Loading...
HomeMy WebLinkAbout1444 DOMBROWSKIIn Re: John Dombrowski, 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 Reverend Scott Pilarz 06 -055 Order No. 1444 10/23/07 11/7/07 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 by Respondent, and a hearing was requested by the Investigative Division. 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. Dombrowski, 06 -055 Page 2 I. ALLEGATIONS: That John Dombrowski, a public official /public employee, in his capacity as a McKean Township Supervisor and as a Member of the Sewer Authority of McKean Township, Erie County, violated Sections 1104(a) and 1104(d) of the State Ethics Act (Act 93 of 1998), 65 Pa.C.S. § §1104(a) and 1104(d) when he failed to file a Statement of Financial Interests for the 2003 calendar year by May 1, 2004, and failed to file a Statement of Financial Interests for the 2004 calendar year by May 1, 2005, and subsequently filed backdated forms for 2003 and 2004 to give the appearance the forms were timely filed; and when he failed to disclose income he received from McKean Township that was in excess of $1,300.00 on forms he filed for calendar years 2004 and 2005. II. FINDINGS: 1. John Dombrowski has served as a Supervisor for McKean Township, Erie County, since January 4, 2004. a. Dombrowski was elected to a six year term ending 12/09. 2. Dombrowski was appointed to the McKean Township Sewer Authority Board by the McKean Township Board of Supervisors on January 4, 2004, the same day that he took office as a Supervisor. a. Dombrowski was appointed to a three year term, which ended on 12/31/06. b. The McKean Township Sewer Authority Board consists of five members. c. Sewer Authority Board members are not compensated. 3. McKean Township is a Second Class Township governed by a three member Board of Supervisors. a. The supervisors are compensated in the amount of $1,875.00 per year, paid to them in quarterly installments of $468.75. b. Compensation is established by the Second Class Township Code based on the population of the township. 4. The Ethics Law requires the filing of Statements of Financial Interests by elected and appointed public officials by May 1 of each year, in accordance with Section 1104(a). a. Forms are to be filed each year a person holds public office and for one year after the person leaves office. 5. Dombrowski was required to file Statements of Financial Interests (SFI) in his positions as a Supervisor and as a Sewer Authority Board Member. 6. The State Ethics Commission annually provides blank SFI's to municipalities in the Commonwealth. a. Forms are bulk mailed to each municipality. b. The Pennsylvania State Ethics Commission contracts the printing of Statements of Financial Interests annually. Dombrowski, 06 -055 Page 3 1 The State Ethics Commission contracted with Digital Ink Printing Co. in 2003, 2004, 2005, and 2006. 2. Orders for forms are placed with the printers in December of the preceding year. 3. Forms are received by the Administrative Division of the State Ethics Commission the December before or January of the filing year. 7 Statements of Financial Interests forms were annually mailed to McKean Township in 2003, 2004, 2005 and 2006 by the printing vendor. a. The 2003 forms SEC -1, Rev. 1/2003 were bulk mailed to all municipalities in the Commonwealth, including McKean Township, on or about December 18, 2002. b. The 2004 forms SEC -1, Rev. 1/2004 were bulk mailed to all municipalities in the Commonwealth, including McKean Township, on or about December 5, 2003. c. The 2005 forms SEC -1, Rev. 1/2005 were bulk mailed to all municipalities in the Commonwealth, including McKean Township, on or about December 18, 2004. d. The 2006 forms SEC -1, Rev. 1/2006 were bulk mailed to all municipalities in the Commonwealth, including McKean Township, on or about December 19, 2005. 8. Each year when forms are printed, a form identification number is listed in the upper left hand corner of the form. a. Forms printed for 2003 contained an identification number of SEC -1 1/03 while forms printed in 2004, 2005 and 2006 contained identification numbers of SEC -1/04, SEC -1 1/05, SEC -1 1/06 respectively. 9. Forms were mailed by the State Ethics Commission to McKean Township to the attention of Janice Dennis annually between 2002 and 2006. a. Janice Dennis has served as the McKean Township Secretary since at least January 2002. b. Dennis also serves as the Assistant Secretary to the McKean Township Sewer Authority. 10. Janice Dennis, McKean Township Secretary, receives the blank Statement of Financial Interests forms by mail. a. Dennis distributes the forms to the individuals who are required to file, including the supervisors, solicitor, and authority board members. b. Dennis distributes the forms to the township supervisors by inserting the forms into their respective meeting packets or mail slots in the township office, or by personally handing them the forms. c. Dennis attaches a memo to the form in which she notes that the forms are required to be filed by May 1. Dombrowski, 06 -055 Page 4 d. Dennis generally reminds individuals required to file forms at least once, verbally. e. Dennis, as the Assistant Secretary to the McKean Township Sewer Authority, distributes the forms to the authority board members. 1. The township and the sewer authority operate from the same office located at 9231 Edinboro Road, McKean, PA. 11. As Township Secretary, Janice Dennis maintains the files of the completed Statements of Financial Interests for the township and the Sewer Authority. a. Dennis date - stamps and signs the completed forms as she receives them. b. Dennis maintains the files of completed forms by year. 12. Dombrowski was aware of the requirement to annually file a Statement of Financial Interests. a. As a candidate for the office of McKean Township supervisor in 2003, Dombrowski had filed a form for calendar year 2002. 1. The form was filed with the Erie County Department of Elections on March 10, 2003, as indicated by the stamp -date, and with the township on or about the same date. b. Dombrowski was verbally reminded to file a Statement of Financial Interests as an incumbent township supervisor and authority board member on several occasions by Township Secretary Janice Dennis. 13. On May 17, 2006, a Complaint was received by the State Ethics Commission Harrisburg Office, alleging that Dombrowski, and other township officials failed to file Statements of Financial Interests with McKean Township. a. The complaint alleged that Dombrowski had failed to file for calendar years 2003, 2004, and 2005 as a McKean Township Supervisor. b. The complaint also alleged that Dombrowski had failed to file Statements of Financial Interests for calendar years 2003, 2004, and 2005 as a member of the McKean Township Sewer Authority Board. 14. On May 22, 2006, the SEC Administrative Division issued a Notice letter to Dombrowski for failing to file Statement[s] of Financial Interests for calendar years 2003, 2004 and 2005 by May 1 of 2004, 2005 and 2006 respectively. a. The letter was a Notice of Intent to Commence Civil Penalty Proceedings Pursuant to 65 Pa.C.S. §1109(f) for Delinquency of Statements of Financial Interests. 1. The letter was sent under the signature of SEC Executive Director John Contino. b. A standard twenty day grace period was provided to comply with the requirement to file. c. A blank form was provided for each year identified in the letter. Dombrowski, 06 -055 Page 5 1 In the official use only block of each blank form a handwritten notation indicated "McKean Township Sewer Authority HJ (03) Spec. Inv." aa. `HJ' is Helen Johns, an employee of the Administrative Division of the SEC Harrisburg Office. bb. The forms contained the (03)(04)(05) notations for each respective calendar year. cc. "Spec. Inv." denotes that the compliance proceedings were initiated as a result of a sworn complaint. d. Instructions were given to assist in completing the forms accurately and completely. 1. The date that the completed form was received at the township was to be stamped or noted on the form along with the name of the individual receiving the filing. 2. The yellow copy was to be filed with the governing authority of the political subdivision. 3. The white copy was to be returned to the Administrative Division of the SEC Harrisburg Office. 15. On May 26, 2006 *, Dombrowski submitted Statements of Financial Interests for calendar years 2003, 2004 and 2005 to township secretary Janice Dennis. *[This Fact Finding conflicts with Fact Finding 20 as to the filing date of the 2005 calendar year form.] a. Dombrowski filed the forms pursuant to the May 22, 2006, Notice letter. (Finding #22). b. The forms were filed in both his capacities as township supervisor and sewer authority member. 16. The white copies of the forms filed by Dombrowski were mailed and received at the SEC Harrisburg Office on 5/31/06. a. White copies of forms filed for calendar years 2003, 2004 and 2005 were received by the Administrative Division of the State Ethics Commission. 17. Statements of Financial Interests filed by Dombrowski with the State Ethics Commission disclosed the following information: a. Calendar Year 2003: Filing Date: 5/1/04 — on SEC -1 REV. 01/06 form Address: 8829 Baron Road, McKean, PA 16426 Telephone: 814 - 476 -1927 Position: McKean Sewer Authority Member, McKean Township Supervisor Occupation: Self- Employed Income: Thou Art Advertising 8829 Baron Rd., McKean, PA Dombrowski, 06 -055 Page 6 Office, Directorship or employment in any business: Financial Interest in any legal entity in business for profit: 100% All other financial Interest categories: Office, Directorship or Employment in any business: Financial Interest in any legal entity for profit: Thou Art Advertising - Owner Thou Art Advertising 8829 Baron Rd., McKean, PA 16426 — All other financial interest categories: None b. Calendar Year 2004: Filing Date: 5/1/05 on SEC -1 REV. 01/06 form Address: 8829 Baron Road, McKean, PA 16426 Telephone: 814 - 476 -1927 Position: McKean Sewer Authority Member McKean Supervisor Occupation: Self- Employed Income: Thou Art Advertising, EverScent Candles — 8829 Baron Road, McKean, PA 16426 Office, Directorship or Employment in any business: Thou Art Advertising - owner Financial Interest in any legal entity for profit: Thou Art Advertising & EverScent Candles 100% None 1. Dombrowski failed to disclose McKean Township as a source of income. 2. Dombrowski received $1,406.25 in compensation from McKean Township in 2004. c. Calendar Year 2005: Filing Date: 5/1/06 on SEC -1 REV. 01/06 form Address: 8829 Baron Road, McKean, PA 16426 Telephone: 814 - 476 -1927 Position: McKean Sewer Authority Member McKean Supervisor Occupation: Self- Employed Creditors: PNC Bank line of credit, McKean, PA - 5.5% Income: Thou Art Advertising, EverScent Candles, 8829 Baron Road, McKean PA 16426 Thou Art Advertising, EverScent Candles — owner Thou Art Advertising, EverScent Candles —100% All other financial Interest categories: 1. Dombrowski failed to disclose McKean Township as a source of income. Dombrowski, 06 -055 Page 7 2. Dombrowski received $1,875.00 in compensation from McKean Township in 2005. 18. The Statements of Financial Interests filed by Dombrowski for the 2003 and 2004 calendar years were filed on SEC -1 REV 01/06 and contained a filing date of 5/1/04 and 5/1/05 respectively. a. SEC -1 REV 01/06 was not printed until December 2005. 19. Dombrowski listing filing dates of May 1, 2004, for the 2003 calendar year SFI and May 1, 2005, for the 2004 calendar year SFI gave the appearance that the forms were timely filed. 20. Dombrowski filed two Statements of Financial Interests for calendar year 2005 by May 1, 2006. a. The first form contained information as outlined in finding 25c [sic]. 21. Dombrowski filed a SEC Statement of Financial Interests for calendar year 2005 on SEC -1 REV. 01/05 Form, which he signed and [on which he] listed a filing date of May 1, 2006. a. This form was not noticed in township records by Janice Dennis until May 18, 2006. 1. All forms filed with the township are submitted to Dennis who affixes a date stamp indicating date filed. 2. Dennis dated and initialed the form May 18, 2006, the date she found the form in township files. 3. Dombrowski had not filed the form with Dennis by May 1, 2006 *. *[This Fact Finding conflicts with Fact Finding 20.] b. Dombrowski did not disclose McKean Township as a source of income on the form received by Dennis and date stamped May 18, 2006. 1. Dombrowski received $1,875.00 in compensation from McKean Township in 2005. 2. Dombrowski did not list the percentage of interest he held in Thou Art Advertising and EverScent Candles in Block #13. 3. Dombrowski marked Block #14, Financial Interest in any Legal Entity in Business for Profit, "none." 4. All other financial interest categories were marked none on the form. 22. On September 25, 2006, during a Statement of Financial Interests Compliance Review conducted for McKean Township, the backdated forms filed by Dombrowski were discovered by a SEC investigator. 23. In a Sworn Statement provided to Commission Investigators, McKean Township Secretary Janice Dennis provided the following information in regard to Dombrowski's submission of Statements of Financial Interests: Dombrowski, 06 -055 Page 8 a. Dombrowski presented three completed Statement of Financial Interests forms, with the exception of Dombrowski's signature and filing date, to her. 1. The forms were not signed or dated. b. Dombrowski signed and dated the three forms in Dennis' presence. c. As Dombrowski signed and dated the forms, Dennis reminded him that the forms were filed for the previous calendar year as noted in Block #7. 1. Dombrowski was dating the forms with the calendar year the forms were filed for. 2. Dombrowski wrote over the last digit of the year to reflect the year that the forms had originally been due by. d. Noting the revision date of 01/06 at the top of each form, Dennis suggested to Dombrowski that he should be dating the forms with the current date, May 26, 2006. 1. Dombrowski dated each form May 1, and indicated the year as that following the year the forms were to be filed for. e. Dombrowski told Dennis that he wanted to leave the forms the way they were. 1. Dombrowski purports that he told Dennis that he believed putting the May 1 date on the forms was how the Ethics Commission would expect to see the forms. f. As Dennis was getting ready to date -stamp the forms, Dennis provided that Dombrowski asked her to change the date -stamp to match the date he had written on the bottom of the form. Dombrowski acknowledges that Dennis will testify to this, however Dombrowski denies that he requested Dennis to alter any date /time stamp. 1. Dennis refused to comply with Dombrowski's request. 2. Dennis signed and stamp -dated the forms with the date she received them, May 26, 2006. Dennis mailed the white copies of the forms she had received from Dombrowski to the SEC Harrisburg Office. g. a. The yellow copies of the forms were maintained in the township files. b. Dennis made copies of the forms for Dombrowski. 24. In a Sworn Statement provided to Commission Investigators on April 10, 2007, Dombrowski provided the following in regard to his position with the township and the allegations that he backdated Statements of Financial Interests for calendar years 2003 and 2004: a. As a candidate for the office of supervisor in 2003, he was provided with information at the Voter Registration Office located in the Erie County Courthouse. Dombrowski, 06 -055 Page 9 1. The packet and pamphlet included (in part) a blank petition; campaign expense report; and a Statement of Financial Interests. b. He completed and filed the Statement of Financial Interests form with the Voter Registration Office and with the Township. c. In 2003 he was elected to a six year term, January 2004 through December 2009. d. He was appointed to the Sewer Authority Board in January 2004 to a three year term, ending December 2006. e. As a supervisor he was provided with a blank Statement of Financial Interests in his meeting packet at the beginning of each year. 1) The packets were assembled by the township secretary, Janice Dennis. f. The secretary attached a memo to the form indicating that the deadline for filing the form was May 1. 1) The requirement to complete the form was mentioned at the township meeting. He did not timely file Statements of Financial Interests for calendar years 2003, 2004 and 2005 as a supervisor or as a sewer authority board member. 1) He was provided with blank forms to complete each year. h. He forgot to file the forms because the date that he was provided with blank forms (by Janice Dennis) and the deadline for filing were so far apart. 1) He did not recall being reminded to file the forms by the secretary or any one else from the township. i. He received a letter from the State Ethics Commission, dated May 22, 2006. 1) With the letter he received blank forms for the years that he had failed to file including 2003, 2004, [and] 2005. 2) He filed the form with the township secretary on May 26, 2006, as noted by the date - stamp. 3) He did not recall filing two forms for calendar year 2005. aa. He did not recall filing the form which is hand dated by the secretary 5/18/06, which he signed and dated 5/1/06. The secretary mailed the forms that he filed for calendar years 2003, 2004, [and] 2005 to the SEC per the instructions in the 5/22/06 letter. 25. In regard to the dates that he recorded on the bottom of the forms filed for calendar years 2003, 2004, and 2005 Dombrowski stated: g. J. 2) He did not recall if he was provided with a blank form in his meeting packet for the sewer authority meetings. Dombrowski, 06 -055 Page 10 a. The secretary, stating when I completed them when I finished the completion of the date on this, to have the date correspond to the date they literally should have been filed to match the year I had put the 5/1, May 1 the deadline date on the forms knowing full well that after receiving the letter the Ethics Commission was more than well aware of the fact that they had been not timely filed." Well the discussion was the secretary had mentioned to cne that she believed I should have put, did the date received the May 26 here, here, and here, and my assumption was to show that the forms were filled out for these particular years that I should have put the date that they should have been filed. That was my understand...that was what I believed was what should have been done. And that was, that's why the dates on here all as 5/1, obviously." ... "My understanding was this was the date that the Ethics Commission would look to have had them filed as correct, and especially since there were two years span in here" b. He did not see the instruction at the bottom of the instruction sheet which states, "Please sign the form and enter the current date." c. Dombrowski claimed he was not aware of the revision dates at the top of the forms. d. He did not consider the secretary's suggestion to date the forms with the current date because of the, "incredible animosity that exists between me and the other two township supervisors and the secretary" ... and "even more recently in an adversarial light is the fact that she may or may not have my best interests in her concern." e. He signed the forms in the presence of the township secretary, and was present when she stamp -dated the forms. 1) He did not ask the secretary to back -stamp date the forms to reflect the date that he had recorded on the bottom of the form. 26. Dombrowski acknowledges that he dated his 2003 and 2004 Statement of Financial Interests forms with a May 1 date for the years the form would have been timely filed; additionally, Dombrowski acknowledges that he omitted listing income from McKean Township in excess of $1,300.00 on Statement of Financial Interests forms filed for calendar years 2004 and 2005. Dombrowski purports that the backdated forms and omissions were not an attempt to deceive or otherwise mislead others, but were, in his understanding, the correct dates. 27. W -2 Wage and Tax Statements issued to Dombrowski by McKean Township reflect the following compensation paid to Dombrowski as supervisor during the time period when he had not filed Statements of Financial Interests with McKean Township. 2004: $1 406.25 (1St 2nd 3rd quarter y payments of $468.75 each) 2005: $1 875.00 (4 quarter 2004; 1' 2 "d 3 quarters 2005) 2006: $1,875.00 (4 quarter 2005; 1 St, 2nd; 3rd quarters 2006) 28. Dombrowski received a financial gain of $1,850.00* during calendar years 2004 and 2005, the years he filed backdated Statements of Financial Interests with McKean Township. 2004: $1,875.00* Dombrowski, 06 -055 Page 11 2005: $1,875.00* Total: $3,750.00 *[The disparity between these amounts is insignificant based upon the Consent Agreement.] III. DISCUSSION: As a McKean Township ( "Township ") Supervisor since January 4, 2004, and as a Member of the McKean Township Sewer Authority ( "Authority ") Board from January 4, 2004, through December 31, 2006, Respondent John Dombrowksi, hereinafter also referred to as "Respondent," "Respondent Dombrowksi," or "Dombrowski," has at all times relevant to these proceedings 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 Dombrowski violated Sections 1104(a) and 1104(d) of the Ethics Act when he, as a Township Supervisor and as a Member of the Authority: (1) failed to file a Statement of Financial Interests for the 2003 calendar year by May 1, 2004; (2) failed to file a Statement of Financial Interests for the 2004 calendar year by May 1, 2005; (3) subsequently filed backdated forms for 2003 and 2004 to give the appearance the forms were timely filed; and (4) failed to disclose income he received from the Township that was in excess of $1,300 on forms he filed for calendar years 2004 and 2005. Section 1104(a) of the Ethics Act provides that each public official /public employee must file a Statement of Financial Interests for the preceding calendar year, each year that he holds the position and the year after he leaves it. Section 1104(d) of the Ethics Act provides that no public official shall be allowed to take the oath of office, enter or continue upon his duties, or receive compensation from public funds unless he has filed a Statement of Financial Interests as required by the Ethics Act. 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. Dombrowski has served as a Township Supervisor since January 4, 2004. Township supervisors are compensated in the amount of $1,875.00 per year. Dombrowski served on the Authority Board from January 4, 2004, through December 31, 2006. Authority Board members are not compensated. Pursuant to Section 1104(a) of the Ethics Act, Dombrowski was required to file annual Statements of Financial Interests (SFIs) both as a Township Supervisor and as an Authority Board Member. Dombrowski was aware of this requirement. Janice Dennis ( "Dennis ") has served as the Township Secretary since at least January 2002. Dennis also serves as the Assistant Secretary to the Authority. Dennis distributes blank SFI forms to the Township supervisors and Authority Board members for filing. Dennis date - stamps and signs the completed SFI forms as she receives them. Dennis maintains the files of the completed SFIs for the Township and the Authority. On May 17, 2006, a complaint was filed against Dombrowski with this Commission. The complaint alleged that Dombrowski had failed to file SFIs for calendar years 2003, 2004, and 2005 in his capacities as a Township Supervisor and Authority Board Member. On May 22, 2006, this Commission's Administrative Division issued to Dombrowski a Dombrowski, 06 -055 Page 12 Notice of Intent to Commence Civil Penalty Proceedings Pursuant to 65 Pa.C.S.§1109(f) for Delinquency of Statements of Financial Interests. A standard twenty -day grace period was provided for Dombrowski to comply with the filing requirement. Instructions were provided to assist Dombrowski in completing the forms. On May 26, 2006, Dombrowski submitted to Dennis SFIs for calendar years 2003 and 2004. The SFIs filed by Dombrowski for the 2003 and 2004 calendar years were backdated, giving the appearance that the forms had been timely filed. The forms contained filing dates of 5/1/04 and 5/1/05 respectively. However, both forms were filed on May 26, 2006, using a version of the SFI form that was not printed until December 2005. Dombrowski also filed two SFIs for calendar year 2005. Both of these forms were dated May 1, 2006. There are conflicting stipulated Fact Findings as to when these forms were filed. Some Fact Findings indicate that they were filed after the May 1, 2006, filing deadline. Fact Findings 15 -17, 21 a 3. However, Fact Finding 20 indicates that the 2005 calendar year SFIs were filed by May 1, 2006. Respondent Dombrowski is deemed to have filed the 2005 calendar year forms by May 1, 2006, and therefore to not have backdated them. See, Bartholomew v. State Ethics Commission, 795 A.2d 1073 (Pa. Cmwlth. 2002). Dombrowski failed to disclose the Township as a source of income on the 2004 calendar year SFI or the 2005 calendar year SFIs. See, Fact Findings 15 -17, 21 b. In both calendar year 2004 and calendar year 2005, Dombrowski had received compensation in excess of $1300 from the Township. Dombrowski acknowledges that he dated his 2003 and 2004 calendar year SFI forms with a May 1 date for the years the forms would have been timely filed. Additionally, Dombrowski acknowledges that he omitted listing income from the Township in excess of $1,300 on SFI forms filed for calendar years 2004 and 2005. Dombrowski purports that the backdated forms and omissions were not an attempt to deceive or otherwise mislead others. Dombrowski asserts that the dates he listed were, in his understanding, the correct dates. Dombrowski purports that he told Dennis that he believed putting the May 1 date on the forms was how the Ethics Commission would expect to see the forms. He states that he did not see the instruction at the bottom of the instruction sheet, which states, "Please sign the form and enter the current date." In a Sworn Statement provided to Commission Investigators, Dennis provided information as detailed in Fact Findings 23 a -g. Dennis asserts that Dombrowski asked her to change the date -stamp on his SFI forms to match what he had written, but that she refused to do so. Dombrowski denies that he requested Dennis to alter any date /time stamp. 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 1104(a) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1104(a) occurred when Dombrowski failed to file Statements of Financial Interests for the 2003 calendar year by May 1, 2004, and 2004 calendar year by May 1, 2005; and Dombrowski, 06 -055 Page 13 b. That a violation of Section 1104(d) of the Public Official and Employee Ethics Law, 65 Pa.C.S. §1104(d) occurred when Dombrowski backdated Statements of Financial Interests for the 2004 calendar year by May 1, 2005, and 2005 calendar year by May 1, 2006, giving the appearance that these forms had been timely filed. 4. Dombrowski agrees to make payment in the amount of $500.00 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. Dombrowski agrees to file amended Statements of Financial Interests for calendar years 2003, 2004 and 2005 disclosing income he received from McKean Township that was in excess of $1,300.00, and correcting the date of filing, if such has not already been done, within thirty (30) days of the date of the issuance of the final adjudication of the matter. Copies of such forms must also be forwarded to the State Ethics Commission. 6. 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 2. In considering the Consent Agreement, we shall first consider the parties' recommendation that a violation of Section 1104(a) of the Ethics Act occurred when Dombrowski failed to file SFIs for the 2003 calendar year by May 1, 2004, and 2004 calendar year by May 1, 2005. Respondent Dombrowski has admitted that he failed to timely file the 2003 and 2004 calendar year SFIs. Accordingly, a clear violation of Section 1104(a) of the Ethics Act occurred when Dombrowski failed to file SFIs for the 2003 calendar year by May 1, 2004, and 2004 calendar year by May 1, 2005. The parties' Consent Agreement further recommends that we find that a violation of Section 1104(d) of the Ethics Act occurred when Dombrowski backdated SFIs for the 2004 calendar year (by indicating May 1, 2005) and 2005 calendar year (by indicating May 1, 2006), giving the appearance that these forms had been timely filed. The allegations pertaining to backdating were that Dombrowski filed backdated forms for 2003 and 2004 to give the appearance the forms were timely filed. Factually, it is clear that Dombrowski's SFIs for calendar years 2003 and 2004 were backdated. As noted above, Dombrowski's SFIs for calendar year 2005 are deemed to have been timely filed and not backdated. Section 1104(d) of the Ethics Act prohibits a public official from continuing upon his duties or receiving compensation from public funds unless he has filed a SFI as required by the Ethics Act. Dombrowski continued to serve both as a Township Supervisor and as an Authority Member after filing the aforesaid SFIs for calendar years 2003 and 2004. Based upon the Consent Agreement, it appears that the Investigative Division in the Dombrowski, 06 -055 Page 14 exercise of prosecutorial discretion has elected to non pros the portion of the allegations pertaining to the backdating of Dombrowski's 2003 calendar year SFI. Accordingly, we hold that a violation of Section 1104(d) of the Ethics Act occurred when Dombrowski backdated his SFI for the 2004 calendar year (by indicating May 1, 2005), giving the appearance that the form had been timely filed. While the exclusion of the 2005 calendar year forms from this particular violation does not follow the Consent Agreement, such exclusion is to the benefit of Respondent and is not actionable. We note that the Consent Agreement does not include a recommended violation as to Dombrowski's failure to disclose the Township as a source of income on his SFIs. However, as part of the Consent Agreement, Dombrowski has agreed to include the Township as a source of income on amended SFIs for calendar years 2003, 2004, and 2005. Dombrowski has agreed to make payment in the amount of $500 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. Dombrowski has further agreed to file amended SFIs for calendar ears 2003, 2004, and 2005, disclosing the Township as a source of income in excess of $1,300, and correcting the date of filing, if such has not already been done, within thirty (30) days of the date of the issuance of the final adjudication in this matter. The parties have agreed that copies of such forms must also be forwarded to this Commission. 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, Dombrowski is directed to make payment in the amount of $500 payable to the Commonwealth of Pennsylvania and forwarded to this Commission within thirty (30) days of the issuance of this adjudication and Order. To the extent he has not already done so, Dombrowski is directed to file amended SFIs for calendar years 2003, 2004, and 2005 with the Township and Authority, providing full financial disclosure as required by the Ethics Act, specifically disclosing the Township as a source of income in excess of $1,300, and accurately dating such amended filings, and to provide to this Commission copies of all of the aforesaid filings for compliance verification purposes within thirty (30) days of the date of the issuance of this adjudication and Order. Dombrowski is instructed that the amended SFIs are to be dated with the date Dombrowski actually files them, not the dates by which the original forms should have been filed nor the dates the original forms actually were filed. If Respondent accurately lists the date he files the amended SFIs, he will be deemed to have satisfied the aforesaid requirement for "correcting" filing dates. See, Consent Agreement, paragraph 5 at 2. 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. John Dombrowski ( "Dombrowski "), as a McKean Township ( "Township ") Supervisor since January 4, 2004, and as a Member of the McKean Township Sewer Authority ( "Authority ") from January 4, 2004, through December 31, 2006, has at all times relevant to these proceedings 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. Dombrowski, 06 -055 Page 15 2. Dombrowski violated Section 1104(a) of the Ethics Act when he failed to file Statements of Financial Interests (SFIs) for the 2003 calendar year by May 1, 2004, and 2004 calendar year by May 1, 2005. 3. Dombrowski violated Section 1104(d) of the Ethics Act when he backdated his SFI for the 2004 calendar year (by indicating May 1, 2005), giving the appearance that the form had been timely filed. In Re: John Dombrowski, Respondent ORDER NO. 1444 File Docket: 06 -055 Date Decided: 10/23/07 Date Mailed: 11/7/07 1 John Dombrowski ( "Dombrowski "), a public official in his capacities as a McKean Township ( "Township ") Supervisor since January 4, 2004, and as a Member of the McKean Township Sewer Authority ( "Authority ") from January 4, 2004, through December 31, 2006, violated Section 1104(a) of the Ethics Act when he failed to file Statements of Financial Interests (SFIs) for the 2003 calendar year by May 1, 2004, and 2004 calendar year by May 1, 2005. 2. Dombrowski violated Section 1104(d) of the Ethics Act when he backdated his SFI for the 2004 calendar year (by indicating May 1, 2005), giving the appearance that the form had been timely filed. 3. Per the Consent Agreement of the parties, Dombrowski is directed to make payment in the amount of $500 payable to the Commonwealth of Pennsylvania and forwarded to this Commission within thirty (30) days of the issuance of this Order. 4. To the extent he has not already done so, Dombrowski is directed to file amended SFIs for calendar years 2003, 2004, and 2005 with the Township and Authority, providing full financial disclosure as required by the Ethics Act, specifically disclosing the Township as a source of income in excess of $1,300, and accurately dating such amended filings, and to provide to this Commission copies of all of the aforesaid filings for compliance verification purposes within thirty (30) days of the date of the issuance of this Order. 5. Compliance with Paragraphs 3 and 4 of this Order will result in the closing of this case with no further action by this Commission. a. Non - compliance will result in the institution of an order enforcement action. BY THE COMMISSION, Louis W. Fryman, Chair