Loading...
HomeMy WebLinkAbout1539 Debias In Re: Donald A. Debias, Jr., : File Docket: 08-057 Respondent : X-ref: Order No. 1539 : Date Decided: 12/21/09 : Date Mailed: 12/23/09 Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Donald M. McCurdy Raquel K. Bergen Nicholas A. Colafella Mark Volk 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 allegation(s). 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 and a hearing was deemed waived. The averments in the Investigative Complaint are admitted and are set forth as the following Findings. The record is complete. 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. Debias, Jr., 08-057 Page 2 I.ALLEGATIONS: That Donald Debias, Jr., a public official/public employee in his capacity as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare, Lehigh County Assistance Office violated the following provisions of the State Ethics Act (Act 93 of 1998) when he used the authority of his office for a private pecuniary gain and when he solicited and/or accepted something of monetary value from a welfare recipient based on the understanding that his official action or judgment as a public official would be influenced by approving benefits, including but not limited to financial benefits, to a DPW client based on his understanding that in return for his official action of approving payments, the DPW client would provide him with payments; and when he utilized [a] Department of Public Welfare Office and equipment including but not limited to computer and internet for the private benefit of a personal business; and when he failed to file Statements of Financial Interests for the 2003, 2004, 2005, 2006, and 2007 calendar years. § 1103. Restricted activities (a)Conflict of interest.— No public official or public employee shall engage in conduct that constitutes a conflict of interest. 65 Pa.C.S. § 1103(a). § 1103. Restricted activities (c) Accepting improper influence.— No public official, public employee or nominee or candidate for public office shall solicit or accept anything of monetary value, including a gift, loan, political contribution, reward or promise of future employment, based on any understanding of that public official, public employee or nominee that the vote, official action or judgment of the public official or public employee or nominee or candidate for public office would be influenced thereby. 65 Pa.C.S. § 1103(c). § 1104. Statement of financial interests required to be filed (a) Public official or public employee.— Each public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the commission no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Each public employee and public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency, body or bureau in which he is employed or to which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Any other public employee or public official shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed or within which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Persons who are full-time or part-time solicitors for Debias, Jr., 08-057 Page 3 political subdivisions are required to file under this section. 65 Pa.C.S. § 1104(a). § 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. II.FINDINGS: 1. The Investigative Division of the State Ethics Commission received information alleging that Donald A. Debias, Jr. violated provisions of the State Ethics Act (Act 93 of 1998). 2. Upon review of the information the Investigative Division initiated a preliminary inquiry on September 10, 2008. 3. The preliminary inquiry was completed within sixty days. 4. On November 5, 2008, a letter was forwarded to Donald A. Debias, Jr., by the Investigative Division of the State Ethics Commission informing himthat a full investigation was being commenced. a. Said letter was forwarded by certified mail, no. 7007 0220 0001 4375 3775. b. The domestic return receipt bore the signature of Donald Debias, with a delivery date of November 6, 2008. 5. On February 10, 2009, the Investigative Division of the State Ethics Commission filed an application for a ninety day extension of time to complete the Investigation. 6. The Commission issued an order on March 12, 2009, granting the ninety day extension. 7. On April 27, 2009, the Investigative Division of the State Ethics Commission filed an application for a second ninety day extension of time to complete the Investigation. 8. The Commission issued an order on April 30, 2009, granting the ninety day extension. 9. Periodic notice letters were forwarded to Donald A. Debias, Jr. in accordance with the provisions of the Ethics Act advising him of the general status of the investigation. Debias, Jr., 08-057 Page 4 10. The Investigative Complaint/Findings Report was mailed to the Respondent on October 26, 2009. 11. Donald Debias, Jr. was employed as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare (DPW) at the Lehigh County Assistance Office (CAO) from June 20, 2002, until October 7, 2008. a. Debias was assigned to the Temporary Assistance to Needy Family (TANF) Unit from June 20, 2002, until April 2007. b. Debias was reassigned to Completion [Unit] on April 20, 2007, and remained in that position until March 28, 2008. c. Debias was suspended on March 28, 2008, and was terminated by DPW * from his position on October 7, 2009. * [sic]. [Cf., Fact Finding 39.] 12.Job duties and responsibilities outlined in a job description for Don Debias as an Income Maintenance Caseworker, Employee Number [number redacted] and Position Number 023230 included the following: Position Purpose: It is the responsibility of an Income Maintenance Caseworker to take applications and determine for continuing assistance benefits and programs of the Department for public assistance applicants and recipients. Work assigned by a supervisor is to be performed with equal accuracy, thoroughness and timeliness. Description of Duties: Establishes initial and ongoing eligibility for benefits and programs administered by DPW. Conducts prescreens. Prepares for interviews. Interviews clients by phone or face to face. Gathers information. Provides information to clients. Verifies eligibility criteria. Makes disposition of applications/reapplications. Completes all required paperwork, data enters information obtained in the interviews and through collateral contacts into the computer to determine eligibility and benefit level. Notifies clients and issues benefits. Identifies and discusses the nature of problems with clients and make necessary referrals. Maintains and manages a caseload by responding to computer generated material. Responds to all new information and changes in client’s circumstances and data enters changes on CIS database. Sets controls for future changes, responds to agency controls and prepares for and attends appeal hearings. Completes agency reports as required and provides information and statistics to the supervisor for additional agency reports. Maintains and completes forms to document eligibility. Files and organizes cases and completes narratives for clerical data entry on CIS. Purges case materials and tracks and maintains case records. Reviews new policy and procedure and consults on-line reference materials as well as desk guides and other reference sources. Responds to incoming written correspondence. Answers and returns all telephone calls and documents the information provided. Keeps the supervisor apprised of work status. Attends one-on-one conferences and progress reviews. Attends unit meetings and training as scheduled and brings questions and seeks guidance from the supervisor as needed. Debias, Jr., 08-057 Page 5 Decision Making: Makes decisions on category of benefits, program eligibility, and budgeting of household income and resources. Responds to client questions and provides program information and availability of community resources. Brings questions on policy and procedure to the supervisor. Makes overpayment referrals and prepares them for supervisory signature and clerical data entry. Responds to system generated information and acts on that information as it affects level or eligibility. 13. Debias as an Income Maintenance Caseworker for DPW was assigned to the Temporary Assistance to Needy Families (TANF) Unit at the Lehigh CAO from June 20, 2002, until April 2007. a. Debias transferred to DPW’s Change Ticket Unit that is otherwise known as the Completion Unit in April 2007 and served in this capacity until his suspension on March 28, 2008. 14. The Completion Unit receives food stamp and medical assistance applications electronically to their work stations that are not complete [sic] from statewide call centers located throughout the Commonwealth. a. Debias was responsible for insuring the applications were completed properly. 1. All of the applications would have been from Lehigh County residents who are clients of the Lehigh CAO. b. As an employee of the Completion Unit Debias was not assigned a client caseload. 15. As a caseworker assigned to TANF, Debias’ duties and responsibilities included the following: a. Assigned a client caseload to determine eligibility for benefits to public assistance. b. Authorized to approve Special Allowances to eligible clients. 1. Special Allowances would take the form of fund transfers deposited directly into Electronic Benefits Transfer (EBT) accounts where clients could use EBT cards to obtain cash. 2. Examples of Special Allowances Debias would be authorized to approve include automobile purchases, automobile repairs and maintenance, public transportation, clothing for employment or training, school tuition, books and supplies. 16. When authorizing Special Allowances for an eligible client, Debias was required to complete an Authorization/Instruction Sheet, known as a 764 Form. a. On the 764 Form [is listed] necessary demographic information such as name of client, record number and type of special allowance. b. Debias was required to put a reason code for the cash allowance on the 764 Form that included such things as clothing, books, or training supplies. c. Prior to authorizing the Special Allowances, Debias would need to have Debias, Jr., 08-057 Page 6 back-up verification such as receipts and would either sign or initial the 764 Form indicating his approval. 1. Debias then was to forward the 764 Form to the clerical staff of DPW who would enter the information provided by Debias into the computer for payment. 17. Debias in his capacity as an employee of the DPW Lehigh CAO signed an employee orientation checklist on June 20, 2002, in which he reviewed and was provided with copies of DPW policy that included the Governor’s Code of Conduct and Financial Disclosure Statement. a. All Commonwealth employees of the Executive Branch are subject to the Governor’s Code of Conduct. b. The Governor’s Code of Conduct included the following language on restricted activities, conflicts of interest and adverse pecuniary interests: Part 1 – Restricted Activities; Conflicts of Interest. Item 1 – Adverse pecuniary interest. 1. Engage directly or indirectly in business transactions or private arrangement for profit which accrues from or is based upon his official position or authority. 18. While assigned to the TANF Unit, from June 2002 to April 2007, Debias supervised a caseload of clients. 19. One of the clients assigned to Debias was Liz Rodriguez, [address redacted]. a. Debias was Rodriguez’s caseworker from late 2004 until transferring to Completion Unit on April 20, 2007. b. In his official capacity as an Income Maintenance Caseworker assigned to TANF Unit Debias authorized Special Allowances to Rodriguez beginning in November 2004. 20. Each time Debias authorized Special Allowances for Rodriguez he was required to complete a 764 Form along with back–up verification. a. Debias was responsible for determining the legitimacy of Special Allowance requests submitted by Rodriguez prior to authorizing any funding. 21. From November 2004 through March 2008 Debias authorized Special Allowances for Rodriguez on 81 separate occasions. a. DPW records confirm that Debias completed a 764 Form only 26 times. 22. Debias continued to authorize Special Allowances to Rodriguez after April 2007 when he transferred to the Completion Unit. a. After transferring to the Completion Unit Debias was no longer Rodriguez’s caseworker. 1. Other caseworkers in the Lehigh CAO were to be responsible for Debias’s caseload after April 20, 2007. Debias, Jr., 08-057 Page 7 2. The case files of other Debias clients were reassigned to other caseworkers. 3. Debias did not make Rodriguez’s case file available for reassignment. b. Debias used the authority of his public position to continue authorizing Special Allowance payments to Rodriguez even though he was not her caseworker. 1. Debias kept control of [the] Rodriguez case file after April 20, 2007, even though he was no longer the assigned case worker. 23. The following documents the Special Allowances authorized by Debias for Rodriguez between 2004 through 2008 and 764 Forms on file with DPW documenting Debias’ approval: Date ofPeriod 764 Authorization of Time Amount Reason for Payment Form 11/10/04 11/09/04 to 11/16/04 $130.70 Initial benefit/system No calculation 6/28/05 6/27/05 to 6/28/05 $80.00 Test fees and/or union dues Yes Training coursebook/supplies 6/29/05 6/28/05 to 6/29/05 $185.00 Transportation to apply for Yes or to attend training Clothing for employment or training 8/10/05 8/8/05 to 8/15/05 $35.00 Transportation to apply for Yes or attend training 9/1/05 8/31/05 to 9/15/05 $35.00 Transportation to apply for Yes or attend training. 9/9/05 8/1/05 to 8/31/05 $481.36 Child Care-unpaid work No activities TANF (3 children) 9/12/05 7/1/05 to 7/31/05 $601.70 Child Care-unpaid work No activities TANF (3 children) 10/5/05 10/3/05 to 1016/05 $35.00 Transportation to apply for Yes or attend training 10/11/05 9/1/05 to 9/30/05 $481.36 Child Care-unpaid work No activities TANF (3 children) 10/12/05 10/11/05 to 10/12/05 $32.00 Transportation to apply for Yes or attend training 11/1/05 10/28/05 to 11/1/05 $220.00 Transportation to apply for Yes or attend training Clothing for employment or training 11/10/05 10/1/05 to 10/31/05 $481.36 Child care-unpaid work No activities TANF (3 children) 12/8/05 12/8/05 to 12/15/05 $100.00 Transportation to apply for Yes or attend training Operator fees automobile 1/4/06 1/1/06 to Debias, Jr., 08-057 Page 8 1/18/06 $35.00 Transportation to apply for Yes or attend training 2/14/06 2/14/06 to 2/14/06 $75.00 Clothing for employment or Yes training 2/15/06 2/14/06 to 2/15/06 $35.00 Transportation to apply for Yes or attend training 3/8/06 3/8/06 to 3/8/06 $750.00 Automobile purchase/down Yes payment 3/23/06 3/22/06 to 3/23/06 $200.00 Operator fees automobile Yes 4/19/06 4/18/06 to 4/19/06 $145.00 Transportation to apply for Yes or attend training Clothing for employment or training 4/26/06 4/25/06 to 4/26/06 $230.00 Automobile repairs No 5/4/06 5/3/06 to 5/4/06 $130.00 Training coursebook/ No supplies 5/19/06 5/19/06 to 5/19/06 $400.00 Automobile repairs Yes 5/20/06 5/19/06 to 5/20/06 $185.00 Transportation to apply for Yes or attend training Clothing for employment or training 5/26/06 5/24/06 to 5/26/06 $200.00 Training coursebook/ No supplies 6/2/06 6/1/06 to 6/2/06 $150.00 Clothing for employment Yes or training 6/9/06 6/8/06 to 6/9/06 $120.00 Equipment/tools for No Employment 6/22/06 6/21/06 to $120.00 Test fees and/or No 6/22/06 union dues 6/27/06 6/26/06 to 6/27/06 $40.00 Transportation to apply for Yes or attend training 6/30/06 6/29/06 to 6/30/06 $250.34 Automobile repairs No 7/12/06 6/26/06 to 6/30/06 $338.00 Child Care-unpaid work No activities TANF (3 Children) 7/18/06 7/17/06 to 7/18/06 $79.00 Transportation to apply for No or attend training 7/18/06 7/18/06 to 7/18/06 $121.00 Transportation to apply for No or attend training 8/8/06 7/1/06 to 7/31/06 $1,428.00 Child care-unpaid work No activities TANF (3 children) 8/22/06 8/21/06 to 8/22/06 $425.00 Transportation to apply for No or attend training Equipment/tools for Employment 9/13/06 8/1/06 to 8/31/06 $1,292.00 Child care-unpaid work No Debias, Jr., 08-057 Page 9 activities TANF (3 children) 9/15/06 9/12/06 to 9/15/06 $35.00 Transportation to apply for Yes or attend training 9/28/06 9/25/06 to 9/28/06 $400.00 Automobile repairs Yes 10/11/06 9/1/06 to 9/30/06 $504.00 Child care-unpaid work No activities TANF (1 child) 10/14/06 10/13/06 to 10/14/06 $35.00 Transportation to apply for Yes or attend training 10/21/06 10/20/06 to 10/21/06 $420.00 Automobile repairs No Transportation to apply for/ Accept employment Clothing for employment or Training 11/8/06 10/1/06 to 10/31/06 $528.00 Child care-unpaid work No activities TANF (1 child) 12/9/06 12/8/06 to 12/9/06 $50.00 Automobile repairs No 12/13/06 11/1/06 to 11/30/06 $572.00 Child care-paid work No activities TANF (1 child) Child care-unpaid work Activities TANF (2 children) 12/[20]/06 12/19/06 to 12/20/06 $35.00 Transportation to apply for Yes accept employment 1/9/07 1/8/07 to 1/9/07 $75.00 Clothing for employment No or training 1/11/07 12/1/06 to 12/31/06 $528.00 Child care-paid work No activities/ TANF (1 Child) child care-unpaid work activities TANF (2 children) 1/18/07 1/17/07 to 1/18/07 $40.00 Operator fees automobile No 2/9/07 1/1/07 to 1/31/07 $552.00 Child care-unpaid work No activities TANF (1 child) 2/17/07 2/16/07 to 2/17/07 $150.00 Clothing for employment No or training 3/3/07 3/2/07 to 3/3/07 $318.44 Automobile repairs Yes 3/12/07 2/1/07 to 2/28/07 $412.00 Child care-paid work No activities/ TANF (1 child) 4/19/07 4/18/07 to 4/19/07 $400.00 Automobile repairs No 4/19/07 1/1/07 to 1/31/07 $1,670.00 Child care-paid work No activities/ TANF (1 child) Child care-unpaid work 4/19/07 1/1/07 to 1/31/07 $80.00 Child care-paid work No activities/ TANF (1 child) 4/21/07 4/20/07 to 4/21/07 $800.00 Clothing for employment or Yes training Equipment/tools for employment Debias, Jr., 08-057 Page 10 Training course books/supplies 4/11/07 3/1/07 to 3/31/07 $508.00 Child care-paid work No activities/ TANF (1 child) 5/2/07 5/1/07 to 5/2/07 $800.00 Equipment/tools for No employment Clothing for employment or Training Test fees and/or union dues 5/8/07 4/1/07 to 4/30/07 $721.90 Child care-paid work No activities TANF (3 children) 5/19/07 5/18/07 to 5/19/07 $600.00 Training course registration No fee Automobile repairs 6/7/07 6/5/07 to 6/7/07 $1,080.00 NCE benefit/system No calculation 6/8/07 5/1/07 to 5/31/07 $532.00 Child care-paid work No activities/TANF (1 child) 6/14/07 6/13/07 to 6/14/07 $1,000.00 Automobile repairs No Clothing for employment or Training Equipment/tools for Employment 6/29/07 6/21/07 to 6/29/07 $800.00 Training course books No supplies 7/10/07 6/1/07 to 6/30/07 $968.00 Child care-paid work No activities/ TANF (3 children) 7/21/07 7/20/07 to 7/21/07 $400.00 Transportation to apply for No accept employment 8/13/07 7/1/07 to 7/31/07 $723.00 Child care-paid work No activities/ TANF (3 children) 8/30/07 8/29/07 to 8/30/07 $1,200.00 Equipment/tools for Yes training Equipment/tools for Employment Training course books/supplies 9/11/07 8/1/07 to 8/31/07 $1,412.00 Child care-paid work No activities/ TANF (3 children) 9/21/07 9/1/07 to 9/30/07 $800.00 Equipment/tools for No Employment Transportation to attend School or college 10/3/07 9/1/07 to 9/30/07 $359.87 Child care-paid work No activities/TANF (1 child) 10/10/07 9/1/07 to 9/30/07 $16.37 Child care-paid work No activities/ TANF (1 child) 11/8/07 11/7/07 to 11/8/07 $1,200.00 Test fees and/or union dues No Equipment/tools for training Training course books/supplies 12/7/07 12/6/07 to Debias, Jr., 08-057 Page 11 12/7/07 $1,000.00 Automobile repairs No Equipment/tools for Employment 12/20/07 12/19/07 to 12/20/07 $1,200.00 Transportation to apply for No accept employment Equipment/tools for Employment Automobile repairs 1/18/08 1/16/08 to 1/18/08 $600.00 Equipment/tools for training No 1/29/08 1/25/08 to 1/29/08 $1,000.00 Equipment/tools for training No Equipment/tools for Employment Equipment/tools for Employment 2/12/08 2/11/08 to 2/18/08 $97.50 Initial benefit/system No calculation 2/13/08 2/11/08 to 2/18/08 $800.00 Equipment/tools for No Employment Automobile repairs 2/16/08 2/15/08 to 2/16/08 $1,000.00 Training course registration No fee Test fees and/or union dues Training course books/supplies 3/14/08 3/13/08 to 3/14/08 $400.00 Automobile repairs 3/19/08 3/17/08 to 3/19/08 $800.00 Training course books No supplies Equipment/tools for training $37,269.90 a. Debias authorized Special Allowances to Liz Rodriguez totaling $37,269.90. b. Of the $37,269.90 in Special Allowances authorized by Debias, $31,709.46 was approved using incorrect Special Allowance codes or by not completing 764 Forms as required by DPW. c. Between April 20, 2007, and March 19, 2008, Debias approved $22,968.64 in Special Allowances to Rodriguez after he was no longer her assigned caseworker. 24. On or around April 19, 2007, Debias began authorizing Special Allowances to Rodriguez for expenses for which no documentation or justification for the expense exists. a. Debias authorized payments to Rodriguez utilizing bogus justification codes on 764 Forms or authorized allowances without submission of the 764 Form. 1. Individual Special Allowance payment amounts increased after Debias was no longer Rodriguez’s assigned caseworker. b. Debias would instruct DPW clerical support staff to input false information regarding unsubstantiated expenses for Rodriguez. c. Payments would be issued to Rodriguez based on Debias’ directions and approvals. d. Of the 29 Special Allowances approved by Debias after April 2007 only (2) Debias, Jr., 08-057 Page 12 had a completed 764 Form. e. The authorizations by Debias of Special Allowances for Rodriguez without documentation coincided with his transfer to the Completion Unit. 25. Debias had an agreement with Rodriguez that he would authorize Special Allowances for her even though the expenses claimed were false. a. Debias had been approving valid allowances for Rodriguez prior to 2007 and convinced Rodriquez she was eligible for the additional payments. b. Debias informed Rodriguez that he would continue to approve allowances for her, in his position as a DPW income maintenance caseworker, provided that Rodriguez give him approximately one-half of any Special Allowances he approved. c. Rodriguez agreed to provide Debias with 50% of any special allowances received. d. All special allowances approved by Debias were credited to Rodriguez’s EBT account. 1. Debias directed that once an allowance was credited to this account Rodriguez would then withdraw funds from the account and give funds to Debias. 26. Debias would contact Rodriguez from his cell phone advising her when Special Allowance funds would be credited to her EBT Account. a. On the same day that the funds were deposited into Rodriguez’s EBT Account, she would withdraw the money and give half to Debias. b. Debias would drive to Rodriquez’s home after his work day to pick up the money. c. Debias threatened Rodriguez that if she did not give him half of the money, as her caseworker with control of her benefits he would cut off the benefits. 27. Don Debias, Jr. has cellular telephone service through Neustar with a cellular telephone number of XXX-XXX-2149. a. The activation date for the cell phone was December 21, 2006. 28. Liz Rodriguez has cellular telephone service through Sprint with the cellular telephone number of XXX-XXX-9130. a. The activation date for the cell phone number was November 21, 2005. 29. Don Debias, Jr. maintains a checking [account] (Account # XXXXXX0738) and savings account (Account # XXXXXX6958) with Sovereign Bank. a. The accounts were opened on April 8, 2006, and Don Debias, Jr. was listed as having signature authority on both accounts. 30. Liz Rodriguez maintained an EBT Card through JP Morgan Chase Bank that she used to withdraw cash from Special Allowances authorized by Don Debias, Jr. Debias, Jr., 08-057 Page 13 a. Debias helped her obtain the EBT card while serving as her caseworker. 31. Debias’ checking and savings account[s] from Sovereign Bank confirm cash deposits being made on or around the same dates when Special Allowances funds were deposited and withdrawn from Rodriguez’s EBT Account. 32. The following outlines the date[s] and times of the calls made by Debias to Rodriguez as well as the dates and times of deposits and withdrawals made by Rodriguez from her EBT account and cash deposits made by Debias to his bank account after the withdrawals were made by Rodriguez for the time period April 2007 to March 2008: Date and time of Date and Amount Date and time of Amount Date cash Amount cell phone calls time DPW Depos-withdrawals With-deposits between Debias funds ited from drawn were made and Rodriguez deposited Rodriguez’s EBT into into account Debias’ Rodriguez’s Sovereign EBT account Bank Accounts 4/20/07 3:34 p.m. 4/21/07 $800.00 04/21/07 0:53:32 $200.00 04/21/07 $400.00 4/21/07 9:12 a.m. 00:18:33 04/21/07 0:54:28 $200.00 4/21/07 9:33 a.m. 04/21/07 0:55:23 $200.00 04/21/07 12:42:20 $200.00 5/1/07 10:50 a.m. 5/2/07 $108.50 5/2/07 08:16:47 $200.00 5/2/07 $380.00 5/2/07 10:34 a.m. 00:18:36 $800.00 5/2/07 08:17:24 $200.00 5/2/07 2:40 p.m. 5/2/07 5/2/07 08:18:07 $200.00 5/2/07 3:41 p.m. 01:39:49 5/2/07 08:18:45 $200.00 5/2/07 08:19:21 $100.00 6/6/07 10:33 a.m. 6/7/07 $1,080.00 6/7/07 08:46:31 $ 40.00 6/11/07 $200.00 6/6/07 2:34 p.m. 01:04:18 6/7/07 14:05:06 $200.00 6/8/07 2:42 p.m. 6/7/07 14:05:48 $200.00 6/8/07 4:12 p.m. 6/7/07 14:06:32 $200.00 6/8/07 4:16 p.m. 6/7/07 14:07:11 $200.00 6/7/07 14:07:57 $200.00 6/7/07 14:08:40 $ 40.00 6/28/07 10:32 am 6/29/07 $800.00 6/29/07 10:19:57 $200.00 6/29/07 $100.00 6/28/07 5:22 pm 00:25:52 6/29/07 10:20:36 $200.00 6/29/07 12:03 pm 6/29/07 10:21:14 $200.00 6/29/07 12:12 pm 6/29/07 10:21:59 $100.00 6/29/07 10:22:34 $ 40.00 6/29/07 10:23:16 $ 40.00 7/21/07 12:15 pm 7/21/07 $400.00 7/21/07 13:56:20 $200.00 7/25/07 $130.00 7/21/07 12:17 pm 00:21:41 7/21/07 13:56:57 $200.00 7/21/07 12:21 pm 8/29/07 2:37 p.m. 8/30/07 $1,200.00 8/30/07 08:19:20 $200.00 8/30/07 $580.00 8/30/07 2:34 p.m. 00:52:14 8/30/07 08:19:55 $200.00 8/30/07 3:41 p.m. 8/30/07 08:20:29 $200.00 8/30/07 08:21:04 $200.00 8/30/07 08:21:41 $200.00 8/30/07 08:22:20 $100.00 8/30/07 08:22:54 $ 40.00 8/30/07 08:23:30 $ 40.00 8/30/07 14:31:27 $ 15.25 9/20/07 2:43 p.m. 9/21/07 $800.00 9/21/07 08:34:54 $200.00 9/24/07 $800.00 9/21/07 3:49 p.m. 00:58:06 9/21/07 08:36:30 $200.00 9/21/07 3:52 p.m. 9/21/07 08:37:08 $200.00 9/21/07 08:37:47 $200.00 11/7/07 2:44 p.m. 11/8/07 $1,200.00 11/8/07 08:18:09 $200.00 11/13/07 $600.00 11/7/07 3:41 p.m. 01:38:58 11/8/07 08:19:25 $200.00 11/8/07 3:31 p.m. 11/8/07 08:20:02 $200.00 11/9/07 8:00 a.m. 11/8/07 08:20:37 $200.00 11/9/07 1:06 p.m. 11/8/07 08:21:13 $200.00 11/9/07 2:45 p.m. 11/8/07 08:21:54 $200.00 11/9/07 4:22 p.m. 12/6/07 4:37 pm 12/7/07 $1,000.00 12/7/07 14:16:56 $200.00 12/7/07 $500.00 Debias, Jr., 08-057 Page 14 12/7/07 3:35 pm 01:26:59 12/7/07 14:17:30 $200.00 12/7/07 14:18:04 $200.00 12/7/07 14:18:42 $200.00 12/7/07 14:19:20 $200.00 12/20/07 12:37pm 12/20/07 $1,200.00 12/20/07 15:35:00 $200.00 12/24/07 $400.00 12/20/07 6:06 pm 01:19:22 12/20/07 15:01:09 $200.00 12/21/07 6:53 a.m. 12/20/07 15:01:41 $200.00 12/20/07 15:02:21 $200.00 12/20/07 15:02:53 $200.00 12/20/07 15:03:29 $200.00 1/17/08 1:53 p.m. 1/18/08 $600.00 1/18/08 05:20:11 $600.00 1/18/08 $300.00 1/18/08 3:29 p.m. 01:28:43 1/18/08 3:36 p.m. 1/28/08 3:31 p.m. 1/29/08 $1,000.00 1/29/08 0:25:50 $200.00 1/30/08 $400.00 1/29/08 3:32 p.m. 00:26:16 1/29/08 0:26:30 $200.00 1/29/08 08:27:09 $200.00 1/29/08 08:27:49 $200.00 1/29/08 08:28:38 $100.00 1/29/08 08:29:15 $ 40.00 1/29/08 08:29:51 $ 40.00 2/15/08 12:00 p.m. 2/16/08 $1,000.00 2/16/08 12:58:45 $200.00 2/19/08 $200.00 2/15/08 12:02 p.m. 01:49:08 2/16/08 12:59:20 $200.00 2/15/08 12:04 p.m. 2/16/08 12:59:56 $200.00 2/16/08 9:56 a.m. 2/16/08 13:00:31 $200.00 2/16/08 4:46 p.m. 2/16/08 13:01:20 $100.00 2/16/08 5:20 p.m. 2/16/08 13:01:56 $ 40.00 2/16/08 13:02:33 $ 40.00 3/20/08 3:46 p.m. 3/19/08 $800.00 3/19/08 18:46:12 $200.00 3/21/08 $400.00 3/20/08 6:53 p.m. 02:02:26 3/19/08 18:46:45 $200.00 3/19/08 18:47:28 $200.00 3/19/08 18:48:01 $200.00 33. A total of $12,788.50 in Special Allowances was deposited to Rodriguez’s EBT account from April 20, 2007, to March 20, 2008. a. Debias authorized all of these payments even though he was not assigned as Rodriguez’s caseworker. b. Rodriguez withdrew $12,715.25 at various times after deposits were credited to her account. 34. On the same dates as DPW Special Allowances were credited to Rodriguez’s account she made cash withdrawals and provided funds to Debias. a. Debias then made cash deposits of some of those funds to his Sovereign Bank accounts. 1. The balance was retained by Debias in the form of cash. 35. Between April 20, 2007, and March 2008, Debias made (14) cash deposits totaling $5,390.00 to his Sovereign Bank accounts. a. The deposits were made on the same dates that Rodriguez made cash withdrawals from her EBT account. b. Cash deposits to Debias’ account corresponding to Rodriguez’s cash withdrawals are as follows: Rodriguez Amount Debias Amount Withdrawal Date Withdrawn Deposit 04/21/07 0:53:32 $200.00 04/21/07 $400.00 04/21/07 0:54:28 $200.00 Debias, Jr., 08-057 Page 15 04/21/07 0:55:23 $200.00 04/21/07 12:42:20 $200.00 5/2/07 08:16:47 $200.00 5/2/07 $380.00 5/2/07 08:17:24 $200.00 5/2/07 08:18:07 $200.00 5/2/07 08:18:45 $200.00 5/2/07 08:19:21 $100.00 6/7/07 08:46:31 $ 40.00 6/11/07 $200.00 6/7/07 14:05:06 $200.00 6/7/07 14:05:48 $200.00 6/7/07 14:06:32 $200.00 6/7/07 14:07:11 $200.00 6/7/07 14:07:57 $200.00 6/7/07 14:08:40 $ 40.00 6/29/07 10:19:57 $200.00 6/29/07 $100.00 6/29/07 10:20:36 $200.00 6/29/07 10:21:14 $200.00 6/29/07 10:21:59 $100.00 6/29/07 10:22:34 $ 40.00 6/29/07 10:23:16 $ 40.00 7/21/07 13:56:20 $200.00 7/25/07 $130.00 7/21/07 13:56:57 $200.00 8/30/07 08:19:20 $200.00 8/30/07 $580.00 8/30/07 08:19:55 $200.00 8/30/07 08:20:29 $200.00 8/30/07 08:21:04 $200.00 8/30/07 08:21:41 $200.00 8/30/07 08:22:20 $100.00 8/30/07 08:22:54 $ 40.00 8/30/07 08:23:30 $ 40.00 8/30/07 14:31:27 $ 15.25 9/21/07 08:34:54 $200.00 9/24/07 $800.00 9/21/07 08:36:30 $200.00 9/21/07 08:37:08 $200.00 9/21/07 08:37:47 $200.00 11/8/07 08:18:09 $200.00 11/13/07 $600.00 11/8/07 08:19:25 $200.00 11/8/07 08:20:02 $200.00 11/8/07 08:20:37 $200.00 11/8/07 08:21:13 $200.00 11/8/07 08:21:54 $200.00 12/7/07 14:16:56 $200.00 12/7/07 $500.00 12/7/07 14:17:30 $200.00 12/7/07 14:18:04 $200.00 12/7/07 14:18:42 $200.00 12/7/07 14:19:20 $200.00 12/20/07 15:35:00 $200.00 12/24/07 $400.00 12/20/07 15:01:09 $200.00 12/20/07 15:01:41 $200.00 12/20/07 15:02:21 $200.00 12/20/07 15:02:53 $200.00 12/20/07 15:03:29 $200.00 1/18/08 05:20:11 $600.00 1/18/08 $300.00 1/29/08 0:25:50 $200.00 1/30/08 $400.00 Debias, Jr., 08-057 Page 16 1/29/08 0:26:30 $200.00 1/29/08 08:27:09 $200.00 1/29/08 08:27:49 $200.00 1/29/08 08:28:38 $100.00 1/29/08 08:29:15 $ 40.00 1/29/08 08:29:51 $ 40.00 2/16/08 12:58:45 $200.00 2/19/08 $200.00 2/16/08 12:59:20 $200.00 2/16/08 12:59:56 $200.00 2/16/08 13:00:31 $200.00 2/16/08 13:01:20 $100.00 2/16/08 13:01:56 $ 40.00 2/16/08 13:02:33 $ 40.00 3/19/08 18:46:12 $200.00 3/21/08 $400.00 3/19/08 18:46:45 $200.00 3/19/08 18:47:28 $200.00 3/19/08 18:48:01 $200.00 Total $12,715.25 Total $5,390.00 36. In or about March 7, 2008, the Office of Inspector General (OIG) received information that Liz Rodriguez had informed co-workers that she was receiving Special Allowances that she was not entitled to receive and that Rodriguez was giving one-half of the proceeds to her case worker. a. Based on this information, the OIG initiated an inquiry. b. Debias was eventually suspended without pay pending the outcome of the OIG inquiry. 37. Debias received a letter dated April 1, 2008, from DPW’s Lehigh County Assistance Office (CAO) Executive Director confirming his suspension as an Income Maintenance Caseworker effective March 28, 2008. a. The reason cited for the suspension is as follows: The reason for this suspension is alleged suspected employee fraud concerning improper processing of specific special allowances to a specific client within the course of your regular duties as an IMCW. Your alleged actions are job-related in nature and impact upon your ability to execute your duties and/or responsibilities in providing welfare benefits to clients. An investigation will be conducted during the course of this suspension and appropriate action will be taken at its conclusion. Such action may be disciplinary suspension, removal from employment, or reinstatement retroactive to the beginning of the suspension. 38. A pre-disciplinary conference was scheduled by CAO for Debias on August 19, 2008, but rescheduled to September 16, 2008. a. Debias did not attend the conference. 39. On October 3, 2008, Debias was advised that he was going to be removed from his position as Income Maintenance Caseworker effective the close of business on October 7, 2008, for the following reasons: Debias, Jr., 08-057 Page 17 a. Non-Criminal Welfare Fraud- Specifically between June 28, 2005 and March 19, 2008 it is alleged that you: 1. Authorized $24,473.20 in Special Allowance benefits for welfare client L. R. to which she was not entitled. You carried this out by intentionally creating 764 forms with incorrect reason codes, failing to complete 55 separate 764 forms, and failing to include back-up verifications for the vast majority of the 764 forms. You continued to authorize the Special Allowance Benefits until March 2008 even though L. R.’s case was transferred to another caseworker in April 2007. 2. Solicited and received from welfare client L.R. approximately $10,000 of the $24,473.20 mentioned above. You carried this out going to L.R’s residence after 3:30 PM on the days when benefit payments were authorized. b. Failure to follow general policy or procedure – Specifically during the course of the OIG’s investigation, it was discovered that you have been working as an Events Planner for “Umbrella Events,” however you failed to request approval to engage in supplementary employment or submit a Supplementary Employment form, as stated in Management Directive 515.18, “ Supplementary Employment” c. Inappropriate Use of Commonwealth Equipment – Specifically the OIG identified numerous document files on your Commonwealth-issued PC related to your supplementary employment with “Umbrella Events” and the rental property you own (including invoices and correspondence to tenants) located in Allentown, PA. Use of Commonwealth equipment, supplies and property for non-official purposes is prohibited by the Governor’s Code of Conduct, Executive Order 1981-18, and Management Directive 205.34, “Commonwealth of Pennsylvania Information Technology Acceptable Use.” 40. During an interview with a State Ethics Commission investigator Liz Rodriguez provided as follows: a. Debias was her case worker from approximately 2004. b. Special Allowances were approved by Debias in the amount of $248.50 while she was in school for such things as clothes, books and transportation. 1. She saved all of her receipts that identified these expenses. c. She currently has had Special Allowances approved by another DPW caseworker each in the amount of $248.50. d. She did not recall the timeframe, but Debias began approving larger Special Allowance amounts ranging from $600.00 to $1,200.00 for each Special Allowance even though she did not have receipts to justify the payments. e. She questioned Debias about this, but was told that he was her caseworker and her benefits depended upon him. f. She was intimidated by Debias and did not question or challenge his authority out of fear that her benefits would be terminated. g. The arrangement made by Debias was that he would authorize Special Debias, Jr., 08-057 Page 18 Allowances ranging from $600.00 to $1,200.00 and that he required her to give him half of each payment. h. If Debias authorized an $800.00 Special Allowance, he wanted Rodriguez to give him $400.00. i. Debias would contact her on her cell phone or home telephone and inform her that funds were deposited to her EBT account. j. She always gave the money to Debias at her home. 1. Debias would collect the money either weekly or bi-weekly usually on a Friday after his work day was completed. k. Payments to Debias were always made in cash. 1. After Special Allowances were credited to her EBT account, Rodriguez would make $200.00 withdrawals and provide the funds to Debias. l. She did not know what Debias was doing with the money. m. Of all the Special Allowances authorized by Debias from April 2007 to March 2008, she gave Debias one-half of everything she received. n. Debias required Rodriguez to give him over $7,000.00 from the Special Allowances he approved for her. 41. On June 23, 2009, the Pennsylvania Office of the Attorney General filed the following charges against Debias: Seq No. Statute Grade Description 1 18 § 3921 F3 Theft by Unlawful Taking-Movable Prop 2 18 § 3925 F3 Receiving Stolen Property 3 18 § 3922 F3 Theft by Decep-False Impression 4 18 § 4911 F3 Tamper with Public Record Information 5 18 § 7611 F3 Unlaw. Use of Computer – Access to Disrupt Funct. 6 18 § 481 F3 Fraud Obt Food stamps/Assistance a. The charges are the result of Debias’s solicitation of money from Rodriguez. b. Debias was to enter a guilty plea on October 5, 2009, but the matter was continued until November 9, 2009. 42. Debias realized a private pecuniary gain of at least $6,394.25 when he utilized the authority of his public [position] to solicit payments from Liz Rodriguez based on his understanding that he would approve Special Allowances to Rodriguez in return for her [kickback of] one-half of all payments authorized by Debias. a. Debias authorized $22,968.64 in Special Allowance payments to Rodriguez between April 2007 and March 19, 2008. 1. Rodriguez withdrew $12,788.50 in cash from the EBT account. Debias, Jr., 08-057 Page 19 2. Rodriguez withdrew the funds from her account on the same day that allowances were authorized. 3. On those same days $5,390.00 in cash was deposited to Debias’s personal account. b. Rodriguez agreed to provide Debias with one-half [of] any payments received in order to maintain DPW benefits. 1. One half of the $12,788.50 withdrawn by Rodriguez totals $6,394.25. THE FOLLOWING FINDINGS RELATE TO THE ALLEGATION THAT DONALD DEBIAS USED DPW EQUIPMENT FOR HIS PERSONAL BENEFIT. 43. Debias signed Commonwealth Internet/Email User Agreements on June 17, 2002, and August 8, 2003. a. As part of the agreements signed by Debias, he agreed not to engage in the use of any Commonwealth Internet/E-mail systems for the purpose of personal financial gain. 44. Debias was assigned a desktop computer while working at the Lehigh County CAO. 45. From at least 2006 until 2008 Debias utilized his Commonwealth desktop computer in furtherance of his outside business interests. a. Debias owned a rental property beginning in or about April 2006 and used his Commonwealth computer to send letters, invoices and past due notices to tenants. b. Debias was the operator of an entity known as Umbrella Events from at least 2007 until his termination from Commonwealth employment in 2008. 1. Debias used his Commonwealth computer to send correspondence and invoices related to events and tours he planned. c. Debias also used his Commonwealth computer to apply for jobs by preparing letters and resumes. 46. A forensic examination conducted by the OIG during the summer of 2008 of Debias’ hard drive from his Commonwealth computer confirmed that Debias used his Commonwealth computer for the benefit of his outside business interests. 47. Debias owns property at 716 North Refwal Street, Allentown, PA, which he has utilized as a rental property since approximately June 2006. a. Records from the Recorder of Deeds for Lehigh County, Pennsylvania, reflect that on April 6, 2006, Don Debias, Jr. purchased a property from Robert C. Ford at the address listed below: 716 North Refwal Street Allentown, Pennsylvania b. The purchase price of the property was $55,000. c. The property was located on the west side of Refwal Street between Tilghman and Green Street in the City of Allentown. Debias, Jr., 08-057 Page 20 48. Debias used his Commonwealth computer to send invoices and to track payments he received for the rental property. a. Debias created invoices and letters to be sent to his tenants for rent of 716 North Refwal Street. 49. Document files found on Debias’ hard drive of his Commonwealth computer included invoices identifying the tenant’s name, date of invoice and amount due for the rental property at 716 North Refwal Street: Tenant’s Date of Description Amount Name Invoice James Melton 07/06/06 July rent 2006 and late fees $420.00 James Melton 09/05/06 September rent and past rent for $693.87 August James Melton 09/05/06 September, rent past due rent for $487.74 August and bank fees James Melton 09/12/06 September rent and late fees $695.00 James Melton 09/25/06 September rent, past due rent for $267.74 August and bank fees James Melton 10/03/06 October rent and late fee $695.00 James Melton 10/10/06 October rent and late bank fee $829.00 James Melton 10/10/06 October rent, late fee and bank fee $379.00 James Melton 10/10/06 October rent, late fee and bank fee $404.00 James Melton 11/01/06 October rent $695.00 James Melton 11/06/06 October rent $695.00 Lynne Aaron 01/29/07 February rent $630.00 Lynne Aaron 02/21/07 March rent $630.00 Lynne Aaron 03/22/07 April rent $630.00 Lynne Aaron 04/23/07 May rent $630.00 Lynne Aaron 05/21/07 June rent $630.00 Lynne Aaron 06/29/07 June rent $630.00 Lynne Aaron 07/10/07 June rent and bank fees $440.00 and Jeffrey Falwell Lynne Aaron 07/26/07 July rent and bank fees $278.00 and Jeffrey Falwell Lynne Aaron 07/30/07 July rent and bank fees $78.00 and Jeffrey Falwell Lynne Aaron 08/07/07 August rent, late fee not received by $630.00 08/05/07 $ 35.00 Lynne Aaron 08/28/07 August rent $630.00 Lynne Aaron 09/10/07 September rent, $630.00 Bank fee $ 25.00 Late charge $ 35.00 Lisa Mowery 11/29/07 Security deposit – first month rent $1,350.00 Holly Jenkins 12/27/07 Security deposit – first month rent $1350.00 (November) Holly Jenkins 12/27/07 January rent $675.00 Lynne Aaron 01/28/08 Make payments of $100.00 per $469.34 Debias, Jr., 08-057 Page 21 month Holly Jenkins 02/11/08 March rent $675.00 Lynne Aaron 03/16/08 Court order - December payment $269.34 January, February, March Holly Jenkins 03/25/08 April $675.00 50. Debias was paid rent in the above amounts as a result of the invoices generated from his Commonwealth issued computer. 51. In addition to sending invoices and notices to tenants Debias utilized his Commonwealth computer to send (14) different letters to tenants for the following reasons: ? Past Due Notices ? Notices of Changes for Utilities ? Non-renewal of Lease Notices ? Cancellation of Trash Services 52. Payments Debias received for the rent from his tenants at 716 North Refwal were deposited into his checking account at Sovereign Bank. 53. The following payments were deposited into Debias’ checking account at Sovereign Bank for the monthly rent as a result of the invoices issued to his tenants that were found on his hard drive from his Commonwealth Computer at DPW: Name Date of check or Amount Number of check money order or money order James Melton 07/26/06 $200.00 4832738386 Yokefellow Prison 08/10/06 $500.00 2309 Ministry, Lehigh Valley Council (James Melton) Susie Melton (James 09/18/06 $350.00 564 Melton) Susie Melton (James 10/18/06 $250.00 567 Melton Yokefellow Prison 10/27/06 $259.00 2333 Ministry, Lehigh Valley Council (James Melton Lynne Aaron 03/22/07 $500.00 4967506014 Lynne Aaron 03/02/07 $130.00 4967506013 Lynne Aaron 04/03/07 $500.00 10020463103 Lynne Aaron 04/03/07 $130.00 10020463104 Lynne Aaron 05/03/07 $130.00 10020464253 Lynne Aaron 05/03/07 $500.00 10020464252 Lynne Aaron 06/04/07 $130.00 10047298970 Lynne Aaron 06/01/07 $500.00 10047298969 Lynne Aaron 07/06/07 $300.00 5688977064 Debias, Jr., 08-057 Page 22 Lynne Aaron 07/18/07 $100.00 10020462162 Lynne Aaron 7/23/07 $87.00 10020462369 Lynne Aaron 07/25/07 $200.00 1008046467 Lynne Aaron 07/31/07 $78.00 10075401416 Lynne Aaron 08/04/07 $500.00 08-724320840 Lynne Aaron 08/04/07 $130.00 08-724320841 Lynne Aaron 11/30/07 $100.00 10098475169 Holly Jenkins 01/04/08 $175.00 069390311 Holly Jenkins 01/04/08 $500.00 069390310 Lynne Aaron 01/15/08 $50.00 10106040085 Lynne Aaron 02/01/08 $100.00 070077603 Holly Jenkins 02/04/08 $500.00 10125068539 Lynne Aaron 03/03/08 $100.00 071975353 Holly Jenkins and 03/04/08 $500.00 10125070834 Mauro Arte Holly Jenkins 03/04/08 $175.00 10125070833 Holly Jenkins and 02/04/08 $175.00 10125068540 Mauro Arte Total $7,649.00* * [sic]. [There is a $200.00 discrepancy in the calculation, to the advantage of Respondent. Respondent receives the benefit of the indicated amount. Bartholomew v. State Ethics Commission, 795 A.2d 1073 (Pa. Commw. Ct. 2002).] a. Debias received $7,649.00 in rent payments as a result of using [his] Commonwealth issued computer to generate invoices to tenants. 54. Debias has maintained part-time employment as a personal and professional events planner since at least March 2007. a. Debias operated this business under the name Umbrella Events. b. Umbrella Events is not an incorporated entity with the Commonwealth of Pennsylvania’s Corporation Bureau. 55. Between March and October 2007 Debias operated Umbrella Events utilizing his Commonwealth computer. a. Debias organized at least two events: a bus trip from Allentown to the King Tut Exhibit in Philadelphia scheduled for June 9, 2007; and a Halloween Party scheduled for October 27, 2007, at the Easton Quality Inn. b. Debias sent letters and invoices related to these events to vendors and individuals attending the events. 56. A forensic examination conducted during the summer of 2008 of Debias’s Commonwealth assigned computer disclosed the following: a. A total of (26) document files identified as “UmbrellaEvents” were found on the hard drive from his Commonwealth Computer. b. The files contained flyers and letters described as “UmbrellaEvents” in which Debias was identified as a Personal and Professional Events Planner. c. The files were unrelated to Debias’ duties and responsibilities as an Income Debias, Jr., 08-057 Page 23 Maintenance Caseworker with the Lehigh CAO of DPW. 57. Debias, operating as Umbrella Events, organized a bus trip from Allentown, PA, to Philadelphia to view the King Tut Exhibit. a. The trip was scheduled for June 9, 2007. b. Debias was charging $53.00 for an adult ticket and $38.00 for a youth ticket (ages 4 to 11). c. Debias used his Commonwealth computer to generate (8) invoices between March 5, 2007, to March 27, 2007, to individuals reserving tickets. 1. The total cost of the (8) invoices was $674.00. d. The trip was eventually cancelled. 58. Debias utilized his Commonwealth computer between September 2007 and October 2007 to schedule a Halloween Party at the Easton Quality Inn scheduled for October 27, 2007. a. Debias’s computer contains a letter from Debias to the Quality Inn which includes a space rental agreement for the event. 1. A subsequent letter was sent canceling the rental agreement. b. Debias also used the computer to prepare correspondence to vendors scheduling services for the event and letters later canceling the services. 1. A total of (5) letters were prepared by Debias. 59. Debias’ checking account identified a payment made to UmbrellaEvents on October 20, 2007, from Jennifer Normoyle-Warga and Alan Warga in the amount of $200.00 on Check No. 1748 that was endorsed by Debias and deposited into his account at Sovereign Bank. a. The payment was a retuned deposit for a canceled party. 60. Debias also used his Commonwealth computer to produce (8) letters of application for employment to various companies in 2007. a. Debias also prepared and maintained a copy of his resume on the state computer. 61. Debias operated Umbrella Events as a business without obtaining supplemental employment approval from DPW. 62. The Governor’s Code of Conduct prohibits employees from engaging in supplementary employment without prior approval and the use of Commonwealth equipment for non-official purposes. a. No employee, appointee [or] official in the Executive branch of the Commonwealth shall engage in or accept private employment or render services for a private interest unless such employment or service is approved in advance by the Head of the agency to which the affected person is assigned. Debias, Jr., 08-057 Page 24 b. No employee, appointee or official in the Executive Branch of the Commonwealth shall use any Commonwealth equipment, supplies or properties for his own private gain or for other than officially designated purposes. c. Debias was made aware of this as part of his employee orientation. THE FOLLOWING FINDINGS RELATE TO DEBIAS’ FAILURE TO FILE STATEMENTS OF FINANCIAL INTERESTS FOR CALENDAR YEARS 2003, 2004, 2005, 2006 AND 2007. 63.As an Income Maintenance Caseworker for the Lehigh CAO of DPW Debias was required to file a Statement of Financial Interests (SFI). 64.Debias never filed an SFI while employed by DPW from June 2002 until March 2008. a. Debias was made aware of the financial disclosure statements as part of his employee orientation in June 2002. b. The State Ethics Commission issued Advices of Counsel to David Deluca (03-607) on December 10, 2003, and Irene Makar (07-556) on July 10, 2007, concluding that Income Maintenance Caseworkers are considered public employees as defined by the State Ethics Act and thus are required to annually file Statements of Financial Interests. III.DISCUSSION: In reviewing this matter, we initially note that this Commission has long held that an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare (“DPW”) is a public employee subject to the Ethics Act (Metrick, Order 1037; Drost, Order 1415) and is required to file Statements of Financial Interests (“SFIs”) pursuant to the Ethics Act (Makar, Order 1383). There is pending litigation before the Commonwealth Court of Pennsylvania involving a recent Opinion of this Commission as to the status of Income Maintenance Caseworkers under the Ethics Act and the applicability of the SFI filing requirements to them. Quaglia v. State Ethics Commission, No. 555 C.D. 2009. Such litigation does not affect our ability to decide this case, which is an investigative matter. (See, Stipulation and Agreement approved by Order dated April 24, 2009). As an Income Maintenance Caseworker for the DPW Lehigh County Assistance Office (“CAO”) from June 20, 2002, until October 7, 2008, Respondent Donald Debias, Jr. (hereinafter also referred to as “Respondent,” “Respondent Debias,” and “Debias”) has been a 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 Debias violated Sections 1103(a), 1103(c) and 1104(a) of the Ethics Act: (1) when he used the authority of his office for a private pecuniary gain; (2) when he solicited and/or accepted something of monetary value (kickbacks) from a DPW client/welfare recipient based on his understanding that in return for his official action of approving payments/benefits to the DPW client/welfare recipient, the DPW client/welfare recipient would provide him with payments; (3) when he utilized a DPW office and equipment including but not limited to computer and internet for the private benefit of a personal business; and (4) when he failed to file SFIs for the 2003, 2004, 2005, 2006, and 2007 calendar years. Debias, Jr., 08-057 Page 25 Pursuant to Section 1103(a) of the Ethics Act, a public official/public employee is prohibited from engaging in conduct that constitutes a conflict of interest: § 1103. Restricted activities (a)Conflict of interest.— No public official or public employee shall engage in conduct that constitutes a conflict of interest. 65 Pa.C.S. § 1103(a). The term "conflict of interest" is defined in the Ethics Act as follows: § 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. Section 1103(c) of the Ethics Act provides in part that a public official/public employee shall not solicit or accept anything of monetary value based upon any understanding that his vote, official action or judgment would be influenced thereby: § 1103. Restricted Activities (c) Accepting improper influence.— No public official, public employee or nominee or candidate for public office shall solicit or accept anything of monetary value, including a gift, loan, political contribution, reward or promise of future employment, based on any understanding of that public official, public employee or nominee that the vote, official action or judgment of the public official or public employee or nominee or candidate for public office would be influenced thereby. 65 Pa.C.S. § 1103(c). Debias, Jr., 08-057 Page 26 Section 1104(a) of the Ethics Act provides that each public official/public employee must file a Statement of Financial Interests for the preceding calendar year, each year that he holds the position and the year after he leaves it. We shall now summarize the facts pertaining to this case. Given Respondent’s failure to file an Answer to the Investigative Complaint, the facts as averred by the Investigative Complaint are deemed admitted by Respondent. 65 Pa.C.S. § 1108(e); 51 Pa. Code § 21.5(k)(1). Respondent was employed as an Income Maintenance Caseworker for DPW at the CAO from June 20, 2002, until October 7, 2008. Respondent’s duties and responsibilities as an Income Maintenance Caseworker included, inter alia: establishing applicants’ initial and ongoing eligibility for benefits and programs administered by DPW; verifying eligibility criteria; making decisions on program eligibility; and issuing benefits. Kickbacks: From June 20, 2002, until April 2007 Respondent was assigned to the Temporary Assistance to Needy Families (“TANF”) Unit at the CAO. As a TANF caseworker, Respondent was authorized to approve “Special Allowances” to eligible clients for certain types of expenses. Special Allowances were in the form of fund transfers deposited directly into Electronic Benefits Transfer (“EBT”) accounts where clients could use EBT cards to obtain cash. Prior to authorizing Special Allowances, Respondent was required to have back-up verification such as receipts. When authorizing Special Allowances for an eligible client, Respondent was required to complete an Authorization/Instruction Sheet, known as a “764 Form,” listing a “reason code” for the cash allowance. Respondent was required to sign or initial the 764 Form indicating his approval. Respondent would then forward the 764 Form to the clerical staff of DPW, who would enter the information provided by Respondent into the computer for payment. As a caseworker with the TANF Unit, Respondent was assigned a client caseload. One of the clients assigned to Respondent was Liz Rodriguez (“Rodriguez”). Respondent authorized Special Allowances to Rodriguez beginning in November 2004. On April 20, 2007, Respondent was reassigned to a different DPW Unit where he no longer had a client caseload and he was no longer Rodriguez’s caseworker. The case files of Respondent’s former clients were reassigned to other caseworkers. However, Respondent retained control of Rodriguez’s case file and did not make Rodriguez’s case file available for reassignment. Respondent used the authority of his public position to continue authorizing Special Allowance payments to Rodriguez even though he was no longer her caseworker. Between April 20, 2007, and March 19, 2008, Respondent approved $22,968.64 in Special Allowances to Rodriguez after he was no longer her assigned caseworker. Fact Findings 23 c and 42 a. On or about April 19, 2007, Respondent began authorizing Special Allowances to Rodriguez for expenses for which no documentation or justification exists. Fact Finding 24. Respondent authorized payments to Rodriguez utilizing bogus justification codes on 764 Forms or without submitting a 764 Form. Fact Finding 24 a. Respondent would instruct DPW clerical support staff to input false information regarding unsubstantiated expenses for Rodriguez. Fact Finding 24 b. Payments would be issued to Rodriguez based on Respondent’s directions and approvals. Fact Finding 24 c. Of the 29 Special Allowances approved by Respondent after April 2007, only two had a completed 764 Form. Fact Finding 24 d. Respondent had an agreement with Rodriguez that he would authorize Special Debias, Jr., 08-057 Page 27 Allowances for her even though the expenses claimed were false. Respondent informed Rodriguez that he would continue to approve allowances for her, in his position as a DPW Income Maintenance Caseworker, provided that Rodriguez would give him approximately one-half of any Special Allowances he approved. Rodriguez agreed to provide Respondent with 50% of any special allowances received. All special allowances approved by Respondent were credited to Rodriguez’s EBT account. Respondent directed that once an allowance was credited to this account, Rodriguez withdraw funds from the account and give funds to Respondent. Respondent would contact Rodriguez from his cell phone advising her when Special Allowance funds would be credited to her EBT Account. On the same day that the funds were deposited into Rodriguez’s EBT Account, she would withdraw the money and give half to Respondent. Respondent threatened Rodriguez that if she did not give him half of the money, as her caseworker with control of her benefits he would cut off the benefits. A total of $12,788.50 in Special Allowances was deposited to Rodriguez’s EBT account from April 20, 2007, to March 20, 2008. Fact Finding 33. Respondent authorized all of these payments even though he was no longer Rodriguez’s assigned caseworker. Fact Finding 33 a. Rodriguez withdrew $12,788.50 in cash from the EBT account. Fact Finding 42 a 1. Rodriguez withdrew the funds from her account on the same day that allowances were authorized. Fact Finding 42 a 2. Rodriguez agreed to provide Respondent with one-half of any payments received in order to maintain DPW benefits. Fact Finding 42 b. Per Fact Finding 42, deemed admitted by Respondent, Respondent realized a private pecuniary gain of at least $6,394.25 when he utilized the authority of his public position to solicit payments from Rodriguez based on his understanding that he would approve Special Allowances to Rodriguez in return for her kickback of one-half of all payments authorized by Respondent. During an interview with a State Ethics Commission investigator, Rodriguez indicated that she was intimidated by Respondent and did not question or challenge his authority out of fear that her benefits would be terminated. In or about March 2008 the Office of Inspector General initiated an inquiry as to Respondent’s conduct. Respondent was suspended from his position with DPW on March 28, 2008. Respondent was terminated from his position with DPW on October 7, 2008. On June 23, 2009, the Pennsylvania Office of Attorney General filed criminal charges against Respondent resulting from Respondent’s solicitation of money from Rodriguez. Respondent’s Use of DPW Equipment for Personal Benefit: Respondent was assigned a desktop computer while working at the CAO. From at least 2006 until 2008, Respondent utilized his Commonwealth desktop computer in furtherance of his outside business interests. Since 2006, Respondent has owned a rental property at 716 North Refwal Street, Allentown, Pennsylvania. Respondent used his Commonwealth computer to send letters, invoices and past due notices to tenants. Per Fact Finding 53 a, Respondent received $7,649.00 in rent payments as a result of using his Commonwealth issued computer at DPW to generate invoices to tenants. Additionally, Respondent was the operator of an entity known as “Umbrella Events” from at least 2007 until his termination from Commonwealth employment in 2008. Debias, Jr., 08-057 Page 28 Respondent operated Umbrella Events as a business without obtaining supplemental employment approval from DPW. The Governor’s Code of Conduct prohibits employees from engaging in supplementary employment without prior approval. Between March and October 2007 Respondent operated Umbrella Events utilizing his Commonwealth computer. Respondent organized at least two events: a bus trip from Allentown to the King Tut Exhibit in Philadelphia scheduled for June 9, 2007; and a Halloween Party scheduled for October 27, 2007, at the Easton Quality Inn. A forensic examination conducted during the summer of 2008 of Respondent’s Commonwealth assigned computer found a total of 26 document files identified as “UmbrellaEvents” on the hard drive. The files were unrelated to Respondent’s duties and responsibilities as an Income Maintenance Caseworker. In March 2007 Respondent used his Commonwealth computer to generate eight invoices totaling $674.00 to individuals reserving tickets for the bus trip to view the King Tut Exhibit. The trip was eventually cancelled. Between September 2007 and October 2007, Respondent utilized his Commonwealth computer to schedule a Halloween Party at the Easton Quality Inn. Respondent’s computer contains a letter from Respondent to the Quality Inn which includes a space rental agreement for the event. A subsequent letter was sent canceling the rental agreement. Respondent also used the computer to prepare correspondence to vendors scheduling services for the event and letters later canceling the services. A total of five such letters were prepared by Respondent. Respondent also used his Commonwealth computer to apply for jobs by preparing letters and resumes. Respondent used his Commonwealth computer to produce eight letters of application for employment to various companies in 2007. Respondent also prepared and maintained a copy of his resume on the Commonwealth computer. Respondent’s SFIs: As an Income Maintenance Caseworker for DPW, Respondent was required to file an SFI by May 1 each year that he held the position and the year after he left it. Respondent was made aware of the financial disclosure statements as part of his employee orientation in June 2002. Respondent never filed an SFI during the time that he was employed by DPW from June 2002 until March 2008. We must now determine, based upon the record, whether the actions of Respondent violated the Ethics Act. As we apply the facts to the allegations, due process requires that we not depart from the allegations. Pennsy v. Department of State, 594 A.2d 845 (Pa. Commw. Ct. 1991). A violation of the Ethics Act must be based upon clear and convincing proof. 65 Pa.C.S. § 1108(g). Clear and convincing proof is “so ‘clear, direct, weighty, and convincing as to enable the trier of fact to come to a clear conviction, without hesitance, of the truth of the precise facts in issue.’” In Re: Charles E.D.M., 550 Pa. 595, 601, 708 A.2d 88, 91 (1998) (Citation omitted). The first allegation is that Respondent violated Section 1103(a) of the Ethics Act when he used the authority of his office for a private pecuniary gain. The second allegation is that Respondent violated Section 1103(c) of the Ethics Act when he solicited and/or accepted something of monetary value (kickbacks) from a DPW client/welfare recipient (Rodriguez) based on his understanding that in return for his official action of approving payments/benefits to the DPW client/welfare recipient, the DPW client/welfare recipient would provide him with payments. Each element of these alleged violations has been established. Debias, Jr., 08-057 Page 29 Respondent used the authority of his public position as an Income Maintenance Caseworker for DPW when, between April 20, 2007, and March 19, 2008, he approved $22,968.64 in Special Allowances to Rodriguez after he was no longer her assigned caseworker. But for being an Income Maintenance Caseworker for DPW, Respondent would not have been in a position to accomplish securing such payments from DPW to Rodriguez. Respondent used the authority of his public position to authorize Special Allowances to Rodriguez for expenses for which no documentation or justification exists, and to authorize payments to Rodriguez utilizing bogus justification codes on 764 Forms or without submitting a 764 Form. Using his authority as an Income Maintenance Caseworker, Respondent instructed DPW clerical support staff to input false information regarding unsubstantiated expenses for Rodriguez. Payments were then issued by DPW to Rodriguez based on Respondent’s directions and approvals. These payments formed the basis for a private financial benefit to Respondent. Respondent had an agreement with Rodriguez that he would authorize Special Allowances for her even though the expenses claimed were false. Respondent informed Rodriguez that he would continue to approve allowances for her, in his position as a DPW Income Maintenance Caseworker, provided that Rodriguez would give him approximately one-half of any Special Allowances he approved. Respondent threatened Rodriguez that if she did not give him half of the money, as her caseworker with control of her benefits he would cut off the benefits. Rodriguez agreed to provide Respondent with one-half of any payments received, in order to maintain DPW benefits. Per Fact Finding 42, deemed admitted by Respondent, Respondent realized a private pecuniary gain of at least $6,394.25 when he utilized the authority of his public position to solicit payments from Rodriguez based on his understanding that he would approve Special Allowances to Rodriguez in return for her kickback of one-half of all payments authorized by Respondent. We hold that Respondent violated Section 1103(a) of the Ethics Act when he used the authority of his public position as a DPW Income Maintenance Caseworker to obtain for himself a private pecuniary gain of at least $6,394.25, consisting of kickbacks from DPW client/welfare recipient Rodriguez. We further hold that Respondent violated Section 1103(c) of the Ethics Act when he solicited and/or accepted kickbacks from DPW client/welfare recipient Rodriguez based upon Respondent’s understanding that in return for his official action of approving payments/benefits to Rodriguez, Rodriguez would provide Respondent with payments. Cf., Rembold, Order 1417; McGraw, Order 1397. The third allegation is that Respondent violated Section 1103(a) of the Ethics Act when he utilized a DPW office and equipment including but not limited to computer and internet for the private benefit of a personal business. It is axiomatic that Section 1103(a) of the Ethics Act prohibits the use of governmental facilities, equipment, and the like for private purposes, including business purposes. See, e.g., Neff, Order 1498; Morton, Order 1491; Rembold, Order 1417; Cobb, Order 1354; Confidential Opinion, 05-001. However, where the economic impact of such inappropriate use is “de minimis,” we are constrained to conclude that Section 1103(a) of the Ethics Act has not been violated. Snyder, Order 1527; Confidential Opinion, 05-001. Per Fact Finding 53 a, deemed admitted by Respondent, Respondent received $7,649.00 in rent payments as a result of using his Commonwealth issued computer at DPW to generate invoices to tenants. Additionally, between March and October 2007, Respondent also operated Umbrella Events utilizing his Commonwealth computer. The private pecuniary benefit received by Respondent as a result of the latter use is not quantified in the Fact Findings. Debias, Jr., 08-057 Page 30 Based upon the Fact Findings as deemed admitted by Respondent, we hold that Respondent violated Section 1103(a) of the Ethics Act when he utilized a DPW office/computer for the private pecuniary benefit of his real estate rental business. The fourth allegation is that Respondent violated Section 1104(a) of the Ethics Act when he failed to file SFIs for the 2003, 2004, 2005, 2006, and 2007 calendar years. Respondent was required to file SFIs with DPW for each of the aforesaid calendar years. Accordingly, we hold that Respondent violated Section 1104(a) of the Ethics Act when he failed to file SFIs with DPW for the 2003, 2004, 2005, 2006, and 2007 calendar years. As for a monetary penalty, Section 1109(c) of the Ethics Act, 65 Pa.C.S. § 1109(c), provides that any person who obtains financial gain from violating the Ethics Act, in addition to any other penalty provided by law, shall pay a sum of money equal to three times the amount of the financial gain (hereinafter referred to as a “treble penalty”) into the State Treasury or the treasury of the political subdivision. In the instant matter, Respondent obtained a financial gain of at least $6,394.25, consisting of kickbacks from DPW client/welfare recipient Rodriguez. Respondent is directed to pay a treble penalty in the amount of $19,182.75, with such payment to be made payable to the Commonwealth of th Pennsylvania and forwarded to this Commission by no later than the thirtieth (30) day after the mailing date of this adjudication and Order, for deposit in the State Treasury. We further direct Respondent to file SFIs with DPW for the 2003, 2004, 2005, 2006, and 2007 calendar years, disclosing all required information, and to do so by no later than th the thirtieth (30) day after the mailing date of this adjudication and Order, with copies of all such filings forwarded to this Commission for compliance verification purposes. Noncompliance will result in the institution of an order enforcement action. IV.CONCLUSIONS OF LAW: 1. As an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare (“DPW”), Lehigh County Assistance Office, from June 20, 2002, until October 7, 2008, Respondent Donald Debias, Jr. (“Debias”) has been a public employee subject to the provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq. 2. Debias violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he used the authority of his public position as a DPW Income Maintenance Caseworker to obtain for himself a private pecuniary gain of at least $6,394.25, consisting of kickbacks from DPW client/welfare recipient Liz Rodriguez (“Rodriguez”). 3. Debias violated Section 1103(c) of the Ethics Act, 65 Pa.C.S. § 1103(c), when he solicited and/or accepted kickbacks from DPW client/welfare recipient Rodriguez based upon Debias’ understanding that in return for his official action of approving payments/benefits to Rodriguez, Rodriguez would provide Debias with payments. 4. Debias violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he utilized a DPW office/computer for the private pecuniary benefit of his real estate rental business. 5. Debias violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to file Statements of Financial Interests with DPW for the 2003, 2004, 2005, 2006, and 2007 calendar years. In Re: Donald A. Debias, Jr., : File Docket: 08-057 Respondent : Date Decided: 12/21/09 : Date Mailed: 12/23/09 ORDER NO. 1539 1. Donald Debias, Jr. (“Debias”) violated Section 1103(a) of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he used the authority of his public position as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare (“DPW”) to obtain for himself a private pecuniary gain of at least $6,394.25, consisting of kickbacks from DPW client/welfare recipient Liz Rodriguez (“Rodriguez”). 2. Debias violated Section 1103(c) of the Ethics Act, 65 Pa.C.S. § 1103(c), when he solicited and/or accepted kickbacks from DPW client/welfare recipient Rodriguez based upon Debias’ understanding that in return for his official action of approving payments/benefits to Rodriguez, Rodriguez would provide Debias with payments. 3. Debias violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he utilized a DPW office/computer for the private pecuniary benefit of his real estate rental business. 4. Debias violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to file Statements of Financial Interests (“SFIs”) with DPW for the 2003, 2004, 2005, 2006, and 2007 calendar years. 5. Debias is directed to pay a treble penalty in the amount of $19,182.75, with such payment to be made payable to the Commonwealth of Pennsylvania and forwarded th to the Pennsylvania State Ethics Commission by no later than the thirtieth (30) day after the mailing date of this Order for deposit in the State Treasury. 6. Debias is directed to file SFIs with DPW for the 2003, 2004, 2005, 2006, and 2007 calendar years, disclosing all required information, and to do so by no later than the th thirtieth (30) day after the mailing date of this Order, with copies of all such filings forwarded to the Pennsylvania State Ethics Commission for compliance verification purposes. 7. Non-compliance with Paragraph 5 or Paragraph 6 of this Order will result in the institution of an order enforcement action. BY THE COMMISSION, ___________________________ Louis W. Fryman, Chair