HomeMy WebLinkAbout1515 HopkinIn Re: Kathy Hopkin,
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
07 -095
Order No. 1515
4/30/09
5/15/09
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission conducted
an investigation regarding possible violation(s) of the Public Official and Employee Ethics
Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq., by the above -named Respondent. At the
commencement of its investigation, the Investigative Division served upon Respondent
written notice of the specific allegations. Upon completion of its investigation, the
Investigative Division issued and served upon Respondent a Findings Report identified as
an "Investigative Complaint." An Answer was not filed. A Stipulation of Findings and a
Consent Agreement waiving an evidentiary hearing were submitted by the parties to the
Commission for consideration. The Stipulated Findings are set forth 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.
Hopkin, 07 -095
Page 2
I. ALLEGATIONS:
That Kathy Hopkin, a public official /public employee in her capacity as a Member of
the Hempfield Township Municipal Authority, Westmoreland County, violated Sections
1103(a) and 1105(b)(5) of the State Ethics Act (Act 93 of 1998), 65 Pa.C.S. § §1103(a) and
1105(b)(5), when she used the authority of her office for a private pecuniary gain including
but not limited to using the Authority credit cards to incur expenses for herself of a
personal nature for attendance at various conventions and seminars and when she failed
to disclose Hempfield Township Municipal Authority as a direct or indirect source of
income on Statements of Financial Interests filed for the 2003, 2004, 2005, and 2006
calendar years.
II. FINDINGS:
1. Kathy Hopkin (maiden name Kathy Libertini) served as a member of the Hempfield
Township Municipal Authority (hereafter HTMA), Westmoreland County, from 1999
to the end of 2007.
a. Hopkin was appointed to the HTMA by the Hempfield Township Board of
Supervisors.
b. Hopkin's term as a board member of the HTMA concluded in December
2007.
c. Hopkin held the position of board Secretary in 2000.
d. Hopkin held the position of board Treasurer in 1999, 2001, 2002, 2003,
2004, 2005, 2006, and 2007.
2. HTMA board members are compensated for their service on the board.
a. Board members are compensated $200.00 a month for their service.
3. The Hempfield Township Board of Supervisors created the HTMA in 1949 pursuant
to the authority granted them in the Pennsylvania Municipality Authorities Act of
1945, as amended.
a. Articles of Incorporation were filed with the Pennsylvania Department of
State on July 25, 1949.
b. The powers and purposes of the Authority are to include: acquiring, holding,
constructing, improving, maintaining and operating, owning, leasing, either in
the capacity of lessor or lessee, water works, water supply works and water
distribution systems in the Township of Hempfield, Westmoreland County,
Pennsylvania.
4. Current bylaws on file for the HTMA were adopted on or about January 12, 1984.
a. Article !Hof the bylaws provided for the appointment of officers including the
following:
Chairman
Vice Chairman
Secretary
Treasurer
Assistant Secretary
Assistant Treasurer
Hopkin, 07 -095
Page 3
b. All offices on the board are required to be filled by members of the Authority
Board.
5. The position of Treasurer, as outlined in the bylaws, has the following duties and
responsibilities:
Keep accounts of all moneys of the Authority received or disbursed, and shall
deposit all moneys and valuables in the name of and to the credit of the Authority in
such banks or depositories, and in such accounts as are required by law, and as
the Board shall designate. The moneys in such accounts shall be paid out on the
warrant or other order of the Chairman, and such other person or persons as the
Board may from time to time authorize to execute such warrants or orders.
6. All five board members and the Authority General Manager have signature authority
over the financial accounts of HTMA.
a. The majority of Authority checks are normally signed at the conclusion of a
legislative meeting.
1. Authority checks require the signature of two authorized signatories.
2. A facsimile stamp was utilized by the Authority for Hopkin's signature.
aa. The facsimile stamp was first utilized by the Authority during
Hopkin's second term (2003 - 2007).
b. Hopkin regularly signed or had her facsimile used to issue checks for the
HTMA.
7 HTMA board members and selected employees have regularly attended
conferences, conventions, seminars, and workshops since at least 1996.
a. Travel for conferences, conventions, seminars, and workshops has included
but has not been limited to events sponsored by the following:
Pennsylvania Municipal Authorities Association (PMAA)
Water Environment Federation (WEF)
American Water Works Association (AWWA)
8. Prior to August 2007, HTMA procedures for a board member or employee to attend
conferences, conventions, seminars, and workshops included the following:
a. Board members were provided announcements of conferences, conventions,
seminars, and workshops by the General Manager.
1. The members advised the General Manager of events they were
interested in attending.
b. Board authorization was not required if a member wanted to attend an event
of interest.
9. Registration of an HTMA board member for an event was either done by the board
member or completed by a staff member of the HTMA.
a. If registration was completed by a staff member, the staff member was
directed by the Board Director as to what events the Board Director wanted
Hopkin, 07 -095
Page 4
to attend and
guest.
1. Hopkin
Robert
events.
who the Board Director wanted to bring to the event as a
and other Board Directors were encouraged by Chairman
Regola to bring their spouses and /or significant others to
10. The General Manager normally arranged hotel accommodations for those attending
an event of interest.
a. On occasion, board members arranged their own airfare /travel arrangements
and hotel accommodations.
b. Accommodations /registrations for spouses /guests were not made unless
directed by a member to do so.
11. Expenses incurred such as registration fees, hotel expenses, airfare, mileage, tolls,
etc. were either paid out -of- pocket, by an Authority credit card, or by Authority
check.
a. Only the Authority General Manager and the Finance Director had Authority
credit cards prior to 2004.
b. Prior to 2004, other Board Members' expenses to attend an event were paid
out -of- pocket.
c. Board members received Authority credit cards in approximately mid -2004 to
utilize for travel expenses eliminating the need for all but a few expenses to
be advanced by the Board Members.
12. Expense reports were to be filed with the Authority detailing expenses incurred by
board members in travel status.
a. Sections of the expense report were designated for the disclosure of the
following information: expense date, expense description, expense location,
and expense total.
b. Expense reports were to be completed by the individual incurring the
expense(s).
c. Expenses paid via an Authority credit card were rarely documented on an
expense report.
13. Prior to August 2007, the Authority did not have a travel expense policy requiring
that receipts be submitted to document expenses incurred.
a. Members and staff were requested by Authority management to provide
receipts in order to verify expenses for reimbursements being sought.
14. Conference, convention, seminar, and workshop related expenses were detailed on
bill lists for approval at the HTMA's legislative meetings.
a. Board Member expenses were approved by the Board vote after expenses
were incurred.
b. Hopkin regularly voted to approve travel expenses, including her own.
Hopkin, 07 -095
Page 5
15. Reimbursements made by the Authority for out -of- pocket expenses were made by
Authority check made out to the board member or employee incurring the expenses.
16. In approximately mid 2004, the board advocated for Authority credit cards to be
issued to each Board Member.
a. The Board Members advocated for their own credit cards because they felt
that the process to be reimbursed for out -of- pocket expenses was taking too
long.
b. The Board did not vote to issue Authority Members' credit cards, but instead
instructed management to apply for the cards on their Members' behalf.
17. On or about August 2004, Hopkin was provided with her Citizens Bank Authority
credit card no. )000X- )000X -)000X -0290.
a. Hopkin's Authority credit card had a total credit line of $5,000.00.
b. After Hopkin married Scott Hopkin, Hopkin was provided with Citizens Bank
Authority credit card no. )000X- )000X -)000X -2218 with a credit line of
$5,000.00.
c. Hopkin's Authority credit card was active from August 2004 until July 13,
2007, when the account was closed.
18. After Hopkin and other Authority members were issued credit cards, there was a
decline in receipts and /or support documentation submitted in association with
expenses incurred in relation to attendance at conferences, conventions, seminars,
and workshops.
a. Receipts or other documentations for credit card charges were not provided
by Board Members to HTMA staff.
b. Regis Ranella, prior Finance Director, current General Manager, HTMA,
informed the board of the decline in support documentation and requested
that receipts be provided.
c. Ranella was ignored by Members of the Board, including Hopkin who
continued to make charges to Authority credit cards without submitting
support documentation.
1. Management did not consistently request receipts to be provided by
the board after being ignored on several occasions.
d. Then Board Chairman Robert Regola informed Authority staff that if mail
addressed to a board member was opened by someone other than the board
member, the Authority staff member would be fired.
1. This was in reference to HTMA Board Member credit card statements.
e. If the board member did not provide any verbal or written directives in regard
to how [his or her] statement should be paid, management paid the
statement without review.
19. Authority staff documented credit card expenses on Authority purchase orders to
document credit card charges in relation to a member and the purpose of the
Hopkin, 07 -095
Page 6
charge.
20. Meeting minutes for July 9, 2002, confirm that Hopkin's personal expenses paid by
the HTMA were questioned:
"Mr. Answine questioned a bill submitted by Ms. Libertini to golf in the
amount of $170.00. Mr. Answine stated the Authority should not pay for anyone to
golf. Ms. Libertini asked Mr. Answine if he ever submitted an expense for golfing.
Mr. Answine replied that he did not. Ms. Libertini suggested discussing this in
executive session but Mr. Answine refused stating he was questioning a bill not a
personnel matter. Mr. Answine again asked why the Authority used ratepayer's
money for a board member to golf. Ms. Libertini said she was told to submit her
expenses and she did. Motion to approve the bills paid and those that are
presented for payment was made by Ms. Libertini and seconded by Mr. Ream. Mr.
Springer and Mr. Answine voted against paying the bills. Vote 3 -2 motion passed."
a. The golf expense was in relation to attending the August 20, 2002, PMAA
golf tournament at the Highland Country Club located in Pittsburgh, PA.
b. The registration form for the golf tournament completed by Hopkin indicated
she and her now husband, Scott Hopkin, would be attending the event at a
cost of $85.00 per person.
21. In 2007, board member Bob Davidson began reviewing charges the board members
were making in regards to their attendance at conferences, conventions, seminars,
and workshops.
a. The review indicated that certain board members, specifically Hopkin,
Regola, and Melenia, were making substantial charges in regards to hotel
expenses and subsistence; that board members' spouses' expenses were
being paid for by the Authority; and that personal expenses (such as alcohol,
gas, etc.) were being charged to Authority credit cards.
22. The findings of Davidson's review were made public to the local media causing
negative publicity and resulted in Hopkin issuing a statement at the August 13,
2007, HTMA Board meeting:
"Approximately ten years ago when I was first appointed to this board I was
told at that time that all of Hempfield Township was to be sewered. It is up to
this board along with our consulting engineering firm to decide what areas
and when areas were to be done. I was also told that some residents would
be upset because of the cost of sewage. It was made very clear to me that
one of the reasons this board is a separate entity from elected officials is
because elected officials could be swayed to succumbing to residents, and it
is a fact that the Hempfield Township Municipal Authority provides public
sanitary sewer service to customers that enjoy some of the lowest sewer
rates including tap in fees, quarterly sewer charges than any sewage
authority charged throughout the entire county. It is also important to take
note of the fact that the Auditor's reports that are issued annually by
independent auditors and certified public accountants have given the
Hempfield Township Municipal Authority (THTMA) clean and unqualified
opinions about any adverse comments which includes Board Members
attendance at conferences, workshops, and meetings. Our attendance at
conferences, workshops, and other meetings has made this Authority the
hallmark it has become over the past ten years that I have been a member.
Our present manager and past manager could not attend the conferences
because of personal reasons, and they will admit to that. Board member's
Hopkin, 07 -095
Page 7
attendance played a substantial positive impact on the running of this
Authority. As treasurer of this board I personally researched various banks
and made changes as to which banks we currently deal with to give THTMA
the best interest rates that make money for this Authority. Mr. Regola, Mr.
Melenia and I attended meetings with a nationally recognized bond council,
Lynch and Lynch, to refinance the market conditions merit which resulted in
saving this Authority half a million dollars because of our effort. I have come
back from conferences and have shared information gained there during our
public board meetings and the manager specifically about many of the rules
and regulations effecting [sic] sewage authorities. This Authority is financially
running in the black, which I am told something the Hempfield Township
supervisors are not able to declare. As I'm told they are running in the red.
Board members attendance at various conference, workshops, etc. are
encouraged by the industry, and have helped us assure the expansion of
many things in this authority, for example the Darragh Plant, and various
aspects of that plant expansion which complies with the latest technology in
waste water efficiency. Attendance at various conferences have helped this
Authority keep up with changes in the rules and regulations implemented by
our legislature, so that fines are not imposed to this Authority. The
conferences we attended are not just for drinking water establishments, as
suggested by some, but are definitely for waste water also. THTMA has and
will continue to follow and comply with all of the Commonwealth of
Pennsylvania and the Department Environmental Protection rules and
regulations in order to make the entire community in general and Hempfield
Township specifically a most favorable place to live and work. I want to
remind everyone that usually appointments are made by the supervisors to
this board during the January meeting..."
23. On August 13, 2007, the board adopted the "Hempfield Township Municipal
Authority Conference Expense Policy," via a 3 -2 vote with board members Davidson
and Pecarchik voting nay.
a. The Authority did not have a travel expense policy prior to August 13, 2007.
b. Regola proposed the policy.
c. Hopkin voted in favor of it.
24. The HTMA Conference Expense Policy outlines guidelines including attendees,
eligible expenses for reimbursement, itemization of expenses, maximum travel and
reimbursement and ineligible expenses.
25. Since the adoption of the Conference Expense Policy (August 13, 2007), there has
been a sharp decline in board members attending conferences, conventions,
seminars, and workshops.
a. Hopkin began reimbursing the HTMA for spousal and some personal
expenses following the passage of this policy.
THE FOLLOWING FINDINGS RELATE TO HOPKIN'S EXPENSES IN RELATION TO
PMAA EVENTS ATTENDED IN 2002, 2003, 2004, 2005, 2006, AND 2007.
26. The PMAA is the recognized association for municipal authorities in the
Commonwealth of Pennsylvania.
a. The PMAA, formed in 1941, was established "to provide its members with a
medium for exchange of ideas on municipal problems, to present a united
Description of Event
Who was Registered
Amount
8 -24 -03 Hershey Park Admission and Picnic
Hopkin and S. Hopkin
$67.00
8 -25 -03 Board Members' Luncheon
Hopkin and S. Hopkin
$46.00
8 -25 -03 Outdoor BBQ w/ Entertainment
Hopkin and S. Hopkin
$98.00
8 -26 -03 Banquet
Hopkin and S. Hopkin
$90.00
8 -27 -03 Family Breakfast
Hopkin and S. Hopkin
$36.00
Hopkin, 07 -095
Page 8
and common front in advocating favorable legislation, and opposing
detrimental legislation, and to otherwise promote the general welfare of
municipal authorities of the Commonwealth of Pennsylvania."
27. The PMAA is divided into regions.
a. Westmoreland County is considered Region 9 of the PMAA.
b. The HTMA is located within the boundaries of Region 9.
28. Hopkin, as an HTMA board member, has regularly attended the various events
hosted by the PMAA, including the annual conference, regional dinner meetings,
and one day seminars.
a. Scott Hopkin accompanied Kathy Hopkin to the majority of the PMAA events
she attended.
b. Scott Hopkin is Hempfield Township's appointee to the Crabtree joint
Authority.
1. Scott Hopkin accompanied Hopkin on conferences, in part, in his
capacity as a Member of the Crabtree Joint Authority.
c. K. Hopkin's expenses and the majority of S. Hopkin's expenses to attend
PMAA events have been paid by the Authority.
29. The PMAA holds an Annual Conference and Trade Show in or around September
or October of each year.
a. Hopkin has attended the majority of the annual conferences since at least
2002.
1. Hopkin did not attend the 2006 PMAA Annual Conference.
b. S. Hopkin, Respondent's spouse, has attended the majority of the annual
conferences with Hopkin.
1. S. Hopkin's expenses to attend PMAA Annual Conferences were paid
for by the Authority except for 2004.
30. The 2003 PMAA Annual Conference was held in Hershey, PA from Sunday, August
24, 2003 to Wednesday, August 27, 2003.
a. The conference location was the Hershey Lodge and Convention Center
located at West Chocolate Ave. & University Drive, Hershey, PA 17033.
31. The HTMA paid a registration fee of $195.00 for Hopkin to attend the conference
which included breakfasts on August 25, 2003, and August 26, 2003.
32. Hopkin and S. Hopkin were registered for entertainment to be paid by the HTMA:
Description of Expense
Nature of
Expense
Amount
Hershey Park Admission for Hopkin and S. Hopkin
Entertainment
$67.00
Outdoor BBQ w/ Entertainment for Hopkin and S.
Hopkin (1/2 of $98.00)
Entertainment
$49.00
Fee for S. Hopkin to attend banquet
Entertainment
$45.00
Family Breakfast for S. Hopkin (1/2 of $36.00)
Entertainment
$18.00
Hopkin, 07 -095
Page 9
TOTAL: $377.00*
*[sic] [$337.00]
a.
The fees to attend the additional events were initially charged to prior
Authority General Manager Kevin Fisher's Authority issued credit card on
July 11, 2003.
1. Fisher's credit card statement reflected payment of the additional
registration fees to attend the additional events via Authority check
#29686 dated August 13, 2003.
aa. Authority check #29686 was approved for issuance by
signature of Hopkin and Fisher.
33. Hopkin and her spouse were registered to stay at the Hershey Lodge located at
West Chocolate Ave and University Drive, Hershey, PA 17033.
a. Hopkin checked in on August 24, 2003, and departed on August 27, 2003.
1. Arrival and departure times were not noted on the Hershey guest folio
for Hopkin.
b. The room rate was $165.00 /night plus taxes.
c. Two people were identified in the party.
d. Hopkin's hotel charge of $662.74 was paid via former Authority General
Manager Kevin Fisher's Authority issued credit card on August 28, 2003.
1. Fisher's credit card statement reflecting the hotel charge was paid via
Authority check #29944 dated October 8, 2003.
aa. Authority check #29944 was approved for issuance via
signature by Hopkin and Fisher.
34. Hopkin placed fourteen personal telephone calls from her room between August 25,
2003, through August 27, 2003, totaling $97.97.
35. On August 25, 2003, at 9:56 a.m., Hopkin charged two (2) breakfast buffets at
Lebbie Lebkicher's, at Hershey Lodge Restaurant totaling $25.22.
a. Hopkin signed the receipt and directed the charge to be billed to her room.
b. Hopkin purchased breakfast even though breakfast on August 25, 2003, was
paid as a part of the conference registration.
36. The HTMA paid personal expenses of $289.58 in relation to Hopkin's attendance at
the 2003 PMAA Annual Conference as shown below:
Description of Event
Who was
Registered
Amount
Personal Telephone Calls
9 -11 -05
Admission to Hershey Park
Hopkin and husband
$46.50
9 -12 -05
A Night in Italy Event
Hopkin and husband
$98.00
9 -13 -05
Banquet and after party
Hopkin and husband
$98.00
9 -14 -05
Family Breakfast
Hopkin and husband
$38.00
Total:$280.50
Breakfast Buffet for an individual
Personal
$12.61
Personal Telephone Calls
Personal
$97.97
Total: $289.58
Hopkin, 07 -095
Page 10
37. Hopkin attended the 2004 PMAA Conference which was held in Pittsburgh, PA from
Sunday, August 22, 2004, through Wednesday, August 25, 2004.
a. The HTMA paid a registration fee of $195.00 for Hopkin to attend the
conference.
1. The fee included breakfasts on August 23, 2004, and August 24,
2004.
38. Hopkin and S. Hopkin were registered to stay at the Westin Hotel located at 1000
Penn Ave, Pittsburgh, PA 15222 in order to attend the conference.
a. Hopkin checked in on August 22, 2004, and departed on August 25, 2004.
b. The room rate was $149.00 /night plus taxes.
c. Two people were identified in the party.
39. Hopkin placed sixteen personal telephone calls totaling $75.00 from her room
between August 23, 2004, through August 24, 2004.
40. Hopkin attended the 2005 PMAA Conference held in Hershey, PA from Sunday,
September 11, 2005, through Wednesday, September 13, 2005.
a. The conference location was the Hershey Lodge and Convention Center
located at W. Chocolate Ave. & University Dr., Hershey, PA 17033.
b. The HTMA paid a registration fee of $195.00 for Hopkin to attend the
conference which included breakfasts on September 12, 2005, and
September 13, 2005.
41. Hopkin and her husband were registered for entertainment totaling $280.50 to be
paid by the HTMA:
a. The fees to attend the additional events were charged to Ranella's Authority
issued credit card on July 28, 2005.
b. Ranella's credit card statement reflected payment of the fees to attend the
additional events via Authority check #33270, dated September 19, 2005.
1. Authority check #33270 was approved for issuance by signature of
Hopkin and Pecarchik.
42. Hopkin and her husband were registered to stay at the Hotel Hershey located at
Description of Expense
Nature of
Expense
Amount
Professional Luncheon
Hopkin's husband's registration for a Night in Italy Event
(1/2 of $98.00)
Entertainment
$49.00
Hopkin's husband's registration for the PMAA Family
Breakfast
Entertainment
$19.00
Hopkin's husband's registration for the banquet
Entertainment
$49.00
Total: $117.00
Description of Event
Who was Registered
Amount
Professional Luncheon
Hopkin and husband
$50.00
Beaver Stadium Blitz
Hopkin and husband
$98.00
After Banquet Party
Hopkin and husband
$98.00
Hopkin, 07 -095
Page 11
100 Hotel Road, Hershey, PA 17033.
a. Hopkin's total hotel charge of $758.22 was paid via Hopkin's Authority
issued credit card on September 15, 2005.
1. Hopkin's Authority credit card statement reflecting the $758.22 charge
was paid via Authority check #33430 dated October 19, 2005.
aa. Authority check #33430 was approved for issuance via
signature of Hopkin and Regola.
b. Hopkin did not submit a hotel folio or receipts to the Authority to document
expenses charged to Hopkin's room during her stay.
43. Hopkin did not submit an expense report related to her attendance at the 2005
PMAA Annual Convention.
a. Hopkin did not submit an expense report at the direction of Chairman Robert
Regola.
44. Authority staff members requested that Hopkin provide receipts to document
expenses incurred on numerous occasions.
a. Hopkin informed the Authority staff that she did not have receipts and
directed the employees to issue payment without any expense
documentation.
45. The HTMA paid personal expenses of $117.00 as a result of Hopkin charging
personal expenses while attending the 2005 PMAA Annual Conference.
46. Hopkin attended the 2007 PMAA Annual Conference held in State College, PA from
Sunday, September 23, 2007, through Wednesday, September 25, 2007.
a. The conference location was at the Penn Stater Conference Center Hotel
located at 215 Innovation Boulevard, State College, PA 16803.
47. Hopkin's registration fee of $215.00, which included breakfasts on September 24,
2007, and September 25, 2007, was charged to her Authority issued credit card on
June 5, 2007.
48. Hopkin and her husband, Scott Hopkin, were registered for certain entertainment
events that were paid by the HTMA:
Function
Cost
Registration
$215.00
Professional Luncheon
$ 25.00
Beaver Stadium Blitz
$ 49.00
After Party
$ 49.00
Family Breakfast
$ 19.00
Total: $357.00
Family Breakfast
Hopkin and husband
$38.00
Total: 284.00
Hopkin, 07 -095
Page 12
a. The fees to attend the additional events were charged to Hopkin's Authority
issued credit card on June 5, 2007.
b. Hopkin was reimbursed by the Authority for only her fees associated with
attending additional events via Authority check #36527 dated September 20,
2007.
49. On or about September 10, 2007, Hopkin submitted a letter to Ranella in regards to
being reimbursed for the fees associated with her attendance at the 2007 PMAA
Annual Conference.
a.
1. Authorizing signatures for Authority check #36527 could not be
determined.
Hopkin's letter stated the following:
"Attached is a receipt in the amount of $499.00 for payment made by me for
the upcoming PMAA conference. (I paid for this expense personally, as you
can see it has been paid). I subtracted $142.00 for my husband's expense.
Please issue a check in the amount of $357.00 to me for the expense I paid
for the conference. Thank you."
50. The receipt Hopkin referenced in her letter was a PMAA confirmation notice which
indicated that Hopkin registered herself and her husband as follows:
Function
Registration
Freshman Mixer
Continental Breakfast /Ceremony
Delegate Favor
Spouse & Guest Favor
Professional Luncheon
Beaver Stadium Blitz
Tuesday Exhibitor Breakfast
Tuesday Exhibitor Lunch
After Banquet Party
Wednesday Family Breakfast
Quantity Rate
1
2
2
1
1
2
2
2
2
2
2
$215.00
$0
$0
$0
$0
$25.00
$49.00
$0
$0
$49.00
$19.00
Total:
a. Expenses related to Hopkin total $357.00 as shown below:
Amount
$215.00
$0
$0
$0
$0
$50.00
$98.00
$0
$0
$98.00
$38.00
4
b. Expenses related to Hopkin's husband total $142.00 as shown below:
Fun
ction
Cost
Function
Cost
Beaver Stadium Blitz
$49.00
After Party
$49.00
Family Breakfast
$19.00
Total: $117.00
Professional Luncheon
$25.00
Beaver Stadium Blitz
$49.00
After Party
$49.00
Family Breakfast
$19.00
Total: $142.00
Hopkin, 07 -095
Page 13
51. On or about September 20, 2007, Hopkin received Authority check #36527 dated
September 20, 2007, in the amount of $357.00 reimbursing Hopkin for the
expenses related solely for her attendance at the conference.
52. Hopkin in her capacity as Board Director registered herself for entertainment events
in association with her attendance at the 2007 PMAA Conference.
53. Hopkin was registered to stay at the Penn State Conference Center Hotel located at
215 Innovation Boulevard, State College, PA 16803 in order to attend the
conference.
a. Hopkin checked in on September 23, 2007, and checked out on September
24, 2007.
b. The room rate was $125.00 /night plus taxes.
54. Hopkin checked out on September 24, 2007, and did not attend entertainment
events on September 25, 2007, and September 26, 2007, for which she had been
registered and payment had been made by the HTMA.
a. Hopkin did not attend any of the events which the HTMA prepaid.
55. The PMAA holds Region 9 Dinners in or around April and /or November of each
year.
a. Hopkin regularly attended the Spring dinners from 2002 through 2007.
b. Hopkin's husband attended the majority of the spring dinners with Hopkin.
1. Hopkin's husband attended dinner meetings in 2003, 2004, 2005,
2006, and 2007.
c. Hopkin's expenses and her husband's expenses to attend the Spring dinners
were paid for by the HTMA.
56. Hopkin made decisions to incur overnight lodging, subsistence, and alcohol
expenses in relation to dinner meetings attended between 2003 and 2007.
57. Spring dinner meetings were held at Seven Springs Resort, Champion, PA in 2003,
2004, 2006, and 2007.
58. The 2003 Region 9 Spring Dinner meeting was held on Saturday, April 12, 2003.
a. The dinner meeting location was at Seven Springs Resort located at 777
Date
Description
Amount
4 -12 -03
Room Rental
$85.00
4 -12 -03
State Hotel Occupancy Tax
$ 5.10
4 -12 -03
County Hotel Occupancy Tax
$ 2.55
4 -13 -03
Dining Room
$22.97
Total:
$115.62
Hopkin, 07 -095
Page 14
Waterwheel Drive, Champion, PA 15622.
b. Cost of dinner per person was $37.00.
59. The HTMA paid a fee of $74.00 for Hopkin and her spouse to attend the dinner.
a. The fee was paid by Authority check #29018 dated March 26, 2003.
1. Authority check #29018 was signed by Hopkin and Melenia.
60. Hopkin and S. Hopkin were registered to stay at the Seven Springs hotel located at
the resort.
a. Hopkin stayed at the resort even though the facility is less than a one hour
commute from her home and the dinner was completed by approximately
9:00 p.m.
b. Hopkin checked in on April 12, 2003, and departed on April 13, 2003.
c. The room rate was $85.00 /night plus taxes.
61. Charges incurred to Hopkin's room account at the Seven Springs hotel included the
following:
a. The HTMA issued Authority check #29336 dated June 4, 2003, directly to
Seven Springs Mountain Resort in the amount of $115.62.
1. Authority check #29336 was approved for issuance via signature by
Hopkin and Fisher.
b. Hopkin submitted her hotel folio to the Authority but did not submit a receipt
to document the meal charge on April 13, 2003.
62. Seven Springs Resort receipt records reflect that the $22.97 dining room charge
Hopkin incurred on April 13, 2003, was for two adult breakfast buffets.
a. The receipt indicated that the two individuals were served at or about 10:30
a.m.
b. Hopkin signed the receipt and directed that the charge be billed to her room.
63. Hopkin did not submit an expense report or receipts documenting expenses
incurred in relation to her attendance at the 2003 Spring Dinner meeting.
64. The 2003 Region 9 Fall Dinner meeting was held at South Hills Country Club on
November 7, 2003.
a. The South Hills Country Club is located at the corner of Route 51 and
Brownsville Road in the Pittsburgh, PA regional area.
Hopkin, 07 -095
Page 15
b. The speaker for the evening was John A. Maher.
c. The HTMA paid dinner costs of $70.00 for Hopkin and S. Hopkin to attend
the dinner.
d. The fee was paid by Authority check #30109 dated November 5, 2003.
1. Authority check #30109 was approved for issuance via signature by
Hopkin and Fisher.
65. The 2004 Region 9 Spring Dinner meeting was held on Saturday, April 17, 2004.
a. The dinner meeting location was at Seven Springs Resort located at 777
Waterwheel Drive, Champion, PA 15622.
b. The HTMA paid dinner fees of $70.00 for Hopkin and S. Hopkin to attend the
dinner.
c. The fee was paid by Authority check #31826 dated November 3, 2004.
1. Authority check #31826 was signed by Hopkin and board member
Matt Pecarchik.
66. Hopkin and her husband were registered to stay at the Seven Springs hotel located
at the resort.
a. The dinner event concluded at or about 9:00 p.m. on April, 17, 2004.
b. Hopkin checked in on April 17, 2004 and departed on April 18, 2004.
c. The room rate was $150.00 /night plus taxes.
67. Hopkin's hotel charge of $150.00 was paid via Ranella's Authority issued credit
card on March 31, 2004.
a. Ranella's credit card statement reflecting the $150.00 Seven Springs hotel
charge was paid for via Authority check #31037 dated May 10, 2004.
b. Authority check #31037 was approved for issuance via signature by Hopkin
and Regola.
b. Hopkin did not submit a folio to the Authority to document her hotel
expenses.
68. Hopkin did not submit an expense report or receipts documenting any expenses for
the 2004 Region 9 Spring Dinner meeting.
a. Hopkin had $185.00 personal expenses in relation to this dinner, including
hotel and spousal meal costs.
69. The 2004 Region 9 Fall Dinner meeting was held in Penn Hills, PA on Thursday,
November 11, 2004.
a. The dinner meeting location was at Tivoli Restaurant located at Rodi Road,
Penn Hills, PA.
Date
Description
Amount
4 -2 -05
CP Double
$154.00
4 -3 -05
724- 523 -0261 (time 10:26
a.m.)
$ 1.00
4 -3 -05
Bowling
$ 40.00
4 -3 -05
Bavarian Lounge
$ 21.15
4 -3 -05
800 - 422 -2736 (time 16:37)
$ 0.50
4 -3 -05
Dining Room
$ 68.30
4 -3 -05
CP Double
$154.00
Total: $438.95
Hopkin, 07 -095
Page 16
b. The HTMA paid dinner charges of $70.00 for Hopkin and S. Hopkin to attend
the dinner.
c. The fee was paid by Authority check #31826 dated November 3, 2004.
1. Authority check #31826 was signed by Hopkin and Pecarchik.
70. The 2005 Region 9 Spring Dinner meeting was held on Saturday, April 2, 2005.
a. The dinner meeting location was at Seven Springs Resort located at 777
Waterwheel Drive, Champion, PA 15622.
b. The HTMA paid dinner costs of $80.00 for Hopkin and her husband to attend
the dinner.
c. The fee was paid by Authority check #32494 dated March 23, 2005.
1. Authority check #32494 was signed by Hopkin and another
authorized signature (name undistinguishable).
71. Hopkin and her husband were registered to stay at the Seven Springs hotel located
at the resort for the evening of the dinner and the night after the dinner event.
a. Hopkin's stay included the evening of the dinner and the following night.
1. No functions occurred after 9:00 p.m. on April 2, 2005.
2. Hopkin's home is located approximately a one -half hour drive from
Seven Springs.
b. The hotel costs were not preapproved by the HTMA Board.
c. Hopkin checked in on April 2, 2005, and departed on April 4, 2005.
d. The room rate was $154.00 /night.
72. Charges incurred to Hopkin's room account at the Seven Springs hotel totaling
$438.95 included the following:
a. Advance payment of Hopkin's hotel charge in the amount of $154.00 was
paid via Ranella's Authority issued credit card on March 16, 2005.
1. The HTMA issued Authority check #32577 dated April 11, 2005, to
pay for the advance payment.
Description
Amount
$ 3.75
Bloody Mary
$ 4.00
Bavplat /4
$10.75
Tax
$ 0.65
Tip
$ 2.00
Total: $21.15
Description
Amount
Jumbo Shrimp Cocktail
U
Coffee /Tea
$ 1.00
Soda
$ 1.25
Seafood Jambalaya
$19.00
Hopkin, 07 -095
Page 17
2. Authority issued check #32577 was approved for issuance via
signature by Hopkin and Matt Pecarchik.
b. The remainder of the hotel expenses ($284.95) were charged to Hopkin's
Authority issued credit card.
1. The HTMA issued Authority check #32746 dated May 18, 2005, to
pay for the remainder of Hopkin's hotel expenses.
2. Authority issued check #32746 was approved for issuance via
signature by Hopkin and Regola.
c. Hopkin did not submit a hotel folio or receipts to the Authority to document
expenses charged to her room.
73. Hopkin's purpose for staying at Seven Springs for two nights was not related to any
PMAA or HTMA function or business.
74. A Seven Springs receipt details that the $40.00 bowling charge occurred at
approximately 1:03 p.m. on April 3, 2005, the day after the dinner meeting.
a. Hopkin signed the receipt and directed that the charge be billed to her hotel
room.
b. Bowling was not part of any PMAA dinner event.
75. A second Seven Springs receipt details that the $21.15 subsistence charge was
incurred by Hopkin at the Bavarian Lounge between 1:13 p.m. and 1:38 p.m. on
April 3, 2005, the day after the dinner event.
a. The charge was not related to any PMAA or HTMA function.
b. The receipt documented the following charges:
c. Hopkin signed the receipt and directed that the charge be billed to her hotel
room.
76. A third Seven Springs receipt confirms a $68.30 subsistence expense was incurred
at the Dinning Room located at Seven Springs between approximately 6:43 p.m.
and 7:41 p.m. on April 3, 2005:
a. The receipt documented the following charges:
Tuna, rare
$16.00
Vege
U
Vege
U
Cabernet
$ 4.50
Herbal Tea
$ 1.00
Dessert Table
$ 2.00
Dessert Table
$ 2.00
Tax
$ 3.05
Tip
$10.00
TOTAL:
$68.30
Hopkin, 07 -095
Page 18
Key: U= Undistinguishable
b. The receipt documented the purchase of two entrees.
1. Hopkin utilized her Authority credit card to pay for her meal and
another individual's meal.
c. Hopkin signed the receipt and directed that the charge be billed to her hotel
room.
77. Hopkin did not submit an expense report or any receipts to the HTMA claiming
expenses in relation to her attendance at the 2005 PMAA Spring Dinner meeting.
78. Hopkin incurred personal expenses of $478.95 as a result of her travel to Seven
Springs under the guise of attending the 2005 PMAA Dinner Meeting.
a. Hopkin stayed the night of the dinner meeting and one extra night even
though she resides less than one hour from the dinner site and no functions
occurred that required any overnight lodging and related expenses.
b. Hopkin authorized all expenses for her and her husband including room,
meals, and entertainment.
79. The 2006 Region 9 Fall Dinner meeting was held in Pittsburgh, PA on Saturday,
October 28, 2006.
a. The dinner meeting location was at Fox Chapel Golf Club located at 426 Fox
Chapel Road, Pittsburgh, PA 15238.
b. The topic presented at the meeting was "Current Financing Options."
c. The HTMA paid dinner costs of $100.00 for Hopkin and her husband to
attend the dinner.
d. The fee was paid by Authority check #35148 dated October 18, 2006.
1. Authority check #35148 was signed by Hopkin and Regola.
80. The 2007 Region 9 Spring Dinner meeting was held in Champion, PA on Saturday,
May 19, 2007.
a. The dinner meeting location was at Seven Springs Resort located at 777
Waterwheel Drive, Champion, PA 15622.
b. Champion is located 33.28 miles or an approximate (45) minute commute
from Hopkin's home.
Year Expenses Were Incurred
Amount
$152.69
2003 PMAA Spring Dinner
2003 PMAA Fall Dinner
$ 35.00
2004 PMAA Spring Dinner
$185.00
2004 PMAA Fall Dinner
$ 35.00
2005 PMAA Spring Dinner
$478.95
2006 PMAA Fall Dinner
$ 50.00
2007 PMAA Spring Dinner
$ 40.00
Total: $976.64
Hopkin, 07 -095
Page 19
c. The HTMA paid a fee of $80.00 for Hopkin and her husband to attend the
dinner.
d. The fee was paid by Authority check #36010 dated May 16, 2007.
1. Authority check #36010 was approved for issuance via signature by
Hopkin and another authorized signature (name undistinguishable).
81. Hopkin did not submit an expense report or receipts to the HTMA in relation to her
attendance at the 2007 PMAA Spring Dinner meeting.
82. Hopkin incurred personal expenses of $976.64 when she authorized and approved
personal expenses for herself and her spouse for attending the PMAA dinner
events from 2002 through 2007 as shown below:
83. The PMAA holds Management Workshop Meetings in or around April each year.
a. Hopkin attended the Management Workshop Meetings held from 2005
through 2007.
b. Hopkin's husband attended the 2005, 2006, and 2007 Management
Workshop Meetings with Hopkin.
c. Hopkin's expenses to attend the Management Workshop Meetings were paid
for by the HTMA.
1. S. Hopkin's expenses were paid for in relation to his attendance at the
2006 workshop.
d. The 2005, 2006, and 2007 workshop meetings were held at the Nemacolin
Woodlands Resort, Farmington, Pennsylvania.
e. The resort is located 49.09 miles or less than a one hour commute from
Hopkin's home.
f. Workshop sessions began at 9:00 a.m. and concluded by 3:15 p.m. with a
one hour lunch break.
g. Registration fees were $85.00 for a member and $100.00 for non - members.
84. The 2005 PMAA Spring Management Workshop was held in Farmington, PA on
April 5, 2005.
85. The HTMA paid the registration fee of $85.00 for Hopkin to attend the workshop.
Date
Description of Charge
Amount
4 -4 -05
Room Charge in 1502
$189.00
4 -4 -05
Tax 2
$ 11.34
Total: $200.34
Hopkin, 07 -095
Page 20
a. The registration fee was charged to Ranella's Authority issued credit card on
February 21, 2005.
b. Ranella's credit card statement documenting the registration fee was paid
via Authority check #32456 dated March 14, 2005.
1. Authority check #32456 was approved for issuance via signature by
Hopkin and undistinguishable.
86. Hopkin and her husband were registered to stay at the hotel located on the
premises of Nemacolin Woodlands Resort.
a. Hopkin directed the reservation be made even though the event location was
less than an hour from her home and no official functions occurred requiring
an overnight stay.
b. The workshop concluded by 3:00 p.m. on April 4, 2005 *.
*[sic]. [Cf., the date at Fact Finding 84.]
c. Hopkin checked into the resort hotel on April 4, 2005, and departed on April
5, 2005.
d. The room rate was $189 /night plus taxes.
e. Two people were identified in the party.
87. Hopkin incurred charges to her room account at the Nemacolin hotel including the
following:
a. Hopkin's hotel charge of $200.34 was paid via Ranella's Authority issued
credit card.
1. On January 13, 2005, an advance payment of $200.34 was made via
Ranella's Authority issued credit card for Hopkin's room.
aa. Ranella's credit card statement reflecting the advance payment
was paid via Authority check #32370, dated February 23,
2005.
bb. Authority check #32370 was approved for issuance via
signature by Regola and Hopkin.
88. The 2006 PMAA Spring Management Workshop was held in Farmington, PA on
April 11, 2006.
89. Hopkin's registration fee of $85.00 as well as her husband's registration fee of
$100.00 was paid for by the HTMA.
a. The registration fees were charged to Ranella's Authority issued credit card
on April 5, 2006.
Date
Description of Charge
Amount
4 -10 -06
Room Charge in 1530
$245.00
4 -10 -06
Tax 2
$ 14.70
Total: $259.70
Hopkin, 07 -095
Page 21
b. Ranella's credit card statement reflecting the registration fees was paid via
Authority check #34432, dated May 17, 2006.
1. Authority check #34432 was approved for issuance via signature by
Regola and Hopkin.
90. Hopkin and her husband were registered to stay at the hotel located on the
premises of Nemacolin Woodlands Resort.
a. Hopkin checked into the room on April 10, 2006, and checked out on April
11, 2006.
b. The room rate was $245 /night plus taxes.
c. Two people were identified in the party.
91. Personal charges incurred by Hopkin included the room and tax at Nemacolin
Woodlands Resort totaling $259.70.
a. Hopkin's total hotel charge of $259.70 was paid via Kathy Hopkin's Authority
issued credit card.
1. On February 25, 2006, an advance payment of $259.70 was charged
to Kathy Hopkin's Authority issued credit card.
aa. Kathy Hopkin's credit card statement reflecting the advance
payment of $259.70 was paid via Authority check #34191
dated March 22, 2006.
bb. Authority check #34191 was approved for issuance via
signature by Board Directors Hopkin and Regola.
92. The 2007 PMAA Spring Management Workshop was held in Farmington, PA on
April 17, 2007.
a. The workshop was held at Nemacolin Woodlands Resort located at 1001
Lafayette Drive, Farmington, PA 15437.
93. Hopkin's registration fee of $85.00 was paid for by the HTMA.
a. The registration fee was charged to Hopkin's Authority issued credit card on
March 30, 2007.
b. Hopkin's credit card statement reflecting the registration fee was paid via
Authority check #35948 dated May 15, 2007.
1. Authority check #35948 was approved for issuance via signature by
Hopkin and Pecarchik.
94. Hopkin and her husband were registered to stay at the hotel located on the
premises of Nemacolin Woodlands Resort.
Date
Description of Charge
Amount
4 -16 -07
Overnight parking valet parking /overnight
p
$ 7.00
4 -16 -07
Room charge in 1234
$189.00
4 -16 -07
Tax2
$ 11.34
4 -16 -07
*Autumn in 1234H0
$ 70.94
4 -17 -07
VISA 2218
$ 55.68
Total: $333.96
Hopkin, 07 -095
Page 22
a. The reservations were made by Hopkin or at her direction.
b. Hopkin checked into the room on April 16, 2007, and checked out on April
17, 2007.
c. The room rate was $189.00 /night plus taxes.
d. Two people were identified in the party.
95. Personal charges incurred by Hopkin included room charges at the Nemacolin
Woodlands Resort, parking and meals, which were not related to the PMAA
workshop:
* In room dining
a. Hopkin's total hotel charge of $333.96 was paid via Hopkin's Authority
issued credit card and Hopkin's personal credit card.
1. On January 9, 2007, an advance payment of $222.60 was charged to
Hopkin's Authority issued credit card.
aa. Hopkin's credit card statement reflecting the advance payment
of $222.60 was paid via Authority check #35660 dated
February 21, 2007.
bb. Authority check #35660 was approved for issuance via
signature by Regola and an authorized signature (name
undistinguishable).
2. The remainder of the hotel expenses ($111.36) were charged to
Hopkin's Authority credit card and her personal credit card.
aa. $55.68 in expenses was charged to Hopkin's Authority credit
card on April 17, 2007.
1. Authority check #36113 dated June 20, 2007, was
issued to pay for the April 17, 2007, $55.68 expense.
2. Authority check #36113 was approved for issuance via
signature by Regola and Pecarchik.
bb. The remaining $55.68 in expenses was charged to Hopkin's
personal credit card on or about July 2, 2007.
96. Hopkin wrote the following on her Authority credit card statement regarding the
$55.68 "NWL LODGING" expenses incurred on April 17, 2007:
"Do not pay this bill — it was for my dinner and I gave my personal credit card at the
time. I called 5/12/07 and was told it would be taken off this Authority credit card.
Hopkin, 07 -095
Page 23
Kathy Hopkin."
a. The Authority paid the charge via Authority check #36113 dated June 20,
2007, prior to Hopkin's note.
b. Hopkin's Authority credit card statement for July 2007 reflects that on July 2,
2007, Hopkin's credit card was credited $55.68 by "NWL LODGING."
97. Hopkin charged personal expenses of $278.28 to a HTMA credit card in association
with attending the 2007 PMAA Management Workshop meeting, including hotel,
meals, and valet parking.
THE FOLLOWING FINDINGS RELATE TO HOPKIN'S EXPENSES IN RELATION TO
AWWA CONFERENCES.
98. Hopkin and other Members of the HTMA Board of Directors have attended annual
conferences of the AWWA.
a. The AWWA is an authoritative resource on safe water, providing knowledge,
information and advocacy to improve the quality and supply of water in North
America and beyond.
b. AWWA sponsors an annual conference which is usually held during the
month of June and lasts for five days.
c. Hopkin has attended AWWA annual conferences held in 2005 and 2007.
99. The 2005 AWWA annual conference was held in San Francisco, California from
June 12, 2005, to June 16, 2005.
a. The annual conference was held at the Moscone Center located at 747
Howard Street, San Francisco, CA 94103.
100. The HTMA paid registration fees of $100.00 for Hopkin and $30.00 for her husband
to attend the exhibit hall portion of the annual conference.
a. The registration fees were charged to Hopkin's Authority issued credit card
on March 19, 2005.
b. Hopkin's credit card statement reflecting her registration fee was paid via
Authority check #32633 dated April 20, 2005.
1 Authority check #32633 was approved for issuance via signature by
Regola and Pecarchik.
101. The payment of the exhibit hall registration fee granted Hopkin and her husband
access to the exhibit hall only during the annual conference.
a. Hopkin and her husband were not registered for any other AWWA events
scheduled.
b. No record exists of Hopkin attending AWWA seminar or training.
102. Hopkin and her husband's air transportation to San Francisco, CA was charged to
Hopkin's Authority issued credit card on February 22, 2005.
a. The airline tickets for Hopkin and her husband cost $234.80 each [$229.80
Date
Description of Charge
Amount
6 -11 -05
EXT- #31093 L 885 -4700 001 15:35
$ 1.00
6 -11 -05
GUEST ROOM
$195.00
6 -11 -05
CALIFORNIA TOURISM TAX
$ 0.09
6 -11 -05
CITY OCCUPANCY TAX
$ 27.30
6 -12 -05
EXT- #31093 L 777 -2288 001 07:09
$ 1.00
6 -12 -05
CAFE
$ 33.47
6 -12 -05
MOVIE
$ 10.81
6 -12 -05
ROOM SERVICE
$ 53.12
6 -12 -05
LOBBY BAR
$ 25.79
6 -12 -05
GUEST ROOM
$195.00
6 -12 -05
CALIFORNIA TOURISM TAX
$ 0.09
6 -12 -05
CITY OCCUPANCY TAX
$ 27.30
6 -13 -05
GUEST ROOM
$195.00
6 -13 -05
CALIFORNIA TOURISM TAX
$ 0.09
6 -13 -05
CITY OCCUPANCY TAX
$ 27.30
6 -14 -05
CAFE
$ 33.47
6 -14 -05
LOBBY BAR
$ 19.36
6 -14 -05
GUEST ROOM
$195.00
6 -14 -05
CALIFORNIA TOURISM TAX
$ 0.09
6 -14 -05
CITY OCCUPANCY TAX
$ 27.30
Total: $1,067.58
Hopkin, 07 -095
Page 24
(ticket price) + $5.00 (service fee) = $234.80].
b. Total cost for Hopkin and her husband to fly to San Francisco, CA was
$469.60 ($234.80 x 2 = $469.60).
103. Hopkin and her husband's airfare costs were paid for via Authority check #32456
dated March 14, 2005.
a. Authority check #32456 was approved for issuance via signature by Hopkin
and Pecarchik.
Hopkin never reimbursed the HTMA for the cost of her husband's airfare.
b.
104. Hopkin left Pittsburgh on June 11, 2005, at 8:05 a.m. and returned on June 15,
2005, at 5:49 p.m.
105. Hopkin and her husband were registered to stay at the Hilton hotel located at 333
O'Farrell Street, San Francisco, CA 94102.
a. Hopkin checked in on June 11, 2005, at 1:34 p.m. and departed on June 15,
2005, at 12:41 p.m.
b. The room rate was $195.00 /night plus taxes.
c. Two people were identified in the party.
106. Charges incurred by Hopkin to her room account at the Hilton included room and
tax fees, room service, bar, movies, and meal charges as follows:
a. Hopkin's hotel charge of $1,067.58 was paid via Hopkin's Authority issued
credit card.
1. Hopkin's credit card statement reflecting the hotel charge was paid
Transaction
Date
Transaction Description
Amount
Charged
5 -18 -05
PRA Destination M00 OF 00619 - 2349440 CA
$162.00
5 -18 -05
PRA Destination M00 OF 00619 - 2349440 CA
$162.00
5 -18 -05
PRA Destination M00 OF 00619 - 2349440 CA
$162.00
6 -11 -05
McDonalds, Pittsburgh, PA
$ 4.57
6 -12 -05
Powell Market St MUNI KOB, CA
$ 30.00
6 -12 -05
Bistro Boudin 511, San Francisco, CA
$217.58
6 -12 -05
Tour Links, San Francisco, CA
$332.00
6 -13 -05
World Famous Sears FIN, San Francisco, CA
$ 34.60
6 -15 -05
Krystal 10, Atlanta, GA
$ 8.60
6 -14 -05
Rose Pistola, San Francisco, CA
$ 79.87
6 -15 -05
Max &Erma's -PKWY West #61, Pittsburgh, PA
$ 38.79
Total: 1,232.01
Hopkin, 07 -095
Page 25
via Authority check #32976 dated July 13, 2005.
2. Authority check #32976 was approved for issuance via signature by
Hopkin and Regola.
b. Hopkin submitted her hotel folio to the Authority but did not submit receipts
to document additional expenses charged to her room.
107. Hopkin charged $1,232.01 in expenses to her Authority issued credit card for
personal expenses, tours, restaurants and entertainment unrelated to any AWWA
function.
a. The entertainment occurred during the same timeframe as AWWA functions.
b. Personal charges made by Hopkin:
c. The charges listed above were paid for via the Authority even though
receipts were not provided by Hopkin.
108. PRA destination charges were for tours Hopkin booked for herself and Board
Members Regola, Melenia, and their spouses.
a. PRA Destination records reflect that Hopkin booked The California Wine
Collection: The Mediterranean Comes To Carneros with Box Lunch" tour.
b. The tour was scheduled for June 13, 2005, from 1:00 p.m. to 6:00 p.m. the
second day of the conference and during the time period when the Expo Hall
was open for tour.
c. The cost was $81.00 per person.
1. Six tickets were purchased.
109. A $217.58 subsistence expense incurred by Hopkin at Bistro Boudin, a San
Francisco Restaurant, for herself, Regola, Melenia, and three spouses on June 12,
2005, was charged to her Authority credit card.
a. A total of six entrees were purchased with Hopkin's Authority credit card at
Bistro Boudin.
1. Hopkin utilized her Authority issued credit card to pay for her meal
Hopkin, 07 -095
Page 26
and five other individuals' meals.
2. Hopkin's Authority credit card statement reflecting the $217.58
expense was paid for via Authority check #32976 dated July 13,
2005.
3. Authority check #32976 was approved for payment via signature by
Hopkin and Regola.
b. The meal expense for each individual totaled $36.26 (217.58 / 6 = 36.26)
when divided equally.
110. Tour Links LLC is a private company that operates /provides tours in the San
Francisco, CA area.
a. The Tour Links LLC entertainment expenses of $332.00 that Hopkin charged
to her Authority issued credit card on June 12, 2005, was paid for by the
Authority.
1. Hopkin's Authority credit card statement that reflected the Tour Links
charge was paid for via Authority check #32976 dated July 13, 2005.
2. Authority check #32976 was approved for issuance via signature by
Hopkin and Regola.
111. A Rose Pistola receipt confirmed that $79.87 in subsistence and alcoholic
beverages was incurred by Hopkin on June 14, 2005, for herself and her husband.
a. The receipt documents that Hopkin and another individual was served.
b. The meal expense for each individual totaled $39.94 (79.87 / 2 = 39.94)
when divided equally.
c. Hopkin's Authority credit card statement that reflected the Rose Pistola
expense of $79.87 was paid for via Authority check #32976 dated July 13,
2005.
1. Authority check #32976 was approved for issuance via signature by
Hopkin and Regola.
112. Hopkin did not submit an expense report or receipts to the HTMA itemizing
expenses in relation to attending the 2005 AWWA Annual Convention.
THE FOLLOWING FINDINGS RELATE TO EXPENSES CLAIMED BY HOPKIN IN
RELATION TO WEFTEC CONFERENCES
113. Hopkin, as a member of the HTMA, has attended annual conferences hosted by the
Water Environment Foundation (WEF).
a. Hopkin has attended the 2004 conference held in New Orleans, LA and the
2005 conference held in Washington, D.C.
b. Hopkin's husband attended both conferences with Hopkin.
c. Hopkin's husband's expenses were paid in relation to his attendance at the
2005 WEFTEC Convention.
Hopkin, 07 -095
Page 27
114. The WEF is a not - for - profit technical and educational organization consisting of
32,000 individual members and 80 member associations representing
approximately 50,000 water quality professionals.
a. The WEF holds annual conferences and meetings.
b. WEFTEC is the Water Environment Federation's Annual Technical
Exhibition Conference.
c. Training and educational seminars provided throughout the conferences are
highly technical and directed towards environmental engineers, water and
waste water treatment professionals, local, state, and federal regulators,
water and waste water utility managers and operators and equipment
manufacturers and representatives.
115. The 2004 WEFTEC Conference was held at the Ernest N. Morial Convention
Center in New Orleans, LA from October 2, 2004, through October 6, 2004.
a. Attendees must register for seminars they want to attend.
1. Fees are charged for attendance to seminars.
b. Badges are provided which authorize entrance to specific seminars.
c. Access to seminars is denied without a badge.
d. The HTMA paid a registration fee of $125.00 for Hopkin's access to the
EXPO for the entire week.
116. Hopkin and her husband's air transportation to New Orleans, LA was charged to
Hopkin's personal American Express Gold Delta SkyMiles credit card on June 1,
2004.
a. The airline tickets for Hopkin and her husband cost $221.90 each.
b. Total cost for Hopkin and her husband to fly to New Orleans, LA was
$443.80.
117. Hopkin charged airfare for Regola, Melenia, and their spouses to her credit card as
noted below:
Individual Cost
Regola's airfare 221.90
Regola's wife's airfare $221.90
Brian Melenia's airfare $221.90
Brian Melenia's wife's airfare $221.90
Total: $887.60
a. Hopkin charged a total of $1,331.40 to American Express ($221.90 x 6 =
$1,331.40) so that Hopkin, Hopkin's husband, Regola, Regola's wife,
Melenia, and Melenia's wife were able to travel to New Orleans, LA.
b. The charging of the airfares to Hopkin's personal card enabled Hopkin to
obtain air miles points.
c. Hopkin submitted her American Express Gold Delta SkyMiles credit card
Date
Description of Charge
Amount
$229.00
10
-2
-04
Room
10
-2
-04
Room Tax
$ 29.77
10
-2
-04
Occupancy Tax
$ 3.00
10
-3
-04
Room
$229.00
10
-3
-04
Room Tax
$ 29.77
10
-3
-04
Occupancy Tax
$ 3.00
10
-3
-04
Roux Bistro
$ 44.40
Hopkin, 07 -095
Page 28
statement to support her claim.
1. The statement reflected that the $1,331.40 paid was not for just board
members' airfare but for their spouses' airfare as well.
d. Hopkin was issued Authority check #31090 dated May 27, 2004, to
reimburse her for the total airfare ($1,331.40).
1. Authority check #31090 was approved for issuance via signature by
Hopkin and Regola.
118. Hopkin accrued 2,664 Delta SkyMiles in relation to charging her spouse's airfare
and other board members' and their guest's airfare to her personal American
Express Gold Delta SkyMiles credit card.
a. For every dollar charged to an American Express Gold Delta SkyMiles credit
card in 2004 a SkyMile was provided to the cardholder.
b. In order for Hopkin to obtain 2,664 SkyMiles, Hopkin would have had to
accrue $2,664.00 in charges; however, during the time that she purchased
the airline tickets double SkyMiles were being awarded.
1. Hopkin was provided 2,664 SkyMiles due to her purchase of
$1,331.40 being rounded to 1,332 then multiplied by two to account
for the double SkyMiles (1,332 x 2 = 2,664).
aa. No other purchases were made in June 2004 other than the
airline tickets.
c. This was the first charge to this account.
1. As a result of making the first charge Hopkin received 10,000 bonus
points.
d. Hopkin has not yet utilized the bonus points accrued from airfare and
subsequent bonus points.
119. Hopkin and her husband were registered to stay at the Sheraton hotel located at
500 Canal Street, New Orleans, LA 70130.
a. Hopkin checked in on October 2, 2004, at 1:23 p.m. and departed on
October 6, 2004, at 9:53 a.m.
b. The room rate was $229.00 /night plus taxes.
c. Two people were identified in the party.
120. Charges incurred to Hopkin's room account at the Sheraton included the following:
10
-3
-04
Club Lounge
$ 10.88
10
-3
-04
Club Lounge
$ 4.00
10
-4
-04
Room
$229.00
10
-4
-04
Room Tax
$ 29.77
10
-4
-04
Occupancy Tax
$ 3.00
10
-4
-04
Roux Bistro
$ 34.99
10
-4
-04
Club Lounge
$ 11.88
10
-5
-04
Room
$229.00
10
-5
-04
Room Tax
$ 29.77
10
-5
-04
Occupancy Tax
$ 3.00
10
-5
-04
Club Lounge
$ 2.00
10
-5
-04
Club Lounge
$ 5.00
Total: $1,160.23
Date
Amount
Description of Charge
Amount
10
-3
-04
Club Lounge
$10.88
10
-3
-04
Club Lounge
$ 4.00
10
-4
-04
Club Lounge
$11.88
10
-5
-04
Club Lounge
$ 2.00
10
-5
-04
Club Lounge
$ 5.00
Total: $33.76
Description of Charge
Amount
1 Buffet
$17.95
1 Oatmeal
$ 8.25
1 Coffee
$ 2.95
Tax
$ 2.84
Tip
$ 3.00
Description of Charge
Amount
2 Buffets
$35.90
Tax
$ 3.50
Tip
$ 5.00
Total: $44.40
Hopkin, 07 -095
Page 29
a. Hopkin's hotel charge of $1,160.23 was paid via Hopkin's Authority issued
credit card.
1. Hopkin's credit card statement reflecting the hotel charge was paid
via Authority check #31874 dated November 17, 2004.
2. Authority check #31874 was approved for issuance via signature by
Regola and Pecarchik.
121. Hopkin did not submit any receipts to the Authority to document expenses charged
to her room at Club Lounge as follows.
a. The Club Lounge is a hotel bar.
122. Sheraton records confirm subsistence charges incurred at Roux Bistro, a hotel
restaurant, on October 3, 2004, and October 4, 2004, for Hopkin and her spouse:
a. October 3, 2004:
b. October 4, 2004:
Transaction
Date
Transaction Description
Amount of
Transaction
10/2/2004
Sheraton Hotels F &B, New Orleans, LA
$173.16
10/3/2004
House of Blues, New Orleans
$ 37.32
10/6/2004
HMS HOST -ATL AIRPT #310, Atlanta, GA
$ 18.77
10/6/2004
Cajun Dogs, New Orleans, LA
$ 14.13
Sheraton 10 -2 -04
Total: $243.38
Description of Expense
Nature of
Expense
Amount
Husband's Airfare
Personal
$ 221.90
Approximate SkyMiles Value
Personal
$1,332.00
1/2 Roux Bistro on 10 -3 -04
Personal
$ 22.20
1 Roux Bistro on 10 -4 -04
Personal
$ 17.50
Sheraton 10 -2 -04
$ 173.16
Total: $1,766.76
Hopkin, 07 -095
Page 30
Total: $34.99
c. Hopkin signed the receipts and directed that the expenses be billed to her
Authority issued credit card.
123. The following expenses were charged to Hopkin's Authority issued credit card
during the time that she stayed in New Orleans, LA:
a. Hopkin did not submit any receipts to the Authority to document the
expenses.
b. The expenses listed above were paid for via Authority check #31874 dated
November 17, 2004.
1. Authority check #31874 was approved for issuance via signature by
Regola and Pecarchik.
124. Hopkin incurred personal expenses which she authorized and then approved
totaling $1,766.76 in relation to the 2004 WEFTEC event as shown below:
125. The 2005 WEFTEC Conference was held at the Washington Convention Center
from October 29, 2005, through November 1, 2005.
a. The HTMA paid a registration fee of $125.00 for Hopkin to access the EXPO
Hall.
b. The HTMA paid a fee of $85.00 for Hopkin's husband to access the lifestyle
program.
1. Lifestyle programs are intended to provide sightseeing tours of points
of interest where the convention is being held.
2. The $85.00 fee was charged to Hopkin's Authority issued credit card
on July 16, 2005.
3. Hopkin's credit card statement documenting the $85.00 fee was paid
via Authority check #33130 dated August 10, 2005.
Transaction
Date
Transaction Description
Amount
Charged
10 -30 -05
Old Ebbitt Grill, Washington, DC
$ 48.74
10 -30 -05
Old Ebbitt Grill, Washington, DC
$ 18.40
10 -30 -05
The Occidental Restaurant, Washington, DC
$429.66
10 -31 -05
Corner Bakery, Washington, DC
$ 9.10
10 -31 -05
Red Sage, Washington, DC
$ 43.65
11 -1 -05
Oceanaire Washington, Washington, DC
$227.33
11 -1 -05
Aria Trattoria, Washington, DC
$ 63.75
11 -2 -05
Cracker Barrel #434, Hagerstown, MD
$ 23.02
Total: $863.65
Date
Description of Charge
Amount
10 -30 -05
Movies
$15.17
10 -31 -05
Movies
$15.17
11 -1 -05
Movies
$12.83
Total: $43.17
Hopkin, 07 -095
Page 31
a.
Authority check #33130 was approved for issuance via
signature by Hopkin and Regola.
126. Hopkin and her husband were registered to stay at the Marriott hotel located at
1331 Pennsylvania Avenue, Washington, DC 20004.
a. Hopkin checked in on October 29, 2005, and departed on November 2,
2005.
b. The room rate was $439.00 /night plus taxes.
c. Two people were identified in the party.
d. Room, tax and parking charges totaled $2,133.48.
e Hopkin's hotel charges were paid via Hopkin's Authority issued credit card.
1. Hopkin's credit card statement reflecting the hotel charge was paid
via Authority check #33772 dated December 21, 2005.
2. Authority check #33772 was approved for issuance via signature by
Regola and Pecarchik.
f. Hopkin did not submit an expense report or receipts to the Authority to
document expenses incurred.
127. Payment of Hopkin's hotel charges also included in room movie expenses:
128. Hopkin's hotel folio reflected fifteen (15) telephone calls being made from Hopkin
between October 31, 2005, and November 1, 2005, totaling $99.20.
129. Hopkin's credit card statement covering the time period of late October to early
November indicated that the following charges in the Washington, DC /Maryland
area were incurred:
Hopkin did not provide the Authority with any receipts for the above listed
transactions to document what was charged to her Authority issued credit
card.
Description of Purchase
Cost
Absolut Bloody Mary (3 (a, $8.00)
$24.00
GLS Sterling Cabernet (4 (a, $8.00)
$32.00
Ginger Ale
$ 2.50
Coffee (4 (a, $2.50)
$10.00
Organic Salad (2 (a, $10.00)
$20.00
Swordfish
$27.00
Creme Brulee (4 (a, $8.00)
$32.00
Pork (2 (a, $24.00)
$48.00
Lobster Bisque (2 (a, $10.00)
$20.00
Halibut
$28.00
Grouper
$28.00
Shrimp Cocktail
$13.00
Filet
$33.00
Chocolate Cake
$ 8.00
Tax
$32.55
20% Gratuity
$71.61
Total: $429.66
Hopkin, 07 -095
Page 32
b. The above listed transactions were paid for via Authority check #33772
dated December 21, 2005.
1. Authority check #33772 was issued via signature by Regola and
Pecarchik.
130. Occidental Restaurant receipt records reflect meal charges and drinks for six
guests on October 30, 2005, at 7:07 p.m.
a. The receipt details Hopkin's purchase in the amount of $429.66 for the
following:
b. Hopkin utilized her Authority issued credit card to pay for her meal and five
other individuals' meals.
c. The average meal cost of $53.38 is calculated by the number of entrees (7)
by the total cost of meals $373.66 ($429.66 - $56.00 alcohol costs).
131. Oceanaire Restaurant merchant receipt records reflect that on November 1, 2005,
at 10:21 p.m., Hopkin incurred a $227.33 subsistence charge.
a. The receipt on file did not provide an itemization of subsistence purchased.
1. The receipt confirms that the subtotal of the subsistence and drink
charges was $187.33 and that Hopkin provided a $40.00 tip (total
$227.33).
132. As a result of Board member Davidson's review of HTMA member expenses and
the subsequent publicity, Hopkin issued a personal check (no. 1213) on July 23,
2007, payable to the HTMA in the amount of $2,297.59.
a. The payment represented reimbursement to the HTMA for personal
expenses for herself and her husband incurred while traveling at HTMA
expense.
b. The amount of the check was calculated by Hopkin.
Hopkin, 07 -095
Page 33
133. Hopkin voted to approve all Authority bill lists in which Authority checks were listed
regarding payment of her expenses and /or her husband's expenses in relation to
attending the PMAA events, AWWA conferences and WEFTEC conferences.
THE FOLLOWING FINDINGS ARE IN REGARDS TO HOPKIN'S FAILURE TO
DISCLOSE THE DIRECT SOURCE OF INCOME SHE RECEIVED FROM THE HTMA ON
HER STATEMENTS OF FINANCIAL INTERESTS FORMS FOR CALENDAR YEARS
2003 THROUGH 2006.
134. Hopkin, in her official capacity as a Board Member of the HTMA, was required to file
a Statement of Financial Interests form by May 1 annually containing information for
the prior calendar year.
a. The Hempfield Township Supervisors' administrative division has annually
been provided with blank Statements of Financial Interests forms from the
State Ethics Commission to provide to the HTMA for completion.
135. Statement of Financial Interests forms on file with the Hempfield Township as of
December 20, 2007, included the following filings for Hopkin:
Calendar Year Date Filed
2003 04/12/04
2004 02/07/05
2005 01/06/06
2006 02/14/07
136. Hopkin did not disclose the direct source of income she received from the HTMA on
Statements of Financial Interests filed for the 2003 through 2006 calendar years.
a. Hopkin's W -2 forms on file with the Authority for calendar years 2003 to 2006
confirm that Hopkin was paid $2,400.00 each year for her service as a
member of the HTMA.
III. DISCUSSION:
As a Member of the Hempfield Township Municipal Authority (hereinafter also
referred to as "HTMA" or "Authority "), Westmoreland County, from 1999 to the end of 2007,
Respondent Kathy Hopkin (hereinafter also referred to as "Respondent," "Respondent
Hopkin" and "Hopkin ") has been a public official /public employee 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 Hopkin violated Sections 1103(a) and
1105(b)(5) of the Ethics Act when she, as a Member of the HTMA, used the authority of
her office for a private pecuniary gain including but not limited to using the Authority credit
cards to incur personal expenses for attendance at various conventions and seminars and
when she failed to disclose the HTMA as a direct or indirect source of income on
Statements of Financial Interests filed for the 2003, 2004, 2005, and 2006 calendar years.
Pursuant to Section 1103(a) of the Ethics Act, a public official /public employee is
prohibited from engaging in conduct that constitutes a conflict of interest:
§ 1103. Restricted activities
(a) Conflict of interest. —No public official or public
employee shall engage in conduct that constitutes a conflict of
interest.
Hopkin, 07 -095
Page 34
65 Pa.C.S. § 1103(a).
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.
Subject to certain statutory exceptions not applicable to this matter, Section
1105(b)(5) of the Ethics Act requires the filer to disclose on the Statement of Financial
Interests the name and address of any direct or indirect source of income totaling in the
aggregate $1,300 or more.
As noted above, the parties have submitted a Consent Agreement and Stipulation of
Findings. The parties' Stipulated Findings are set forth above as the Findings of this
Commission. We shall now summarize the relevant facts as contained therein.
Respondent Hopkin served as a Member of the HTMA from 1999 to the end of
2007. Respondent held the position of Board Secretary in 2000. Respondent held the
position of Board Treasurer in 1999, 2001, 2002, 2003, 2004, 2005, 2006, and 2007.
HTMA checks require the signature of two authorized signatories. All five HTMA
Board Members and the General Manager have signature authority over the financial
accounts of HTMA.
Since at least 1996, HTMA Board Members and selected employees have regularly
attended conferences, conventions, seminars, and workshops. Such travel has included
events sponsored by the following: Pennsylvania Municipal Authorities Association
(PMAA); Water Environment Federation (WEF); and American Water Works Association
(AWWA).
Prior to August 2007, Board authorization was not required if a Member wanted to
attend an event of interest. Registration of an HTMA Board Member for an event was
either done by the Board Member or by an HTMA staff member. If registration was
completed by a staff member, the staff member was directed by the Board Member as to
what events the Board Member wanted to attend and whom the Board Member wanted to
Hopkin, 07 -095
Page 35
bring to the event as a guest. Hopkin and other Board Members were encouraged by
Board Chairman Robert Regola ( "Regola ") to bring their spouses and /or "significant
others" to events. Accommodations /registrations for spouses /guests were not made unless
at the direction of a Board Member.
Prior to August 2007, the Authority did not have a travel expense policy requiring
that receipts be submitted to document expenses incurred, although HTMA management
requested that Members and staff provide receipts for verification of expenses. HTMA
Board Members who traveled at Authority expense were to file expense reports with the
Authority detailing expenses incurred. Expense reports were to be completed by the
individual incurring the expense(s). Expenses paid via an Authority credit card were rarely
documented on an expense report.
Prior to 2004, only the General Manager and the Finance Director of the HTMA had
Authority credit cards. In approximately mid -2004, HTMA Board Members also received
Authority credit cards to utilize for travel expenses. Hopkin's Authority credit card was
active from August 2004 until July 13, 2007, when the account was closed.
Conference, convention, seminar, and workshop related expenses were included on
bill lists for approval at HTMA Board meetings. Board Member expenses were approved
by Board vote after expenses were incurred. Hopkin regularly voted to approve travel
expenses, including her own.
Authority staff members requested that Hopkin provide receipts to document
expenses incurred on numerous occasions. Hopkin informed the Authority staff that she
did not have receipts and directed the employees to issue payment without any expense
documentation.
HTMA management did not consistently request receipts to be provided by the
Board after being ignored on several occasions. Additionally, Regola informed Authority
staff that if mail addressed to a Board Member was opened by someone other than the
Board Member, the Authority staff member would be fired. This was in reference to HTMA
Board Member credit card statements. If a Board Member did not provide any verbal or
written directives in regard to how his or her statement should be paid, management paid
the statement without review.
In 2007, Board Member Bob Davidson began reviewing charges the Board Members
were making with regard to their attendance at conferences, conventions, seminars, and
workshops. The review indicated that certain Board Members, specifically Hopkin, Regola,
and Melenia, were making substantial charges for hotel expenses and subsistence; that
Board Members' spouses' expenses were being paid for by the Authority; and that
personal expenses (such as alcohol, gas, etc.) were being charged to Authority credit
cards. The findings of Davidson's review were made public to the local media, causing
negative publicity.
As a result of Board member Davidson's review of HTMA Member expenses and the
subsequent publicity, Hopkin issued a personal check (no. 1213) on July 23, 2007,
payable to the HTMA in the amount of $2,297.59. The payment represented
reimbursement to the HTMA for personal expenses for herself and her husband incurred
while traveling at HTMA expense. The amount of the check was calculated by Hopkin.
The parties have stipulated that Hopkin voted to approve all Authority bill lists in
which Authority checks were listed regarding payment of her expenses and /or her
husband's expenses in relation to attending the events discussed below (PMAA events,
AWWA Conferences, and WEFTEC Conferences).
On August 13, 2007, the Board adopted the "Hempfield Township Municipal
Hopkin, 07 -095
Page 36
Authority Conference Expense Policy." The Authority did not have a travel expense policy
prior to August 13, 2007. The HTMA Conference Expense Policy outlines guidelines
including attendees, eligible expenses for reimbursement, itemization of expenses,
maximum travel and reimbursement and ineligible expenses. Since the adoption of the
Conference Expense Policy, there has been a sharp decline in Board Members attending
conferences, conventions, seminars, and workshops.
We shall now review the material facts pertaining to the PMAA events, 2005 AWWA
Conference, and WEFTEC Annual Conferences attended by Hopkin.
PMAA Events
Respondent's spouse, Scott Hopkin, accompanied Respondent to the majority of the
PMAA events she attended. Scott Hopkin accompanied Hopkin on conferences, in part, in
his capacity as a Member of the Crabtree Joint Authority. Hopkin's expenses and the
majority of Scott Hopkin's expenses to attend PMAA events have been paid by the HTMA.
a. PMAA Annual Conferences
Hopkin attended the 2003 PMAA Annual Conference held in Hershey,
Pennsylvania, from Sunday, August 24, 2003, to Wednesday, August 27, 2003. The
HTMA paid a registration fee of $195.00 for Hopkin to attend the conference, which
included breakfasts on August 25, 2003, and August 26, 2003. The HTMA paid personal
expenses of $289.58 in relation to Hopkin's attendance at the 2003 PMAA Annual
Conference as detailed in Fact Finding 36. Such personal expenses included personal
telephone calls, admission to Hershey Park for Hopkins and Scott Hopkins as well as other
entertainment events, and a breakfast buffet for Hopkins on August 25, 2003, when her
breakfast that day was already included in her conference registration paid by the HTMA.
These charges were billed to the General Manager's Authority credit card. Hopkin and the
General Manager signed the HTMA checks paying the General Manager's Authority credit
card statements that included these charges.
Hopkin attended the 2004 PMAA Conference held in Pittsburgh, Pennsylvania, from
Sunday, August 22, 2004, through Wednesday, August 25, 2004. While attending the
2004 PMAA Conference, Hopkin placed sixteen personal telephone calls totaling $75.00
from her room.
Hopkin attended the 2005 PMAA Conference held in Hershey, Pennsylvania, from
Sunday, September 11, 2005, through Wednesday, September 13, 2005. The HTMA paid
a registration fee of $195.00 for Hopkin to attend the conference, which included
breakfasts on September 12, 2005, and September 13, 2005. The HTMA paid personal
expenses of at least $117.00 in relation to Hopkin's attendance at the 2005 PMAA Annual
Conference, as detailed in Fact Findings 41 and 45. Such personal expenses were for
entertainment events. These charges were billed to the then Finance Director's Authority
credit card. Hopkin and Board Member Pecarchik signed the HTMA check paying the
Finance Director's Authority credit card statement that included these charges.
At the direction of Regola, Hopkin did not submit an expense report related to her
attendance at the 2005 PMAA Annual Conference.
The 2007 PMAA Annual Conference was held in State College, Pennsylvania, from
Sunday, September 23, 2007, through Wednesday, September 25, 2007. Hopkin's
registration fee of $215.00, which included breakfasts on September 24, 2007, and
September 25, 2007, was charged to Hopkin's Authority issued credit card on June 5,
2007. Personal expenses of $284.00, including $142.00 for Scott Hopkins, were charged
to Hopkin's Authority credit card for entertainment events in relation to the 2007 PMAA
Annual Conference as detailed in Fact Findings 48, 50, and 50 a -b.
Hopkin, 07 -095
Page 37
On or about September 10, 2007, prior to the conference, Hopkin requested
reimbursement from the Authority for her charged expenses, but not her spouse's
expenses. On or about September 20, 2007, Hopkin received Authority check #36527
dated September 20, 2007, in the amount of $357.00, reimbursing Hopkin for the expenses
related solely for her attendance at the conference. The reimbursement check included
expenses totaling $117.00 for entertainment events for which Hopkin was registered to
attend. Authorizing signatures for Authority check #36527 could not be determined.
Hopkin checked in to the conference hotel on September23, 2007, and checked out
on September 24, 2007. The room rate was $125.00 /night plus taxes. Hopkin did not
attend entertainment events on September 25, 2007, and September 26, 2007, for which
she had been registered and payment had been made by the HTMA. Hopkin did not
attend any of the events which the HTMA prepaid.
b. PMAA Dinner Events
The PMAA holds Region 9 Dinners in or around April and /or November of each
year. In 2003, 2004, 2005, 2006, and 2007, the Spring Dinner meetings were held at
Seven Springs Resort, Champion, Pennsylvania. Fall Dinner meetings were held at
various locations.
The 2003 Region 9 Spring Dinner meeting was held on Saturday, April 12, 2003.
The cost of the dinner per person was $37.00. The HTMA paid a fee of $74.00 for Hopkin
and her spouse to attend the dinner. The fee was paid by Authority check #29018 dated
March 26, 2003. Authority check #29018 was signed by Hopkin and Board Member
Melenia.
Hopkin and Scott Hopkin were registered to stay at the Seven Springs hotel located
at the resort. Hopkin stayed at the resort hotel even though the facility is less than a one
hour commute from her home and the dinner was completed by approximately 9:00 p.m.
Charges to Hopkin's room account at the Seven Springs hotel totaled $115.62 for
room rental, taxes, and a dining room charge of $22.97. The HTMA issued Authority check
#29336 dated June 4, 2003, directly to Seven Springs Mountain Resort in the amount of
$115.62. Authority check #29336 was approved for issuance via signatures of Hopkin and
the HTMA General Manager. Hopkin submitted her hotel folio to the Authority but did not
submit a receipt to document the meal charge, which was for two adult breakfast buffets.
Hopkin signed the receipt and directed that the charge be billed to her room.
The 2003 Region 9 Fall Dinner meeting was held at South Hills Country Club on
November 7, 2003. The HTMA paid dinner costs of $70.00 for Hopkin and Scott Hopkin to
attend the dinner. The fee was paid by Authority check #30109 dated November 5, 2003.
Authority check #30109 was approved for issuance via signatures of Hopkin and the
General Manager.
The 2004 Region 9 Spring Dinner meeting was held on Saturday, April 17, 2004.
The HTMA paid dinner fees of $70.00 for Hopkin and Scott Hopkin to attend the dinner.
The fee was paid by Authority check #31826 dated November 3, 2004. Authority check
#31826 was signed by Hopkin and Board Member Pecarchik.
Hopkin and her spouse were registered to stay at the Seven Springs hotel located at
the resort. The dinner event concluded at or about 9:00 p.m. on April, 17, 2004. Hopkin
checked in on April 17, 2004, and departed on April 18, 2004. The room rate was
$150.00 /night plus taxes.
Hopkin's hotel charge of $150.00 was paid via the then Finance Director's Authority
Hopkin, 07 -095
Page 38
issued credit card on March 31, 2004. The Finance Director's credit card statement that
included this charge was paid via Authority check #31037 dated May 10, 2004. Authority
check #31037 was approved for issuance via signatures of Hopkin and Regola. Hopkin
did not submit a folio to the Authority to document her hotel expenses. Hopkin did not
submit an expense report or receipts documenting any expenses for the 2004 Region 9
Spring Dinner meeting. Hopkin incurred $185.00 in personal expenses in relation to this
dinner, including hotel and spousal meal costs.
The 2004 Region 9 Fall Dinner meeting was held in Penn Hills, Pennsylvania, on
Thursday, November 11, 2004. The HTMA paid dinner charges of $70.00 for Hopkin and
Scott Hopkin to attend the dinner. The fee was paid by Authority check #31826 dated
November 3, 2004. Authority check #31826 was signed by Hopkin and Pecarchik.
The 2005 Region 9 Spring Dinner meeting was held on Saturday, April 2, 2005.
The HTMA paid dinner costs of $80.00 for Hopkin and her husband to attend the dinner.
The fee was paid by Authority check #32494 dated March 23, 2005. Authority check
#32494 was signed by Hopkin and another individual.
Hopkin and her husband were registered to stay at the Seven Springs hotel located
at the resort for the evening of the dinner and the night after the dinner event. The hotel
costs were not preapproved by the HTMA Board. Hopkin checked in on April 2, 2005, and
departed on April 4, 2005. The room rate was $154.00 /night.
Charges incurred to Hopkin's room account at the Seven Springs hotel totaled
$438.95 and included two nights of room rental, telephone calls totaling $1.50, bowling
charges in the amount of $40.00 incurred the day after the meeting, lounge charges in the
amount of $21.15 incurred the day after the meeting, and dining room charges in the
amount of $68.30 for two individuals, incurred the evening after the meeting.
Advance payment of Hopkin's hotel charge in the amount of $154.00 was paid via
the Finance Director's Authority issued credit card on March 16, 2005. The HTMA issued
Authority check #32577 dated April 11, 2005, to pay for the advance payment. Authority
issued check #32577 was approved for issuance via signatures of Hopkin and Pecarchik.
The remainder of the hotel expenses ($284.95) were charged to Hopkin's Authority issued
credit card. The HTMA issued Authority check #32746 dated May 18, 2005, to pay for the
remainder of Hopkin's hotel expenses. Authority check #32746 was approved for issuance
via signatures of Hopkin and Regola. Hopkin did not submit a hotel folio or receipts to the
Authority to document expenses charged to her room.
The parties have stipulated that Hopkin's purpose for staying at Seven Springs for
two nights was not related to any PMAA or HTMA function or business. Hopkin signed the
receipts for the bowling charges, lounge charges, and dining room charges, and directed
that the charges be billed to her hotel room. Hopkin utilized her Authority credit card to
pay for all of these charges. Hopkin did not submit an expense report or any receipts to
the HTMA for expenses in relation to the 2005 PMAA Spring Dinner meeting.
The parties have stipulated that Hopkin incurred personal expenses of $478.95 as a
result of her travel to Seven Springs under the guise of attending the 2005 PMAA Dinner
Meeting. Hopkin stayed the night of the dinner meeting and one extra night even though
she resides less than one hour from the dinner site and no functions occurred that required
any overnight lodging and related expenses. Hopkin authorized all expenses for her and
her husband including room, meals, and entertainment.
The 2006 Region 9 Fall Dinner meeting was held in Pittsburgh, Pennsylvania on
Saturday, October 28, 2006. The HTMA paid a fee of $100.00 for Hopkin and her husband
to attend the dinner. The fee was paid by Authority check #35148 dated October 18, 2006.
Authority check #35148 was signed by Hopkin and Regola.
Hopkin, 07 -095
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The 2007 Region 9 Spring Dinner meeting was held on Saturday, May 19, 2007.
The HTMA paid a fee of $80.00 for Hopkin and her husband to attend the dinner. The fee
was paid by Authority check #36010 dated May 16, 2007. Authority check #36010 was
approved for issuance via signatures of Hopkin and another individual. Hopkin did not
submit an expense report or receipts to the HTMA in relation to her attendance at the 2007
PMAA Spring Dinner meeting.
The parties have stipulated that Hopkin incurred personal expenses totaling
$976.64 when she authorized and approved personal expenses for herself and her spouse
for attending the PMAA dinner events from 2003 through 2007.
c. PMAA Management Workshop Meetings
The PMAA holds Management Workshop Meetings in or around April each year.
Hopkin and Hopkin's husband attended the 2005, 2006, and 2007 Management Workshop
Meetings, which were held at the Nemacolin Woodlands Resort, Farmington,
Pennsylvania. The resort is located less than a one hour commute from Hopkin's home.
Workshop sessions began at 9:00 a.m. and concluded by 3:15 p.m. with a one hour lunch
break. Registration fees were $85.00 for a member and $100.00 for a non - member.
The 2005 PMAA Spring Management Workshop was held on April 5, 2005. The
HTMA paid the registration fee of $85.00 for Hopkin to attend the workshop. Hopkin and
her husband were registered to stay at the hotel located on the premises of Nemacolin
Woodlands Resort. Hopkin directed the reservation be made even though the event
location was less than an hour from her home and no official functions occurred requiring
an overnight stay. The workshop concluded by 3:00 p.m. on April 5, 2005. Hopkin
checked into the resort hotel on April 4, 2005, and departed on April 5, 2005. The room
rate was $189 /night plus taxes, totaling $200.34.
Hopkin's hotel charge of $200.34 was paid via the Finance Director's Authority
issued credit card. The Finance Director's credit card statement that included the charge
was paid via Authority check #32370, dated February 23, 2005. Authority check #32370
was approved for issuance via signatures of Regola and Hopkin.
The 2006 PMAA Spring Management Workshop was held on April 11, 2006.
Hopkin's registration fee of $85.00 and her husband's registration fee of $100.00 were
paid by the HTMA. The registration fees were charged to the Finance Director's Authority
issued credit card on April 5, 2006. The Finance Director's credit card statement that
included the registration fees was paid via Authority check #34432, dated May 17, 2006.
Authority check #34432 was approved for issuance via signatures of Regola and Hopkin.
Hopkin and her husband were registered to stay at the hotel located on the
premises of Nemacolin Woodlands Resort. Hopkin checked into the room on April 10,
2006, and checked out on April 11, 2006. The room rate was $245 /night plus taxes,
totaling $259.70.
Hopkin's total hotel charge of $259.70 was paid via Hopkin's Authority issued credit
card. Hopkin's credit card statement that included the charge was paid via Authority check
#34191 dated March 22, 2006. Authority check #34191 was approved for issuance via
signatures of Hopkin and Regola.
The 2007 PMAA Spring Management Workshop was held on April 17, 2007.
Hopkin's registration fee of $85.00 was paid by the HTMA. The registration fee was
charged to Hopkin's Authority issued credit card on March 30, 2007.
Hopkin and her husband were registered to stay at the hotel located on the
Hopkin, 07 -095
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premises of Nemacolin Woodlands Resort. The reservations were made by Hopkin or at
her direction. Hopkin checked into the room on April 16, 2007, and checked out on April
17, 2007. The room rate was $189.00 /night plus taxes.
Hopkin charged personal expenses in the amount of $278.28 to her HTMA credit
card in association with attending the 2007 PMAA Management Workshop meeting,
including hotel, meals, and valet parking charges. Authority checks #35660 and #36113
paid for Hopkin's credit card statements that included these charges. The Fact Findings
do not indicate that Hopkin signed either of these checks as an HTMA authorized
signatory.
The 2005 AWWA Annual Conference
The 2005 AWWA annual conference was held in San Francisco, California, from
June 12, 2005, to June 16, 2005. The HTMA paid registration fees of $100.00 for Hopkin
and $30.00 for her husband to attend the exhibit hall portion of the annual conference.
The registration fees were charged to Hopkin's Authority issued credit card on March 19,
2005. Hopkin's credit card statement that included her registration fee was paid via
Authority check #32633 dated April 20, 2005. Authority check #32633 was approved for
issuance via signatures of Regola and Pecarchik.
The payment of the exhibit hall registration fee granted Hopkin and her husband
access to the exhibit hall only during the annual conference. Hopkin and her husband
were not registered for any other AWWA events scheduled. No record exists of Hopkin
attending AWWA seminar(s) or training.
On February 22, 2005, Hopkin's and her husband's airfare for travel to San
Francisco was charged to Hopkin's Authority issued credit card. The airline tickets for
Hopkin and her husband cost $234.80 each, for a total of $469.60. Hopkin's and her
husband's airfare costs were paid via Authority check #32456 dated March 14, 2005.
Authority check #32456 was approved for issuance via signatures of Hopkin and
Pecarchik. Hopkin never reimbursed the HTMA for the cost of her husband's airfare.
Hopkin and her husband were registered to stay at the Hilton hotel located at 333
O'Farrell Street, San Francisco, CA 94102. Hopkin checked in on June 11, 2005, at 1:34
p.m. and departed on June 15, 2005, at 12:41 p.m. The room rate was $195.00 /night plus
taxes. Two people were identified in the party.
Charges incurred by Hopkin to her room account at the Hilton totaled $1,067.58 and
included room and tax fees, room service, bar, movies, and meal charges as detailed at
Fact Finding 106. Hopkin's hotel charge of $1,067.58 was paid via Hopkin's Authority
issued credit card. Hopkin's credit card statement that included the hotel charge was paid
via Authority check #32976 dated July 13, 2005. Authority check #32976 was approved for
issuance via signatures of Hopkin and Regola. Hopkin submitted her hotel folio to the
Authority but did not submit receipts to document additional expenses charged to her
room.
In addition to the above, Hopkin charged $1,232.01 in expenses to her Authority
issued credit card, as detailed in Fact Finding 107 b, for personal expenses, tours,
restaurants, alcoholic beverages, and entertainment unrelated to any AWWA function.
The entertainment occurred during the same timeframe as AWWA functions. Some of the
charges were for Board Members Regola, Melenia, and their spouses. These charges
were paid by the Authority even though receipts were not provided by Hopkin. Some of
these expenses that Hopkin charged to her Authority issued credit card were included in a
statement paid by the Authority via Authority check #32976 dated July 13, 2005. Authority
check #32976 was approved for issuance via signatures of Hopkin and Regola.
Hopkin, 07 -095
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Hopkin did not submit an expense report or receipts to the HTMA itemizing
expenses in relation to attending the 2005 AWWA Annual Convention.
WEFTEC Annual Conferences
At WEFTEC conferences, fees are charged for attendance at seminars, and
attendees must register for seminars they want to attend. Badges are provided that
authorize entrance to specific seminars. Access to seminars is denied without a badge.
As a member of the HTMA, Hopkin attended the 2004 WEFTEC conference held in
New Orleans, Louisiana, and the 2005 WEFTEC conference held in Washington, D.C.
Hopkin's husband attended both conferences with Hopkin.
The 2004 WEFTEC Conference was held from October 2, 2004, through October 6,
2004. The HTMA paid a registration fee of $125.00 for Hopkin to access the EXPO for the
entire week.
On June 1, 2004, Hopkin charged the airfare for travel to New Orleans for herself,
her husband, and Regola, Melenia, and their spouses to Hopkin's personal American
Express Gold Delta SkyMiles credit card. The airline tickets cost $221.90 per person for a
total cost of $1,331.40. Of this amount, the total cost for Hopkin and her husband to fly to
New Orleans was $443.80.
The charging of the airfares to Hopkin's personal card enabled Hopkin to obtain air
miles points, specifically, 2,664 Delta SkyMiles, plus 10,000 bonus points. Hopkin has not
yet utilized the bonus points accrued from airfare and subsequent bonus points.
Hopkin was issued Authority check #31090 dated May 27, 2004, to reimburse her
for the total airfare ($1,331.40). Authority check #31090 was approved for issuance via
signatures of Hopkin and Regola.
Hopkin and her husband were registered to stay at the Sheraton hotel located at
500 Canal Street, New Orleans, LA 70130. Hopkin checked in on October 2, 2004, at 1:23
p.m. and departed on October 6, 2004, at 9:53 a.m. The room rate was $229.00 /night plus
taxes. Two people were identified in the party.
Charges incurred to Hopkin's room account at the Sheraton totaled $1,160.23 and
included room and tax charges, restaurant charges, and lounge charges as detailed at
Fact Finding 120. Hopkin's hotel charge of $1,160.23 was paid via Hopkin's Authority
issued credit card. Hopkin's credit card statement that included the hotel charge was paid
via Authority check #31874 dated November 17, 2004. Authority check #31874 was
approved for issuance via signatures of Regola and Pecarchik. Sheraton records confirm
subsistence charges incurred at Roux Bistro, a hotel restaurant, on October 3, 2004, and
October 4, 2004, for both Hopkin and her spouse. Hopkin signed the receipts and directed
that the expenses be billed to her Authority issued credit card.
Additional expenses totaling $243.38 were charged to Hopkin's Authority issued
credit card during the time that she stayed in New Orleans, as detailed at Fact Finding
123. Hopkin did not submit any receipts to the Authority to document the expenses. The
expenses were paid via Authority check #31874 dated November 17, 2004. Authority
check #31874 was approved for issuance via signatures of Regola and Pecarchik.
The parties have stipulated that Hopkin incurred personal expenses which she
authorized and then approved totaling $1,766.76 in relation to the 2004 WEFTEC event as
detailed at Fact Finding 124.
The 2005 WEFTEC Conference was held from October 29, 2005, through
Hopkin, 07 -095
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November 1, 2005. The HTMA paid a registration fee of $125.00 for Hopkin to access the
EXPO Hall. The HTMA paid a fee of $85.00 for Hopkin's husband to access the "lifestyle
program." Lifestyle programs are intended to provide sightseeing tours of points of interest
where the convention is being held. The $85.00 fee was charged to Hopkin's Authority
issued credit card on July 16, 2005. Hopkin's credit card statement that included the
$85.00 fee was paid via Authority check #33130 dated August 10, 2005. Authority check
#33130 was approved for issuance via signatures of Hopkin and Regola.
Hopkin and her husband were registered to stay at the Marriott hotel located at
1331 Pennsylvania Avenue, Washington, DC 20004. Hopkin checked in on October 29,
2005, and departed on November 2, 2005. The room rate was $439.00 /night plus taxes.
Two people were identified in the party. Room, tax and parking charges totaled $2,133.48.
Hopkin's hotel charges were paid via Hopkin's Authority issued credit card. Hopkin's
credit card statement that included the hotel charge was paid via Authority check #33772
dated December 21, 2005. Authority check #33772 was approved for issuance via
signatures of Regola and Pecarchik. Hopkin did not submit an expense report or receipts
to the Authority to document expenses incurred.
Payment of Hopkin's hotel charges also included in -room movie expenses totaling
$43.17, and fifteen telephone calls, made by Hopkin, totaling $99.20.
Hopkin's credit card statement covering the time period of late October to early
November indicated that additional charges totaling $863.65 were incurred in the
Washington, DC /Maryland area, as detailed at Fact Finding 129. On one occasion,
Hopkin utilized her Authority issued credit card to pay a total of $429.66 for alcoholic
beverages, her meal, and five other individuals' meals. Hopkin did not provide the
Authority with any receipts for these transactions to document what was charged to her
Authority issued credit card. The transactions were paid via Authority check #33772 dated
December 21, 2005. Authority check #33772 was issued via signatures of Regola and
Pecarchik.
Hopkin's Statements of Financial Interests
As for Hopkin's Statements of Financial Interests ( "SFIs "), the parties have
stipulated that Hopkin did not disclose the HTMA as a direct source of income on her SFIs
filed for the 2003 through 2006 calendar years, despite having received $2,400.00 from
the HTMA in each of those years for her service as a Member of the HTMA.
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.
The Consent Agreement provides, in pertinent part, as follows:
3. The Investigative Division will recommend the following in relation to
the above allegations:
a. That a violation of Section 1103(a) of the Public Official
and Employee Ethics Act, 65 Pa.C.S. §1103(a)
occurred in relation to Hopkin's use of Authority credit
cards to incur expenses of a personal nature when
attending various conventions and seminars.
b. That an unintentional violation of Section 1105(b)(5) of
the Public Official and Employee Ethics Act, 65 Pa.C.S.
§1105(b)(5) occurred when Hopkin failed ... to disclose
Hempfield Township Municipal Authority as a direct or
Hopkin, 07 -095
Page 43
indirect source of income on Statements of Financial
Interests filed for the 2003, 2004, 2005, and 2006
calendar years.
4. Hopkin agrees to make payment in the amount of $1,900.00 in
settlement of this matter payable to the Hempfield Township
Municipal Authority and forwarded to the Pennsylvania State Ethics
Commission within thirty (30) days of the issuance of the final
adjudication in this matter.
6. Hopkin agrees not to request or accept any payment from the
Hempfield Township Municipal Authority for personal legal fees or
payments ordered by the State Ethics Commission as a result of this
agreement.
7 To the extent she has not already done so, Hopkin agrees to file
amended Statements of Financial Interests for calendar years 2003,
2004, 2005, and 2006 with the Hempfield Township Municipal
Authority, Westmoreland County, and forward [copies of same] to this
Commission.
Consent Agreement, at 1 -2.
In considering the allegations in light of the Stipulated Findings and Consent
Agreement, we conclude that the first recommended violation has been established. Cf.,
Matta, Order 1439; Tancredi, Order 1434; Hoover, Order 1348; Sullivan, Order 1245;
Choura, Order 942.
Over a course of years, Respondent repeatedly used the authority of her public
office for private pecuniary gain by using Authority credit cards for personal expenses of
herself and her husband when attending various conventions and seminars. During the
time period under review in this case, such personal charges were initially made to the
HTMA General Manager's or Finance Director's Authority credit card, with subsequent
payment by the Authority by check. In more recent years, such personal charges were
made to Respondent's Authority credit card, with subsequent payment by Authority check.
Respondent refused to supply expense reports or receipts as to her expenses and
directed HTMA staff to issue payment without any expense documentation. Respondent
used the authority of her public position by signing, as an authorized HTMA signatory,
Authority checks in payment of such personal expenses, and voting to approve all
Authority bill lists in which Authority checks were listed regarding payment of her expenses
and /or her husband's expenses in relation to attending PMAA events, AWWA conferences,
and WEFTEC Conferences.
Per the extensive Fact Findings, Respondent engaged in an ongoing course of
conduct of paying personal expenses with HTMA funds, without regard for the public trust.
The parties have not stipulated to a calculation of the total private pecuniary benefit
that Respondent received, but based upon the various amounts established in the
Stipulated Fact Findings, it was clearly not de minimis.
With each element of a violation of Section 1103(a) established, we hold that a
violation of Section 1103(a) of the Ethics Act occurred in relation to Respondent Hopkin's
use of HTMA credit cards to incur expenses of a personal nature when attending various
conventions and seminars.
Hopkin, 07 -095
Page 44
Furthermore, based upon the Stipulated Fact Findings, it is clear that Respondent
did not disclose the HTMA as a direct source of income on her SFIs filed for the 2003
through 2006 calendar years, despite having received $2,400.00 from the HTMA in each of
those years for her service as a Member of the HTMA.
Accordingly, we hold that an unintentional violation of Section 1105(b)(5) of the
Ethics Act occurred when Respondent failed to disclose the HTMA as a direct or indirect
source of income on SFIs filed for the 2003, 2004, 2005, and 2006 calendar years.
As part of the Consent Agreement, Respondent has agreed to make payment in the
amount of $1,900.00 in settlement of this matter payable to the Hempfield Township
Municipal Authority and forwarded to this Commission within thirty (30) days of the
issuance of the final adjudication in this matter.
Respondent has further agreed not to request or accept any payment from the
HTMA for personal legal fees or payments ordered by this Commission as a result of the
Consent Agreement.
Finally, to the extent she has not already done so, Respondent has agreed to file
amended SFIs for calendar years 2003, 2004, 2005, and 2006 with the HTMA and forward
copies of same 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 of the parties, Respondent is directed to
make payment in the amount of $1,900.00 payable to the Hempfield Township Municipal
Authority and forwarded to this Commission by no later than the thirtieth (30 day after the
mailing date of this adjudication and Order.
Per the Consent Agreement of the parties, Respondent is further directed not to
request or accept any payment from the HTMA for personal legal fees or payments
ordered by this Commission as a result of the Consent Agreement.
To the extent she has not already done so, Respondent is directed to file amended
SFIs for calendar years 2003, 2004, 2005, and 2006 with the HTMA, providing full financial
disclosure as required by the Ethics Act, and to forward copies of same to this Commission
for compliance verification purposes by no later than the thirtieth (30 day after the
mailing date of this adjudication and Order.
Compliance with the foregoing will result in the closing of this case with no further
action by this Commission. Noncompliance will result in the institution of an order
enforcement action.
IV. CONCLUSIONS OF LAW:
1. As a Member of the Hempfield Township Municipal Authority ( "HTMA "),
Westmoreland County, from 1999 to the end of 2007, Respondent Kathy Hopkin
( "Hopkin ") has been a public official /public employee subject to the provisions of the
Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq.
2. Hopkin violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), in relation
to her use of HTMA credit cards to incur expenses of a personal nature when
attending various conventions and seminars.
3. An unintentional violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. §
Hopkin, 07 -095
Page 45
1105(b)(5), occurred when Hopkin failed to disclose the HTMA as a direct or
indirect source of income on Statements of Financial Interests ( "SFIs ") filed for the
2003, 2004, 2005, and 2006 calendar years.
In Re: Kathy Hopkin,
Respondent
ORDER NO. 1515
File Docket: 07 -095
Date Decided: 4/30/09
Date Mailed: 5/15/09
1 As a Member of the Hempfield Township Municipal Authority ( "HTMA "),
Westmoreland County, Kathy Hopkin ( "Hopkin ") violated Section 1103(a) of the
Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1103(a), in
relation to her use of HTMA credit cards to incur expenses of a personal nature
when attending various conventions and seminars.
2. An unintentional violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. §
1105(b)(5), occurred when Hopkin failed to disclose the HTMA as a direct or
indirect source of income on Statements of Financial Interests ( "SFIs ") filed for the
2003, 2004, 2005, and 2006 calendar years.
3. Per the Consent Agreement of the parties, Hopkin is directed to make payment in
the amount of $1,900.00 payable to the Hempfield Township Municipal Authority
and forwarded to the Pennsylvania State Ethics Commission by no later than the
thirtieth (30 day after the mailing date of this Order.
4. Per the Consent Agreement of the parties, Hopkin is further directed not to request
or accept any payment from the HTMA for personal legal fees or payments ordered
by this Commission as a result of the Consent Agreement.
5. To the extent she has not already done so, Hopkin is directed to file amended SFIs
for calendar years 2003, 2004, 2005, and 2006 with the HTMA, providing full
financial disclosure as required by the Ethics Act, and to forward copies of same to
this Commission for compliance verification purposes by no later than the thirtieth
(30 day after the mailing date of this adjudication and Order.
6. Compliance with Paragraphs 3, 4, and 5 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