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HomeMy WebLinkAbout595 KregerMr. Jack Kreger c/o Gregory H. Knight 2405 N. Front Street P.U. Box 1265 Harrisburg, PA 17108 -1265 Re: 87 -038 -C Dear Mr. Kreger: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 595 DATE DECIDED: August 31, 1987 DATE MAILED: September 8, 1987 The Ethics Commission has reviewed the allegation(s) that you have violated the Ethics Act, Act 1978 -17U. The nature of the alleged violation(s) is as follows: I. Allegation: That you, a member of the Cranberry Township Sewer and Water Authority, violated Section 3(a) of the Ethics Act which prohibits a public employee's or public official's use of office or confidential information gained through that office to obtain financial gain; Section 3(c) of the Ethics Act which prohibits a public official, public employee or member of his immediate family or any business in which the person or a member of the person's immediate family or any business in which the person or a member of the person's immediate family is a director, officer, owner or holder of stock exceeding 5% of the equity at fair market value of the business shall enter into any contract valued at $500 or more with a governmental body unless the - contract has been awarded through an open and public process; and Section 3(e) of the Ethics Act which prohibits a former public employee or public official from representing a person, with or without compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body, in that immediately after resigning as a board member in December of 1986, your firm, Oak Knoll Consultants was awarded a $48,600 contract to manage the Authority - without an open and public process. A. Findings: 1. You served on the Cranberry Sewer and Water Authority from January, 1982 through December, 1986 and, as such, you are subject to the provisions of the State Ethics Act. a. You resigned from the Authority at a public meeting on December 11, 1986. Mr. Jack Kreger Page 2 2. You were hired as a part -time consultant to the Authority in October, 1985. Your primary functions were to be in the area of construction management, planning and special studies. a. You also served as temporary manager in July, 1986, when Manager Ronald Bolam took a five week leave of absence. b. You remained in that capacity even after Bolam returned to work. Bolam's responsibilities were shifted as a result of a board decision to reorganize, 3. Minutes of the meetings of the Cranberry Sewer and Water Authority disclosed the fol owing regarding your hiring as a consultant, general manager, participation in matters involving actions you took as an employee and the awarding of a management contract to Oak Knoll Consultants. a. October 10, 1985: The board went into executive session to discuss the need for additional administrative help. The board discussed your education, past working experience and wage considerations. Your proposed primary functions would be in the area of construction management, planning and special studies. Motion made by Baird, seconded by Hawkins to hire you as a part -time employee, functioning as Director of Planning under the supervision and control of the authority manager,-at a rate compensation set forth in wage agreement of October 13, 1985. Performance and rate of compensation to be reviewed and adjusted quarterly. Motion carried, you abstained from voting. u. November 14, 1985: You gave a report on the reservoir study which was to become part of the Water Master Plan. You also reported on working on the sewer and Water Master Plan as a whole, as well as the administrative staff working on the union contract negotiations. In addition, you stated the developer's fee process and charges are being looked at to see if this can be handled in a more efficient manner. Progress report to follow at the January board meeting. Mr. Jack Kreger Page 3 Bolam said that the Authority will be trying to get the zoning changed for the new water treatment plant facility in order that it be changed for future office use. You will be working on this project also and the Authority is currently scheduled for the December Zoning Board meeting. c. January 2, 1986: You reported the main thing you had month was the Union Labor Agreement Union ratification today. The West been discussed. Work is continuing math model to determine future long problems. been working on for the last Contract for which we now have a View rate increase problems have on the reservoir and stream flow range answers to our water Baird commended you for the work done on the Union contract, providing needed data and presentation to the negotiating committee. Mr. Hawkins added that the Board owes you a great deal for your fine work. SALARIED EMPLOYMENT COMPENSATION Attachment to the minutes of wages of'salary personnel revised January 2, 1986, reflects your salary as Director of Planning as - $800.00/pay period effective October 13, 1985, for an average of (40) hours per two -week period. It was noted that all part -time employees, including you shall receive only social security and unemployment compensation benefits. UPON THE MOTION OF MR. BARNA AND FOLLOWING A SECOND BY MR. BAIRD, A RESOLUTION RATIFYING THE PRIOR EMPLOYMENT OF MR. KREGER AND MR. PANNETTE AND APPROVING COMPENSATION FOR SALARIED EMPLOYEES FOR THE 1985 -1986 FISCAL YEAR AS SET FORTH IN A SCHEDULE PRESENTED TO THE MEETING AND TO BE ATTACHED TO THE MINUTES OF THE MEETING, WAS DULY ADOPTED. MR. KREGER AND MR. PANNETTE ABSTAINED FROM VOTING ON THE RESOLUTION. REORGANIZATION Nominations for Chairman: Mr. Baird nominated Mr. Kreger as Chairman of the Board. There were no other nominations. A MOTION OF MR. PANNETTE TO CLOSE THE NOMINATIONS AND TO INSTRUCT THE SECRETARY TO CAST A UNANIMOUS BALLOT FOR MR. KREGER AS CHAIRMAN OF THE BOARD, SECONDED BY MR. BARNA, WAS DULY ADOPTED. YOU ABSTAINED. Mr. Jack Kreger Page 4 UNION LABOR CONTRACT You said that copies of the summary letter along with the full contract doucment had been distributed to the Board. UPON THE MOTION OF MR. PANNETTE AND SECONDED BY MR. BAIRD, A RESOLUTION TO AUTHORIZE THE PROPER OFFICERS TO SIGN THE UNION LABOR AGREEMENT, WAS DULY ADOPTED BY A UNANIMOUS VOTE. d. February 13, 1986: INSURANCE You reported that Blue Cross /Blue Shield have given us notice that the deductible amount will be changed from $100 to $250. As part of our labor contract, provisions need to be made to maintain economic value. You said you have been discussing with alternate carriers as well as inquiring of Blue Cross. You said yoU were optimistic this could be worked out with an alternate carrier. It may involve some self- insurance having coverage with higher deductibles to produce the $100 level with the individual employees. You requested authorization from the Board to- proceed within current premium cost limits. UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. BARNA, A RESOLUTION TO AUTHORIZE MANAGEMENT TO ENTER INTO AN INSURANCE AGREEMENT WITH AN ALTERNATE CARRIER INVOLVING SOME SELF - INSURANCE, WAS DULY ADOPTED BY A UNANIMOUS VOTE. e. March 13, 1986: You reported that concerning the work on the alternate Hospitalization Insurance Plan, that after reviewing this, there is a significant premium savings, but the Authority will have to have some self - insuring to meet the Union Contract requirements. But it will still save us to $20,000 in premiums. We would have to cancel Blue Cross hospitalization and The Life Insurance with BABB. You said that we will have to have a meeting with union members to explain the new policy. UPON THE MOTIN OF MR. BARNA AND SECONDED BY MR. PANNETTE, A RESOLUTION TO AUTHORIZE MANAGEMENT TO CANCEL BLUE CROSS HOSPITALIZATION AND LIFE : INSURANCE WITH BABB AND ENTER INTO CONTRACT WITH GUARDIAN INSURANCE AND HAVE AN INFORMATIONAL MEETING WITF UNION MEMBERS, WAS DULY ADPOTED BY UNANIMOLUS VOTE. Mr. Jack Kreger Page 5 f. April 13, 1986: UPON THE MOTION OF MR. BARNA AND SECONDED BY MR. HAWKINS, A RESOLUTION TO EXTEND MR. KREGER'S WORK TIME TO 112 HOURS EVERY OTHER PAY PERIOD WITH SALARY COMPARABLE TO THE AVERAGE THAT IS CURRENTLY IN EFFECT, WAS DULY ADOPTED. CONSTRUCTION CHANGE ORDERS Mr. Bolam explained that there are always situations in construction where there is a need for change orders. In the past, the Authority has given Mr. Bolam authorization to approve change orders up to a certain dollar amount without needing to have formal Board approval. He requested increase in this coverage, including Mr. Kreger, having a limit of $10,000 maximum, without prior Board approval, but still being subject to Board ratification. Mr. Stewart asked what the present limit was. Mr. Bolam said the present limit is $5,000, which was established in 1982 when the Water Treatment Plant was built. This will be a larger project and there have been cost increases. UPON THE MOTION OF MR. PANNETTE AND SECONDED BY MR. BARNA, A RESOLUTION TO AUTHORIZE MR. BOLAM OR MR. KREGER TO SIGN CHANGE ORDERS IN AN AMOUNT NOT TO EXCEED AN AGGREGATE AMOUNT OF $10,000, BETWEEN MONTHLY BOARD MEETINGS, TO BE RATIFIED BY THE BOARD AT THE NEXT MONTHLY BOARD MEETING, WAS DULY ADOPTED. You abstained from the vote. You said you had written a memo regarding benefit assessments which amount to 13 overdue accounts and one other account that is not overdue. He has offered a few alternatives. One being an opportunity to pranptly catch up, one a discount for a cash payment, one payment schedule with a more current market rate of interest, and last, judicial sale. You requested approval of the proposal. UPON THE MOTION OF MR. BARNA AND SECONDED BY MR. PANNETTE, A RESOLUTION TO SEND THIS LETTER TO THE BENEFIT ASSESSMENT CUSTOMERS, SUBJECT TO THE SOLICITOR'S REVIEW, WAS DULY ADOPTED. You abstained from the vote on the Resolution. g. May 8, 1986: HOSPITALIZATION Mr. Jack Kreger Page 6 • • You reported that concerning the new Hospitalization and Group Life Insurance, we are at the 98% stage. There will be employee information meetings next week and he hopes the total conversion well be by June 1. h. July 10, 1986: You requested Board ratification of the agreement with United Mobile Homes. UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. BAIRD, A RESOLUTION RATIFYING THE ACTION OF THE AUTHORITY WITH AGREEMENT BETWEEN UNITED MOBILE HOMES AND THE AUTHORITY, CONTINGENT UPON UNITED MOBILE HOMES RATIFICATION SCHEDULED FOR JULY 11, AND CONTINGENT UPON UNITED MOBILE HOMES WITHDRAWAL OF INJUNCTION PROCEEDINGS, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. You requested authorization to adopt the proposed new water tap fees. UPON THE MOTION OF MR. BAIRD AND SECONDED BY MR. HAWKINS, A - RESOLUTION TO ADOPT THE PROPOSED NEW WATER TAP FEES, SUBJECT THE SOLICITOR'S REVIEW, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. Mr. Baird suggested the Board adopt a resolution for that reorganization be approved as well as the salary adjustments for 1986 -1987 as attached as Exhibit "C." UPON THE MOTION OF MR. BAIRD AND SECONDED BY MR. BARNA, A RESOLUTION TO ADOPT THE REORGANIZATION AS FOLLOWS: JOHN C. KREGER, JR., GENERAL MANAGER; RONALD R. BOLAM, ADMINISTRATIVE MANAGER; H. R. MEIER, OPERATIONS MANAGER; ROBERT M. GOMOLA, STAFF ENGINEER; AND ADDITION OF MARK C. ANDERSON, ENGINEERING TECHNICIAN, AND TO ADOPT THE SALARY ADJUSTMENTS FOR 1986 -1987 AS ATTACHED AS EXHIBIT "B" AND REMOVING THE RESTRICTIONS ON THE HOURS FOR MR. KREGER'S HOURS, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. Exhibit "C" fiscal year 1986 -1987 salary personnel -wage adustments, Effective July 1, 1986. John Kreger, General Manager $25.00 per hour. September 11, 1986 UPON THE MOTION OF MR. BAIRD AND SECONDED BY MR. HAWKINS, A RESOLUTION TO ADOPT THE FOLLOWING AUTHORIZING THE DESIGNATED OFFICIALS OF THE AUTHORITY TO SIGN THE BUSINESS INFRASTRUCTURE LOAN APPLICATION, WAS DULY ADOPTED BY A UNANIMOUS VOTE. FURTHER, THE FOLLOWING RESOLUTION TEXT WAS SPECIFICALLY ADOPTED: Mr. Jack Kreger Page 7 Resolution No. 70 Be it RESOLVED, that the Municipal Sewer and Water Authority of Cranberry Township, Butler County, hereby requests a Business Infrastructure Development Loan of $980,000.00 from the Department of Commerce of the Commonwealth of Pennsylvania to be used for the construction of 500 feet of 8 inch water line, 7,300 feet of 10 inch water line, 4,000 feet of 16 inch water line, the Brush Creek Intake Structure, Well No. 8 and 8,200 feet of 10 and 20 inch Raw Water Line. Be it FURTHER RESOLVED, that the Municipal Sewer and Water Authority of Cranberry Township, Butler County does hereby designate John C. Kreger, Jr., Chairman, or Alex, Barna, Vice - Chairman, as the officials to execute all documents and agreements between the Municipal Sewer and Water Authority of Cranberry Township, Butler County and the Pennsylvania Department of Commerce to facilitate and assist in obtaining the requested loan. You attended this meeting. Water and Sewer Connection Fees. You explained the water and sewer connection fees to be used in connection with expanded capacity with additional population and the saturation 50,000 population. Also reflected is interest related to bond issues and operating savings in terms of producing vs. puchasing water. The Authority is recommending _a sewer connection fee of - $1,100 per E.D.U., a water connection fee of $1,000 per E.D.U., plus a water meter charge according to the meter size. UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. BARNA, A RESOLUTION TO ADOPT THE RESOLUTION ESTABLISHING SEWER AND WATER CONNECTION FEES AND ATTACHED AS EXHIBIT °A" TO THE RESOLUTION LISTED BELOW, ALL AGREEMENTS ADOPTED AFTER SEPTEMBER 11, 1986 WITH THE EXCEPTION OF THE ATTACHED LISTING, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. Tampering Policy - Customers. You discussed the recommended policy for customers for meter tampering and recommended they become a part of the Authority Rules and Regulations. Mr. Jack Kreger Page 8 J• UPON THE MOTION OF MR. BARNA AND SECONDED BY MR. BAIRD, A RESOLUTION TO APPROVE THE TURNPIKE RIGHT OF WAY AGREEMENT ON CONTRACT NO. 48, CONSRUCTION OF A RAW WATER TRANSMISSION MAIN AUTHORIZING THE PROPER OFFICERS TO EXECUTE THE AGREEMENT, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. November 13, 1986: You referred to the engineer's letter concerning the Master Sewer Plan where the Authority requested the engineer consider the implication of flow equalization which is above and beyond the - initial scope. An increase of $1,500 was requested by the engineer. UPON THE MOTION OF MR. BAIRD AND SECONDED BY MR. BARNA, A RESOLUTION TO APPROVE $1,500 FOR ADDITIONAL WORK PERFORMED BY KLH ENGINEERS ON THE MASTER SEWER PLAN, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. PANNETTE, A RESOLUTION TO AUTHORIZE THE PROPER OFFICERS TO EXECUTE CONTRACT NO, 54A, WITH PIETROPAOLO EXCAVATING, INC., IN THE AMOUNT OF $78,315.00 AND FURTHER AUTHORIZE THEM TO DELIVER THIS CONTRACT SUBJECT TO THE CLOSING ON THE BUSINESS INFRASTRUCTURE LOAN (B.I.D. LOAN), WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. UPON THE MOTION OF MR. PANNETTE AND SECONDED BY MR. BARNA, A RESOLUTION TO AUTHORIZE THE PROPER OFFICERS TO EXECUTE CONTRACT 50, 51, AND 54B, WITH THE LOW BIDDERS SUBJECT THAT THE THREE CONTRACT BIDS BE WITHIN THE BUDGET LIMITS NOT TO EXCEED THE AGGREGATE AMOUNT OF $573,000, AND THE DELIVERY OF THE CONTRACT SUBJECT TO THE CLOSING ON THE BUSINESS INFRASTRUCTURE LOAN (B.I.D. LOAN), WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. You explained the procedure for termination notices for customers. The first, is formal notice of past due amounts (Certified Letter), second, a revised formal notice (Certified Letter), third, actual physical shut off and fourth, bounced checks. The fee proposed is $10.00 for each of these 4 items. UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. BAIRD, A RESOLUTION TO INCORPORATE DELINQUENT CHARGES INTO THE RULES AND REGULATIONS TARIFF RATES, SCHEDULE OF RATES AND CHARGES, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. PANNETTE, A RESOLUTION TO APPROVE THE SEPTEMBER FINANCIAL STATEMENT AS PRESENTED, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. Mr. Jack Kreger Page 9 UPON THE MOTION OF MR. HAWKINS AND SECONDED BY MR. PANNETTE, A RESOLUTION TO APPROVE THE OCTOBER FINANCIAL STATEMENT AS PRESENTED, WAS DULY ADOPTED. YOU ABSTAINED FROM THE VOTE. k. December 1, 1986: Item #3. 0. Barna presented the resignation of John C. Kreger, Jr., from the Authority Board of Directors. MOTION HAWKINS, SECOND PANNETTE, A RESOLUTION ACCEPTING THE RESIGNATION FROM JOHN C. KREGER, JR., CHAIRMAN FROM THE BOARD OF DIRECTORS, WAS DULY ADOPTED BY A UNANIMOUS VOTE. Item #11.0 11.1 Management Contract - Oak Knoll Consultants. UPON THE MOTION OF MR. BAIRD AND SECONDED BY MR. HAWKINS, A RESOLUTION AUTHORIZING THE PROPER OFFICERS TO EXECUTE AND DELIVER THE MANAGEMENT CONTRACT WITH OAK KNOLL CONSULTANTS, IN THE FORM SUBMITTED TO THE MEETING WITH SUCH CHANGES THEREIN AS MAY BE MADE WITH THE APPROVAL OF THE OFFICERS EXECUTING THE SAME. THEIR APPROVAL AND THE APPROVAL OF THE AUTHORITY TO BE EXCLUSIVELY EVIDENCED BY THEIR EXECUTION THEREOF, WAS DULY ADOPTED BY A UNANIMOUS VOTE. 5. Oak Knoll Consultants Management Agreement with the Cranberry Township Sewer and Water Authority as of December 11, 1986, contains the following: a. Section 1.01. Employment. The Authority hereby retains the Manager and the Manager hereby agrees to act as the manager of the Authority and its Utility System subject to the terms and conditions of this Agreement. b. Section 1.02. Authority and Responsibility of Manager. Subject to any different conditions which may be imposed by the Board from time to time, the Manager, as manager of the Authority, shall have authority and responsibility to conduct, supervise and manage the day -to -day operations of the Authority. In the absence of oral or written directions or written policies of the Board, the Rules and Regulations of the Authority (the "Rules and Regulations ") and the applicable provisions of the Municipality Authorities Act of 1945, as amended (the "Act "), the Manager shall be expected to exercise reasonable judgment in its management activities. Without limiting the generality of the foregoing, the Manager shall: Mr. Jack Kreger Page 10 (1) have responsibility for the supervision and management of all employees of the Authority and shall make recommendations to the Board concerning the hiring and discharge of Authority employees and, from time to time, the numbers and qualifications of employees needed for the operation of the Utility System: (2) supervise nad coordinate professional services engaged by the Authority; (3) supervise proper contact compliance with respect to all capital additions' projects undertaken by the Authority and the _ procurement by the Authority of Equipment, supplies and materials required for the operation of the Utility System; (4) supervise the proper contract compliance for all water line and sewer line extensions; (5) have responsibility for obtaining on behalf of the Authority all permits and licenses required by all governmental bodies and agencies having jurisdiction over the Authority for the operation of the Utility System; (6) supervise compliance by the Authority with all applicable federal, state, county and township statutes, laws, rules, orders, regulations and ordinances affecting the Utility System; (7) supervise the implementation of the Rules and Regulations and policies established by the Board from time to time; and (8) submit to the Board from time to time recommendations on- matters relating to the operation of the Utility System and any expansion thereof required to provide adequate and efficient water and sewage service within the Authority's service area. c. Section 1.03. _ Executive Director. During the term of this Agreement, the Manager shall provide a qualified executive director (the "Executive Director ") whose initial and continuing appointment shall be subject to the approval of the Board. The Executive Director shall be the chief administrative officer of the Authority but shall be and remain an employee of the Manager. The initial Executive Director shall be John C. Kreger, Jr. All compensation of the Executive Director w i l l be paid by the Manager. d. Section 1.04. Division of Authority. The Board shall retain all authority placed in it by the Act and shall retain such other authority as shall not have been specifically delegated by it to the Manager pursuant to the terms of this Agreement or otherwise. Mr. Jack Kreger Page 11 e. Section 1.05. Management Fee. As compensation for the managemnt services to be rendered hereunder, the Authority will pay to the Manager the sum of $48,600 (the "Management Fee "), payable in equal monthly installments of $4050 on the last business day of each month, commencing with the month in which this Agreement becomes effective. f. Section 1.06. Term of Agreement. This Agreement shall become effective December, 1986 and, unless terminated earlier as herein otherwise provided, shall remain in effect for one year (the "Management Period "). g. Section 1.07. Termination of Agreement. The Management Period shall continue for one year from the effective date of this Agreement unless sooner terminated as follows: (1) the Management Period shall automtically terminate upon the death of John C. Kreger, Jr.; (2) in the event John C. Kreger, Jr., is unable, by reason of illness, accident or other physical or mental incapacity, to perform his duties as Executive Director hereunder for a period of 90 consecutive days, the Authority may terminate the Management Period upon not less than 10 days' written notice to the Manager; (3) the Authority may at any time terminate the Management Period for cause upon not less than 5 days' written notice to the Manager; and (4) either the Authority or the Manager may terminate the Management Period upon not less than 30 days' written notice to the other party. 6. Records of Department of State Corporation Bureau disclose that on June 21, 1984, you filed a fictitious name registration of Oak Knoll Consultants. The nature or the business was described as to engage in the business of consulting on construction, management and contract disputes. You are listed as the only individual with interests in this business. 7. Payroll records and times sheets of the Cranberry Township Sewer and Water Authority confirmed the following: a. October 21, 1985 through April 19, 1986 - $10,400.00 as part -time Planning Director at a rate of $20.00 /hour. b. April 22, 1986 through June 30, 1986 - $5,880.00 as part -time Planning Director. Hourly rate of $20.00 remained constant, the number of hours per pay period increased. Mr. Jack Kreger Page 12 c. July 1, 1986 through November 29, 1986 - $20,775.00 as General Manager at rate of $25.00 /hour. d. W -2 Statements: 1985 - $4,160.00 1986 - $$33,375.00 e. Oak Knoll Consultants invoice December 15, 1986 - $2,025.00. f. Oak Knoll Consultants invoice December 30, 1986 - $2,025.00. g. You were also paid $320.00 /year for serving as an authority member. 8. By letter dated March 6, 1986, Attorney Franklin Kury requested the advice of the State Ethics Commission whether a member of a municipal authority may be employed by that authority. Advice Number 86 -532 was issued on April 13, 1986. a. The facts presented by Attorney Kury reflect that one of the board members was being considered for employment. b. The letter stated that: Authority members receive compensation for holding office employment with authority is expressly permitted by the Municipal Authorities Act. c. The advice concluded that the Ethics Act does not per se prohibit a member of the authority from simultaneously serving in a position of employment with the authority. It further advised: Prior opinion and advices of the Commission have set forth the general principle that individuals who serve as members of municipal authorities, while not absolutely precluded from serving in a position of employment with said authority are, nevertheless, required to abstain from all participation in their appointment to such position and the establishment of the compensation to be fixed for such service. In addition to abstaining from their appointment and compensation activities, it is advised that the appointment of such member, as an authority employee, be conducted through an open and public process. Generally, prior advices of the Commission have determined that this Section may be applied to contracts made between the governmental body with which an official is associated, and the official himself. This open and public process would require public notice of the contracting /job opportunity to public disclosure of all applications considered and public disclosure of the selection made. In addition to the foregoing, and as noted above, the individual must abstain from the entire process and his abstention must be publicly recorded in the appropriate authority minutes. Mr. Jack Kreger Page 13 We note, that you have not provided any specific details as to the position of employment in which this member of the authority will serve. As a result, we are unable to determine the nature and scope of his responsibilities as an employe of the authority. In any event, it is advised that as an authority member this individual, as a member, should abstain from participating in any matter that comes before the authority which involves actions that he took as an authority employee. d. You received a copy of Kury's request of August 6, 1986. 9. Your attorney provided the following correspondence regarding your contract with the Authority: a. September 15, 1986 memo from you to the Authority Board re: "Multiple Hats ": As follow -up of our recent conversations concerning my "multiple hat" role, I offer some observations and recommendations: 1. My present role in management requires me to abstain voting on numerous matters (usually the most substantive) that come before the Board. Lacking a vote, my views and experience can be input to the deliberation process from a management perspective. This available input is not unlike that available presently from the Solicitor, Engineer, and Auditor. Indeed, the voting role becomes increasingly meaningless as more and more substantive issues are outside the propriety of voting. 2. Members of the Board have been mutually supportive of each other's personal matters and schedule conflicts. This has, however, become increasingly difficult when /if I must abstain from voting combined with Bob's time out of town and Gene's inability to participate for various reasons. 3. All of these factors are now superimposed on the busiest times of the Authority's life history. This is a condition which will be exacerbated rather than eased if it is not dealt with promptly. Simply put, I believe the best interests of the Community, the Authority and it's operations, and development of the entire hectic sphere that is Cranberry, are best served by the following sequence of events.: Mr. Jack Kreger Page 14 A. JCK resign 3oard membership and cause Oak Knoll to offer a proposal to the Board for "permanent" (rather than "interim) management services of JCK. Such a contractural arrangement can have the flexibility to provide any suitable scope of availability of time and contribution of views that the parties desire. B. Gene has previously sought to resign but we have refused to accept heretofore. In view of his many pressures, I believe this team would do Gene, his family, and the Authority a service by allowing his resignation to become effective. In like manner to the JCK situation, absence from the Board would be no hindrance to the Authority availing itself of Gene's services and expertise on computers, pensions, or any other areas of special counsel on a reasonable, businesslike basis. C. The Board, with JCK help as appropriate, must then recruit strong, respected replacements so the Board can function at undiminished strength in these critical times. My personal suggestion for a replacement "slate" is Howard Reed and Alan Tedesco. With additions of this caliber, the Authority will be in sound condition for the years ahead. Because of my conviction as to the best interests of the Authority and the Township, I am hereby tendering my resignation from the Board. Should you share my convictions and accept, I will follow with a proposal for a management services retainer contract between the Authority and Oak Knoll. b. September xx, 1986, letter from you to the Authority Board re: Management Services Contract Proposal. (Note from Attorney: .date not specified as this was draft only, the subject of which was discussed in conferences.) We are pleased to offer this proposal to provide services to manage the Authority afairs in a manner accountable to the Board of Directors. Services of Oak Knoll provided hereinunder shall be provided on a professional services contract basis by the writer as Principal of Oak Knoll. Details of the proposal are negotiagble but are presented here as.a suggested reasonable structure for such services. I. Annual Retainer of $40,000 payable quarterly at the beginning of each quarter for scope items "A" - "C": A. Attend regular and special public meetings of the Board; Mr. Jack Kreger Page 15 B. Attend, on invitation or request of the Board, work sessions of the Board or its subcommittees up to twelve (12) such sessions annually: C. Manage the day -to -day affairs of the Authority with the advice and consent of the Board up to and including a time commitment of approximately 300 hours /quarter and including but not limited to: ** Supervision and coordination of professional services engaged by the Authority; ** Management of Authority Staff and all the related functions thereof; ** Oversee the Construction Management and Contract Administration of all Authority capital projects. ** See to the filing for and maintenance of all requisite development and operating permits by /with cognizant regulartory bodies; ** Oversee implementation of all Authority policies, rules, and regulations; ** Recommend for Board consideration and enactment any matters of policy or addends to the rules and regulations needed to enhance the orderly and prudent conduct of Authority affairs; ** Direct the technical and commercial review of proposed developments and related negotiation of service agreements in keeping with Authority policies; II. Provide services delineated in "IC" above in excess of the stated 300 hours /quarter retainer allowance and /or any other services which the Board may, from time to time, request. Services in this category will be paid quarterly upon proper presentation of Oak Knoll invoicing following the end of each quarter. Obligation for services in this category beyond the retainer amount shall not be undertaken in excess of 150 hours in any quarter without prior, express authorization of the Board. Services in this category shall be compensated at the rate of $45 per hour. Mr. Jack Kreger Page 16 III. For the purpose of enhancing fiscal accountability, management services shall receive a bonus -- or be assessed a penalty -- of 1% of "bottom line" results of all cash flow items except loan procees and debt principle payments (revenue funds, capital funds, and debt service interest) based on the final audited report for each fiscal year. In the first year, 1986 -87, a single year's results only will apply. In later years, the 1% factor will be applied to the composite total of two fiscal years concluding each June 30. Inasmuch as services hereunder do not constitute a full time commitment for JCK, Oak Knoll shall be free to undertake additional assignments on JCK's behalf from time to time. The Cranberry assignment shall be given priority attention at all times, however. This commitment shall be annual in duration but shall be due for review and renewal three (3) months prior to the anniversary date hereof. We look forward to serving the Authority. Very truly yours, OAK KNOLL CONSULTANTS John C. Kreger, Jr. C. November 12, 1986, memo from you to the Authority Board re: Proposed General Management Arrangements: I have heard your offer and suggest a further proposal to converge . differences as follows: 1. Full time employee status: 2. Compensation at an hourly rate of $30; 3. As an employee, waive out of coverage for the most expensive fringe benefits -- (maintain others as a full time employee) -- A. All hospital /dental /vision coverages; B. All paid time off -- pay only for time actually worked; 4. Use of "Bronco #2" utility vehicle for JCK commuting purposes. The unit would remain available for general workday use by all hands; Mr. Jack Kreger Page 17 5. Have a compensation adjustment understanding whereby annually, promptly upon receipt of the formal audit, the sum of "gross operating revenue" plus "operating expense reimbursement from Marshall Township" plus "interest income" (all terms as defined by the audit document) shall be combined to represent a measure of total gross revenue exclusive of capital and debt service transactions - and, a representation thereby, of the scope and responsibility level of the General Manager's position. The resulting total shall then be compared to the comparable date of one year previous and the two values shall be utilized to adjust hourly compensation by a factor equal to the percentage growth in the gross revenue as herein defined. (As a point of information, this formula, if being applied recently to date from the last audit to determine adjustment for the 1986 -87 year, would call for a very modest increase of 1.192 %). 1 look forward to reviewing this revised proposal with you on November 13. 10. Authority Board Member Alex Barna stated as follows: a. You served as temporary manager during Ron Bolam's absence and remained once Bolam returned and became financial liaison. b. The first discussions regarding a management contract with Oak Knoll Consultants occurred in October or November, 1986. The board realized a need for a manager, you were a logical choice since you were already serving in that capacity. c. The board decided against advertising_fo r the position because they did not want to hire permanently, and with Oak Knoll they had only a one -year deal. d. The hiring of Oak Knoll took a lot of extra work off the board. The board actually_got the better end of the deal. e. The December meeting during which you resigned from the board and Oak Knoll hired was prearranged. He could not remember whether these discussions were public or private. f. Solicitor Stewart was consulted and saw no problems as long as you first resigned. 11. Authority Board Member Robert Baird advised as follows: a. You served as temporary manager during a leave of absence of Ron Bolam and remained after Bolam returned. Mr. Jack Kreger Page 18 b. The board recognized the conflict with having the same person serving on the board and as manager. Solicitor Stewart was consulted. The situation was possibly discussed at an open meeting. c. Your resignation was discussed at the November, 1986 meeting but was not submitted until December, 1986. The board talked with you in November, 1986 about submitting a proposal. d. Solicitor Stewart negotiated the contract with Oak Knoll Consultants. e. He was not aware of the Ethics Act's one -year restriction. f, He felt the authority got a bargain for your services. g. You did not participate in the board discussions regarding the contract with Oak Knoll. 12. Authority Board Member Charles Hawkins stated as follows: a. You were hired as a consultant in October, 1985, and the board saved money by your hiring. b. You filled in temporarily when the manager was on leave. c. Prior to December, 1986 the board discussed the need for a manager. d. It was his understanding that the State Ethics Commission was contacted regarding the contract with Oak Knoll. e. He was not pressured to award the contract to Oak Knoll. The - contract was not awarded because of your position. He felt they were doing what was best for the authority. A. Authority Member Eugene Pannette advised as follows: a. You served as temporary manager while Ron Bolam was on leave and remained. b. The board consensus was that enhanced management capabilities were needed, and you were familiar with the situation. c. He disagreed with the board on the hiring of Oak Knoll and voted against paying the bills in January, 1987. d. Bolam worked out the compensation for you which was approximately what Bolam was earning. e. He was not certain if the hiring of Oak Knoll was discussed at a public meeting. It was discussed one -on -one and in work sessions. Mr. Jack Kreger Page 19 f. No proposals other than yours were considered. The idea probably came up before November, 1986. The original proposal, which was the same as the contract, was first proposed in November, 1986. g. The normal hiring process would be to appoint a committee and review applications received in response to an advertised position. h. There was no pressure or coercion to hire Oak Knoll. You were the obvious choice. i. The entire board was concerned with legalities of hiring Oak Knoll. The solicitor advised there would be no problems. j. The question of the hiring was raised in January, 1987 at a township meeting. After that the solicitor issued a letter confirming his opinion the contract was legal. . - 14. Correspondence dated February 4, 1987 from Solicitor Leonard Stewart to board member Alex Barna confirms his earlier advice to the board as follows: a. This letter will confirm my earlier advice to the Board of ih6 Authority to the effect that, in my opinion, the Management Agreement dated as of December 11, 1986 between the Authority and Oak Knoll Consultants does not contravene existing Pennsylvania ethics legislation applicable to public officials, commonly known as the State Ethics Act. 15. During an interview with Ethics Commission investigators you provided the following information: a. You served on the Authority from 1982 through 1986 and were appointed by the Cranberry Township Board of Supervisors. b. Prior to October, 1985 you worked as consultant to the Authority without compensation. c. You could not recall participating in the discussions leading to a vote on your appointment as part -time planning director. You did not recall if you knew you had the job prior to October, 1985 meeting. d. The board had discussed on various occasions the need for experienced help due to situations in the township, particularly growth. e. Prior to October, 1985 board meeting, Manager Bolam told the board he needed help. The board was aware of your philosophy (experienced help versus bodies) and your availability. You believed the board considered these items prior to hiring you. Mr. Jack Kreger Page 20 f. You did not vote on your appointment but could not recall if you participated in discussions leading to your hiring. You also could not recall if the October, 1985 vote was a formality approving a decision made at an executive session several months earlier. g. In July, 1986 the board appointed you general manager during Bolan's absence. The pay was modest given the duties. Bolam was made Administrative Manager when he returned. It was the understanding of all involved that Bolam would have a job upon return, not necessarily the job of manager. h. You tendered your resignation from the board in September, 1986 because you felt the board was entitled to have a board member who was not restricted by voting. i. The management contract with your firm, Oak Knoll Consultants, was brought up because of economics. You would receive no benefits except social security. This was the best economic agreement for you. j. The solicitor informed the board there would be no conflict _since there was no change in status. k. Oak Knoll Consultants was formed by you after leaving your full -time employment. 1. There was no real change when Oak Knoll was hired by the board in December, 1986. It was the same job in the form of a contract. r. :. Your company previously did business with the board in 1984. This- was the leased Apple Computer from October, 1984 to February, 1985. B. Discussion: As a member of the Cranberry Township Sewer and Water Authority, hereinafter Authority, you are a "public official" as that term is defined under the Ethics Act. Accordingly, your conduct is subject to the provisions of the Ethics Act and the restrictions therein are applicable to you. Section 3(a) of the Ethics Act provides: Section 3. Restricted activities. (a) No public official or public employee shall use his public office or any confidential information received through his holding public office to obtain financial gain other than compensation provided by law for himself, a member of his immediate family, or a business with which he is associated. 65 P.S. 403(a)r. Mr. Jack Kreger Page 21 The facts in this case clearly establish that you have used your public position to obtain financial gain other than that provided for by law in that you as a member of the Authority negotiated a contract for management services with Oak Knoll, a business in which you are the principal and sole owner. See Finding No..6. It is not a matter of factual coincidence that you resigned as Authority member on the very same day that your company, Oak Knoll, was awarded the management agreement. The minutes of the Authority reflect that your resignation as Authority member was submitted at the December 1, 1986 meeting which was followed by a resolution of the Authority at that same meeting to execute the management contract with Oak Knoll. The contract for Oak Knoll was negotiated and agreed to prior to the your resignation from the Authority. The foregoing is amply supported by the findings in this case. Thus, in your memo to the Authority dated September 15, 1986, you made an offer to the Authority whereby you would resign your Authority membership in conjuction with a proposal offer by Oak Knoll for "permanent" management services. It is noted that this memo was sent approximately two and a half months prior to your resignation as Authority member. Further, in a proposed letter draft to the Authority in September of 1986, the terms of an arrangement between the Authority and Oak Knoll are set forth in detail specifying such matters as the annual retainer, your services, the aspects of your management, etc. You also sent a memo to the Authority dated Noveinber 12, 1986 wherein you attempted to firm up the proposal by attempting to resolve certain remaining differences in the agreement between Oak Knoll and the Authority. The fact that you used your position as Authority member to obtain the management contract for your business, Oak Knoll, is also established by other Authority members. Authority member Barna stated that it was pre- arranged prior to the December meeting that you would resign followed by the immediate hiring of Oak Knoll. Similarly, Authority member Baird stated that both your resignation and a proposal submission were discussed with the Authority before it occurred. Likewise Authority member Pennette advised that the Oak Knoll hiring was discussed in work sessions prior to your resignation and that no other proposal was considered. Based upon the above, it is clear that you have violated Section 3(a) of the Ethics Act. This finding is based not only upon the statements of Authority members but also upon the documents which you have authored and which implicate you in that they establish that while you were an Authority member, you used your position to obtain the management contract for your business, Oak Knoll. As an Authority member, you personally negotiated, the terms of that management agreement which resulted in a substantial financial gain to you. But for your position as Authority member, your business, Oak Knoll, would not have obtained the management contract. It was expressly through the use of your public position that the foregoing was accomplished. This is a violation of Section 3(a) of the Ethics Act. See Nye, No. 435 -R. Mr. Jack Kreger Page 22 Section 3(c) of the Ethics Act provides: Section 3. Restricted activities. (c) No public official or public employee or a member of his immediate family or any business in which the person or a member of the person's immediate family is a director, officer, owner or holder of stock exceeding 5% of the equity at fair market value of the business shall enter into any contract valued at $500 or more with a governmental body unless the contract has been awarded - through an open and public process, including prior public notice and subsequent public disclosure of all proposals considered and contracts awarded. Any contract made in violation of this subsection shall be voidable by a court of competent jurisdiction if the suit is commenced within 90 days of making of the contract. 65 P.S. 403(c). Section 3(c) basically provides that no public official shall enter into a contract valued at $500 or more with his governmental body unless the contract was awarded through an open and public process. In the instant case, y`ou, as an Authority member, negotiated a contract with the Authority for your business Oak Knoll. The management fee of $48,600 is in excess of the $500 threshold of Section 3(a). Not only was the contract in excess of $500, but the contract was not awarded through an open and public process. This contract was negotiated between you as Authority member and the Authority privately through correspondence or private negotiation. There was no advertisement for bids for a management agreement, and hence there was no possibility of competition. What exists in this case is a pre - arranged agreement whereby you would resign as of December 1, 1986 followed immediately by the hiring of your business, Oak Knoll as manager of the Authority. The contract was in excess of $500 and was not made in an open and public bidding process. This clearly violates Section 3(c) of the Ethics Act. See Donati, No. 204, wherein this Commission found a violation 3(c) of the Ethics Act in a situation where a school director's spouse contracted with the School District in an amount over $500 where there was not an open and public process. See also Martzall, No. 528 and Gerhart, No. 530. Lastly, Section 3(e) of the Ethics Act provides: Section 3. Restricted activities. (e) No former official or public employee shall represent a person, with or without compensation, on any matter before the governmental body with which he has been associated for one year after he leaves that body. 65 P.S. 403(e). Mr. Jack Kreger Page 23 Section 3(e) provides that no former official or employee shall represent a person before his governmental body within one year after he leaves public employment. This Commission has construed the term representation of a "person" to include the former public official or employee. Thus, personal appearances by a former official before the former governmental body are deemed to come within the purview of the restrictions of Section 3(e) of the Act. You, through your business, Oak Knoll, in appearing before your former governmental body as a management consultant from the date of your resignation violated Section 3(e) of the Ethics Act. See Wolpert, No. 169, wherein this Commission found that a school director violated Section 3(e) of the Ethics Act when he contracted with his school district within one year after he terminated his service. Parenthetically, it is noted that the solicitor for the Authority indicated that there would be no problem in your arrangement with the Authority as long as you first resigned. However, prior judicial decisions have determined that the reliance on such advice by a public official /employee is of no avail. McCutcheon v. State Ethics Commission, 77 Pa. Cmwlth. 529, 466 A.2d 283 (1982). See also Kestler Appeal, 66 Pa. Cmwlth. 1, 444 A.2d 761 (1982). Various criminal penalties are imposed by the Ethics Act. Section 9 of the Ethics Act provides, in part: Section 9. Penalties. (a) Any person who violates the provisions of Section 3(a) and (b) is guilty of a felony and shall be fined not more than $10,000 or imprisoned for not more than five years, or be both fined and imprisoned. 65 P.S. 409(a). (b) Any person who violates the provisions of Section 4 is guilty of a misdemeanor and shall be fined not more than $1,000 or imprisoned for not more than one year, or be both fined and imprisoned. 65 P.S. 409(b). Additionally, this Commission may make recommendations to appropriate law enforcement authorities for the initiation of criminal charges or the dismissal of such charges rising out of violatios of the State Ethics Act. Accordingly, this Commission w i l l refer this matter to the proper law enforcement authority for review and appropriate action. C. Conclusion and Order: 1. As a member of the Cranberry Township Sewer and Water Authority, you are a "public official" subject to the provisions of the State Ethics Act. Mr. Jack Kreger Page 24 2. You violated Section 3(a) of the Ethics Act in that you used your position as Authority member to negotiate and obtain a consulting contract with your business, Oak Knoll. 3. You violated Section 3(c) of the Act in that you, through your business. Oak Knoll, entered into a contract with the Authority which was in excess of $500 and which was not awarded through an open and public process. 4. You violated Section 3(e) of the Act in that within one year after you resigned as Authority member, you appeared before your former governmental body through your business, Oak Knoll. It is hereby ordered that this matter be referred to the proper law enforcement authority for review and appropriate action. Our files in this case will remain confidential in accordance with Section 8(a) of the Ethics Act, 65 P.S. 408(a). However, this Order is final and will be made available as a public document 15 days after service (defined as mailing) unless you file documentation with the Commission which justifies reconsideration and /or challenges pertinent factual findings. See 51 Pa. Code 2.38. During this 15 -day period, no one, including the Respondent unless he waives his right to challenge this Order, may violate this confidentiality by releasing, discussing or circulating this Order. Any person who violates the confidentiality of a Commission proceeding 4 .s guilty of a misdemeanor and shall be fined not eiore than $1,000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). By the Commission, G. Sieber Pancoast Chairman VJD /rda STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PA 11470 TELEPHONE: (717) 78:5 -lbuu Mr. Gregory H. Knight 2405 North Front Street Harrisburg, Pennsylania 17110 -1110 Re: Order No. 595 87 -038 -C September 22, 1987 Dear Mr. Knight: This acknowledges you letter of September 18, 1987, wherein you set forth certain facts relating to the above referenced matter and advise that you will not request reconsideration. In light of the above, your letter of September 18, 1987, will be made part of the public record in this matter and a copy thereof, along with this correspondence, will be appended to Order No. 595. Sincerely, Vincent J._-Dopko General Counsel RALPH D. TIVE CHARLES E. ZALESKI JEFFREY A. ERNICO NORMAN P. HETRICK JOSEPH K. PIERCE RONALD M. LUCAS LJNUS E FENICLE GREGORY H. KNIGHT KATHY W. MORRISON TIVE, HETRICK & PIERCE' S p .11 A PROFESSIONAL CORPORATION E ATTORNEYS AT LAW , y .41 • • OF446 ROBERT D. CHAWIJSERLAIN. JR. 2405 NORTH FRONT STREET HARRISBURG. PENNSYLVANIA 17110 POST OFFICE Box 1265 HARRISBURG. PENNSYLVANIA 17108 (717) 236-9581 September 18, 1987 Vincent J. Dopko, Esquire General Counsel State Ethics Commission P.O. Box 11470 Harrisburg, Pennsylvania 17108 -1470 RE: John C. Kreger, Jr. Dear Mr. Dopko: On Thursday, September 17, 1987, you and I talked about the Ethics Commission Order concerning Mr. Kreger. In particular, we discussed the status of the Order and the status of this case. Since that time, I have had an opportunity to counsel with my client and to discuss with him the Findings of Facts and Conclusions of Law. Based on those conversations and by this letter, I am informing you as counsel for the Commission that there were two minor factual discrepancies in the Commission's Find- ings of Fact. In bringing these matters to your atten- tion, we are not requesting reconsideration of the Commission's Order. While my client and I continue to feel that every step that was taken by Mr. Kreger was taken on reasonable reliance of a legal interpretation of your responses to attorneys working for and /or with the local authority, we see no reason to delay the final resolution of this matter. In accordance with the obligation of confidentiality, we have also refrained from contact with any other per- sons concerning this Order and its contents. On passage of the fifteen day period for filing a request for recon- sideration, a step which we will not be taking, we under- stand that this Order will become a matter of public record and that you will be referring this matter to local law enforcement agencies. I respectfully request that you provide me with notice of the date of referral LEGISLATIVE CONSULTANTS (NON R. DAVID TIVE JOHN V. KuLIK Vincent J. Dop. , Esquire September 18, 1987 Page 2 and the law enforcement person to whom the Order has been referred. The two minor factual corrections which we want to call to your attention concern items found on pages 10 and 11 of the Order. Specifically, at Section 5.c. on page 10, Section 1.03 of the Oak Knoll Consultants Manage- ment Agreement is quoted. As that Agreement was finally implemented, all references to an "Executive Director" should be replaced with the term "General Manager." The second item concerns Section 5.e., found at the top of page 11 of the Order. There Section 1.05 of the Agree- ment is quoted. The change to this Section concerns the method of payment. Instead of equal monthly payments of $4,050.00, each of which is due on the last business day of each month, Mr. Kreger is being paid in equal semi- monthly payments of $2,025.00, the first payment due on or about the fifteenth of each month and the second pay- ment due on or about the last business day of each month. We believe that neither the first nor second change is of any major significance. However, we want to make the record as complete and as accurate as possible. When we pursue our case with the appropriate law enforcement authorities, we believe that an accurate and complete record will show that the Cranberry Sewer and Water Au- thority clearly wanted Mr. Kreaer's services and that the Authority, not Mr. Kreger, has been the main beneficiary of the Agreement between the Authority and Oak Knoll Consultants. GHK /bjm cc: John C. Kreger, Jr. Sincerely, (5 GREGORY H. N IGHT