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HomeMy WebLinkAbout1421 HartonIn Re: Ronald G. Harton, Respondent File Docket: X -ref: Date Decided: Date Mailed: Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Donald M. McCurdy Paul M. Henry Nicholas A. Colafella Reverend Scott Pilarz 06 -009 Order No.1421 1/8/07 1/23/07 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 Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq., by the above -named Respondent. At the commencement of its investigation, the Investigative Division served upon Respondent written notice of the specific allegations. Upon completion of its investigation, the Investigative Division issued and served upon Respondent a Findings Report identified as an "Investigative Complaint." An Answer was not filed. A Stipulation of Findings and a Consent Agreement waiving an evidentiary hearing were submitted by the parties to the Commission for consideration. The record is complete. The Stipulation of Findings is quoted as the Findings in this Order. The Consent Agreement has been approved. This adjudication of the State Ethics Commission is issued under the Ethics Act 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 the Ethics Act. Any person who violates such confidentiality commits a misdemeanor and, upon conviction, may be 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. Harton, 06 -009 Page 2 I. ALLEGATION: That Ronald Harton, a public official /public employee, in his capacity as a Supervisor of Canton Township, Washington County, violated provisions of the State Ethics Act (Act 93 of 1998) 65 Pa.C.S. §§ 1103(a); when he used the authority of his office for private pecuniary gain by submitting hours for compensation as township road superintendent for time /hours not worked; and when he was compensated as roadmaster /road superintendent for duties related to his position as township supervisor. II. FINDINGS: 1. Ronald Harton has served as a Supervisor for Canton Township, Washington County, since January 5, 2004. a. Harton has served as the Chairman of the Board of Supervisors from January 3, 2006, through the present; and previously from September 3, 2004, through October 27, 2005. b. Additionally, Harton served as the Vice - Chairman of the board from January 5, 2004, through September 2, 2004. 2. Canton Township is a second -class township governed by a three - member board of supervisors. a. Supervisors currently receive $500.00 quarterly (gross) as payment for services rendered in their supervisor capacity including, but not limited to, attendance at regular and special meetings held during the quarter. 1. Regular meetings are held once per month, with occasional special meetings held throughout the year. b. The supervisors need not be present at all meetings held during the quarter to receive the $500.00 payment. 1. Payment is issued for all duties performed in the capacity of township supervisor and is not limited to meeting attendance. 3. Harton was appointed to the position of township roadmaster at the January 4, 2004, reorganization meeting. a. Harton held the position of roadmaster from January 5, 2004, through April 21, 2004. b. Harton held the position of road superintendent /roadmaster from April 22, 2004, through October 27, 2005. c. Harton was reappointed as the township road superintendent /roadmaster at the January 3, 2006, reorganization meeting and currently holds this position. 4. At the January 5, 2004, reorganization meeting, Harton's duties as roadmaster were presented as being those described in the Second Class Township Code. a. Article XXIII, Section 2302, Duties of Roadmasters mandates that roadmasters shall: Harton, 06 -009 Page 3 1 Report to the board of supervisors any information that may be required by the board and by the Department of Transportation; 2. Inspect all roads and bridges as directed by the board; and 3. Do or direct to be done all work necessary to carry out the responsibilities imposed by the board with respect to the maintenance, repair, and construction of township roads. 5. Canton Township adopted a formal job description for the position of township road superintendent /roadmaster at the April 22, 2004, meeting of the board. a. The motion to approve the job description passed 2 -0 with Harton and Supervisor George Vitteck voting in favor of the motion. Both Harton and Vitteck also signed the job description. b. Voting at Canton Township meetings occurs by individual roll call vote after a motion is made and properly seconded; any abstentions or objections made during the vote are specifically noted in the minutes. 6. The formal job description was recommended by present Solicitor Dennis Makel. a. The purpose of the job description was to define the duties Harton would perform as a township road superintendent /road master while on township time. b. Harton failed to obtain further clarification regarding which duties were to be as road superintendent /road master and those duties which were strictly related to his position as a township supervisor, and in failing to do so, commingled his township supervisor duties with those of road superintendent /road master. 7 The job summary for the position of road superintendent /roadmaster documents that the individual in the position is responsible to the township for the following: a. Development of all phases of construction, execution, and maintenance in the township; b. Scheduling the road department on projects and work activities necessary to carry out road department activities, including keeping records of hours worked and attendance of personnel; c. Oversight of the maintenance of all equipment and reporting on the operation of and need for additional equipment, including reporting to the board on the status of each project; d. Authorizing purchases within the road department; e. Investigation and correction of complaints directed to him by the board; and f. Dealing with personnel matters in the road department and reporting the problems to the board. 8. Additional duties and responsibilities associated with the position as mandated by the job description include the following: Harton, 06 -009 Page 4 a. To report regularly to the board of supervisors on all matters pertaining to the activities of the road department; b. To report all activities relating to personnel to the board of supervisors; c. To maintain and report on the status of all township equipment; d. To oversee all the activities of the road department; e. To schedule construction and maintenance activities on township roads, highways, parks, building, sewers, storm sewers, drainage ditches, waterways, etc.; f. To instruct each road department employee of his duty status and responsibilities; To maintain discipline of all the employees he supervises; h. To initiate corrective action in matters of personnel when necessary; To represent the township regarding complaints; To implement policies and changes directed by the board of supervisors; k. To assist the township road department in snow removal, etc., when necessary; and To assume all other duties assigned by the board of supervisors. g. J. 9. Canton Township Auditors meeting minutes document the salary /hourly rate approved for Harton from 2004 through the present as shown below: Auditors Meeting Date January 13, 2004 January 27, 2005 January 10, 2006* Salary /Hourly Rate Approved $40,000.00 (salary) $12.50 per hour $12.50 per hour *Continuation of January 4, 2006 auditor's reorganization meeting a. During 2004 Harton received a set salary based on a forty -hour work week. 1. As a salary employee in 2004, Harton was not required to utilize the time clock or submit timesheets to document hours worked as the road superintendent /roadmaster. 2. Harton's salary based on a forty -hour work week was approximately $19.23 per hour ($40,000.00 =52 weeks =40 hours per week = $19.23 per hour). b. In 2005 and 2006, the township auditors approved an hourly wage for Harton and required that Harton work eight hours per day, utilize the township time clock, and receive approval for overtime worked. 10. Canton Township maintains a road department to address road maintenance issues within the township. Harton, 06 -009 Page 5 a. The township employs six full time road department employees including one foreman (Howard Main), one crew chief (Delbert Main), and four laborers. 11. The township road department is unionized under the Glass, Molders, Pottery, Plastics, and Allied Workers International Union (AFL- CIO -CLC) Local 272. a. Enrollment in the Union is optional for road department employees. b. All current road department employees are covered under the Union contract. 12. As road superintendent, Harton is not covered by the union contract. a. Per Article 19 of the Union contract, Harton is prohibited from performing work (except for emergencies, instruction, and developmental work). 13. Normal working hours for the township road department are 6:00 a.m. to 2:00 p.m., Monday through Friday, with a one -half hour paid lunch period. a. Exceptions to the road department's normal working hours may occur due to inclement weather, emergencies, etc. b. As the township road superintendent, Harton's normal working hours are considered to be the same as the road department employees. 14. Township road department employees utilize a time clock to document their time and attendance. a. In addition to the time clock and time cards, Howard Main prepares a handwritten timesheet /log which notes the road department's general activities for the day. 15. Howard Main submits all of the road department employee time cards and handwritten time sheets to Susan Paul, township secretary/treasurer, for processing between the Monday and Wednesday prior to payroll being issued. a. Main does not submit any documentation to Paul regarding hours worked by Harton as the road superintendent. 16. Harton submits his time card and handwritten timesheets to Paul for processing between the Monday and Wednesday prior to payroll being issued. a. Harton has submitted time cards and general time sheets to Paul since at least February 10, 2005. 1. Harton submitted no time cards, time sheets, or logs to Paul while employed as the road superintendent /roadmaster in a salary capacity. b. Time sheets submitted by Harton note only the date worked and number of hours worked with no description of work performed. 17. Harton maintains personal log books in which he documents his daily activities. a. Harton's logbooks note duties and activities performed including road superintendent /roadmaster responsibilities as well as supervisory responsibilities. Harton, 06 -009 Page 6 18. As the Chairman of the Board of Supervisors and road superintendent /roadmaster, Harton was often viewed as the main contact for the township for any meetings or functions requiring attendance, any questions requiring assistance, etc. a. This role was fulfilled by Samuel Stockton, Canton Township Manager prior to Harton being seated as a supervisor and taking the position of road superintendent /roadmaster. b. The official position of township manager has been vacant at Canton Township since the end of 2003. 19. Since early 2004, Harton routinely claimed hours and received wages as the township road superintendent /roadmaster for duties performed which were supervisory in nature. a. Township supervisors are not permitted to receive road superintendent /roadmasters wages for the performance of duties related to their supervisor position. b. Harton acted in the capacity of township manager as well as road superintendent /roadmaster as a result of the manager position being vacant. 1. Section 1301 of the Second Class Township Code specifically mandates that supervisors may not hold the office of township manager. 20. From March 2004 through September 2005, Harton was compensated for approximately 45'/ hours in road superintendent /roadmaster wages for performing duties associated with his position as an elected supervisor which totaled $784.11. a. Harton submitted requests for compensation for meetings with the Caton Township Solicitor, Dennis Makel. 1. All meetings which Harton submitted compensation for with Makel, occurred during Harton's normal work hours of 6 a.m. -2 p.m. 2. These meetings were not related to Harton's position as road superintendent. b. Time utilized at each meeting was obtained from a combination of bill lists submitted to Canton Township by Makel and from specific time documented in Harton's personal logs. 21. In addition to receiving payment for meetings with the township solicitor, Harton claimed and received compensation at his road superintendent /roadmaster wages for a variety of other activities related to his position as township supervisor between May 24, 2004, and October 26, 2005. a. Harton's non - superintendent /roadmaster activities were listed in Harton's personal logs. b. Activities listed note only those activities performed which were supervisory in nature. 1. Harton's logs note additional activities performed in relation to his position of road superintendent /roadmaster on the days in question. Harton, 06 -009 Page 7 c. The amount of township time utilized regarding non -road superintendent /roadmaster activities could not be determined. 1. Harton did not consistently note specific time utilized for each activity completed during the day. 22. Payroll is issued to Canton Township employees on a bi- weekly basis. a. Payroll is approved at regular monthly meetings for payroll issued during the previous month. b. The motion to approve payroll is incorporated along with the motion to approve the monthly bills. c. Specific payroll amounts and the applicable recipients are not noted on the bill list. 23. Signature authority over township accounts lies with the secretary /treasurer and all three supervisors. a. Township checks require the signatures of the secretary /treasurer and at least one supervisor. b. Since taking office, Harton has been the supervisor who normally co -signs township checks. 24. Signatures on township checks must be live signatures. a. Facsimile stamps are not utilized. 25. Harton participated in actions as a township supervisor in approving monthly payroll and signing payroll checks issued to himself for hours claimed as a roadmaster which were supervisory in nature, on at least twenty -three (23) occasions between March 18, 2004, and November 21, 2005. a. Of the twenty -three checks issued to Harton which included wages not related to his supervisor duties, Harton signed twenty as an authorized township signatory. 26. During a sworn statement provided to a Commission investigator on August 22, 2006, Harton provided the following information: a. Harton attended various workshops in the first four to five months of his service as a supervisor that provided guidance regarding activities for which supervisors could receive employee wages. b. Harton believed the formal job description approved for the road superintendent /roadmaster position allowed him to perform "extra duties" that were supervisory in nature and receive compensation for said duties. c. Harton never requested a written opinion from the State Ethics Commission regarding the types of duties which could be legitimately claimed as roadmaster related. Harton, 06 -009 Page 8 d. Harton was aware as early as September 2004 that supervisors could not receive compensation as an employee for duties considered to be administrative in nature. 1. Harton became aware of this through personal research of the Second Class Township Code, the Township Supervisors handbook, and conversations with public officials from neighboring municipalities. 27. Harton realized a minimum financial gain of approximately $784.11 from March 2004 through September 2005 as a result of receiving wages as a township road superintendent /roadmaster for duties that were related to his position as township supervisor. III. DISCUSSION: At all times relevant to this matter, the Respondent, Ronald G. Harton (hereinafter also referred to as "Harton ") has been a public official subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq. The allegation is that Harton, a Canton Township Supervisor, violated Section 1103(a) of the Ethics Act when he submitted hours for compensation as township road superintendent for time /hours not worked; and when he received compensation as township roadmaster /road superintendent for duties related to his position as township supervisor. Pursuant to Section 1103(a) of the Ethics Act, a public official /public employee is prohibited from engaging in conduct that constitutes a conflict of interest: § 1103. Restricted activities (a) Conflict of interest. - -No public official or public employee shall engage in conduct that constitutes a conflict of interest. 65 Pa.C.S. § 1103(a). The term "conflict of interest" is defined in the Ethics Act as follows: 65 Pa.C.S. § 1102. § 1102. Definitions "Conflict" or "conflict of interest." Use by a public official or public employee of the authority of his office or employment or any confidential information received through his holding public office or employment for the private pecuniary benefit of himself, a member of his immediate family or a business with which he or a member of his immediate family is associated. The term does not include an action having a de minimis economic impact or which affects to the same degree a class consisting of the general public or a subclass consisting of an industry, occupation or other group which includes the public official or public employee, a member of his immediate family or a business with which he or a member of his immediate family is associated. Harton, 06 -009 Page 9 Section 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. As noted above, the parties have submitted a Consent Agreement and Stipulation of Findings. The parties' Stipulated Findings are reproduced above as the Findings of this Commission. We shall now summarize the relevant facts as contained therein. Harton has served as a Supervisor of Canton Township ( "Township ") since January of 2004. Harton served as Vice - Chairman of the Township Board of Supervisors ( "Board ") from January 5, 2004, through September 2, 2004, and as Chairman of the Board from January 3, 2006, to the present. The Board consists of three members. In his capacity as an elected Township Supervisor, Harton receives compensation in the amount of $500 quarterly, regardless of whether he attends all Board meetings. In addition to serving as a Township Supervisor, Harton was employed by the Township as the Roadmaster from January 5, 2004, through April 21, 2004, and as the Road Superintendent /Roadmaster from April 22, 2004, through October 27, 2005. Harton was reappointed Township Road Superintendent /Roadmaster in January 2006. The duties and responsibilities for the various employment positions that Harton has held with the Township are delineated in Fact Findings 4, 7, and 8. The various rates of compensation approved by the Township Board of Auditors for Harton as a Township employee are set forth in Fact Finding 9. The Township has a unionized road department that handles road maintenance within the Township. The Township road department consists of one foreman, one crew chief, and four laborers. The road department has a normal workweek of 6:00 a.m. to 2:00 p.m. Monday through Friday, with a one -half hour paid lunch period. As Road Superintendent, Harton's normal working hours are considered to be the same as those of the road department employees. A time clock is used to document the time and attendance of the road department employees. The road department foreman submits to the Township Secretary /Treasurer the road department employee time cards and handwritten time sheets. However, the foreman does not submit such documentation for Harton. Since at least February 10, 2005, Harton has submitted his own time cards and handwritten timesheets to the Township Secretary /Treasurer for processing. Harton did not submit time cards, time sheets or logs to the Township Secretary /Treasurer during 2004 when he was receiving a salary as Township Road Superintendent /Roadmaster. Harton maintains personal logbooks to document his daily activities, including duties performed as a Township employee and as a Township Supervisor. Harton has often been considered the main contact for the Township for various purposes. Harton has acted as Township Manager as well as Township Road Superintendent /Roadmaster as a result of the manager position becoming vacant at the end of 2003. In the Stipulation of Findings, the parties acknowledge that the Second Class Township Code prohibits supervisors from holding the position of township manager. Since early in 2004, Harton routinely claimed hours and received wages as a Township employee for administrative duties that were supervisory in nature. Township supervisors are not permitted to receive road superintendent /roadmaster wages for performing duties related to their supervisor positions. Harton, 06 -009 Page 10 From March 2004 through September 2005, Harton received $784.11 in Road Superintendent /Roadmaster wages for approximately 45.5 documented hours spent performing duties associated with his position as an elected Supervisor. Harton also claimed and received compensation between May 2004 and October 2005 for a variety of other activities that related to his position as an elected Supervisor. However, the amount of time utilized for such other non -Road Superintendent/Roadmaster activities could not be determined because Harton did not consistently list the time utilized for each activity that he performed during the day. At the Board's regular monthly meetings, the Board approves the payroll that has been issued to the Township employees during the previous month. The motion to approve payroll is incorporated with the motion to approve the monthly bills. Specific payroll amounts and the applicable recipients are not noted on the bill list. Township checks are issued with the signatures of the Secretary /Treasurer and at least one supervisor. During his term as a Supervisor, Harton has routinely co- signed Township checks. As a Township Supervisor, Harton participated in actions to approve the monthly payroll and also cosigned payroll checks to himself for hours claimed as a Roadmasterfor duties that were supervisory in nature. See, Fact Finding 25. However, in a sworn statement, Harton stated his belief that his job description as a Road Superintendent /Roadmaster allowed him to receive compensation for performing "extra duties" that were supervisory in nature. Harton did not request an advisory from this Commission as to the propriety of receiving such compensation. Harton knew as early as September 2004 that a supervisor could not receive compensation as a township employee for duties that were administrative in nature. The parties have stipulated that from March 2004 through September 2005 Harton received a financial gain of at least $784.11 in Township Road Superintendent /Roadmaster wages for duties he performed as Township Supervisor. Having highlighted the Stipulated Findings and issues before us, we shall now apply the Ethics Act to determine the proper disposition of this case. The parties' Consent Agreement sets forth a proposed resolution of the allegation as follows: 3. The Investigative Division will recommend the following in relation to the above allegations: a. That a violation of Section 1103(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1103(a) occurred when Harton submitted hours for compensation as township road superintendent for time /hours not worked; and b. That a violation of Section 1103(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1103(a) occurred when Harton was compensated as roadmaster /road superintendent for duties related to his position as township supervisor. Harton, 06 -009 Page 11 4. Harton agrees to make payment in the amount of $1,200 in settlement of this matter payable to the Commonwealth of Pennsylvania, and forwarded to the Pennsylvania State Ethics Commission within thirty (30) days of the issuance of the final adjudication in this matter. 5. The Investigative Division will recommend that the State Ethics Commission take no further action in this matter, and make no specific recommendations to any law enforcement or other authority to take action in this matter. Such, however, does not prohibit the Commission from initiating appropriate enforcement actions in the event of Respondent's failure to comply with this agreement or the Commission's order or cooperating with any other authority who may so choose to review this matter further. 6. Harton agrees to waive his rights to an evidentiary hearing and appellate rights without prejudice to so proceed in the event that the State Ethics Commission does not accept this agreement. Consent Agreement, at 1 -2. In applying the provisions of Section 1103(a) of the Ethics Act to the stipulated findings, we note that there were uses of authority of office on the part of Harton. But for the fact that Harton was an elected Supervisor, he would not have been in a position to submit his own hours claiming compensation as a Township Road Superintendent /Roadmaster. Additionally, in his capacity as a Township Supervisor, Harton voted on monthly Township bill lists that included payroll to himself and co- signed Township checks issued to himself as a Township employee. All of the aforesaid actions constituted uses of authority of office. See Juliante, Order 809. Such uses of authority of office resulted in private pecuniary benefits to Harton consisting of unauthorized, excess compensation that he received as a Township employee. In R.H. and T.W. v. State Ethics Commission, 673 A.2d 1004 (Pa. Cmwlth. 1996), Commonwealth Court affirmed findings of violations by this Commission as to supervisors who received compensation as township employees for performing supervisory functions. The Court noted, The supervisory salary was statutorily set and encompassed all of the ensuing administrative functions." Id. at 1011. Accordingly, we hold that Harton violated Section 1103(a) of the Ethics Act when he submitted hours for compensation as a Township Road Superintendent for time and hours he did not work as a Township employee. Further, Harton violated Section 1103(a) of the Ethics Act when he received compensation as a Road Superintendent /Road Master for duties that related to his position as elected Township Supervisor. See, Johnson, Order 1187. We determine that the Consent Agreement submitted by the parties sets forth the proper disposition for this case, based upon our review as reflected in the above analysis and the totality of the facts and circumstances. Accordingly, Harton is directed to make payment in the amount of $1,200.00 to the Commonwealth of Pennsylvania through this Commission within thirty (30) days of the issuance of this Order. Compliance with the foregoing will result in the closing of this case with no further action by this Commission. Noncompliance will result in the institution of an order enforcement action. IV. CONCLUSIONS OF LAW: 1. Respondent Ronald G. Harton ( "Harton "), as a Canton Township Supervisor, is a public official subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq. Harton, 06 -009 Page 12 2. Harton violated Section 1103(a) of the Ethics Act when he submitted hours for compensation as a Township Road Superintendent for time and hours he did not work as a Township employee. 3. Harton violated Section 1103(a) of the Ethics Act when he received compensation as a Road Superintendent /Road Master for duties that related to his position as elected Township Supervisor. In Re: Ronald G. Harton ORDER NO. 1421 File Docket: 06 -009 Date Decided: 1/8/07 Date Mailed: 1/23/07 1 Ronald G. Harton ( "Harton "), a Canton Township Supervisor in Washington County, violated Section 1103(a) of the Ethics Act when he submitted hours for compensation as a Township Road Superintendent for time and hours he did not work as a Township employee. 2. Harton violated Section 1103(a) of the Ethics Act when he received compensation as a Road Superintendent /Road Master for duties that related to his position as elected Township Supervisor. 3. Per the Consent Agreement of the parties, Harton is directed to make payment in the amount of $1,200.00 to the Commonwealth of Pennsylvania through this Commission within thirty (30) days of the issuance of this Order. 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, Louis W. Fryman, Chair