HomeMy WebLinkAbout796 FrankenfieldSTATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
In re: Lloyd Frankenfield : File Docket: 90- 021 -C2
: Date Decided: 5/24/91
: Date Mailed: 5/28/91
Before: Helena G. Hughes, Chair
Robert W. Brown, Vice Chair
Dennis C. Harrington
James M. Howley
Daneen E. Reese
Roy W. Wilt
Austin M. Lee
The State Ethics Commission received complaints regarding possible
violations of the State Ethics Law, Act No. 170 of 1978 and Act No. 9
of 1989. Written notice, of the specific allegation(s) was served at
the commencement of the investigation. A Findings Report was issued
and served, upon completion of the investigation, which constituted
the Complaint by the Investigation Division. An Answer was filed and
a hearing was deemed waived. The record is complete. This
adjudication of the Commission is hereby issued which sets forth the
individual Allegations, Findings of Fact, Discussion, Conclusions of
Law and Order.
This adjudication is final and will be made available as a public
document fifteen days after issuance. However, reconsideration may be
requested which will defer public release of this adjudication pending
action on the request by the Commission. A request for
reconsideration, however, does not affect the finality of this
adjudication. A reconsideration request must be received at this
Commission within fifteen days of issuance and must include a
detailed explanation of the reasons as to why reconsideration should
be granted in conformity with 51 Pa. Code 52.38.
The files in this case will remain confidential in accordance
with Section 8(a) of Act 170 of 1978 and Section 8(h) of Act 9 of 1989
during the fifteen day period and no one unless the right to challenge
this Order is waived, may violate confidentiality by releasing,
discussing or circulating this Order. However, confidentiality does
not preclude discussing this case with an attorney at law.
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, 65 P.S. 409(e).
1. ALLEGATION:
ADJUDICATION
That you, a Supervisor in Williams Township, Northampton County,
violated the following provisions of the State Ethics Act (Act
170 of 1978) and (Act 9 of 1989). The nature of the alleged
violations are as follows:
II. FINDINGS:
That you, a Supervisor for Williams Township,
Northampton County, violated the following provisions of the
State Ethics Act (Act 9 of 1989), when you contracted with
your brother to do work at the township building valued in
excess of $500.00 without an open and public process:
Section 3 - Restricted Activities
(a) No public official or public employee
shall engage in conduct that constitutes a
conflict of interest.
That you violated the following provisions of Act 170
of 1978, when you failed to file Statements of Financial
Interests in 1988, 1989 and 1990:
Section 4 - Statement of Financial Interests
Required to be Filed
(a) Each public employee employed by the
Commonwealth shall file a statement of
financial interests for the preceding
calendar year with the department, agency or
bureau in which he is employed 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 shall
file a statement of financial interests with
the governing authority of the political
subdivision by which he is employed no later
than May 1 of each year that he holds such a
position and of the year after he leaves such
a position. 65 P.S. 5404(a).
1. Lloyd Frankenfield served as a Supervisor in Williams
Township, Northampton County from 1964 to the present.
a. Frankenfield was appointed roadmaster for the
years 1988 and 1989 and worked part -time on
township roads doing snow removal.
b. Frankenfield was appointed Active Roadmaster for
Mr. Lloyd Frankenfield
Page 3
1990 and worked full -time in that position.
2. In April of 1990, Williams Township entered into a contract
with Ken Frankenfield, Plumbing Contractor, to install a hot
water heater, pipes and faucets in the township maintenance
garage.
a. Ken Frankenfield is the brother of Williams
Township Supervisor, Lloyd Frankenfield.
b. The installation of the hot water heater, pipes nd
faucets in the maintenance garage was not
advertised.
c. Ken Frankenfield was contracted to do the
installation following a discussion with
Supervisor, Jess Murray, and Road Foreman, Ralph
Ealer.
d. The contract was not approved at a formal meeting
of the Board of Supervisors.
e. The work was done due to an emergency situation.
f. Frankenfield was in Florida at the time and was
unaware of the contract until township checks were
sent to him for his signature.
3. Williams Township records reflect that an invoice was
received titled "Ken Frankenfield, Ken 253 -2362, Plumbing -
Heating - General Contracting, 1695 Morgan Hill Road,
Easton, PA 18042", made out to Williams Township Board of
Supervisors, dated March 10, 1990, listing the following
services:
(1) 20 Gallon Electric Water Heater; Breaker and Wire;
Manfield Hay. With Faucets; Supply Lines; Stops; 1 1/2
PVC; S Trap; 1 Frost Proof Faucet; 1./2" CPVC Water
Lines and Fittings
Material - $478.59
Labor 352.00
Total $830.59
4. Williams Township paid the Frankenfield invoice by Check
Number 2777.
a. The check was made payable to Ken Frankenfield in
the amount of $830.59.
Mr. Lloyd Frankenfield
Page 4
b. The check was dated March 21, 1991.
c. The check was signed by Williams Township
Supervisors, Joseph Fretz, Lloyd Frankenfield and
Jess Murray.
5. At the April 19, 1990 meeting of the Williams Township Board
of Supervisors, payment of the Ken Frankenfield invoice was
approved.
a. The official minutes indicate that Josiah Murray,
Joseph Fretz and Lloyd Frankenfield were present.
b. The minutes indicate that Fretz made a motion,
seconded by Murray, to approve a list of paid
invoices which were presented to the supervisors.
c. The list of invoices contained a payment, in the
amount of $830.58, on Check #2777, to Ken
Frankenfield.
6. Williams Township records confirm that as of October 30,
1990, Lloyd Frankenfield had not filed Statements of
Financial Interests for the 1987, 1988 and 1989 calendar
years.
7. On December 10, 1990, the State Ethics Commission received
Statements of Financial Interests for Lloyd W. Frankenfield,
25 Old Well Road, Easton, PA 18042 for the calendar years
1986 and 1988. They also received 2 statements for the
calendar year 1990.
a. The forms were all dated December 6, 1990.
b. Sources of income on the statements for the years
1986 and 1988 and on one of the 1990 statements:
— Frankenfield Brothers
- Williams Township
c. Source of income on the other statement for 1990:
- Williams Township
d. Office, Directorship or Employment in any
business on the statements for the years 1986 and
1988 and on one of the 1990 statements:
- Frankenfield Brothers
Mr. Lloyd Frankenfield
Page 5
e. Office, Directorship or Employment in any
business on the other statement for 1990:
- None
8. Lloyd Frankenfield went into the plumbing, heating and
general contracting business approximately 40 years ago.
II DISCUSSION:
a. Frankenfield's brother, Ken, joined him in the
business approximately 30 years ago.
b. They jointly owned the business until the end of
December of 1989, when Lloyd Frankenfield retired
and turned the business over entirely to his
brother.
c. The Frankenfield brothers did minor, emergency
repair jobs for Williams Township for a number of
years.
d. Lloyd Frankenfield's brother, Ken, now operates
the business by himself.
e. Ken Frankenfield's business operates out of 1695
Morgan Hill Road.
f. The listing of "Frankenfield Brothers" as a
financial interest on the 1990 calendar year
Statement of Financial Interests was in error
since Frankenfield disassociated himself from that
business in 1989.
Initially, it is noted that of the two allegations in this
case, one relates to Act 9 of 1989, and the second relates to Act
170 of 1978.
Under both Act 170 of 1978 and Act 9 of 1989, Lloyd
Frankenfield, hereinafter Frankenfield, as a supervisor in
Williams Township, is a public official as that term is defined in
both acts. Volpe, Order 579 -R; Dettra, Opinion 89 -021. As such,
his conduct is subject to the provisions of both laws and the
restrictions therein are applicable to him.
As to Section 3(a) of Act 9 of 1989, a conflict is defined
as follows:
Section 2. Definitions.
Mr. Lloyd Frankenfield
Page 6
"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.
"Conflict" or "conflict of interest" 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 or his immediate family or a
business with which he or a member of his
immediate family is associated.
This provision of law in part restricts a public
official /employee from using the authority of office or
confidential information for a private pecuniary benefit for
himself, a member of his immediate family or business with which
he or a member of his immediate family is associated.
Section 4(a) of the Act 170 of 1978 quoted above requires
that each public employee and each public official (Kremer v.
State Ethics Commission, 56 Pa. Commw. 160, 424 A.2d 968 (1981))
must file a Statement of Financial Interests for the preceding
calendar year of the year in which he is employed or serves and
for the year after he leaves such position.
The allegations before us are whether Frankenfield violated
Section 3(a) of Act 9 of 1989 regarding the award of a contract to
his brother to do work at the township building, and secondly,
whether Frankenfield violated Section 4(a) of Act 170 of 1978
regarding the failure to file Statements of Financial Interests
for the calendar years 1987 through 1989.
Factually, Frankenfield has served as a supervisor in
Williams Township from 1964 to the present. In April 1990, the
township entered into a contract with Ken Frankenfield, the
brother of Frankenfield, to install a hot water heater, pipes and
faucets in the township maintenance garage. Bids for the
contract were not advertised because the work had to be done due
to an emergency situation. Supervisors Murray, Foreman and Ealer
contracted with Ken Frankenfield to do the work. Frankenfield was
not part of the process since he was in Florida at that time.
After Ken Frankenfield performed the work, he submitted an invoice
for $830.59 which was paid by a township check dated March 21,
1991 signed by Frankenfield and two other supervisors. At the
April 19, 1990 meeting, when the payment of the Ken Frankenfield
Mr. Lloyd Frankenfield
Page 7
invoice was approved, Fretz made a successful motion, seconded by
Murray, to approve a list of invoices for payment. Although
Frankenfield was present, the minutes do not reflect who voted to
approve payment of the invoices.
Turning to the matter of the Financial Interest Statements
(FIS), the records of Williams Township reflect as of October 30,
1990 that Frankenfield did not file FIS's for the 1987 through
1989 calendar years. However, on December 10, 1990, this
Commission received FIS's from Frankenfield for the calendar years
1986, 1988 and two forms for the 1990 calendar year. Both the
1986, 1988 and one of the 1990 FIS statements list "Frankenfield
Brothers" as well as "Williams Township" as a source of income and
also "Frankenfield Brothers" as an office, directorship or
employment in any business. The record reflects that Frankenfield
jointly owned the business with his brother, Ken, until 1989 when
Frankenfield turned the business over to his brother and
disassociated himself from the business.
In applying the above facts to the allegation under Section
3(a) of Act 9 of 1989, we find a technical violation of that
provision of law. There was a use of authority of Frankenfield in
this case since he did sign the check in payment to his brother
Ken for the services that were preformed under the contract. A
private pecuniary benefit resulted since Ken Frankenfield was paid
$830.59 under the contract. Lastly, Ken Frankenfield is a member
of the immediate family of Frankenfield, since immediate family is
defined under Act 9 of 1989 as follows:
Section 2. Definitions
"Immediate family." A parent, spouse,
child, brother or sister. 65 P.S. §402.
However, because the only discernable action of Frankenfield
in this case seems to be limited to his co- signing the township
check with the two other supervisors in payment of the invoice
submitted by his brother, we will take no further action as to
this particular aspect of the case.
Turning to the matter of the allegation of the failure to
file FIS's for the calendar years 1987 through 1989, we find a
technical violation of Section 4(a) of the Ethics Act regarding
the failure to timely file for the 1988 calendar year. Since the
1988 calendar year FIS was filed on December 10, 1990, and there
is no evidence to indicate any intent upon the part of
Frankenfield to conceal any financial interest, we will take no
further action as to the technical FIS violation for the 1988
year. As to the 1987 and 1989 calendar year FIS's, the record
reflects that Frankenfield has not, to date, filed these two
FIS's. Accordingly, we find a violation of Section 4(a) of Act
Mr. Lloyd Frankenfield
Page 8
170 of 1978 regarding Frankenfield's failure to file the 1987 and
1989 FIS's. Frankenfield is directed within 30 days of issuance
of this order to file FIS's for the 1987 and 1989 calendar years.
Finally, Frankenfield is advised that he as a township
supervisor must ensure in the future that no conflicts arise as to
himself, a member of his immediate family, or business with which
he or a member of his immediate family, is associated.
IV. CONCLUSIONS OF LAW:
1. Lloyd Frankenfield as a Williams Township Supervisor is a
public official subject to the provisions of Act 170 of 1978
and Act 9 of 1989.
2. A technical violation of Section 3(a) of Act 9 of 1989
occurred when Frankenfield co- signed a check in payment of a
contract for services performed by his brother, a member of
his immediate family.
3. A technical violation of Section 4(a) of Act 170 of 1978
occurred when Frankenfield failed to timely file a Financial
Interests Statement for the 1988 calendar year.
4. Frankenfield violated Section 4(a) of Act 170 of 1978 by
failing to file Financial Interests Statements for the 1987
and 1989 calendar years.
In re:
: File Docket: 90- 021 -C2
: Date Decided: 5/24/91
: Date Mailed: 5/28/91
ORDER No. 796
1. Lloyd Frankenfield as a Williams Township Supervisor
committed a technical violation of Section 3(a) of Act 9 of
1989 when he co- signed a check in payment of a contract for
services performed by his brother, a member of his immediate
family.
2. Based upon the totality of the facts and circumstances of
the case, we will take no further action as to the technical
violation of Section 3(a) of Act 9 of 1989.
3. A technical violation of Section 4(a) of Act 170 of 1978
occurred when Frankenfield failed to timely file a Financial
Interests Statement for the 1988 calendar year.
4. Frankenfield violated Section 4(a) of Act 170 of 1978 by
failing to file Financial Interests Statements for the 1987
and 1989 calendar years.
5. Frankenfield is directed within 30 days of issuance of this
order to file FIS's for the 1987 and 1989 calendar years.
6. Failure to comply with the provisions of Paragraph 5 will
result in the referral of this matter to the appropriate law
enforcement authority.
BY THE COMMISSION,
ELENA G. HUGHES, CHAIR