Loading...
HomeMy WebLinkAbout1117 LargeIn Re: James Large STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 File Docket: X -ref: Date Decided: Date Mailed: Before: Daneen E. Reese, Chair Austin M. Lee, Vice Chair Julius Uehlein Louis W. Fryman John J. Bolger Frank M. Brown Susan Mosites Bicket 98- 007 -C2 Order No. 1 117 2/26/99 3/10/99 This is a final adjudication of the State Ethics Commission. Procedurally, the Investigative Division of the State Ethics Commission conducted an investigation regarding a possible violation of the Public Official and Employee Ethics Law, Act 9 of 1989, P.L. 26, 65 P.S. §401 g; by the above - named Respondent. At the commencement of its investigation, the Investigative Division served upon Respondent written notice of the specific allegation(s). Upon completion of its investigation, the Investigative Division issued and served upon Respondent a Findings Report identified as an "Investigative Complaint." An Answer was filed and a hearing was waived. The record is complete. A Consent Agreement was submitted by the parties to the Commission for consideration which was subsequently approved. Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11, Act 93 of 1998, which essentially repeats Act 9 of 1989 and provides for the completion of pending matters under Act 93 of 1998. This adjudication of the State Ethics Commission is issued under Act 93 of 1998 and will be made available as a public document thirty days after the mailing date noted above. However, reconsideration may be requested. Any reconsideration request must be received at this Commission within thirty days of the mailing date and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §21.29(b). A request for reconsideration will not affect the finality of this adjudication but will defer its public release pending action on the request by the Commission. The files in this case will remain confidential in accordance with Chapter 11 of Act 93 of 1998. Any person who violates confidentiality of the Ethics Act is guilty of a misdemeanor subject to a fine of not more than $1,000 or imprisonment for not more than one year. Confidentiality does not preclude discussing this case with an attorney at law. Large, 98- 007 -C2 Page 2 I. ALLEGATION: That James Large, a public official /public employee, in his capacity as a supervisor for Forward Township, Allegheny County, violated Sections 3(a) and 4(a), 65 P.S. § §403(a), 404(a) of the State Ethics Act (Act 9 of 1989) when he used the authority of his office for a private pecuniary benefit by collecting a salary as township roadmaster for hours not worked; and when he failed to file a Statement of Financial Interests with his governing body for the 1997 calendar year by May 1, 1998. II. FINDINGS: 1. James Large served as a Supervisor for Forward Township, Allegheny County, from January 1996 through July 21, 1998. 2. Large served as a Forward Township Roadmaster from January 1996 through July 21, 1998. a. Prior to January 1996, Large was employed by Forward Township as a road worker. 3. During the January 2, 1996 Reorganization Meetings all three Supervisors were appointed Road masters. a. Large was also appointed Supervisor in charge of the Street Department. 4. During the 1997 Reorganization Meeting, Large was appointed Supervisor in charge of the Street Department. 5. During the January 5, 1998 Reorganization Meeting James Large was appointed Roadmaster in charge of the street department. 6. When supervisors were appointed Road masters, the number of hours to be worked was not specified. 7. During 1996, while serving as Road masters, Supervisors Evan Ford and Thomas DeRosa did not request or collect any pay for serving in that position. 8. The Forward Township Auditor's set compensation for Supervisors employed by the township at Reorganization Meetings. a. 1996: $8.77 /hour b. 1997: $11.00 /hour c. 1998: $ 11.00 /hour d. The auditors did not approve any other forms of compensation for the supervisors employed by the township during 1996, 1997 or 1998. 9. Forward Township generally employs two full -time road workers; and one part -time road worker during the summer. a. Road workers employed by the township since 1996 include John Jarvis, Richard Wilson and Larry Feick (part- time). Large, 98- 007 -C2 Page 3 b. Feick worked on a part-time basis during the summer months of 1996, 1997 and 1998. 10. The Forward Township road crew's regular hours were 7:00 a.m. to 3:00 p.m., Monday through Friday, with a one hour paid lunch break. a. During the summer the hours could change to 6:00 a.m. to 2:00 p.m. or 5:00 a.m. to 1:00 p.m. b. A union contract effective January 11, 1998, provided that the road crew be paid for a one hour lunch period each day. c. The road crew took their lunch break at approximately 12:00 noon to 1:00 p.m. 11 Between 1996 and 1998, James Large was not a member of the Union and did not receive the benefits provided for the full and part-time employees under the contract. a. The auditors did not approve supervisors be compensated for breaks or lunch hours. 12. The practice of attending breaks and lunch hours with the road crew is a practice Large initiated and followed throughout 1996, 1997, and 1998. 13. The Forward Township road crew's hours worked and duties are recorded on individual Daily Time Sheets completed by each worker. a. Date; description of work performed; start and finish times; and total hours each day, are recorded. b. Large completed a daily time sheet in his capacity as roadmaster. 14. Information from the Daily Time Sheets is recorded on PennDOT (form MS- 907) Municipal Weekly, Bi- Weekly or Semi- Monthly Payroll Reports. 15. In 1996, Forward Township Supervisor DeRosa raised concerns about Large signing in and being paid for lunch hours. a. DeRosa refused to sign payroll reports for the period 1/04/-1/27/96 and 1/28-2/10/96. 16. The Payroll Reports during the time period 01/01/96-05/18/96 reflect the signatures or initials of Large and Supervisor Evan Ford, authorizing the hours submitted. a. Payroll Reports after 05/18/96 are unsigned. 17. Large was observed on seventeen (17) dates between 1/04/96 and 2/07/96 taking breaks and lunch hours for which he was subsequently paid, in January and February 1996. 18. Large reimbursed the township for lunch hours and breaks for which he was compensated in January and February 1996 by having an amount totaling $350.80 (40 hrs. @ $8.77 hr.) deducted from his pay. Large, 98- 007 -C2 Page 4 a. The reimbursement covered the period from January 2, 1996, through February 24, 1996. 19. Subsequent to reimbursing the township, Large was observed of the following dates taking breaks and at lunches for which he was subsequently paid: Date Hours Worked Reported 3/5/96 7:00 am -12:00 Noon 3/6/96 7:00 am -12:00 Noon 3/13/96 7:00 am -10:00 am 3 hours 3/15/96 7:00 am -11:00 am 4 hours 4 hours 1996 Total 2/24/98 7:00 am -2:00 pm 7 hours 2/25/98 7:00 am -1:00 pm 6 hours 2/26/98 7:00 am -12:00 Noon 5 hours 2/27/98 7:00 am -1:00 pm 6 hours 3/2/98 7:00 am -1:00 pm 6 hours 3/3/98 8:00 am -1:00 pm 5 hours 3/4/98 7:00 am -1:00 pm 6 hours 3/5/98 7:00 am -1:00 pm 6 hours 3/10/98 7:00 am -2:00 pm 7 hours Hours Paid Not Worked Description 50 Min. At Mister Donut 8:20 -9:10 am 5 hours 40 Min. 5 hours At Mister Donut 8:25 -9:05 am 35 Min. Observed 8:15 -8:50 am @ Mister Donut 45 Min. Observed 8:50 -9:35 am @ Mister. Donut 30 Min. Observed 10:30 am @ Billy Dee's Restaurant 3 Hours, 20 Min. @ 8.77 /hour = 30.69 30 Min 40 Min. 40 Min. 39 Min. With Jarvis @ Mister Donut 7:53 -8:32 34 Min. Lunch w /road workers 12:01- 12:35 pm 35 Min. @ Mister Donut 8:00 -8:35 am 45 Min. @ Mister Donut 7:55 -8:45 am Lunch @ coffee shop in Elizabeth w /John Jarvis 12:00 -12:30 pm Large & Jarvis met Wilson @ Mister Donut 7:50 -8:30 am Large w /Jarvis @ Mister Donut 7:50 -8:30 am 60 Min. Lunch w /road workers 12:10- 1:10 pm @ Mister Donut w /road workers 7:50 -8:30 am Ate lunch w /road workers 12:00- 1:OOpm 37 Min. Ate lunch w /Jarvis 11:40 am- 12:17 pm 40 Min. 60 Min. Large, 98- 007 -C2 Page 5 3/11/98 7:00 am -2:00 pm unk. @ Mister Donut w /road 7 hours workers ? -8:25 am 30 Min. @ Coffee shop w /COG representative 10:00- 10:30 am 55 Min. @ Coffee shop in Elizabeth 12:50 -1:45 pm 3/13/98 7:00 am -12:00 Noon 25 Min. - @ Mister Donut 7:? am- 5 hours 8:25 am 1998 Total TOTAL 9 Hours 55 Min. @ $11.00 /hr. = $ 110.00 $140.69 20. No reimbursement was made by Large for the above. 21. In 1996, 1997 and 1998, Large reportedly accompanied road workers Jarvis, Wilson and Feick on breaks and lunch hours. a. Large reportedly accompanied the road workers on breaks at least 50% of the time between 1996 and 1998. 22. There is no specific observation of the dates and times that James Large accompanied township road workers on breaks and lunch for which he may have been compensated. 23. Large did tell road workers Feick and Wilson they should not go to the donut shop because he and Jarvis were going there, and he did not want two Forward Township trucks there at a time. 24. In 1997, Large worked 237 days, 91 which reflected hours worked past 12:00 o'clock noon. a. Large claimed and was compensated on at least forty -five of these dates for lunch. b. 1997 salary: $11.00 /hr. x 45 /hrs. = $495.00 25. Large participated in actions of the Forward Township Board of Supervisors to approve payment of the bills, which included the payroll reflecting hours submitted by him for break and lunch hours. 26. Large signed thirty -two of the forty payroll checks issued to him from January 29, 1996 through April 8, 1998. 27. On March 4, 1998, Large submitted a Daily Time Sheet claiming hours that he worked as 7:00 a.m. -1:00 p.m., for a total of six hours. a. In the kind of work column, he listed "finish cuttin brush Torrence Ext". b. Large did not participate in the work done at Torrence Extension. 28. Large did not perform work on Torrence Extension between 10:30 a.m. and 1:00 p.m., on March 4, 1998. Large, 98- 007 -C2 Page 6 a. Road workers Jarvis and Wilson were observed on Torrence Extension between 10:30 a.m. on 03/04/98. b. Large was not performing work in the area of Torrence Extension as his Daily time Sheet states that he did. 29. Large was compensated on March 4, 1998, for a total of 6 hours at $ 11.00 /hr ($66.00) for hours he did not Work. 30. James Large did not file a Statement of Financial Interests with Forward Township for the 1997 calendar year by May 1, 1998. a. Said statement has not been filed as of January 8, 1999. III. DISCUSSION: At all times relevant to this matter, the Respondent, James Large, hereinafter Large, has been a public official subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), Act 9 of 1989, Pamphlet Law 26, 65 P.S. §401, et seq. /Act 93 of 1998, Chapter 11, 65 Pa.C.S. § 1101, eeq. The issue is whether Large, in his capacity as a supervisor for Forward Township, Allegheny County, violated Sections 1103(a) and 1104(a), 65 Pa.C.S. §§1103(a), 1104(a) of the Ethics Act as to the allegations that he collected a salary as township roadmaster for hours not worked, and when he failed to file a Statement of Financial Interests with his governing body for the 1997 calendar year by May 1, 1998. Section 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). 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. The term "conflict of interest" is defined under the Ethics Act as follows: Section 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 Large, 98- 007 -C2 Page 7 65 Pa.C.S. §1102. 65 Pa.C.S. §1104(a). business with which he or a member of his immediate family is associated. Section 1 103(a) of the Ethics Act prohibits a public official /public employee from using the authority of public office /employment or confidential information received by holding such a public position for the private pecuniary benefit of the public official /public employee himself, any member of his immediate family, or a business with which he or a member of his immediate family is associated. Section 1104(a) of the Ethics Act requires that each public official /public employee must file a Statement of Financial Interests for the preceding calendar year, each year that he holds the position and the year after he leaves it. Section 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. Having noted the issues and applicable law, we shall now summarize the relevant facts. Large served as a Supervisor in Forward Township from January 1996 through July 1998. Large, like the other two Supervisors, also was appointed as a Roadmaster. The number of working hours for Supervisors /Roadmasters was not specified but their compensation was set by the auditors. For the Township road crew members who were not Supervisors, the regular working hours were 7:00 a.m. through 3:00 p.m. Monday through Friday with a one - hour paid lunch break as per a union contract. The auditors did not approve compensation for breaks or lunch hours for the Supervisor /Roadmasters. Since Large was a Supervisor not a union member, he was not entitled to such benefits. In Forward Township, the road crew's hours and assignments are recorded on individual daily time sheets which are completed by each worker. The information Large, 98- 007 -C2 Page 8 recorded consists of the date, the description of work performed, the start and finish times, and the total hours worked during the day. Large completed daily time sheets in his capacity as an employed Roadmaster. In 1996, Forward Township Supervisor DeRosa became concerned about Large signing in and receiving compensation for lunch hours. Large was observed on 17 dates in January and February,. 1996 taking breaks and lunch hours for which he subsequently was paid. Thereafter, Large reimbursed to the Township, through payroll deductions, the $350.80 for those specific lunch hours -and breaks. After Large had reimbursed the Township, he was observed once again on certain dates taking breaks and lunches for which he received compensation. The dates worked, the hours reported, the hours not worked for which he was paid, and accompanying descriptions are set forth in Fact Finding 19. Large received $ 140.69 in pay for hours he did not work in this period. Large received compensation for accompanying. Township road workers on breaks and lunch at other times for which there are:no specific observations as to his activities. Large told two road workers that they should not go to the_donut shop because he and another worker would be there and two Forward Township trucks should not be at the donut shop at the same time. In 1997, of the 237 days worked by Large, 91 of those days reflect hours worked past 12:00 noon, resulting in Large being compensated for lunch on at least 45 days for which he received $495 in compensation. Large participated in actions of the' Forward'Township Board of Supervisors to approve payment of bills which included payroll, and in some cases, hours submitted by him for breaks and lunch hours. In addition, Large signed 32 of the 40 payroll checks issued to himself for the period of January 29, 1996 through April 8, 1998. In March 1998; Large claimed six hods work for cutting brush at the Torrence Extension when he did not perform such work. Large was compensated $66 for that work, computed at the rate of $1 1.00 per hour for a claim of six hours of work. Lastly, Large did not file a Statementof Financial Interest (SFI) with Forward Township for the 1997 calendar year and has not filed that statement to date. Having summarized the above relevant facts, we must now determine whether the actions of Large violated. Sections 1103(e) and 1104(a) of the Ethics Act. In applying Section 1.103(a) of the. Ethics Act to the instant matter, there was a use of authority of office on the part of Large regarding the receipt of compensation to which he was not entitled. Juiiante, Order..809. But for the fact that Large was a Supervisor, he would not have been able to "submit hours for which he did not work on his time sheet and receive compensation.': Large also participated in the actions of the Board to approve payments, including payroll, as well as co- signing certain checks to himself as Township employee. The use of authority of office on the part of Large resulted in a private pecuniary benefit consisting df the compensation he received for those hours for which- he did not perform Work. Such pecuniary benefit was private because it was not authorized in law. Hessinger, Order 931. Because only the regular Township road employees were entitled to a paid lunch as per the union contract, Large as a Supervisor / Roadmaster was not so entitled. Such private pecuniary benefit inured to Large. Hence, we find violations of Section 1103(a) of the Ethics Act Large, 98- 007 -C2 Page 9 regarding such compensation received by. Large for lunch and other breaks on those occasions where he was specifically observed. We find no violations of Section 1103(a) of the Ethics Act for receipt of compensation for lunch or other breaks as to which he was not specifically observed based upon an insufficiency of evidence. As to Section 1104(a) of the Ethics Act, the Stipulated Findings reflect that Large did not file an SFI as required by the Ethics Act for the 1997 calendar year. Accordingly, Large violated Section 1 104(a) of the Ethics Act by failing to file an SFI for the 1997 calendar year. Large is directed to file an SFI with Forward Township containing the actual date of filing with the form completed as to all information for the 1997 calendar year, within 30 days of the date of issuance of this Order. One copy of the SFI must be sent by Large to this Commission for filing verification purposes. The parties have submitted a Consent Agreement together with a Stipulation of Findings wherein it is proposed to resolve the case by finding no violation of Section 1 103(a) regarding Large's receipt of compensation for lunch or other breaks where there is insufficient evidence; a violation of Section 1 103(a) regarding Large's receipt of compensation for lunch and other breaks on occasions where he was observed at such breaks; a violation of Section. 1104(a) for failing to file an SFI for the 1997 calendar year; and a payment of $250 by Large within 30 days of the issuance of this Order through this Commission to the Commonwealth of Pennsylvania. Accordingly, Large is directed to make the payment of $250 and to file an SFI for the 1997 calendar year as per the above terms. Compliance with the foregoing will result in the dosing of this case with no further action. Noncompliance will result in the institution of an order enforcement action. IV. CONCLUSIONS OF LAW: 1. Large, as a Supervisor for Forward Township, Allegheny County, was a public official subject to the provisions of Act 9 of 1989/Act 93 of 1998, Chapter 11. 2. Large did not violate. Section 1103 - (a) of the Ethics Act when he, as an appointed Roadmaster, generally received compensation for lunch or other daily breaks as to which he was not specifically observed, due to an insufficiency of evidence. 3. Large violated Section 1103(a) of the Ethics Act when he, as an appointed Roadmaster, received compensation for lunch and other daily breaks on occasions where he was observed in such activities. 4. Large violated Section 1 104(a) when he failed to timely file a Statement of Financial Interests for the 1997 calendar year. In Re: James Large File Docket: 98- 007 -C2 Date Decided: 2/26/99 Date Mailed: 3/10/99 ORDER NO. 1117 1. Large, as a Supervisor for Forward Township, Allegheny County, did not violate Section 1103(a) of the Ethics Act when he; as an appointed Roadmaster, generally received compensation for lunch or other daily breaks as to which he was not specifically observed, due to an insufficiency of evidence. 2. Large violated Section 1103(a) of the Ethics Act when he, as an appointed Roadmaster, received compensation for lunch and other daily breaks on occasions where he was observed in such activities. 3. Large violated Section 1104(a) when he failed to timely file a Statement of Financial Interests ( "SFI ") for the 1997 . calendar year. 4. Large is directed to file an SFI with Forward Township containing the actual date of filing with the form completed as to all information for the 1997 calendar year, within 30 days of the date of issuance of this Order. One copy of the SFI is to be forwarded to this Commission for compliance verification. 5. Large is directed to pay $250 through this Commission to the Commonwealth of Pennsylvania within 30 days of the date of issuance of this Order. a. Compliance with the foregoing will result in the closing of this case with no further action by the Commission. b. Non - compliance will result in the institution of an order enforcement action. BY THE COMMISSION, celcousAu & DANEEN E. REESE, CHAIR