the Township Parks and Recreation Director position, based upon an insufficiency of evidence. 3. Sulc violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of Financial Interests for the 2009 calendar year. 4. Sulc violated Section 1105(b) of the Ethics Act, 65 Pa.C.S. § 1105(b), when he failed to disclose direct/indirect sources of income on Statements of Financial Interests filed for the 2006, 2007, 2008, 2010 and 2011 calendar years and when he failed to disclose on Statements of Financial Interests filed for the 2010 and 2011 calendar years his directorship and financial interest in E.L. Aquatics. 5. Sulc obtained a financial gain in the amount of $3,250.00 in contravention of Section 1104(d) of the Ethics Act, 65 Pa.C.S. § 1104(d), when he received compensation as a Township Supervisor but failed to properly file with the Township the requisite Statement of Financial Interests for calendar year 2009. 6. Sulc is directed to make payment of restitution in the amount of $20,000.00 payable to North Strabane Township and forwarded to the Pennsylvania State Ethics th Commission by no later than the thirtieth (30) day after the mailing date of this Order. 7. Sulc is directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the aforesaid restitution. 8. To the extent he has not already done so, Sulc is directed to file with the Township amended Statements of Financial Interests for calendar years 2006, 2007, 2008, 2010 and 2011, disclosing all required information, and to forward copies of such filings to the Pennsylvania State Ethics Commission by no later than the thirtieth th (30) day after the mailing date of this Order. 9. Non-compliance with paragraph 6, 7, or 8 of this Order will result in the institution of an order enforcement action. BY THE COMMISSION, ___________________________ John J. Bolger, Chair