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In Re: Phillip A. Barker,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120 -0400
File Docket:
X -ref:
Date Decided:
Date Mailed:
FACSIMILE: 717- 787 -0806
WESSITE: www.ethics.oa.gov
18 -008
Order No. 1747
216119
2/11119
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
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 seg., by the above -named Respondent. At the
commencement of its investigation, the Investigative Division served upon Respondent
written notice of the specific allegations. Upon completion of its investigation, the
Investigative Division issued and served upon Respondent a Findings Report identified as
an "Investigative Complaint." A Stipulation of Findings and a Consent Agreement were
subsequently submitted b the parties to the Commission for consideration. The Stipulated
Findings are set forth as the Findings In this Order. The Consent Agreement has been
approved.
ALLEGATIONS:
That Phillip A. Barker, a public official /public employee in his capacity as a Township
Supervisor for Upper Providence Township, Montgomery County, violated Sections
1103(a), 1104(d), and 1105(b (5) of the State Ethics Act (Act 93 of 1998) when he utilized
the authority of his public office to effectuate a pecuniary benefit for a member of his
immediate family, by voting to approve the 2014 and 2015 annual Township budget(s),
which included an increase in salary/compensation for his wifelspouse, who was employed
as the Township Parks and Recreation Director, in direct contravention of an Advice of
Counsel issued b the Chief Counsel of the State Ethics Commission; and when he failed
to report income from the Townshi upon his 2012, 2013, 2014, 2015, and 2016 calendar
year(s) Statements of Financial In erests.
9011110166*5
1. Phillip A. Barker ( "Barker ") has served as a Supervisor for Upper Providence
Township ( "Township "), Montgomery County, Pennsylvania since January 2002.
a. Barker served as Chairman of the Township Board of Supervisors ( "Board ")
for calendar years 2005, 2006, 2009, 2010, 2013, and 2016.
b. Barker served as Vice Chairman of the Board for calendar years 2002, 2003,
2004, 2007, 2008, 2011, 2012, 2015, and 2017.
Barker, 18 -008
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2. In addition to serving as a Township Supervisor, Barker was also a Member of the
Upper Providence Township Planning Commission Board from 1998 until 2002.
a. Barker received no compensation as a Planning Commission Board
Member.
3. Barker was employed as a part-time Upper Providence Township Department of
Public Works employee from August 2010 until March 2012.
a. Barker performed grass cutting services and other assigned duties.
4. The Township is a Second Class Township governed by a five - Member Board that
is charged with general governance of the Township and corporate powers of the
Township.
a. Prior to 2017, the Township was governed by a three- Member Board.
b. The increase to a five - Member Board in 2017 was the result of a voter -
approved 2016 referendum.
5. The Board holds two legislative meetings each month.
a. One meeting is held on the first Monday of the month, and the other meeting
is held on the third Monday of the month.
b. Special meetings are held as necessary.
6. Supervisors receive yearly gross compensation of $4,125.00 for their service on the
Board.
7. Voting at Board meetings occurs via a roll call vote after a motion is made and
properly seconded.
a. All objections and/or abstentions are specifically noted within the meeting
minutes.
1. The Board does not routinely utilize abstention forms to memorialize
abstentions.
2. No abstention forms were on file at the Township for Barker.
8. Minutes of Board meetings are prepared by the Township Manager.
a. Members of the Board are presented with meeting minutes prior to the
following meeting to review for accuracy.
b. The Board votes to approve the accuracy of the minutes at each subsequent
legislative meeting.
9. Susan Barker ( "Mrs. Barker ") is the spouse of Barker and is a member of his
immediate family.
10. Mrs. Barker was employed with the Township as the Parks and Recreation Director
from March 2007 until November 2017.
a. A vacancy announcement for the Parks and Recreation Director position was
advertised by the Township Manager, George Waterman ( "Waterman "), in
Barker, 18 -008
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the local newspapers and on the Township website.
b. Mrs. Barker submitted a resume for the position along with four other
applicants.
C. Mrs. Barker listed on her resume a degree in Park and Recreation
Management from the University of Northern Arizona.
1. Mrs. Barker received her degree in the 2006 calendar year.
d. Mrs. Barker was interviewed and hired by Waterman in March 2007.
e. Mrs. Barker held no other Township positions between March 2007 and
November 2017.
f. Barker did not participate in discussions with Waterman regarding Mrs.
Barker's hiring as the Parks and Recreation Director.
11. Mrs. Barker was approved as the Parks and Recreation Director by the Board on
April 2, 2007.
a. Barker abstained from voting to approve Mrs. Barker as the Parks and
Recreation Director during the April 2, 2007, Board meeting.
1. Meeting minutes for the April 2, 2007, Board meeting do not reflect
the reason Barker abstained from voting to approve Mrs. Barker's
hiring.
b. Barker did not participate in discussions or lobby for Mrs. Barker to become
employed with the Township.
12. Mrs. Barker's job description as the Parks and Recreation Director included the
following:
a. Responsible for development and maintenance of all parks and recreation
facilities, activities, events and open space.
b. Plans, directs, and administers budget for Parks and Recreation operations.
C. Communicates to Board of Supervisors, Parks and Recreation Board, and
Township Manager all matters relating to parks and recreation.
d. Coordinates with other departments as necessary for events, parks
maintenance, planning of new renovation of existing facilities, performs
regular inspections to ensure safety.
e. Participates in community groups to actively pursue opportunities to expand
recreation department functionality.
f. Secures funding through grant programs, assists with writing bid
specifications for projects, and provides review and recommendation for bid
contract awards.
g. Analyzes community requirements to provide input for long range planning in
order to meet recreational needs.
h. Recruits, interviews, trains, and evaluates full and part -time personnel and
determines goals and objectives for staff.
Barker, 18 -008
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Coordinates and supervises scheduling and use of facilities, fields, and
pavilions for individuals, leagues, and tournaments.
j. Marketing, fundraising, open space acquisition, coordination and oversight
of camps, bus trips, concerts, movies, Eagle Scout projects, volunteer and
citizen groups, newsletter and website design and publication.
13. Pay increases for Township employees, including Mrs. Barker, were determined by
the Township Manager.
a. The Township Manager presents the pay increases to the Board as part of
the yearly Township budget each November, prior to the new year.
b. No formal vote is taken by the Board regarding specific employee pay
increases.
C. Salaries and wages for Township employees are line items included on the
budget for each calendar year.
d. Executive sessions are held by the Board to discuss budget appropriations
prior to taking an official vote.
e. In December of each year, the Township Managerpresents the budgetto the
Board as a resolution during a public Board meeting.
f. The budget resolution is voted on by the Board.
14. Payroll for Township employees is not included in the monthly bill lists that are
presented to the Board for approval.
a. Township employees participate in direct deposit.
b. Township Supervisors do not participate in signing payroll checks for
Township employees.
15. Meeting minutes reflect that Barker voted to approve budget resolutions for calendar
years 2008, 2009, and 2012.
a. Township administrative staff were unable to locate the December 2010
budget meeting minutes.
16. Barker abstained from voting on the 2011 calendar year budget.
a. The reason for Barker's abstention was not detailed in the meeting minutes.
THE FOLLOWING FINDINGS RELATE TO BARKER PARTICIPATING IN VOTING
TO APPROVE TOWNSHIP BUDGET RESOLUTIONS THAT INCLUDED PAY
INCREASES FOR HIS WIFE, SUSAN BARKER, AS THE PARKS AND
RECREATION DIRECTOR FOR CALENDAR YEARS 2014 AND 2015.
17. On November 18, 2013, the State Ethics Commission's Legal Division received a
request for an Advice of Counsel submitted by Upper Providence Township Solicitor
Edward Skypala, Esquire, on behalf of Barker.
a. The question posed was whether Barker could vote on the Township's
proposed 2014 budget, where Barker's wife was employed as the head of
the Township's Recreation Department.
Barker, 18 -008
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b. The proposed 2014 budget included a $10,000.00 salary increase for Mrs.
Barker to bring her salary in line with the salaries of other Township
department heads.
18. Barker's Advice of Counsel request was submitted to the State Ethics Commission's
Legal Division approximately one month prior to anticipated Board action regarding
the Township's 2014 Budget Resolution.
19. In December 2013, Waterman presented a $10,000.00 pay increase for Mrs. Barker
to the Board as part of the 2014 budget.
a. The proposed pay increase was intended to bring Mrs. Barker's salary in line
with the salaries of other Township Directors.
20. The following chart details the salaries of Director and Assistant Director positions,
including Mrs. Barker's, for the 2013 calendar year.
=a
Position
Year
Salary
Manager
2013
$129,007.04
Asst. Manager
2013
$101,150.98
Public Works Dir.
2013
$83,300.72
Asst. Public Works Dir.
2013
$58,589.34
Foreman
2013
$62,952.75
Finance Dir.
2013
$84,147.27
Parks and Rec. Dir.
2013
$73,397.59
21. Barker did not participate in discussions pertaining to Mrs. Barker's salary increase
for the 2014 calendar year.
a. Township Supervisors Lisa Mossie and John Pearson agreed during an
executive session in December 2013 to provide Mrs. Barker with a $4,000.00
pay increase instead of the proposed $10,000.00 amount.
1. Barker was not present for salary negotiations for Mrs. Barker during
the December 2013 executive session.
22. On December 16, 2013, Barker participated in Board action and voted to approve
the Township's 2014 Budget Resolution (2013 -44).
a. Budget Resolution (2013 -44) was approved by a 3 -0 vote, with Barker voting
in favor.
b. Pay increases were itemized on Budget Resolution (2013 -44) for Township
Directors, including Mrs. Barker as the Parks and Recreation Director.
C. Budget Resolution (2013 -44) included a $4,000.00 pay increase for Mrs.
Barker, along with pay increases for all other Township employees.
Barker, 18008
age
d. Barker participated in signing Budget Resolution (2013 -44) as Chairman of
the Board.
e. Meeting minutes for the December 16, 2013, Board meeting do not reflect
that Barker disclosed his conflict of interest, nor did he abstain from voting to
approve the 2014 Budget Resolution (2013 -44).
23. Mrs. Barker was the only Township Director or employee who received a $4,000.00
pay increase in 2014.
a. Other Township Directors and employees received a 2% pay increase in
2014, while Mrs. Barker received a 5.45% pay increase.
24. The following chart details pay increases by dollar amount and percentage for
Township Director and Assistant Director positions for the 2014 calendar year.
a.
Position
Year
Salary
Increase
Percentage
Manager
2014
$2,580.00
2%
Asst. Manager
2014
$2,023.00
2%
Pub. Works Dir.
2014
$1,666.00
270
Asst. Pub. Works Dir.
2014
$1,293.96
2%
Foreman
2014
$1,259.00
2%
Finance Dir.
2014
$1,683.00
2%
Parks and Rec Dir.
2014
$4,000-00
5.45%
25. Mrs. Barker's W -2s reflect that she was compensated $73,647.00 in calendar year
2013 and $77,647.00 in calendar year 2014.
26. Former Township Manager Waterman, during a sworn statement, confirmed that
the 2014 Budget Resolution included a $4,00.00 pay increase for Mrs. Barker.
27. On December 19, 2013, three days after Barker took official action to approve the
Township's 2014 Budget Resolution, Barker received his Advice of Counsel (13-
585) from the State Ethics Commission's Legal Division.
a. The Advice of Counsel was issued within twenty -one working days, per the
Ethics Act.
28. The Advice of Counsel advised Barker that he would engage in a conflict of interest
should he take action to vote to approve budgets that included a pay increase for
his wife, Mrs. Barker.
a. The Advice of Counsel particularly addressed the 2014 budget that
established Mrs. Barker's salary as a department head.
b. The class /subclass exclusion would not be applicable, because Mrs. Barker
would be the only department head to receive a disproportionate pay
increase.
C. Barker was advised to fully abstain from participation in voting for any budget
resolutions that included a pay increase for his spouse /member of his
immediate family, specifically Mrs. Barker.
Barker, 18 -008
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29. Barker did not initiate any action to rescind his vote for the 2014 Budget Resolution
(2013 -44) after receiving the Advice of Counsel on December 19, 2013, which
advised him to full abstain from any use of office, including voting, resulting in a
pay increase for Mrs. Barker.
a. Barker voted to approve the minutes for the December 16, 2013, Board
meeting during the subsequent (January 6, 2014) Board meeting.
b. Barker failed to amend his vote to an abstention or disclose his conflict of
interest during the January 6, 2014, meeting.
1. Barker was in receipt of Advice of Counsel 13 -585 at the time of the
January 6, 2014, Board meeting.
2. Barker was made aware of the presence of a conflict of interest
through Advice of Counsel 13 -585.
30. Waterman confirmed during a sworn statement to Commission Investigators that
Board meetings were recorded.
a. Waterman used the recordings to produce monthly meeting minutes.
b. Any abstentions were specifically noted in the Board monthly meeting
minutes.
31. Barker further disregarded the Advice of Counsel when he partici ated in voting to
approve the 2015 Budget Resolution (2014.29) on December 15, 2014.
a. Mrs. Barker received a $4,406.93 pay increase in 2015.
b. Other Township Directors and employees received inconsistent pay
increases for 2015.
32. The chart below details pa increases by dollar amount and percentage for
Township Director and Assistant Director positions for the 2015 calendar year.
a.
1
Position
Year-F—Salary
Increase
Percentage
Manager
20151
$3,947.00
3%
Asst. Manager
20151
$5,180.00
5.02%
Pub. Works Dir.
2015
$4,634.00
5.45%
Asst. Pub. Works Dir.
2015
$1,979.00
3%
Foreman
2015
$1,926.00
3%
Finance Dir.
2015
$4,659.00
5.42%
Parks and Rec. Dir.
20151
$4,407.00
5.69%
Mrs. Barker, as the Parks and Recreation Director, received the largest
ercentage salary increase as compared to other Township Directors in
015.
33. Meeting minutes for the December 15, 2014, Board meeting do not reflect that
Barker disclosed his conflict of interest or abstained from voting for the 2015 Budget
Resolution.
a. Barker was in possession of Advice of Counsel 13 -585 at the time he took
action by voting to approve the 2015 Budget Resolution.
Barker, 18 -008
P gem
34. Barker voted to arove the December 15, 2014, meeting minutes during the
January 5, 2015, Board meeting.
a. Barker failed to amend his vote to an abstention or disclose his conflict of
interest during the January 5, 2015, meeting.
35. Mrs. Barker's W -2s reflect that she was compensated $77,647.00 in calendar year
2014 and $85,200.00 in calendar year 2015.
a. The 2015 W -2 shows a difference of $3,395.48 due to an extra pay period in
2015.
b. Township employees are paid bi- weekly.
36. Mrs. Barker received a total of $8,406.93 in salary increases between calendar
years 2014 and 2015.
37. Barker abstained from voting on budget resolutions that included pay increases for
Mrs. Barker in calendar years 2016 and 2017.
a. Township Manager Timothy Tieperman placed pay increases for director
positions, including Mrs. Barker's, on separate budget resolutions for the
2016 and 2017 budgets specifically due to Barker's conflict of interest.
38. During an August 15, 2018, investigative interview, Barker acknowledged that the
records confirm that he participated in voting to approve the 2014 and 2015
calendaryear budgets, which included pay increases for his spouse and member of
his immediate family, Mrs. Barker.
THE FOLLOWING FINDINGS RELATE TO BARKER OMITTING THE TOWNSHIP AS A
SOURCE OF INCOME ON STATEMENTS OF FINANCIAL INTERESTS FOR CALENDAR
YEARS 2012 THROUGH 2016.
39. As a Township Supervisor, Barker is required to file annually a Statement of
Financial Interests by May 1 st of each year disclosing financial interests for the prior
calendar year.
40. Barker filed Statements of Financial Interests for calendar years 2012 through 2017
with the Township.
41. Barker received the following income from the Township as reported on W -2 Wage
and Tax Statements:
a. 2012: $5,161.00.
b. 2013: $4,125.00.
C. 2014: $4,125.00.
d. 2015: $4,125.00.
e. 2016: $4,125.00.
f. 2017: $4,125.00.
42. Barker was compensated approximately $4,125.00 annually as a Township
Supervisor in calendar years 2012 through 2017.
Barker, 18 -008
at aged
43. Barker received an additional $1,037.00 in income in calendar year 2012 from part -
time employment with the Township Department of Public Works.
44. Barker neglected to include income received from the Township on Statements of
Financial Interests filed for calendar years 2012 through 2017.
III. DISCUSSION:
As a Supervisor for Upper Providence Township ('Township "), Montgomery County,
Pennsylvania, since January 2002, Respondent Phillip A. Barker, also referred to
hereinafter as "Respondent," `Respondent Barker," and "Barker," has been a public official
subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65
Pa.C.S. § 1101 et sec .
The allegations are that Barker violated Sections 1103(a), 1104(d), and 1105(b)(5)
of the Ethics Act when he utilized the authority of his public office to effectuate a pecuniary
benefit for a member of his immediate family by voting to approve the 2014 and 2015
annual Township budgets which included increases in salary /compensation for his
wife /spouse, who was employed as the Township Parks and Recreation Director, in direct
contravention of an Advice of Counsel issued by the Chief Counsel of the State Ethics
Commission; and when he failed to report income from the Township upon his Statements
of Financial Interests ( °SFIs ") for the 2012, 2013, 2014, 2015, and 2016 calendar years.
Per the Consent Agreement, the Investigative Division has exercised its
prosecutorial discretion to nol pros the allegation under Section 1104(d) of the Ethics Act.
Based upon the nol pros, we need not address the Section 1104(d) allegation that is no
longer before us.
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.
Barker, 18 -008
7ae-710
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 ecuniary benefit of the public official /public
employee himself, any member of his immediate family, or a business with which he or a
member of his immediate family is associated.
Section 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 filerto disclose on the SFI the name and address
of any direct or indirect source of income totaling in the aggregate $1,300 or more.
As noted above, the parties have submitted a Consent Agreement and Stipulation of
Findings. The parties' Stipulated Findings are set forth above as the Findings of this
Commission. We shall now summarize the relevant facts as contained therein.
Barker has served as a Township Supervisor since January 2002. With the
exception of 2014, Barker served as either Chairman or Vice Chairman of the Township
Board of Supervisors ( "Board") each year from 2002 through 2017. Barker was employed
part -time with the Township Department of Public Works from August 2010 until March
2012.
The Board consisted of three Members until 2017, when the Board was increased to
five Members as the result of a voter - approved referendum. Township Supervisors receive
yearly gross compensation in the amount of $4,125.00 for serving on the Board.
Barker's spouse, Susan Barker ( "Mrs. Barker'), was employed as the Township
Parks and Recreation Director from March 2007 until November 2017. Barker abstained
from voting when the Board approved hiring Mrs. Barker as the Township Parks and
Recreation Director.
The salaries and wages of Township employees are line items on the annual
Township budget. Pay increases for Township employees are determined by the Township
Manager, who presents the pay increases to the Board each November as part of the
Township budget for the next calendar year. The Board holds executive sessions to
discuss budge appropriations prior to taking an official vote on the Township budget.
During a pu lic Board meeting in December, the Township Manager presents the
Township budget to the Board as a resolution. The Board votes on the Township budget
resolution and takes no formal vote with regard to pay increases for specific Township
employees.
On November 18, 2013, this Commission received from Township Solicitor Edward
Skypala, Esquire, a request for an Advice of Counsel on behalf of Barker. The question
posed was whether Barker would have a conflict of interest with regard to voting on the
Township's 2014 budget, which would include a 2% salary increase for each Township
department head as well as a $10,000.00 salary increase for Mrs. Barker to bring her
salary as the Township Parks and Recreation Director in line with the salaries of the other
Township department heads. The request for an Advice of Counsel was submitted to this
Commission approximately one month prior to anticipated Board action regarding the
Township's 2014 budget resolution.
In December 2013, Township Manager George Waterman presented the Board
with the 2014 Township budget, which included a $10,00.00 pay increase for Mrs. Barker.
The proposed pay increase was intended to bring Mrs. Barker's salary as the Township
Parks and Recreation Director in line with the salaries of other Township Directors. During
Barker, 18 -008
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an executive session of the Board in December 2013, Township Supervisors Lisa Massie
and John Pearson agreed to provide Mrs. Barker with a $4,000.00 pay increase instead of
the proposed $10,000.00 pay increase. Barker did not participate in discussions pertaining
to Mrs. Barker's pay increase for 2014.
On December 16, 2013, Barker articipated in a unanimous Board vote to approve
the Township's 2014 budget resolution (the "2(14 Budget Resolution "), which included pay
increases for Township Director and Assistant Director positions. Mrs. Barker, as the
Township Parks and Recreation Director, was the only Township Director or Assistant
Director who received a $4,000.00, or 5.45 %, pay.increase for 2014. Other Township
Directors and Assistant Directors received a 2% pay increase for 2014. Barker participated
in signing the 2014 Budget Resolution as Chairman of the Board.
On December 19, 2013, Barker received S�k l a�la, Advice of Counsel 13 -585
( "Advice of Counsel 13- 585 "), which was issued by the Chief Counsel of this Commission
within twenty -one working days of the request, pursuant to Section 1107(11) of the Ethics
Act, 65 Pa.C.S. § 110711). Advice of Counsel 13 -585 determined that pursuant to
Section 1103(a) of the Ethics Act, Barker would have a conflict of interest with regard to the
2014 Township budget. Advice of Counsel 13 -585 concluded that the class /subclass
exclusion to the definition of "conflict" or "conflict of interest" see, 65 Pa.C.S. 5 1 102)
would not be applicable because, under the submitted facts, N rs. Barker would not be
affected to the same degree by the 2014 Township budget as would other Township
department heads. Advice of Counsel 13 -585 further concluded that subject to the voting
conflict exceptions of Section 11030) of the Ethics Act, Barker would be required to abstain
fully from participation in each instance of a conflict of interest.
Barker did not initiate any action to rescind his vote for the 2014 Budget Resolution
after he received Advice of Counsel 13 --585. Barker subsequently voted to approve the
minutes for the December 16, 2013, Board meeting at which he had voted to approve the
2014 Budget Resolution.
On December 15, 2014, Barker voted to approve the Township's 2015 budget
resolution (the "2015 Budget Resolution "), which included pay increases for the Township
Director and Assistant Director positions. Mrs. Barker's position of Township Parks and
Recreation Director received a pay increase of $4,407.00, or 5.69 %, which was the largest
pay increase by percentage for a Township Director or Assistant Director position for 2015.
Barker abstained from voting on Township budget resolutions that included pay
increases for Mrs. Barker in calendar years 2016 and 2017.
As for Barker's SFIs, Barker neglected to disclose the Township as a source of
income on his SFIs for calendar years 2012 through 2016. (We note that although the
Stipulated Findings provide that Barker also failed to disclose the Township as a source of
income on his SFI for calendar year 2017, such failure is not encompassed within the
allegations in this matter.)
Having highlighted the Stipulated Findings and issues before us, we shall now apply
the Ethics Act to determine the proper disposition of this case.
The parties' Consent Agreement sets forth a proposed resolution of the allegations
as follows:
3. The Investigative Division will recommend the following in
relation to the above allegations:
a. That a violation of Section 1103(a) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. §
1103(a), occurred when Phillip A. Barker, in his
Barker, 18 -008
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capacity as a Township Supervisor for Upper
Providence Township, Montgomery County,
utilized the authority of his public office to
effectuate a pecuniary benefit for a member of
his immediate family, when he voted to approve
the 2014 and 2015 annual Township budget(s),
which included an increase in
salary/compensation for his wife /spouse, who
was then employed as the Township Parks and
Recreation Director.
b. That a technical violation of Section 1105(b)(5)
of the Public Official and Employee Ethics Act,
65 Pa.C.S. §. 1105(b)(5), occurred when Phillip
A. Barker, in his capacity as a Township
Supervisor for Upper Providence Township,
Montgomery County, neglected to include
income received from the Township upon his
2012, 2013, 2014, 2015, and 2016 calendar
year(s) Statements of Financial Interests.
G. That no action will be undertaken pursuant to
Section 1104(d) of the Public Official and
Employee Ethics Act, 65 Pa. C.S. § 1104(d).
4. Barker agrees to make payment in the amount of $4,000.00 in
settlement of this matter payable to the Commonwealth of
Pennsylvania and forwarded to the Pennsylvania State Ethics
Commission within thirty (30) days of the issuance of the final
adjudication in this matter.
5. Barker agrees to file complete and accurate amended
Statements of Financial Interests with Upper Providence
Township, through the Pennsylvania State Ethics Commission,
for calendar years 2012, 2013, 2014, 2015, and 2016 within
thirty (30) days of the issuance of the final adjudication in this
mater.
6. Barker agrees to not accept any reimbursement, compensation
or other payment from Upper Providence Township
representing a full or partial reimbursement of the amount paid
in settlement of this matter.
7. The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter; and make no
specific recommendations to any law enforcement or other
authority to take action in this matter. Such, however, does not
prohibit the Commission from initiating appropriate
enforcement actions in the event of Respondent's failure to
comply with this agreement or the Commission's order or
cooperating with any other authority who may so choose to
review this matter further.
Consent Agreement, at 1 -2.
In considering the Consent Agreement, we accept the recommendation of the
parties for a finding that a violation of Section 1103(a) of the Ethics Act occurred when
Barker, in his capacity as a Township Supervisor, utilized the authority of his public office to
Barker, 18 -008
Ta—ge -13
effectuate a pecuniary benefit for a member of his immediate family, when he voted to
approve the 2014 and 2015 annual Township budgets, which included increases in
salary/compensation for his wife/spouse, who was then employed as the Township Parks
and Recreation Director.
Barker utilized the authority of his office as a Township Supervisor: (1) when, on
December 16, 2013, he participated in a unanimous Board vote to approve the 2014
Budget Resolution, which included a $4,000.00 pay increase for his spouse in her position
as the Township Parks and Recreation Director, and when he signed the 2014 Budget
Resolution as Chairman of the Board: and (2) when, on December 15, 2014, he voted to
approve the 2015 Budget Resolution, which included a pay increase of $4,407.00 for his
spouse in her position as the Township Parks and Recreation Director.
With each element of a violation of Section 1103(a) established, we hold that Barker
violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when, in his capacity as a
Township Supervisor, he utilized the authority of his public office to effectuate a pecuniary
benefit for a member of his immediate family, when he voted to approve the 2014 and
2015 annual Township budgets, which included increases in salary/compensation for his
wife/spouse, who was then employed as the Township Parks and Recreation Director.
We accept the parties' recommendation, and we hold, that a technical violation of
Section 1105(b) 5) of the Ethics Act, 65 Pa.C.S. § 1105(b)(5), occurred when Barker, in his
capacity as a Township Supervisor, neglected to include income received from the
Township upon his SFIs for the 2012, 2013, 2014, 2015, and 2016 calendar years.
As part of the Consent Agreement, Barker has agreed to make payment in the
amount of $4,000.00 payable to the Commonwealth of Pennsylvania and forwarded to this
Commission within thirty (30) days of the issuance of the final adjudication in this matter.
Barker has further agreed to not accept any reimbursement, compensation or other
payment from the Township representing a full or partial reimbursement of the amount paid
in settlement of this matter. Finally, Barker has agreed to file complete and accurate
amended SFIs with the Township, through this Commission, for calendar years 2012,
2013, 2014, 2015, and 2016 within thirty (30) days of the issuance of the final adjudication
in this matter.
We determine that the Consent Agreement submitted by the parties sets forth a
proper disposition for this case, based upon our review as reflected in the above analysis
and the totality of the facts and circumstances.
Accordingly, per the Consent Agreement of the parties, Barker is directed to make
payment in the amount of $4,000.00 payable to the Commonwealth of Pennsylvania and
forwarded to this Commission by no later than the thirtieth (30th) day after the mailing date
of this adjudication and Order.
Per the Consent Agreement of the parties, Barker is directed to not accept any
reimbursement, compensation or other payment from the Township representing a full or
partial reimbursement of the amount paid in settlement of this matter.
To the extent he has not already done so, Barker is directed to file complete and
accurate amended SFIs for calendar years 2012, 2013, 2014, 2015, and 2016 with the
Township, through this Commission, by no later than the thirtieth (30th) day after the
mailing date of this adjudication and Order.
Compliance with the foregoing will result in the closing of this case with no further
action by this Commission. Noncompliance will result in the institution of an order
enforcement action.
Barker, 18 -008
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IV. CONCLUSIONS OF LAW:
As a Supervisor for Upper Providence Township ( "Township "), Montgomery County,
Pennsylvania, since January 2002, Respondent Phillip A. Barker ( "Barker" has
been a public official subject to the provisions of the Public Official and Emp oyee
Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq.
2. Barker violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when, in
his capacity as a Township Supervisor, he utilized the authority of his public office to
effectuate a pecuniary benefit for a member of his immediate family, when he voted
to approve the 2014 and 2015 annual Township budgets, which included increases
in salary /compensation for his wife /spouse, who was then employed as the
Township Parks and Recreation Director.
A technical violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. §
1105(b)(5), occurred when Barker, in his capacity as a Township Supervisor,
neglected to include income received from the Township upon his Statements of
Financial Interests for the 2012, 2013, 2014, 2015, and 201p6 calendar years.
In Re: Phillip A. Barker, File Docket: 18 -008
Respondent Date Decided: 216119
Date Mailed: 2/11/19
ORDER NO. 1747
Phillip A. Barker ( "Barker ") violated Section 1103(a ) of the Public Official and
Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1103(a), when, in his capacity as a
Supervisor for Upper Providence Township ( Township "), Montgomery County,
Pennsylvania, he utilized the authority of his public office to effectuate a pecuniary
benefit for a member of his immediate family, when he voted to approve the 2014
and 2015 annual Township budgets, which included increases in
salarylcompensation for his wife /spouse, who was then employed as the Township
Parks and Recreation Director.
2. A technical violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. §
1105(b)(5), occurred when Barker, in his capacity as a Township Supervisor,
neglected to include income received from the Township upon his Statements of
Financial Interests for the 2012, 2013, 2014, 2015, and 2016 calendar years.
3. Per the Consent Agreement of the parties, Barker is directed to make payment in
the amount of $4,000.00 payable to the Commonwealth of Pennsylvania and
forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth
(30th) day after the mailing date of this Order.
4. Barker is directed to not accept any reimbursement, compensation or other payment
from the Township representing a full or partial reimbursement of the amount paid in
settlement of this matter.
5. To the extent he has not already done so, Barker is directed to file complete and
accurate amended Statements of Financial Interests for calendar years 2012, 2013,
2014, 2015, and 2016 with the Township, through the Pennsylvania State Ethics
Commission, by no later than the thirtieth (30th) day after the mailing date of this
Order.
6. Compliance with paragraphs 3, 4, and 5 of this Order will result in the closing of this
case with no further action by this Commission.
a. Noncompliance will result in the institution of an order enforcement action.
BY THE COMMISSION,
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Richolas A. Colafella, Chair