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HomeMy WebLinkAbout1435 RobertsIn Re: Larry Roberts, 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 Raquel K. Bergen Nicholas A. Colafella 05 -026 Order No. 1435 3/27/07 4/11/07 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 filed and a hearing was scheduled. A Stipulation of Findings and a Consent Agreement waiving an evidentiary hearing were subsequently submitted by the parties to the Commission for consideration. 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. Roberts, 05 -026 Page 2 I. ALLEGATIONS: That Larry Roberts, a public official /public employee, in his capacity as a State Representative for the 51 Legislative District, violated Sections 1103(a) provisions of the State Ethics Act (Act 93of 1998), 65 Pa.C.S. § 1103(a) when he used the authority of his office for a private pecuniary gain of himself and /or his reelection campaign, including but not limited to using district and capitol office employees, office space, and equipment in furtherance of his reelection campaign. 11. FINDINGS: 1. Larry Roberts served as the Representative for the 51 District of the Commonwealth of Pennsylvania from 1993 through December 2006. 2 Larry Roberts maintained a legislative district office at 31A Connellsville Street, Uniontown, PA 15401 since 1992. a. Equipment available for use in Roberts' Uniontown District Office includes computers, telephones, fax machine and copier. b. The telephone number for the district office was 724 - 439 -2329. c. The fax number for the district office was 724 - 439 -7298. d. Some of the equipment in Representative Roberts' office was personal and not legislative property. 3. Roberts also maintained a legislative district office at 1402 Memorial Boulevard, Connellsville, PA 15425 since at least 1998. a. The office was utilized as a satellite office. 4. Roberts' Uniontown District Office hours were normally 9:00 a.m. until 4:00 p.m., Monday through Friday. 5. Roberts maintained an office in the Capitol which was also staffed at 123B East Wing, Harrisburg, PA 17120. a. The telephone number for the Capitol Office was 717- 781 -1359. 6. Roberts leased the office space at 31A Connellsville Street, Uniontown, PA 15401, for use as a district office from Colonial Union, Inc. 7 Larry Roberts initially entered into a lease agreement with Colonial Union Inc. for his District Office at 31A Connellsville Street, Uniontown, PA 15401 on December 1, 1992. a. The lease was to run for a term of 12 months from December 1, 1992, through November 30, 1993, with the option of renewing the lease for another 12 month period under the same terms and conditions. b. The monthly rent at that time was $325 which included heat, utilities, routine maintenance, a rest room and off street parking space for employees and visitors. c. Roberts' monthly rent for his district office at 31A Connellsville Street, Uniontown, PA 15401 was paid for by the Chief Clerk's Office from 2000 Roberts, 05 -026 Page 3 through 2006 as follows: YEAR MONTHLY RENT 2000 $600 2001 $600 2002 $700 2003 $850 2004 $850 2005 $850 2006 $1,050 d. Monthly rent payments have been made by the Chief Clerk's Office for the Pennsylvania House of Representatives from Roberts' Expense Voucher Reconciliation Account. 8. The lease was amended on February 1, 1993, which provided that Roberts was only leasing 600 square feet of said office space plus shared use of the restroom and coffee room. a. The remaining space of approximately 650 square feet was to be retained by Colonial Union, Inc. b. Rent increases beginning in 2003 also included cleaning services that were previously paid for by Representative Roberts. 9. Edward McKee, one of the principals of Colonial Union, Inc., entered into a lease with Colonial Union, Inc. on September 1, 1998, for the space known as Rear 31A Connellsville St., Uniontown, PA 15401 comprising of approximately 550 square feet for a payment of $50 per month. a. Colonial Union's lease agreement with McKee provided that the space at the rear of 31A Connellsville Street could be subleased. 10. Roberts utilized the space at Rear 31A Connellsville Street prior to 1998. a. Roberts has never made any payments to McKee for use of the rear office space. b. McKee did not request payments for the use of Rear 31A Connellsville Street but required Roberts to allow him access to the rear office to service mechanical equipment. c. Part of the space of Rear 31A Connellsville Street was used to store legislative materials and equipment. 11. The only currently existing record of a signed agreement Roberts made with McKee subleasing the rear office space at 31A Connellsville Street was in 2004. 12. Roberts entered into a sublease agreement with Edward McKee on December 1, 2004, for the rear part of 31A Connellsville Street, Uniontown, PA comprising of approximately 550 square feet. a. The term of the lease was to begin December 1, 2004, and end November 30, 2006. b. The monthly rent was $100. Roberts, 05 -026 Page 4 1 Roberts was not required to pay the monthly rent as the rear area was provided to him gratis by Edward McKee based upon Roberts allowing McKee access to the rear area to service mechanical equipment. c. Under the terms of the lease, members of the public are not permitted in the rear part of 31A Connellsville Street, Uniontown, PA under any circumstance. 1. Roberts could only use the area for personal use. 13. There was no separate mailing address for Rear 31A Connellsville Street. a. All mail and deliveries for 31A Connellsville Street, including the rear portion, were made to Roberts' district office. b. There was no separate telephone line for the rear facility. c. There was a separate personal line in the rear area in 1994. d. Telephone lines for Roberts' district office telephone number 724 - 439 -2329 were connected to the rear facility. e. Roberts' district office computer lines which had internet access and e -mail were connected to the rear facility. f. All faxes for the rear of the facility were transmitted to Roberts' district office number fax at 724 - 439 -7298. g. The restroom which was included in the lease for Roberts' district office is accessed from the rear facility. 14. Roberts utilized the entire area at 31A Connellsville Street, Uniontown, PA 15401 including Rear 31A Connellsville Street. a. On occasion, the rear portion of the facility was used for constituent services as the general public had access to the area to view legislative literature which was on display. b. Roberts' district office and rear portion of the facility were only connected by a hallway. 15. From 2000 through 2004, Roberts' district office space, equipment, and employees of his district office were used by vendors as contact /delivery points for election /campaign related materials. a. Staff from the 31A Connellsville Street Office, at times, arranged purchases, met vendors, and scheduled fundraisers. b. An employee at Roberts' Capitol Office, on occasion, processed and filed campaign finance reports. c. From 2000 until 2004, Roberts did not lease separate campaign facilities. d. Roberts utilized his home as campaign headquarters prior to 2004. e. When he suffered a stroke in 2004, Roberts hired a campaign manager to Roberts, 05 -026 Page 5 run his 2004 re- election campaign. f. In 2004, Roberts rented a campaign office at 280 E. Fayette Street from Wilbert Dowling for $400 a month for two months. 16. Roberts utilized various vendors in the Uniontown area to perform campaign related work. 17. Roberts claimed the following expenditures on Campaign Finance Reports filed with the Pennsylvania Department of State, Bureau of Elections, for vendors he utilized from August 2000 through 2004 for campaign work: Name Description W. H. Farewell Printing W. H. Farewell Printing Connellsville Printing Printing Connellsville Printing Printing Connellsville Printing Printing Connellsville Printing Printing Connellsville Printing Printing Upper Room, Inc. Signs Upper Room, Inc. Signs Print Smith Printing Print Smith Printing Mark IV Printing Printing Connellsville Printing Printing Mark IV Printing Printing Tru Copy Printing Printing Laurel Computer Systems Computer work Tru Copy Printing Printing W. H.Farewell Supplies Connellsville Printing Supplies Kwik Tickets Campaign work Connellsville Printing Printing Tru Copy Printing Printing Amount $220.00 $361.46 $101.76 $60.42 $97.52 $207.76 $522.05 $763.73 $1,038.80 $2,322.81 $1,559.08 $238.42 $103.88 $121.37 $323.11 $400.00 $818.12 $192.92 $103.88 $293.57 $103.88 $875.54 b. The finished product was delivered to his district office. Date 08/08/2000 08/31/2000 10/04/2000 10/18/2000 10/18/2000 02/27/2002 05/22/2002 05/22/2002 05/07/2002 05/09/2002 05/14/2002 06/06/2002 08/23/2002 10/10/2002 11/07/2002 01/29/2004 04/24/2004 10/08/2004 10/08/2004 10/28/2004 11/08/2004 12/06/2004 18. Contacts with these vendors, at times, were initiated through Roberts' district office by either Roberts or employees of his district office using telephone in the district office. a. Representative Roberts also made contact with vendors personally or while using his personal phone. 19. Roberts was billed by Connellsville Printing on three occasions for campaign flyers and envelopes at his district office located at 31A Connellsville Street, Uniontown, PA 15401 during Roberts' re- election years of 2000, 2002 and 2004. a. Connellsville Printing also billed Roberts for campaign - related material on at least four occasions at his campaign office. 20. Contacts by Connellsville Printing, on these three occasions, were made through Roberts' district office. a. Proofs of artwork for Roberts' campaign material were faxed to Roberts' district office fax number. Roberts, 05 -026 Page 6 21. W. H. Farewell Company provided campaign services to Roberts in 2000, 2003, and 2004. a. Some of Roberts' campaign work with W.H. Farewell Company was arranged through Doris Perno, an employee in Roberts' Uniontown District Office, by way of telephone. 1. Doris Perno was the contact person for W.H. Farewell when Roberts was not available. 2. The invoices showed Roberts' home address for billing and shipping purposes. b. On several occasions, deliveries of finished campaign material were made to Roberts' Uniontown district office at 31A Connellsville Street. 22. Roberts utilized Upper Room Inc. in 2002 for the production of campaign signs. a. Roberts was billed by Upper Room, Inc., on two occasions, for campaign signs on April 15, 2002, and April 25, 2002, totaling $1,802.53. b. The invoices from Upper Room Inc. used Roberts' Connellsville Street District Office address. c. The contact for Upper Room was Roberts' District Office number, telephone number 724 - 439 -2329. d. Skoric made the arrangements for Roberts' campaign work through Doris Perno and Roberts. e. Mark Scoric had previously printed legislative materials for Roberts. His business utilizes QuickBooks, which automatically populates previously used addresses for new orders. f. The campaign signs were picked up from Upper Room, Inc. and were not delivered to the district office. 23. Roberts utilized the services of Mark IV Office Supply Company in 2002 for the preparation of campaign material related to his 2002 re- election campaign. a. Roberts was billed, by way of three invoices, by Mark IV Office Supply Company on May 31, 2002, and September 23, 2002, totaling $359.79 for campaign material that included candidate cards and envelopes. 1. The invoices sent to Roberts were addressed to the 31A Connellsville Street Office. b. Roberts' campaign material from Mark IV Office Supply was delivered to 31A Connellsville Street, Uniontown, PA 15401 during normal business hours. 24. In 2002, Roberts made a campaign related purchase from Capitol Promotions, Inc., Glenside, Pennsylvania in the amount of $265.90. a. The campaign material included individually wrapped candy. b. The invoice from Capitol Promotions, Inc. was addressed to Larry Roberts, Roberts, 05 -026 Page 7 31A Connellsville, Uniontown, PA 15401. c. Roberts' campaign material from Capitol Promotions, Inc. was shipped on April 24, 2002, via UPS to Larry Roberts, 31A Connellsville, Uniontown, PA 15401 and received during normal business hours of the district office. 25. Roberts, and /or district office staff person Tony Perno, purchased campaign envelopes from Kwik Tickets in 2004 in the amount of $293.57. a. Roberts' order sheet for the envelopes was submitted to Kwik Tickets on October 12, 2004. b. The order sheet listed Roberts' Legislative Aide Tony Perno as the point of contact at a telephone number of 724 - 439 -2329, Roberts' district office. c. Roberts' district office fax number 439 -7298 was also listed on the Kwik Tickets order sheet for the campaign material. d. The order sheet and subsequent invoice show the billing and shipping address as Roberts' residence. e. Roberts' district office fax number 439 -7298 was also listed on the Kwik Tickets order sheet for the campaign material. f. David Smith, owner of Kwik Tickets, faxed an artist's work of the campaign envelopes he was going to provide to Roberts to the fax number at Roberts' district office. 26. Roberts utilized Tru -Copy Printing in 2004 for campaign material that included candidate cards, postcards and letters. a. Tru -Copy billed Roberts, on three occasions in 2004, for the campaign related material, at his district office as follows: Larry Roberts 31A Connellsville Street Uniontown, PA 15401 b. On one other occasion, Roberts was billed at his home address for campaign candidate cards. 27. In or about February 2004, Roberts ordered a personal computer upgrade from Laurel Computer Systems, Inc. a. Roberts was billed for computer work from Laurel Computer Systems, Inc. on February 6, 2004, in the amount of $275.60. b. Payment for the computer was made from National City Bank Account # 791924903 for the Larry Roberts Campaign. c. Roberts' work order for the campaign expense from Laurel Computer Systems, Inc. dated January 19, 2004, included a contact telephone number of 724 - 439 -2329, Roberts' district office number. d. Roberts personally delivered the computer to Laurel Computer Systems, Inc. and picked it up from their facility. Roberts, 05 -026 Page 8 28. Fundraising events on behalf of Roberts were held at various times since October 2000. 29. Myers Catering provided catering services for a non legislative event held in October 2000. a. The calendar book for Myers Catering confirmed the fundraiser held for Larry Roberts on October 29, 2000, including the contact person and contact telephone number. b. The contact person was listed as Jennifer. 1. Roberts' daughter in law, Jennifer Roberts, was the only legislative aide employed by Roberts with the name of Jennifer. 2. Jennifer Roberts was not married to Roberts' son at that time, but had been employed by Roberts since February 2, 2000. c. The telephone number listed was 439 -2329, Roberts' district office number. 30. Carla Codd, a Legislative Aide in Roberts' Harrisburg Office, made arrangements and served as a contact person for two fundraising events held by Roberts at 501 Downtown Club and Scott's Grille. 31. The Reservation Sheet from the 501 Downtown Club confirms a fundraiser held for Larry Roberts on March 16, 2004 listing the following information: a. Representative Larry Roberts Contact: Carla 123 B East Wing Capitol Harrisburg, PA 17020 783 -1359 Tuesday, March 16 Count expected: 25 1. The name of Carla was for Carla Codd, Roberts' Legislative Aide in Harrisburg. 2. The telephone number 783 -1359 was Roberts' Capitol Office number. b. Carla Codd also typed up an invitation flyer announcing the event. c. The fundraiser was for a breakfast held from 8:00 until 9:30 AM. d. A $250 contribution was requested for attendance at the event. e. The flyer was not reproduced or distributed though Roberts' Legislative Office. 32. The calendar book for Scott's Grille confirmed a fundraiser event was held for Larry Roberts on May 8, 2001. a. The event was a breakfast scheduled for 8:00 a.m. to 9:30 a.m. in the main dining room. b. The contact person listed was Carla (Codd). Roberts, 05 -026 Page 9 c. The contact telephone number was 783 -1359, the number of Roberts' Capitol office. 33. Codd was employed as a Legislative Assistant 11 for the Pennsylvania House of Representatives and had worked for Larry Roberts for approximately 13 years. a. Codd's office was located at 123B East Wing of the Main Capitol Building in Harrisburg, PA 17120, the location of Roberts' Capitol Office. b. Codd's normal work hours were 8:30 AM until 4:30 PM Monday through Friday including one hour for lunch. c. Codd prepared flyers for the breakfast fundraisers held for Roberts on her state computer at the office. 1. The flyers were prepared sometime between 8:30 AM and 4:30 PM on a regular workday and each took approximately 10 minutes to complete. 2. The flyers were made for breakfast fundraisers held at Scotts Grille and the 501 Club. d. Codd was asked by Roberts to prepare the flyers and Roberts also reviewed and approved the flyers once completed. 1 Roberts asked Codd to deliver the flyers to the House Democratic Campaign Headquarters on Third Street in Harrisburg where they were reproduced and distributed. e. Codd was asked by Roberts to make arrangements for the breakfast fundraisers through telephone conversations with Roberts when he called into the office. f. Codd contacted the Managers of the 501 Club and Scotts Grille for the breakfast fundraisers held for Roberts from her state office telephone. 1. Codd's telephone number was 717- 783 -1359, Roberts' Capitol Office number. g. Roberts also asked Codd on more than one occasion to file his nominating petitions at the State Election Bureau in Harrisburg. 1. The nominating petitions were picked up by Codd from Roberts at his Capitol Office. 2. Codd took personal leave to file nominating petitions and was compensated by Roberts with $100 for campaign - related work performed by her. 34. During the re- election campaigns of 2002 and 2004, nominating petitions and campaign finance reports were dropped off at Roberts' District Office. 35. Marsha J. Heinbaugh, a Notary Public since1992 from Uniontown, has notarized nominating petitions and campaign finance reports for Roberts during his re- election campaigns for State Representative. a. During the primary election of 2002 Heinbaugh notarized Roberts' Roberts, 05 -026 Page 10 nominating petitions at Roberts' district office in Uniontown. 1. Heinbaugh spent approximately one hour completing the task. b. During the primary election of 2004, Heinbaugh notarized Roberts' nominating petitions from her office in Uniontown and delivered them to Doris Perno at Roberts' district office in Uniontown. 1. Heinbaugh went to Roberts' district office on three occasions during the month of February 2004 with the nominating petitions. 36. Two individuals who circulated nominating petitions for Roberts returned them to Roberts at the district office in Uniontown. 37. Roberts had nominating petitions and campaign finance reports notarized by Kelly Minito, a Notary Public in Harrisburg. a. Minito is employed as a Legislative Assistant for the Pennsylvania House of Representatives in Harrisburg. 1. Minito is employed in the Harrisburg office of Representative William Keller. b. Being a notary public was not a requirement for Minito's position with the House of Representatives. c. Roberts asked Minito to notarize nominating petitions and campaign finance reports for him. d. Minito notarized nominating petitions and campaign finance reports for Roberts in the outer office" which connects Roberts' Capitol office with Representative Keller. 38. Minito notarized 10 nominating petitions for Roberts on February 10, 2004, and campaign expense reports were notarized for Roberts on April 12, 2004, and May 24, 2004. 39. Roberts filed the campaign finance reports with the Pennsylvania Department of State using the fax machine in his district office. a. Roberts faxed the reports to the Bureau of Elections fax number 717 -705- 0721. b. The reports reflect the fax from (724) 439 -7928, Roberts' district office fax number. 40. From 2000 through 2004 Roberts' district office fax machine was used, on nine occasions, to transmit campaign contribution reports of 24 pages with the Bureau of Elections. 41. On March 25, 2002, and March 8, 2004, House Parliamentarian Clancy Myer issued a memos [sic] to House members regarding the use of facilities and /or employees as follows: "Members are advised that no legislative facilities or supplies are to be utilized for re- election purposes. Also, if any legislative staff assists with campaign functions, they cannot do so during normal work hours unless leave time is appropriately Roberts, 05 -026 Page 11 deducted. This assistance cannot take place in either your Harrisburg or district office." 42. In 2002 and 2004 Roberts provided e-mails and memos to his staff advising them that no one was allowed to do campaign work in any of his legislative offices or while they were being paid to do legislative work. a. Roberts issued memos dated February 23, 2002, and March 21, 2004, advising staff not to do campaign work from his legislative office or while they were being paid to do legislative work. 1. The memos from Roberts further provided that if his staff felt compelled to do campaign work then it should be done on their own time and somewhere other than his legislative offices. 2. Roberts obtained the signatures of his employees on the March 8, 2004, memo as proof of their acknowledgement. 43. Roberts' campaign finance reports from 2000 to 2005 show payments to his legislative employees for campaign work performed by them. 44. During the primary campaign of 2004, Roberts and his opponent Tim Mahoney challenged the signatures that appeared on each other's nominating petitions. 45. Roberts used district office staff and equipment to send letters to constituents requesting their support during the 2004 primary. 46. Campaign Letters were sent out by Larry Roberts, or at his direction, on February 27, 2004, advising his constituents that even though they signed Mahoney's nominating petition, Roberts was asking for their support in his campaign. a. The letters had the reference initials at the bottom of the page of LR /dlp. 1. The initials dlp are for Roberts' Legislative Aide Doris L. Perno. 2. The letters were typed by Perno on her state computer at Roberts' district office. III. DISCUSSION: As the State Representative for the 51 District of the Commonwealth of Pennsylvania from 1993 through December 2006, Respondent Larry Roberts (hereinafter also referred to as "Respondent," "Respondent Roberts," or "Roberts ") 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 allegations are that Respondent Roberts violated Section 1103(a) of the Ethics Act when he used the authority of his office for a private pecuniary gain for himself and /or his reelection campaign, including but not limited to using district and capitol office employees, office space, and equipment in furtherance of his reelection campaign. 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 Roberts, 05 -026 Page 12 65 Pa.C.S. § 1103(a). employee shall engage in conduct that constitutes a conflict of interest. The term "conflict of interest" is defined in the Ethics Act as follows: § 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. 65 Pa.C.S. § 1102. 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. Roberts served as the State Representative for the 51 District of the Commonwealth of Pennsylvania from 1993 through December 2006. Since 1992, Roberts maintained a legislative district office at 31A Connellsville Street, Uniontown, PA 15401 (hereinafter also referred to as the "Uniontown District Office "). Since at least 1998, Roberts maintained a legislative district office at 1402 Memorial Boulevard, Connellsville, PA 15425 (hereinafter also referred to as the "Connellsville District Office "). Roberts also maintained an office at the State Capitol at 123B East Wing, Harrisburg, PA 17120 (hereinafter also referred to as the "Capitol Office "). Roberts leased the Uniontown District Office from Colonial Union, Inc. From February 1993 forward, the lease provided that Roberts was only leasing 600 square feet of office space plus shared use of the restroom and coffee room. The facility housing the Uniontown District Office also contained another space known as Rear 31A Connellsville St., Uniontown, PA 15401 (hereinafter also referred to as "Rear 31A Connellsville Street "), consisting of approximately 550 square feet. Commencing prior to 1998, Roberts utilized both the Uniontown District Office space and the space at Rear 31A Connellsville Street. The two spaces were connected by a hallway. On December 1, 2004, Roberts entered into a sublease agreement with Edward Roberts, 05 -026 Page 13 McKee, one of the principals of Colonial Union, Inc., for Rear 31A Connellsville Street. This lease is the only existing record of a signed agreement between Roberts and McKee for the sublease of Rear 31A Connellsville Street. The term of the lease was to begin December 1, 2004, and end November 30, 2006. The monthly rent was $100. Under the terms of the lease, members of the public were not permitted in Rear 31A Connellsville Street under any circumstance. Roberts could only use the area for personal use. Roberts never made any payments to McKee for use of Rear 31A Connellsville Street. McKee did not request payments but required Roberts to allow him access to the space to service mechanical equipment. Part of the space of Rear 31A Connellsville Street was used to store legislative materials and equipment. There was no separate mailing address for Rear 31A Connellsville Street. All mail and deliveries for Rear 31A Connellsville Street were made to Roberts' Uniontown District Office. All faxes for Rear 31A Connellsville Street were transmitted to Roberts' Uniontown District Office fax number. The telephone lines and computer lines for Roberts' Uniontown District Office were connected to Rear 31A Connellsville Street. From 2000 through 2006, Roberts' monthly rent for the Uniontown District Office was paid by the Chief Clerk's Office for the Pennsylvania House of Representatives from Roberts' Expense Voucher Reconciliation Account, as detailed in Fact Finding 7 c. From 2000 until 2004, Roberts did not lease separate campaign facilities. Roberts utilized his home as campaign headquarters prior to 2004. From 2000 through 2004, the office space, equipment, and employees of Roberts' Uniontown District Office were used by vendors as contact /delivery points for Roberts' election /campaign related materials. Contacts with the vendors were at times initiated through the Uniontown District Office by either Roberts or employees of the Uniontown District Office using the telephone in the Uniontown District Office. At times, the Uniontown District Office staff met with vendors and arranged purchases related to Roberts' campaigns. Roberts received deliveries of various campaign related materials and invoices for such materials at his Uniontown District Office. According to Paragraph 3 a of the Consent Agreement, quoted below, the Uniontown District Office personnel moved deliveries from the District Office space to the adjacent space at Rear 31A Connellsville Street. During Roberts' re- election years of 2000, 2002 and 2004, vendor Connellsville Printing billed Roberts at the Uniontown District Office on three occasions for campaign flyers and envelopes. On these three occasions, contacts by Connellsville Printing were made through the Uniontown District Office. Proofs of artwork for Roberts' campaign material were faxed to the Uniontown District Office fax number. The finished product was delivered to the Uniontown District Office. Vendor W. H. Farewell Company provided campaign services to Roberts in 2000, 2003, and 2004. Some of Roberts' campaign work with W.H. Farewell Company was arranged through Doris Perno, an employee in the Uniontown District Office, by way of telephone. The W.H. Farewell invoices showed Roberts' home address for billing and shipping purposes. However, on several occasions, deliveries of finished campaign material were made to the Uniontown District Office. In April 2002 vendor Upper Room, Inc. invoiced Roberts for campaign signs. The arrangements for this work were made through Doris Perno and Roberts. The invoices used the Uniontown District Office address. The contact for this work was the Uniontown District Office telephone number. In 2002 vendor Mark IV Office Supply Company billed Roberts for the preparation of Roberts, 05 -026 Page 14 campaign material including candidate cards and envelopes relative to Roberts' 2002 re- election campaign. The invoices for this work were addressed to the Uniontown District Office. The campaign material was delivered to the Uniontown District Office during normal business hours. In 2002, Roberts made a campaign related purchase from vendor Capitol Promotions, Inc., in Glenside, Pennsylvania. The invoice from Capitol Promotions, Inc. was addressed to Roberts at the Uniontown District Office. The campaign material was shipped to Roberts at the Uniontown District Office and was received there during normal business hours. In 2004, Roberts and /or Uniontown District Office staff person Tony Perno purchased campaign envelopes from vendor Kwik Tickets. The order sheet for the campaign envelopes listed Tony Perno as the contact, together with the Uniontown District Office telephone number and fax number. The order sheet and subsequent invoice listed Roberts' residence as the billing and shipping address. The owner of Kwik Tickets faxed an artist's work of the campaign envelopes that he was going to provide to Roberts to the fax number at the Uniontown District Office. On three occasions in 2004, vendor Tru -Copy Printing billed Roberts at the Uniontown District Office for campaign related material. In addition to using the Uniontown District Office staff and equipment /facilities for campaign related deliveries, Roberts also used a Capitol Office employee to arrange certain campaign related fundraising events. Specifically, in 2001 and 2004, Carla Codd ( "Codd "), a Legislative Aide in Roberts' Capitol Office, made arrangements and served as a contact person for two fundraising events held by Roberts at Scott's Grille and the 501 Downtown Club. The Scott's Grille fundraiser was held on May 8, 2001. The 501 Downtown Club fundraiser was held on March 16, 2004. The restaurant records for both events listed "Carla," meaning Carla Codd, as the contact person and the Capitol Office telephone number as the contact number. Roberts asked Codd to make arrangements for the aforesaid fundraisers. Codd made the arrangements for the fundraisers using the Capitol Office telephone. Roberts also asked Codd to prepare flyers for the aforesaid fundraisers. Codd prepared flyers for the fundraisers on her state computer at the Capitol Office. The flyers were prepared sometime between 8:30 AM and 4:30 PM on a regular workday and each took approximately 10 minutes to complete. Roberts reviewed and approved the flyers once completed. Roberts asked Codd to deliver the flyers to the House Democratic Campaign Headquarters on Third Street in Harrisburg, where the flyers were reproduced and distributed. Roberts also asked Codd on more than one occasion to file his nominating petitions at the State Election Bureau in Harrisburg. The nominating petitions were picked up by Codd from Roberts at the Capitol Office. Codd took personal leave to file the nominating petitions and was compensated by Roberts with $100 for campaign - related work performed by her. During Roberts' re- election campaigns of 2002 and 2004, nominating petitions and campaign finance reports were dropped off at the Uniontown District Office. During the primary election of 2002, Notary Public Marsha J. Heinbaugh notarized Roberts' nominating petitions at the Uniontown District Office. This task took approximately one hour to complete. During the primary election of 2004, Heinbaugh notarized Roberts' nominating petitions from her office in Uniontown and delivered them to Doris Perno at the Uniontown Roberts, 05 -026 Page 15 District Office. Roberts also had nominating petitions and campaign finance reports notarized by Kelly Minito, a Notary Public employed as a Legislative Assistant in the Harrisburg office of Representative William Keller. Minito notarized 10 nominating petitions for Roberts on February 10, 2004. Minito notarized campaign expense reports for Roberts on April 12, 2004, and May 24, 2004. The stipulated findings also include occasional other uses of office staff and equipment for Roberts' campaign related purposes. In 2002 and 2004 Roberts provided e-mails and memos to his staff advising them that no one was allowed to do campaign work in any of his legislative offices or while they were being paid to do legislative work. See, Fact Findings 41, 42 and 42 a. The memos stated that if staff felt compelled to do campaign work, then it should be done on their own time and somewhere other than Roberts' legislative offices. Roberts obtained the signatures of his employees on one such memo, as proof of acknowledgement. Roberts' campaign finance reports from 2000 to 2005 show payments to his legislative employees for campaign work performed by them. 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 allegations as follows: 3. The Investigative Division will recommend the following in relation to the above allegations: a. That a technical violation of Section 1103(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1103(a) occurred when, during the years 2000 through 2004, vendors occasionally sent to Roberts' Connellsville Street, Uniontown District Office address campaign related envelopes, stationery and flyers. Although Roberts occupied an adjacent portion of space in this office under a separate private lease, the District Office telephone and fax machine were used to communicate with these vendors and office personnel moved deliveries from the District Office space to the adjacent private space. b. That no violation of Section 1103(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1103(a) occurred in relation to the utilization of Roberts' Connellsville District Office for election related purposes as no such use occurred. c. That a violation of Section 1103(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1103(a) occurred when an employee in Roberts' Capitol Office facility made arrangements, on two separate occasions, to reserve a room at a restaurant for the purpose of conducting a political fundraising events [sic] utilizing the Capitol Office facility and telephone as a contact point. Roberts, 05 -026 Page 16 d. That no violation of Section 1103(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1103(a) occurred in relation to the utilization of a Capitol Office employee assigned to another legislator to notarize several nominating petitions and campaign finance expense reports and in relation to the delivery of nominating petitions and notarizing thereof, as well as the notarization of campaign finance expense reports inside Roberts' Uniontown District Office facility, as such activity was de minimis in nature. 4. The parties agree that the pecuniary benefit from these actions is impossible to calculate with any degree of precision but Roberts agrees to make payment in the amount of $600.00 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. Consent Agreement, at 1 -2. In considering the Consent Agreement, we accept the recommendation of the parties that a technical violation of Section 1103(a) of the Ethics Act occurred when, during the years 2000 through 2004, vendors occasionally sent to Roberts' Uniontown District Office address campaign related envelopes, stationery and flyers. The element of use of authority of office is established by the following facts. From 2000 until 2004, Roberts did not lease separate campaign facilities. During the years 2000 through 2004, contacts and arrangements with vendors for Roberts' campaign related materials were at times made through the Uniontown District Office by either Roberts or employees of the Uniontown District Office using the telephone in the Uniontown District Office. Roberts received billings and deliveries of campaign related materials at the Uniontown District Office. Although Roberts occupied an adjacent portion of space, Rear 31A Connellsville Street, under a separate private lease, the Uniontown District Office telephone and fax machine were used to communicate with these vendors, and according to paragraph 3 a of the Consent Agreement, Uniontown District Office personnel moved deliveries from the Uniontown District Office space to the adjoining space at Rear 31A Connellsville Street. A State legislator is prohibited from using legislative office staff or equipment /facilities for private purposes, including campaign purposes. See, Lynch, Order 1334; Habay, Order 1313; Freind, Order 800. Roberts' use of the staff, equipment and facilities of the Uniontown District Office for arranging for and accepting deliveries of campaign related materials resulted in a private pecuniary benefit to Roberts, consisting of savings of expenses that would otherwise have been incurred by Roberts or his campaign for separate campaign facilities and staffing or other arrangements for ordering and accepting delivery of campaign related materials. Accordingly, we hold that a technical violation of Section 1103(a) of the Ethics Act Roberts, 05 -026 Page 17 occurred when, during the years 2000 through 2004, vendors occasionally sent to Roberts' Uniontown District Office address campaign related envelopes, stationery and flyers. No violation of Section 1103(a) of the Ethics Act occurred in relation to any alleged utilization of Roberts' Connellsville District Office for election related purposes, as no such use occurred. We accept the parties' recommendation that a violation of Section 1103(a) of the Ethics Act occurred in 2001 and 2004, when Carla Codd, a Legislative Aide in Roberts' Capitol Office, made arrangements on two separate occasions to reserve a room at a restaurant (Scott's Grille in 2001, and the 501 Downtown Club in 2004) for the purpose of conducting a political fundraising event utilizing the Capitol Office facility and telephone as a contact point. Roberts used the authority of office when he asked Codd to make arrangements and prepare flyers for the aforesaid fundraisers. Codd made the arrangements for the fundraisers using the Capitol Office telephone. Codd prepared flyers for the fundraisers on her state computer at the Capitol Office. Roberts received a private pecuniary benefit by using Codd and the Capitol Office facilities to arrange the fundraisers and prepare the flyers, without expense to himself or his campaign. We hold that a violation of Section 1103(a) of the Ethics Act occurred when an employee in Roberts' Capitol Office made arrangements on two separate occasions in 2001 and 2004 to reserve a room at a restaurant for the purpose of conducting a political fundraising event utilizing the Capitol Office facility and telephone as a contact point. We agree with the parties that no violation of Section 1103(a) of the Ethics Act occurred in relation to the utilization of a Capitol Office employee (Kelly Minito) assigned to another legislator to notarize several nominating petitions and campaign finance expense reports and in relation to the delivery of nominating petitions and the notarizing thereof, as well as the notarization of campaign finance expense reports inside Roberts' Uniontown District Office facility, as such activity was de minimis in nature. Although we do not condone even minimal uses of government staff and facilities for campaign purposes, it is appropriate that we find no violation as to such activities having a de minimis economic impact given the "de minimis" exception to the definition of "conflict" or "conflict of interest." 65 Pa.C.S. § 1102; cf., Confidential Opinion, 05 -001; Dennis, Opinion 07 -003. The parties agree that the pecuniary benefit resulting from the aforesaid technical violation and violation of Section 1103(a) of the Ethics Act is impossible to calculate with any degree of precision. However, Roberts has agreed to make payment in the amount of $600 in settlement of this matter payable to the Commonwealth of Pennsylvania and forwarded to this Commission within thirty (30) days of the issuance of the final adjudication in this matter. 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, per the Consent Agreement of the parties, Roberts is directed to make payment in the amount of $600 in settlement of this matter, payable to the Commonwealth of Pennsylvania and forwarded to 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: Roberts, 05 -026 Page 18 1. As the State Representative for the 51 District of the Commonwealth of Pennsylvania from 1993 through December 2006, Respondent Larry Roberts ( "Roberts ") 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. 2. A technical violation of Section 1103(a) of the Ethics Act occurred when, during the years 2000 through 2004, vendors occasionally sent to Roberts' Uniontown District Office address campaign related envelopes, stationery and flyers. 3. No violation of Section 1103(a) of the Ethics Act occurred in relation to any alleged utilization of Roberts' Connellsville District Office for election related purposes, as no such use occurred. 4. A violation of Section 1103(a) of the Ethics Act occurred when an employee in Roberts' Capitol Office made arrangements on two separate occasions in 2001 and 2004 to reserve a room at a restaurant for the purpose of conducting a political fundraising event utilizing the Capitol Office facility and telephone as a contact point. 5. No violation of Section 1103(a) of the Ethics Act occurred in relation to the utilization of a Capitol Office employee assigned to another legislator to notarize several nominating petitions and campaign finance expense reports and in relation to the delivery of nominating petitions and the notarizing thereof, as well as the notarization of campaign finance expense reports inside Roberts' Uniontown District Office facility, as such activity was de minimis in nature. In Re: Larry Roberts, Respondent ORDER NO. 1435 File Docket: 05 -026 Date Decided: 3/27/07 Date Mailed: 4/11/07 1 A technical violation of Section 1103(a) of the Ethics Act occurred when, during the years 2000 through 2004, vendors occasionally sent to State Representative Larry Roberts' Uniontown District Office address campaign related envelopes, stationery and flyers. 2. No violation of Section 1103(a) of the Ethics Act occurred in relation to any alleged utilization of Roberts' Connellsville District Office for election related purposes, as no such use occurred. 3. A violation of Section 1103(a) of the Ethics Act occurred when an employee in Roberts' Capitol Office made arrangements on two separate occasions in 2001 and 2004 to reserve a room at a restaurant for the purpose of conducting a political fundraising event utilizing the Capitol Office facility and telephone as a contact point. 4. No violation of Section 1103(a) of the Ethics Act occurred in relation to the utilization of a Capitol Office employee assigned to another legislator to notarize several nominating petitions and campaign finance expense reports and in relation to the delivery of nominating petitions and the notarizing thereof, as well as the notarization of campaign finance expense reports inside Roberts' Uniontown District Office facility, as such activity was de minimis in nature. 5. Per the Consent Agreement of the parties, Roberts is directed to make payment in the amount of $600 in settlement of this matter, payable to the Commonwealth of Pennsylvania and forwarded to 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 Commissioner Paul M. Henry did not participate in this decision. Commissioner Nicholas A. Colafella did not participate in this matter. Name, Case # Page 20