A Manual for Local Government Officials Solicitor’s Handbook > ready > set > succeed newPA.com Solicitor's Handbook ThirdEdition April2003 Commentsorinquiriesonthesubjectmatterofthispublicationshouldbeaddressedto: Governor’sCenterforLocalGovernmentServices DepartmentofCommunity andEconomicDevelopment CommonwealthKeystoneBuilding 400NorthStreet,4thFloor Harrisburg,Pennsylvania17120-0225 (717)787-8158 1-888-223-6837 E-mail:[email protected] Thisandotherpublicationsareavailableforviewingordownloadingfree-of-chargefromheDepartmentof Community andEconomicDevelopmentwebsite.Printedcopiesmay beorderedandpurchasedthrougha privatevendorasindicatedonthewebsite. Accesswww.inventpa.com SelectCommunitiesinPA SelectLocalGovernmentServices SelectPublications PhotoCredits LargePhoto:Perry County Courthouse,courtesy ofthePerry County CommissionersandtheCounty CommissionersAssociationofPennsylvania. SmallRoadProjectPhoto:Courtesy ofthePennsylvaniaStateAssociationofTownshipSupervisors. Noliability isassumedwithrespecttotheuseofinformationcontainedinthispublication.Lawsmay be amendedorcourtrulingsmadethatcouldaffectaparticularprocedure,issueorinterpretation.TheDepartment ofCommunity andEconomicDevelopmentassumesnoresponsibility forerrorsandomissionsnorany liability fordamagesresultingfromtheuseofinformationcontainedherein.Pleasecontactyourlocalsolicitor forlegaladvise. PreparationofthispublicationwasfinancedfromappropriationsoftheGeneralAssembly ofthe CommonwealthofPennsylvania. Copyright©2003,PennsylvaniaDepartmentofCommunity andEconomicDevelopment,allrightsreserved. Foreword Duetotheway Pennsylvania’slocalgovernmentsystemhasevolved,theCommonwealthtoday hasalarge numberofvery smalllocalgovernments. Morethan80percentofPennsylvania’smunicipalitieshavepopula- tionsunder5,000,asizegenerally acceptedasthepointwherefull-timemunicipalmanagementbecomes feasible. Thesesmallmunicipalitiesareably servedby dedicatedelectedandappointedofficials. Forthemost part,they areconscientiousinlearningandperformingtheircivictasks. Largenumbersofthemtakeadvan- tageoftrainingandeducationprogramsofferedthroughtheGovernor’sCenterforLocalGovernmentServices andtheseveralmunicipalassociations. Butfromtimetotimetheoccasionariseswhenprofessionaladviceand expertiseisneededonthespot. Theonly professionalsourceofassistancereadily athandinmany placesis themunicipalsolicitor. Becauseofthepivotalroleofthesolicitorasthefirstrecourseinrenderingtechnicalassistancetomunicipal officials,keepingsolicitorsuptodateonmunicipallawtakesonacriticalperspectivefortheeffective functioningoflocalgovernments. Periodically,colloquiumsareofferedby theMunicipalLawSectionofthe PennsylvaniaBarInstituteandtheproceedingspublishedby PBI. Thispublicationwasconceivedasanintro- ductionforattorneysnewtomunicipallawpractice. Projectplanningwasdoneby GeorgeM.AmanIII,Chair oftheMunicipalLawSection,PBI,CounseltothePennsylvaniaMunicipalAuthoritiesAssociationandofthe firmofHigh,Swartz,Roberts&Seidel,NorristownandThomasL.Wenger,SolicitortothePennsylvania StateAssociationofTownshipSupervisors,andofthefirmofWix,Wenger&Weidner,Harrisburg. IndividualchaptersoftheHandbookhavebeenpreparedby practicingmunicipalsolicitorswithparticular expertiseinthefieldonwhichthey arewriting. Infutureeditions,additionalchapterswillbeaddedtocover subjectareasnottreatedinthisedition. TheGovernor’sCenterforLocalGovernmentServiceswouldliketo extenditsappreciationtotheeditorsandauthorsofthevariouschaptersforcontributingtheirtimeandexper- tisetothispublication. Thematerialincludedinthispublicationisforthepurposeofprovidinggeneralinformationonsubjectareasof municipallaw. Statementsdonotrepresentlegalopiniononany particularissue,eitherby theauthororby the DepartmentofCommunity andEconomicDevelopment. Any viewpointsexpressedwithintheindividual chaptersaresolely thoseoftheauthor. They donotrepresentpositionsorpolicy oftheDepartment. Table of Contents I. MunicipalCodesandOtherEnabling V. EnforcingOrdinances ................ 15 Statutes;HomeRule................... 1 JoseleCleary BlakeC.Marles Morgan,Hallgren,Crosswell&Kane StevensandLee P.O.Box4686 190BrodheadRoad,Suite200 Lancaster,PA17604 P.O.Box20830 717-299-5251 LehighValley,PA 18002-0830 VI. PublicOfficialandEmployee 610-997-5060 EthicsLaw ......................... 19 [email protected] JohnJ.Contino,ExecutiveDirector II. ConstitutionalProvisions. .............. 5 StateEthicsCommission ThomasL.Wenger Room309FinanceBuilding Wix,WengerandWeidner P.O.Box11470 P.O.Box845 Harrisburg,PA17108-1470 Harrisburg,PA17108-0845 717-783-1610 717-234-4182 [email protected] [email protected] VII. EthicalConsiderationsfortheSolicitor..34 III. IntergovernmentalCooperation ........10 GeorgeM.AmanIII GeorgeM.AmanIII High,Swartz,Roberts&Seidel High,Swartz,Roberts&Seidel 40EastAiryStreet 40EastAiryStreet Norristown,PA19404 Norristown,PA19404 610-275-0700 610-275-0700 [email protected] [email protected] VIII. MunicipalTortLiability ............. 38 PeterJ.TaylorandMonica Maghrak RobertL.Knupp MurphyTaylorP.C. Knupp,Kodak&IngramP.C. 326ThirdAvenue P.O.Box11848 Pittsburgh,PA15222 407NorthFrontStreet 412-255-0200 Harrisburg,PA17108 [email protected] 717-238-7151 IX. InsuranceandRiskManagement ......45 [email protected] NancyE.Campbell IV. MeetingsandRecords ................ 12 Campbell,Nolan&Daly NormanE.Dettra,Jr.,Esquire 1500MarketStreet JoanE.London,Esquire Philadelphia,PA19102 KozloffStoudt,ProfessionalCorporation 215-446-7300 2640WestviewDrive P.O.Box6286 Wyomissing,PA19610 (610)670-2552 [email protected] X. IntroductiontoLaborLaw ............ 47 XVI. MunicipalInvestments................ 85 TimothyP.O’ReillyandMeganR.Ford DavidUnkovic Morgan,Lewis&BockiusLLP SaulEwingLLP 1701MarketStreet 1500MarketStreet,38thFloor Philadelphia,PA19103-2921 Philadelphia,PA19102-2186 215-963-5000 215-972-7777 [email protected] [email protected] XI. EmploymentLaw:IndividualRights ...55 XVII. MunicipalRetirementPlans........... 88 ThomasD.Rees DavidG.Knerr,Esquire High,Swartz,Roberts&SeidelLLP P.O.Box3556 40EastAiryStreet Allentown,PA18106-0556 Norristown,PA19404 610-965-3835 610-275-0700 [email protected] [email protected] XVIII.AuditsandSurcharges ............. 109 XII. PoliceRegionalization ................ 61 JohnR.Morgan,Lawyer JonathanMark 116-118WarrenStreet ResortsUSA,Inc. Tunkhannock,PA18657 Route209 570-836-3170 P.O.Box447 XIX. CollectingMunicipalAccounts .......111 Bushkill,PA 18324 GeorgeM.AmanIII 570-588-6661 High,Swartz,Roberts&Seidel [email protected] 40EastAiryStreet XIII. MunicipalProcurement .............. 67 Norristown,PA19404 StevenA.Stine 610-275-0700 23WaverlyDrive [email protected] Hummelstown,PA 17036 XX. CollectingMunicipalAccountsin 717-903-1268 BankruptcySituations ............... 114 [email protected] RobertL.Knupp XIV.MunicipalBorrowing ................. 73 Knupp,Kodak&IngramP.C. GeorgeM.AmanIII P.O.Box11848 High,Swartz,Roberts&Seidel 407NorthFrontStreet 40EastAiryStreet Harrisburg,PA17108 Norristown,PA19404 717-238-7151 610-275-0700 [email protected] [email protected] XXI. MunicipalAuthorities .............. 118 XV. EminentDomain .................... 78 GeorgeM.AmanIII MarcS.Drier,Esquire High,Swartz,Roberts&Seidel Drier&DieterLawOffices 40EastAiryStreet 227AlleghenyStreet Norristown,PA19404 JerseyShore,PA17740 610-275-0700 570-398-2020 [email protected] XXII.ThePlanningCommissionand XXVIII.MunicipalSolidWaste TheComprehensivePlan............. 126 andRecycling ...................... 156 DavidR.Getz,Esquire RobertL.Collings Wix,Wenger&Weidner SchnaderHarrisonSegal&LewisLLP 508NorthSecondStreet Suite3600,1600MarketStreet Harrisburg,PA17108-0845 Philadelphia,PA19103-7286 717-234-4182 215-751-2074 [email protected] [email protected] XXIII.Zoning ........................... 130 XXIX.StormwaterManagement............ 161 JohnL.Hall RobertL.Collings Unruh,Turner,Burke&Frees,P.C. SchnaderHarrisonSegal&LewisLLP 17WestGayStreet Suite3600,1600MarketStreet P.O.Box515 Philadelphia,PA19103-7286 WestChester,PA19381-0515 215-751-2074 (610)692-1371 [email protected] [email protected] XXX.MunicipalWaterSupply ............ 167 XXIV.Reserved MarkE.Goldberg(deceased) Revisedforthe3rdeditionby: XXV.ZoningHearingBoards .............. 134 GeorgeM.AmanIIIandKennethR.Myers HarryL.McNeal,Jr.,Attorney-at-Law High,Swartz,Roberts&Seidel 34EastPrincessStreet 40EastAiryStreet York,PA17403 Norristown,PA 19404 717-848-1308 610-275-0700 [email protected] [email protected] XXVI.SubdivisionandLandDevelopment [email protected] Ordinances ........................ 145 XXXI.PennsylvaniaRoadLaw JamesH.Roberts andRelatedIssues .................. 172 EckertSeamansCherin&Mellott,LLC JamesR.Mall 600GrantStreet,44thFloor Meyer,Unkovic&Scott Pittsburgh,PA15219 1300OliverBuilding 412-566-6000 Pittsburgh,PA15222 [email protected] 412-456-2832 XXVII.SewageFacilitiesPlanning [email protected] AndOn-LotSewageDisposal ......... 151 XXXII.LandRecycling:Pennsylvania’s JoseleCleary VoluntaryCleanupStatute ........... 179 Morgan,Hallgren,Crosswell&Kane RobertL.Collings P.O.Box4686 SchnaderHarrisonSegal&LewisLLP Lancaster,PA17604 Suite3600,1600MarketStreet 717-299-5251 Philadelphia,PA19103-7286 215-751-2074 [email protected]. I. Municipal Codes and Other Enabling Statutes; Home Rule BlakeC.Marles Stevens&Lee 190BrodheadRoad,Suite200 P.O.Box20830 LehighValley,PA18002-0830 610-997-5060 [email protected] Inevery respect,municipalentitiesinPennsylvaniaarecreaturesofstatute. ThePennsylvaniaConstitution empowersthestatelegislaturetoclassify counties,cities,boroughsandtownshipsby population1andrequires ittoprovideforlocalgovernments“by generallaw.”2 Themannerinwhichthelegislaturehasfulfilledthose dutiesformsthebasisforthelocalgovernmentstructureswithwhichwearefamiliar. Dillon’s Rule Justasthemunicipalitiesarecreaturesofstatute,theirpowersarelimitedby statute. Municipalgovernments possessnosovereignpowerorauthority,andexistprincipally toactastrusteesfortheinhabitantsoftheterri- tory they encompass.3 Theirlimitedpowerandauthority iswholly withinthecontrolofthelegislature,which hasthepowertomoldthem,altertheirpowersorevenabolishtheirindividualcorporateexistences. The clearestjudicialstatementofthelimitationsstatutorily imposedonmunicipalitiesisknownasDillon'sRule, andisderivedfromanearly municipalhornbookentitled DillononMunicipalCorporations. Theruleisoften expressedasfollows: Nothingisbettersettledthanthatamunicipality doesnotpossessandcannotexerciseany otherthanthe followingpowers:1)thosegrantedinexpresswords;2)thosenecessarily orfairly impliedinorincidenttothe powersexpressly granted;and3)thoseessentialtothedeclaredobjectsandpurposesofthecorporation,not simply convenientbutindispensable. Any fair,reasonabledoubtastotheexistenceofpowerisresolvedby the courtsagainstthecorporationandthereforedenied.4 TheclearstatementofDillon'sRulesustainedgenerationsofmunicipallawyers,lendingcertainty totheadvice they gavetoclients. General Powers Clauses Contemporary solicitorsfindsuchcertainty difficultforseveralreasons. First,theGeneralAssembly has,in thelatterpartofthiscentury,enactedmunicipalcodeprovisionswithexpansivelanguagenoteasily interpreted usingaDillon-typeanalysis. Forexample,allmunicipalcodesnowcontain“generalpowers”language allowingmunicipalities: Tomakeandadoptallsuchordinances,by-laws,rulesandregulationsnotinconsistentwithorrestrainedby theConstitutionandlawsofthisCommonwealth,asmay bedeemedexpedientornecessary fortheproper management,careandcontrolofthe[municipality]anditsfinances,andthemaintenanceofpeace,good governmentandwelfareofthe[municipality]anditstrade,commerceandmanufacturers.5 1 Howdoesonereconcilethelegislature'sdeterminationthatallmunicipalitiesshouldbeabletoaccomplishnot only whatisnecessary,butalsowhatisexpedient,withDillon'schargethatmunicipalitiesshouldbedenied powersthatare“simply convenient”ifthosepowersaren'tindispensable? Somecommentatorssuggestthattheseadditionstothevariousmunicipalcodeshaveimpliedly repealed Dillon'sRule,6 butthePennsylvaniacourtshavenotgenerally adoptedthatreasoning.7 Home Rule Law Asecond,morefrontalassaultagainstDillon'sRulelimitationsfindssubstanceina1968amendmenttothe PennsylvaniaConstitution,whichauthorizesmunicipalitiestoadopthomerulecharters.8 Thisamendment expressly allowsahomerulechartermunicipality to“exerciseany powerorperformany functionnotdenied by [the]Constitution,by itshomerulecharterorby theGeneralAssembly atany time.” Obviously,ahome rulecharterturnsDillon'sRuleonitshead. Questionsconcerningpowerandauthority aretoberesolvedin favorofahomerulemunicipality,whilethehistoricpresumptionisagainstallothermunicipalitiespossessing suchpowerandauthority. The1968HomeRuleAmendmenttotheConstitutionwasfinally embodiedinlegislationwiththe1972 passageoftheHomeRuleCharterandOptionalPlansLaw,9 astatutewhichbothestablishesamechanismfor thecreationofeitheraHomeRuleCharteroranOptionalPlanforeachmunicipality,andsetsforthlimitations uponthepowerofmunicipalitieswhichchoosetoadoptaCharterorOptionalPlan.10 Thethirty-plusyearssincethepassageoftheHomeRuleCharterandOptionalPlansLawhavenotbeensuffi- cienttodevelopalargebody ofcaselawconcerningHomeRuleandOptionalPlanCommunities. Whatis apparent,however,istheCourts'ambivalenceindecidingwhethertoimposegreaterliabilitiesandresponsibil- itiesuponthosemunicipalitieswhoopttoexercisegreaterpowerandauthority.11 Municipal Codes Allmunicipalities(otherthanthoseadoptingHomeRuleChartersorOptionalPlans)followrulesandproce- duressetforthinthevariousmunicipalcodes.12 AlthoughtheseCodesdonotcreateahierarchy amongthe variousclassesofmunicipalities,13 neitherdothey createany degreeofconformity.14 Theuniqueprovisions ofeachcodewerecraftedtomeettheparticularhistoricalneedsofthetypeofcommunity itaddresses,anda municipallawyeropinestohisclientathisperilifhefailstoassurethatheisdealingwiththepropercode. Imaginetheembarrassmentofasolicitortoasecondclasstownshipwho,baseduponhisclearrecollectionof theBoroughCode,suggeststhathisclient'sgoverningbody canapproveamunicipalequipmentpurchaseafter ithasalready beenconsummated. Whileaboroughcouncilisstatutorily empoweredtograntsuchretrospec- tiveapprovals,15 aboardofsupervisorscouldbesurchargedforthevery sameaction.16 Other Statutes Unfortunately,athoroughknowledgeofthemunicipalcodesthemselvesisseldomsufficienttorendercompe- tentadvice,asmany otherPennsylvaniastatutessubstantively impactmunicipalaffairs. Forexample,thereis anadditionalbody ofstatutesgenerally codifiedintoageneralmunicipallawfoundat53P.S.§§101through 11400and§§54101through54251whichgreatly impactstheauthority ofamunicipality tooperate,and regulatesmany oftheprocedurestowhichitmustadhere. Many oftheseprovisionswillbediscussedinthe chapterswhichfollow,andtheirimpactispervasive,regulatingsuchthingsasthenatureandlimitationsupon debtwhichcanbeincurred,17 establishingproceduraldueprocessguidelines,18 creatingmunicipalclaimsand liensprocedures,19 impactingroadway activities,20 regulatinglanduseanddevelopment,21 andrequiring recyclingofsolidwaste,22 tonamejustafew. 2