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Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by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