HomeMy WebLinkAbout1189 SowaIn Re: Stanley Sowa, Jr.
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Daneen E. Reese, Chair
Louis W. Fryman, Vice Chair
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
Donald M. McCurdy
99- 051 -C2
Order No. 1189
2/26/01
3/12/01
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 et seq., 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 and Stipulation of Findings were submitted by the
parties to the Commission for consideration. The Consent Agreement 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Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter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 Law 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.
Sowa, 99- 051 -C2
Page 2
I. ALLEGATION:
That Stanley Sowa, Jr., a public official /public employee in his capacity as a
member of the Luzerne County Conservation District, violated Sections 1103(a); 1103(f)
and 1104(a) of the State Ethics Act (Act 93 of 1998) 65 Pa.C.S. § §1103(a), 1103(f) and
1104(a) when he used the authority of his office for the private pecuniary benefit of himself
and a business with which he is associated by participating in discussions and actions of
the Conservation District to approve contracts with Clough Harbour & Associates in excess
of $500 without an open and public process; when he participated in approving payments
to the company; and when he failed to file a Statement of Financial Interests for the 1996,
1997 and 1998 calendar years.
II. FINDINGS:
1. Stanley Sowa has served as a member of the Luzerne County Conservation District
Board of Directors since 1995.
2. Local Conservation District's were created by Act 217 and are overseen by the
State Conservation Commission and the Department of Environmental Protection.
a. Local Conservation Districts receive state funding for a portion of the
salaries of the manager, technical assistants and administrative staff.
b. Funding is also provided from the county and private contributors.
3. The Luzerne County Conservation District is operated by a nine (9) member board
of directors.
a. Director positions include five (5) farmers, three (3) public directors and a
county commissioner.
b. Director positions are appointed by the Luzerne County Commissioners.
c. Directors are appointed to serve for four (4) year terms.
4. Members of the Luzerne County Conservation District Board of Directors serve
without compensation.
a. Expense reimbursements are made to board members for out of pocket
expenses incurred while conducting Conservation District business.
5. Professionally, Sowa has been employed by the engineering firm of Clough,
Harbour & Associates (CHA) since May 24, 1993.
a. Sowa has been employed by CHA as the office manager of CHA
Northeastern Pennsylvania Office, 1 Montage Mountain Road, Suite 100,
Moosic, PA 18507.
b. Sowa is a salaried employee of CHA.
6. CHA maintains a general job description for the position of office manager.
a. Typical duties include, in part, being responsible for overall results of the
office; monitor and evaluate office efficiency and effectiveness;
recommends and monitors budgets and profitability targets for the office;
ensures that all contracts for the office are negotiated to provide profitability
consistent with overall corporate objectives; approve all project schedules
Sowa, 99- 051 -C2
Page 3
and contract budgets for the office; ensure contract budgets are updated and
estimates to complete are updated as conditions change; review all plans,
reports and other work products generated by the office which requires a
duly authorized signature with the professional who is authorized to sign
such documents; develops new business, new work opportunities and
diversification for the office consistent with overall CHA; marketing goals and
develops appropriate marketing plans.
7 On August 11, 1982, the Pennsylvania Department of General Services (DGS)
transferred 4.8 acres to the Pennsylvania Department of Environmental Resources
(DER) for management purposes.
a. This 4.8 acre tract formerly was part of the State Correctional Institute at
Dallas.
b. DER's stated intent with the property was to permit the Luzerne County
Conservation District to develop the property into an outdoor environmental
laboratory for the community.
8. During 1995, the Conservation District board began the process to construct a new
office on the 4.8 acre tract.
Board member Stanley Sowa and District Manager Robert Yonker were the
main participants planning the project.
9. Discussions regarding the building project occurred during the District's September
14, 1995; October 12, 1995; November 9, 1995; December 14, 1995; and July 11,
1996, board meetings.
a. Sowa was present for the September 14, 1995; December 14, 1995; and
July 11, 1996, meetings.
a.
b. Sowa provided building status reports to the board.
10. On November 9, 1995, the Conservation District Board took action authorizing
Manager Robert Yonker to handle all matters regarding the building project.
a. Sowa was not present for this meeting.
11. Prior to the November 9, 1995, board action authorizing Yonker to handle all
aspects of the project, Yonker entered into a contract with Clough, Harbour &
Associates for professional engineering services related to the project.
a. Sowa negotiated the contract on behalf of Clough, Harbour.
b. This contract was negotiated by Manager Yonker two (2) months prior to
being formally authorized to handle the building project by the board.
12. On August 28, 1995, Stanley Sowa, on behalf of Clough, Harbour & Associates,
entered into a no -bid contract with the Luzerne County Conservation District to
provide professional surveying services.
a. This contract was signed by Stanley Sowa representing CHA and Robert
Yonker, District Manager on behalf of the Conservation District.
b. Contract terms were for a lump sum payment in the amount of $2,000.00 for
the agreed upon services.
Sowa, 99- 051 -C2
Page 4
13. The contract for the professional surveying services was not publicly advertised.
14. The August 28, 1995, contract between LCCD and CHA provided for the following
professional services:
a. Perform record research at the Luzerne County Courthouse. Record
research will include the following:
1. Copies of tax maps
2. Deed and record map search and copies.
b. Perform deed and map analysis and prepare a working drawing which will be
used to help the survey crew in finding any pertinent boundary information.
c. Make a site reconnaissance (visual inspection) of the property with our
survey crew chief to familiarize ourselves with the site and secure
permission, where necessary, from adjoiners.
d. Perform a field boundary retracement survey which will include the following:
1. Run a field traverse around the property in order to locate (by angle
and distance) existing evidence called for in the record information
(iron pins, etc.)
2. Field locate structures associated with the property (highway
pavement, access roads, power lines, utility poles, inlets, railroad
beds, lines of occupation, etc.).
3. Perform boundary computations and determine, by calculation,
angles and distances for setting the property boundaries.
4. Establish property corners in the field, marking each with iron pins
(where possible) and place stakes to mark the new dividing side -line.
5. Prepare a Legal Description.
6. Prepare a Survey Plat.
15. The contract between LCCD and CHA was not submitted to the Conservation
District board for approval.
16. On April 26, 1996, Sowa, on behalf of Clough, Harbour & Associates, entered into a
supplemental work contract with the Conservation District.
a. This contract was signed by Stanley Sowa representing CHA and Robert
Yonker, District Manager, on behalf of the Conservation District.
b. Contract terms were for an additional $2,800.00 for a storm water retention
basin design, grading, stalking and layout for contractor.
c. The supplemental contract contained a clause for additional work to be
provided on an "as- needed basis."
d. The supplemental contract was not approved by the LCCD board of
directors.
Sowa, 99- 051 -C2
Page 5
17. None of the services agreed upon in either the August 28, 1995, contract or April
26, 1996, supplemental contract were put out for competitive bidding.
a. Both contracts called for services in excess of $500.00.
b. The total agreed upon cost associated with both contracts was $4,800.00.
18. CHA submitted three (3) invoices totaling $5,718.43 to the district for services
providing relating to the building project.
a. These invoices totaled $918.43 more than was agreed upon as part of the
August 28, 1995, and April 26, 1996, contracts.
b. The additional charges related to site layout work not specifically included as
part of either contract.
c. The conservation district board did not authorize the additional service
related to site layout.
d. The additional charges were not put out for bids.
19. CHA invoiced the conservation district on January 29, 1996, ($5,084.84); May 16,
1996, ($405.00); and June 14, 1996, ($228.59) for building project services totalling
$5,718.43. Individual invoiced services were as follows:
a. January 29, 1996:
Service Provided Hours Rate Total
Project Supervisor 16.0 $65.00 $ 1,040.00
Project Manager 15.0 $62.00 $ 930.00
Project Engineer 6.0 $55.00 $ 330.00
Senior Engineer Tech 25.0 $40.00 $ 1,000.00
Crew Chief 30.0 $30.00 $ 900.00
Instrument Person 32.5 $25.00 $ 812.50
Technical Typist 1.5 $20.00 $ 30.00
Mileage 146 miles $ .29 /mile $ 42.34
Total $ 5,084.84
b. May 16, 1996:
Service Provided Hours Rate Total
Project Manager 6.0 $65.00 $ 390.00
Technical Typist 0.5 $30.00 $ 15.00
Total $ 405.00
c. June 14, 1996:
Service Provided Hours Rate Total
Project Supervisor 2.0 $70.00 $ 140.00
Engineer 0.5 $45.00 $ 22.50
Instrument Person 1.0 $30.00 $ 30.00
Technical Typist 1.0 $30.00 $ 30.00
Mileage 21 miles $ .29 /mile $ 6.09
Total $ 228.59
20. The Luzerne County Conservation District issued four (4) checks to Clough,
Sowa, 99- 051 -C2
Page 6
Harbour and Associates for services related to the building project totalling
$8,518.43 as follows:
Check No.
3650
1005
1006
1032
Date
03/19/96
05/24/96
05/25/96
11/01/96
Amount
$5,084.84
$2,800.00
$ 405.00
$ 228.59
Signatures
Brian Redmond
Robert Yonker
Brian Redmond
Robert Yonker
Brian Redmond
Robert Yonker
Brian Redmond
Robert Yonker
21. No invoice was ever received from Clough, Harbour and Associates by the LCCD
for the payment of $2,800.00 (Check No. 1005).
a. Check No. 1005 was never cashed by Clough, Harbour.
b. Check No. 1005 is in the possession of the LCCD.
22. The payments issued to CHA by LCCD were included as part of district bill lists.
a. Meeting minutes do not specifically identify individual bills to be paid.
1. The bill lists did not identify specific payments to CHA.
b. Board members voted to approve total monthly bill amounts.
c. Board members were not provided with itemized bill listings during 1996.
d. Board members relied upon bill payment totals provided to them by district
staff.
23. District meeting minutes reflect Sowa participated in the following board actions
approving bills resulting in payments to CHA:
a.
Check No. Check Date Meeting Date
Vote
3650 03/19/96 03/14/96
1005 05/24/96 05/09/96
1006 05/24/96 05/09/96
1032 11/01/96 11/14/96
$5,084.84
$2,800.00
$ 405.00
$ 228.59
Deposit Information
Clough, Harbour
Deposit Stamp
(None - Check
Not Negotiated)
Clough, Harbour
Deposit Stamp
Clough, Harbour
Deposit Stamp
Amount Action
Motion/Vote 7 -0
Vote 6 -0
Vote 6 -0
Absent 5 -0
b. Check No. 1005, dated 05/24/96 in the amount of $2,800.00 was never
negotiated.
c. Checks issued to CHA were signed by District Manager Robert Yonker and
Board Chairman Brian Redmond.
d. Sowa did not sign the front side of any district checks issued to CHA.
e. These payments were not specifically identified on bill lists submitted in the
Treasurer's Report.
24. Sowa participated in board actions taken to approve two (2) payments totaling
Sowa, 99- 051 -C2
Page 7
$5,489.84 issued to CHA.
a. Sowa voted to approve check no. 3650 dated 03/19/96 in the amount of
$5,084.84 and check no. 1006 dated 05/24/96 in the amount of $405.00.
b. Sowa also voted to approve check no. 1005 which was not negotiated by
CHA.
25. As a salaried employee of CHA, Sowa did not receive commissions or bonuses
from work provided the district.
a. Part of Sowa's responsibility as branch manager for CHA included
generating new business for the firm.
b. CHA's services to the district constituted new business.
26. Clough, Harbour and Associates' proposal information for Luzerne County
Conservation District dated August 25, 1995, lists S. Sowa as the client liaison.
a. The project description was identified as surveying services, Smith Pond
Road, Jackson Township, Luzerne County with a proposal number of
29WSU- 051 -95.
b. Sowa was listed as project engineer and project manager for surveying
services and project management.
c. The Revisions No. 1 and No. 2 are approved by S. Sowa.
27. Clough, Harbour's proposal estimated the following fees:
Site Engineer - $1,300.00
Surveying Services - $3,785.00
Site Engineer (EWA #1) - $1,040.00
Surveying Services (EWA #1) - $1,200.00
Project Management (EWA #1) - $ 560.00
Total $7,885.00
a. Not all of these fees were billed to the LCCD.
28. CHA invoiced the district for $5,718.43 of the $7,885.00 estimated project costs.
a. Sowa has estimated a loss of $2,166.57 on the building project.
b. Sowa's loss calculation is based on the $5,718.43 actually received by CHA
minus the $7,885.00 cost estimates.
29. CHA made a $1,000.00 donation to the district building fund on or about April 30,
1996.
a. This donation was done at the request of Stan Sowa.
30. CHA records include a purchase requisition completed by Sowa for the $1,000.00
donation on April 24, 1996. CHA's purchase requisition included the following
information:
a. CHA check payable to: " Luzerne County Conservation District Building
Fund" — as a tax deductible contribution for a new environmental education
Sowa, 99- 051 -C2
Page 8
center building.
Note: CHA is currently providing personal services to the Conservation
District on the new environmental education center site (CHA #5132) and I
serve as a board member. See copy of fund raising campaign cocktail party
ticket listing state representative Jarolin as speaker.
b. This donation was made in conjunction with a building fund cocktail party
held on April 26, 1996.
31. As a member of the Luzerne County Conservation District Board, Sowa filed
Statements of Financial Interests as follows:
a.
Calendar Year:
Filed:
Positions:
Creditors:
Direct /Indirect Income:
All other Financial Interests:
b.
Calendar Year:
Filed:
Positions:
Creditors:
Direct /Indirect Income:
All Other Financial Interests:
c.
Calendar Year:
Filed:
Position:
Creditors:
Direct /Indirect Income:
All other Financial Interests:
d.
1999
03/09/00 on SEC form 1/00
Board Member
Mellon Bank, 12.9%
Clough, Harbour & Assoc., WNEP -TV16
None
1998
05/xx/99 on SEC form 1/99
Not listed
Mellon Bank, M &T Bank
Clough, Harbour & Assoc.; WNEP -TV16
None
1995
08/09/96 on SEC form 1/96
Director
None
Clough, Harbour & Assoc.; WNEP -TV16;
Citizen's Voice Newspaper
None
Calendar Year: 1994
Filed: 03/09/95 on SEC form 1/95
Position: District Director
Creditors: None
Direct /Indirect Income: Clough, Harbour & Assoc; WNEP -TV16; WARM
590
All other Financial Interests: None
e. Forms filed by Sowa are retained by the LCCD.
32. Statements of Financial Interests for calendar years 1996 and 1997 for Sowa were
not on file with the LCCD prior to September 1, 2000.
33. Sowa filed Statements of Financial Interests forms for the calendar years 1996 and
Sowa, 99- 051 -C2
Page 9
1997 with the State Ethics Commission on September 1, 2000. Statements of
Financial Interests filed by Sowa included the following information:
a.
Calendar Year:
Filed:
Position:
Creditors:
Direct /Indirect Income:
All Other Financial Interests:
b.
Calendar Year:
Filed:
Position:
Creditors:
Direct /Indirect Income:
All Other Financial Interests:
34. LCCD files were missing some financial records for calendar years 1996 and 1997.
a. It is believed that some of these records are in the custody of the
Pennsylvania State Police.
b. Statements of Financial Interests initially filed by Sowa for calendar years
1996 and 1997 may be with these records.
III. DISCUSSION:
At all times relevant to this matter, the Respondent, Stanley Sowa, Jr., hereinafter,
Sowa, has been a public official subject to the provisions of the Public Official and
Employee Ethics Law, Act 9 of 1989, Pamphlet Law 26, 65 P.S. §401, et seq., as codified
by the Public Official and Employee Ethics Act, Act 93 of 1998, Chapter 11, 65 Pa.C.S.
§1101 et seq., which Acts are referred to herein as the "Ethics Act."
The issue is whether Sowa violated Sections 3(a)/1103(a), 3(f)/1103(f) and
4(a)/1104(a) of the Ethics Act when, as a member of the Luzerne County Conservation
District, he participated in discussions and actions of the Conservation District to approve
contracts in excess of $500 with Clough, Harbour and Associates, a business with which
he is associated, without an open and public process; when he participated in approving
payments to Clough, Harbour and Associates; and when he failed to file a Statement of
Financial Interests for the 1996, 1997 and 1998 calendar years.
Section 3/1103. Restricted activities
(a) Conflict of interest. — No public official or public
employee shall engage in conduct that constitutes a conflict of
interest.
65 P.S. § 403(a)/65 Pa.C.S. §1103(a).
1996
08/28/00 on SEC Form 1/96
Director
None
Clough Harbour & Assoc.; WNEP -TV16;
Citizens Voice
None
1997
08/28/00 on SEC Form 1/97
Director
None
Clough Harbour & Assoc.; WNEP -TV16;
Citizens Voice
None
The term "conflict of interest" is defined under Act 9 of 1989/Act 93 of 1998 as
follows:
Sowa, 99- 051 -C2
Page 10
Section 2/1102. 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. "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 of his immediate family or a
business with which he or a member of his immediate family is
associated.
65 P.S. §402/65 Pa.C.S. §1102.
Section 3(a)/1103(a) of the Ethics Act prohibits a public official /public employee
from using the authority of public office /employment or confidential information received by
holding such a public position for the private 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 3(f)/1103(f) of Act 9 of 1989/Act 93 of 1998 provides:
Section 3/1103. Restricted activities
(f) No public official or public employee or his
spouse or child or any business in which the person or his
spouse or child is associated shall enter into any contract
valued at $500 or more with the governmental body with which
the public official or public employee is associated or any
subcontract valued at $500 or more with any person who has
been awarded a contract with the governmental body with
which the public official or public employee is associated,
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. In such a case, the public official or public employee
shall not have any supervisory or overall responsibility for the
implementation or administration of the contract. Any contract
or subcontract made in violation of this subsection shall be
voidable by a court of competent jurisdiction if the suit is
commenced within 90 days of the making of the contract or
subcontract.
65 P.S. §403(f)/65 Pa.C.S. §1103(f).
Section 3(f)/1103(f) of Act 9 of 1989/Act 93 of 1998 specifically provides in part that
no public official /public employee or spouse or child or business with which he or the
spouse or child is associated may enter into a contract with his governmental body valued
at five hundred dollars or more or any subcontract valued at five hundred dollars or more
with any person who has been awarded a contract with the governmental body with which
Sowa, 99- 051 -C2
Page 11
the public official /public employee is associated unless the contract is awarded through an
open and public process including prior public notice and subsequent public disclosure.
Section 4/1104. Statement of financial interests required to be
filed
facts.
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.
65 P.S. § 404(a)/65 Pa. C. S. §1104(a).
Section 4(a)/1104(a) of the Ethics Act quoted above 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.
Having noted the issues and applicable law, we shall now summarize the relevant
Sowa has served as a member of the Board of Directors of the Luzerne County
Conservation District (Conservation District) since 1995. The Conservation District
consists of nine members appointed by the Luzerne County Commissioners. Conservation
District Directors serve without compensation.
In his private capacity, Sowa is employed as Office Manager by the engineering firm
of Clough, Harbour and Associates (CHA). One of Sowa's responsibilities as Office
Manager is to develop new business and work opportunities for CHA.
In August 1982, the Department of General Services transferred 4.8 acres of land to
the Department of Environmental Resources (DER) for management purposes. It was
DER's intent to permit the Conservation District to develop the property into an outdoor
environmental laboratory for the community. In 1995, the Conservation District began the
process of developing the 4.8 acre tract. Sowa and the Conservation District Manager
were primarily responsible for planning the project.
On August 28, 1995, the Conservation District entered into a $2,000 contract with
CHA for professional surveying services. Sowa, acting as "client liaison," negotiated and
signed the contract on behalf of CHA while the District Manager negotiated and signed the
contract on behalf of the Conservation District. The contract was neither publicly
advertised nor approved by the Conservation District Board of Directors.
Sowa, 99- 051 -C2
Page 12
After the contract was signed, the Conservation District engaged in discussions
about the building project at its Board meetings on September 14, 1995, October 12, 1995,
November 9, 1995, December 14, 1995, and July 11, 1996. Sowa was present at the
meetings on September 14, 1995, December 14, 1995 and July 11, 1996 and provided
building status reports to the Board.
On April 26, 1996, the Conservation District entered into a supplemental contract
with CHA for additional work. Sowa signed the contract on behalf of CHA while the District
Manager signed the contract on behalf of the Conservation District. As per the
supplemental contract, the Conservation District agreed to pay CHA $2,800 for a storm
water retention basin design, grading, stalking, and layout. The contract contained a
clause for additional work to be provided on an as needed basis." The supplemental
contract was neither publicly advertised nor approved by the Conservation District Board
of Directors.
CHA submitted three invoices to the Conservation District for services rendered in
relation to the building project. The total amount of the invoices, $5,718.43, exceeded the
combined amounts of the August 28, 1995 and April 26, 1996 contracts. The additional
costs were for services that were not authorized by the Board or subject to public bid.
The Conservation Board approved all three invoices and issued checks to CHA
totaling $5,718.43. Sowa participated in Board action on March 14, 1996 and May 9, 1996
to approve payments to CHA totaling $5,489.84.
On September 1, 2000, Sowa filed a Statement of Financial Interests for calendar
years 1996 and 1997. In May 1999, Sowa filed a Statement of Financial Interests for
calendar year 1998. Sowa filed a Statement of Financial Interests for calendar year 1999
on March 9, 2000. The stipulated facts indicate that some financial records are missing
from the Conservation District's files and may be in the custody of the Pennsylvania State
Police. Statements of Financial Interests initially filed by Sowa for calendar years 1996
and 1997 may be among the missing files.
Having summarized the above relevant facts, we must now determine whether the
actions of Sowa violated Sections 3(a)/1103(a), 3(f)/1103(f) and 4(a)/1104(a) of Act 9 of
1989/Act 93 of 1998.
The parties have submitted a Consent Agreement together with a Stipulation of
Findings wherein they propose to resolve the case by finding a technical violation of
Section 1103(a) of the Ethics Act in relation to Sowa's participation in Conservation District
meetings and actions regarding the development of 4.8 acre tract, where said development
involved CHA, a business with which Sowa is associated, and in relation to Sowa's
participation in Board actions to pay invoices submitted by CHA; no violation of Section
1103(a) of the Ethics Act in relation to the Conservation District's award of a professional
engineering services contract to CHA, where such contract was awarded through the
Conservation District's District Manager; an unintentional violation of Section 1103(f) of the
Ethics Act in relation to Sowa's participation in the Conservation District's award of a
professional engineering services contract to CHA, where such contract was not awarded
through an open and public process; no violation of Section 1104(a) of the Ethics Act in
relation to Sowa's failure to file a Statement of Financial Interests for calendar years 1996,
1997 and 1998, due to insufficient evidence; and a payment of $200 by Sowa in settlement
of this matter within 30 days of the issuance of this Order through this Commission to the
Commonwealth of Pennsylvania.
As to Section 3(a)/1103(a) of the Ethics Act, it is clear that there were uses of
authority of office on the part of Sowa as to matters involving CHA. But for the fact that
Sowa was a Conservation District Director, he could not have participated in discussions
and meetings related to the building process, which ultimately lead to the selection of CHA
Sowa, 99- 051 -C2
Page 13
for engineering services, and in Board actions to approve bill lists resulting in payments to
CHA. Such actions were uses of authority of office. See, Juliante, Order 809. The uses of
authority of office resulted in pecuniary benefits to CHA, a business with which Sowa is
associated, consisting of payments made to CHA for engineering services rendered to the
Conservation District. Accordingly, Sowa technically violated Section 3(a)/1103(a) of the
Ethics Act when he participated in discussions and meetings related to the building
process which lead to the selection of CHA for engineering services and participated in
Board actions to approve bill lists resulting in payments to CHA. We find that Sowa did not
violate Section 3(a)/1103(a) of the Ethics Act with regard to the Conservation District's
award of the two contracts to CHA in that the Stipulated Findings reflect that the District
Manager negotiated and signed the contracts on the Conservation District's behalf.
Regarding Section 3(f)/1103(f) of the Ethics Act, a review of the Stipulated Findings
reflect that there was not an open and public process as to the contracts of August 28,
1995 and April 26, 1996 between the Conservation District and CHA. In that the contracts
were both worth $500 or more, said contracts should have been awarded through an open
and public process. Further, the Stipulated Facts reflect that Sowa's activities as "client
liaison," contravened Section 3(f)/1103(f)'s prohibition against a public official /public
employee having any supervisory or overall responsibility for the implementation or
administration of contracts with the governmental body. Accordingly, we find that Sowa
unintentionally violated Section 3(f)/1103(f) of the Ethics Act when the contracts between
the Conservation District and CHA, a business with which he is associated, were worth
$500 or more, and not awarded through an open and public process.
As to Section 4(a)/1104(a) of the Ethics Act, the Stipulated Facts reflect that some
financial records are missing from the Conservation District's files and may be in the
custody of the Pennsylvania State Police. Statements of Financial Interests initially filed
by Sowa for calendar years 1996 and 1997 may be among the missing files. The record
reflects that in May 1999, Sowa filed a Statement of Financial Interests for calendar year
1998 and in March 2000, Sowa filed a Statement of Financial Interests for calendar year
1999. Accordingly, we find that Sowa did not violate Section 4(a)/1104(a) of the Ethics Act
for failing to file Statements of Financial Interests for the calendar years 1996, 1997 and
1998, due to insufficient evidence.
As to the Stipulation of Findings and Consent Agreement, we believe that the
Consent Agreement is the proper disposition of this case based upon our review as
reflected in the above analysis and the totality of the facts and circumstances.
Accordingly, Sowa is directed to make a payment of $200 within 30 days of the issuance of
this Order through this Commission to the Commonwealth of Pennsylvania. Compliance
with the foregoing will result in the closing of this case with no further action.
Noncompliance will result in the institution of an order enforcement action.
IV. CONCLUSIONS OF LAW:
1. Sowa, as a member of the Board of Directors of the Luzerne County Conservation
District, is a public official subject to the provisions of Act 9 of 1989/Act 93 of 1998.
2. Sowa technically violated Section 3(a)/1103(a) of the Ethics Act when he
participated in discussions and meetings related to the building process which lead
to the selection of CHA for engineering services, and participated in Board actions
to approve bill lists resulting in payments to CHA.
3. Sowa did not violate Section 3(a)/1103(a) of the Ethics Act with regard to the
Conservation District's award of two contracts to CHA in that the Stipulated
Findings reflect that the District Manager negotiated and signed the contracts on
the Conservation District's behalf.
Sowa, 99- 051 -C2
Page 14
4. Sowa unintentionally violated Section 3(f)/1103(f) of the Ethics Act when the
contracts between the Conservation District and CHA, a business with which he is
associated, were worth $500 or more and not awarded through an open and public
process.
5. Sowa did not violate Section 4(a)/1104(a) of the Ethics Act for failing to file
Statements of Financial Interests for the calendar years 1996, 1997 and 1998, due
to insufficient evidence.
In Re: Stanley Sowa, Jr.
ORDER NO. 1189
File Docket: 99- 051 -C2
Date Decided: 2/26/01
Date Mailed: 3/12/01
1 Sowa, as a member of the Board of Directors of the Luzerne County Conservation
District, technically violated Section 3(a)/1103(a) of the Ethics Act when he
participated in discussions and meetings related to the building process which lead
to the selection of CHA for engineering services, and participated in Board actions
to approve bill lists resulting in payments to CHA.
2. Sowa did not violate Section 3(a)/1103(a) of the Ethics Act with regard to the
Conservation District's award of two contracts to CHA in that the Stipulated
Findings reflect that the District Manager negotiated and signed the contracts on
the Conservation District's behalf.
3. Sowa unintentionally violated Section 3(f)/1103(f) of the Ethics Act when the
contracts between the Conservation District and CHA, a business with which he is
associated, were worth $500 or more and not awarded through an open and public
process.
4. Sowa did not violate Section 4(a)/1104(a) of the Ethics Act for failing to file
Statements of Financial Interests for the calendar years 1996, 1997 and 1998, due
to insufficient evidence.
5. As per the Consent Agreement, Sowa is directed to make payment of $200 within
30 days of the date of issuance of this Order through this Commission to the
Commonwealth of Pennsylvania.
a. Compliance with the foregoing will result in the closing of this case with no
further action by this Commission.
b. Non - compliance will result in the institution of an order enforcement action.
BY THE COMMISSION,
DANEEN E. REESE, CHAIR