HomeMy WebLinkAbout1683 Waters
In Re: Ronald G. Waters, : File Docket: 14-018
Respondent : X-ref: Order No. 1683
: Date Decided: 10/6/15
: Date Mailed: 10/19/15
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Kathryn Streeter Lewis
Maria Feeley
Melanie DePalma
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.” A Stipulation of Findings and a Consent Agreement were
subsequently 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.
I.ALLEGATIONS:
That Representative Ronald Waters, a public official/public employee in his capacity
as a Member of the Pennsylvania General Assembly, House of Representatives,
st
specifically representing the 191 District, \[violated Sections 1103(a), 1103(c), 1105(b)(5),
1105(b)(6), and 1105(b)(7) of the Ethics Act when he\] solicited and/or accepted items of
monetary value, including cash, \[and/or a\] cash gift, loan, and/or political contribution,
based on the understanding that his action as a Member of the House of Representatives,
including official action and/or judgment, would be influenced by receipt of said items of
monetary value; and when he failed to disclose as either a direct or indirect source of
income or gift(s) the receipt of cash on Statements of Financial Interests filed for the 2010,
2011 and 2012 calendar years; and when he failed to disclose the value of transportation,
lodging and hospitality on a Statement of Financial Interests filed for the 2013 calendar
year.
II.FINDINGS:
1. Ronald Waters (“Waters”) was a Member of the Pennsylvania House of
st
Representatives, representing the 191 Legislative District.
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a. The 191 Legislative District covers portions of Philadelphia and Delaware
Counties.
Waters, 14-018
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b. Representative Waters served as a Member of the House of
Representatives (“House”) since being elected during a May 1999 special
election.
c. Representative Waters also served as Secretary for the House Democratic
Caucus.
d. Representative Waters was a Member of the House Rules Committee.
2. Prior to his election to the House, Representative Waters was employed by the
Philadelphia Parking Authority (“PPA”).
a. Representative Waters retired from this position upon his election to the
House.
3. Tyron B. Ali (“Ali”) was a lobbyist and businessman with dealings in the
Philadelphia area.
a. Ali was a registered lobbyist with the Pennsylvania Department of State from
about April 2008 to 2012.
1. Ali had a lobbyist registration number of L08823.
2. Ali’s registration expired and was not renewed.
b. Ali was active in Philadelphia political circles from about 2008 to at least
2012.
1. Ali held no elected or appointed offices.
4. In or about 2010, Ali became an informant for the Pennsylvania Office of Attorney
General.
a. Ali was to utilize his access to political figures and elected officials in
Philadelphia.
5. Beginning in or about October 2010, Ali began making cash payments to
Philadelphia area public officials as part of a sting operation organized by the
Pennsylvania Office of Attorney General.
a. Representative Waters was one of the public officials receiving cash
payments from Ali.
b. Ali posed as a lobbyist representing businesses/individuals with interests in
Representative Waters’ district.
6. Between October 22, 2010, and April 2012, Representative Waters received nine
(9) payments totaling $8,750.00 from Ali.
a. The payments made by Ali to Representative Waters were in the form of
cash or money order.
7. The cash payments made by Ali to Representative Waters occurred on nine (9)
occasions as follows:
2010
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October 22, 2010 $1,000.00 Cash, Money Order
December 15, 2010 $500.00 Cash
2010 Total $1,500.00
2011
January 31, 2011 $500.00 Cash
February 5, 2011 $500.00 Cash
March 2, 2011 $500.00 Cash
March 14, 2011 $750.00 Cash
April 9, 2011 $1,000.00 Cash
May 16, 2011 $2,000.00 Cash
2011 Total $5,250.00
2012
April 20, 2012 $2,000.00 Cash
2012 Total $2,000.00
8. The payments made by Ali to Representative Waters occurred at various locations
in Harrisburg and Philadelphia including, but not limited to, the following:
Representative Waters’ Philadelphia district office.
Harrisburg area restaurants.
An Upper Darby, Pennsylvania location for Representative Waters’ birthday
party.
9. The payments made by Ali to Representative Waters occurred while Ali and
Representative Waters were discussing support Ali solicited from Representative
Waters purportedly for the benefit of businesses/individuals and/or issues
represented or supported by Ali.
a. Issues/individuals/businesses Ali asserted he represented included the
following:
Liquor privatization.
Collection contracts, including the PPA, Representative Waters’
former employer.
Assisting an individual in obtaining employment with another elected
official.
b. All of the payments were made by Ali to Representative Waters at or about
the time when Representative Waters and Ali were discussing specific
official actions Representative Waters would perform on behalf of Ali and/or
his clients.
10. The payments received by Representative Waters were not reported as campaign
donations on any campaign finance reports filed by Representative Waters or on
his behalf.
a. Representative Waters was required to report campaign donations on
periodic campaign finance reports filed with the Pennsylvania Department of
State.
Waters, 14-018
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b. The payments accepted by Representative Waters were not identified by Ali
as campaign contributions.
11. All of the monies provided to Representative Waters by Ali were kept by
Representative Waters for his personal use.
12. In his capacity as an elected public official, Representative Waters was required to
annually file a Statement of Financial Interests (“SFI”).
a. The SFI includes, among other items, financial information of the public
official for the previous calendar year.
1. Financial information includes sources of income in excess of
$1,300.00 and gift amounts over $250.00 in the aggregate from a
single source.
2. Other financial information required to be disclosed includes creditors
in excess of $6,500.00, and transportation, lodging and hospitality
sources in excess of $650.00.
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b. Forms are required to be filed by May 1 of each year a person holds office
and one (1) year after leaving public office.
13. Representative Waters annually filed SFIs with the State Ethics Commission as
follows:
Calendar Year Date Filed
2010 04/29/2011
2011 02/08/2012
2012 04/23/2013*
*Representative Waters’ 2012 calendar year SFI was dated 04/23/2012; however it was
received by the State Ethics Commission on April 23, 2013.
14. The SFIs filed by Representative Waters included, in part, the following
information:
Calendar Year 2010:
a.
No. 10 Direct or Indirect Sources of Income:
Pennsylvania House of Representatives
No. 11 Gifts:
None
No. 12 Transportation, Lodging, Hospitality:
None.
Calendar Year 2011:
b.
No. 10 Direct or Indirect Sources of Income:
Philadelphia Board of Pension and Retirement
Commonwealth of Pennsylvania-Pennsylvania House of Representatives
No. 11 Gifts:
None
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No. 12 Transportation, Lodging, Hospitality:
None
No. 13 Office, Directorship or Employment in any Business:
Southwest Leadership Academy-Treasurer.
Calendar Year 2012:
c.
No. 10 Direct or Indirect Sources of Income:
Commonwealth of Pennsylvania
Beneficial Bank
Philadelphia Board of Pension and Retirement
No. 11 Gifts:
None
No. 12 Transportation, Lodging, Hospitality:
None
No. 13 Office, Directorship or Employment in any Business:
Southwest Leadership Academy Charter School.
Calendar Year 2013:
d.
No. 10 Direct or Indirect Sources of Income:
Commonwealth of Pennsylvania
Beneficial Bank
No. 11 Gifts:
None
No. 12 Transportation, Lodging, Hospitality:
Vera Institute Justice
Black Alliance for Education Options (BAEO)
Novartis Pharmaceuticals
No. 13 Office, Directorship or Employment in any Business:
Southwest Leadership Academy Charter School.
1. Within his 2013 calendar year SFI, Representative Waters had
identified that he had received transportation, lodging and hospitality
from various entities, including the Vera Institute of Justice, Black
Alliance for Education Options (BAEO), and Novartis
Pharmaceuticals.
2. Although Representative Waters identified the name and address of
the source of the travel, hospitality and/or lodging, he did not report
the amount, as is required per 65 Pa.C.S. § 1105(b)(7).
15. Representative Waters never disclosed the receipt of cash payments from Ali on
SFIs filed for the 2010, 2011, and 2012 calendar years.
a. The money received by Representative Waters in calendar years 2010,
2011, and 2012 exceeded the reporting requirements for direct/indirect
sources of income and gifts on SFIs required to be filed by Representative
Waters.
Waters, 14-018
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16. Representative Waters appeared before the 27 Philadelphia County Grand Jury
and testified as follows:
a. The relationship he had with Ali was that Ali would help him, by giving him
money, and that he would perform official actions on behalf of Ali in return.
b. The official actions he took or promised to take on behalf of Ali included:
Voting “no” on House Bill 934.
Setting up and attending a meeting with a PPA executive.
Contacting an elected official to help Ali’s friend obtain a job.
c. He knew what he was doing was wrong and that he would not have been
given money but for his official capacity as a legislator.
d. He never disclosed the payments from Ali on either campaign finance
reports or SFIs.
17. Representative Waters, in his official capacity as an elected representative for the
st
191 Legislative District, accepted cash/money orders totaling $8,750.00 from Ali
during the time period from October 2010 to April 2012.
a. Representative Waters never disclosed the receipt of any of these payments
on SFIs filed for calendar years 2010, 2011, and 2012.
1. Payments received by Representative Waters in 2010, 2011, and
2012 exceeded the reporting amounts required by the Ethics Act for
both direct and indirect sources of income and gifts.
18. Representative Waters never disclosed on SFIs filed for the 2010, 2011, and 2012
calendar years the receipt of cash/money order payments from Ali.
a. In 2010, Representative Waters received payments from Ali totaling
$1,500.00 which were not disclosed by Representative Waters as either a
direct or indirect source of income or gift on the SFI he filed for the 2010
calendar year.
b. In 2011, Representative Waters received payments from Ali totaling
$5,250.00 which were not disclosed as either a direct/indirect source of
income or gift by Representative Waters on his SFI filed for calendar year
2011.
c. In 2012, Representative Waters received payments from Ali totaling
$2,000.00 which were not disclosed by Representative Waters on his SFI
filed for the 2012 calendar year.
19. Representative Waters realized a private pecuniary benefit of $8,750.00 when he
accepted payments from Ali between 2010 and 2012.
a. Representative Waters accepted the payments from Ali at or about the time
he discussed with Ali advocating legislation being pursued by Ali.
b. Representative Waters \[kept\] these payments for his personal use.
c. Representative Waters concealed the receipt of these payments by failing to
disclose the payments he received on SFIs filed for the 2010, 2011, and
2012 calendar years.
Waters, 14-018
Page 7
III.DISCUSSION:
As a Member of the Pennsylvania General Assembly, House of Representatives
(“House of Representatives”), Respondent Ronald G. Waters, also referred to hereinafter
as “Respondent,” “Respondent Waters,” and “Waters,” was a public officialsubject to the
provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101
1
et seq.
The allegations are that Waters violated Sections 1103(a), 1103(c), 1105(b)(5),
1105(b)(6), and 1105(b)(7) of the Ethics Act when he solicited and/or accepted items of
monetary value, including cash, and/or a cash gift, loan, and/or political contribution,
based on the understanding that his action as a Member of the House of Representatives,
including official action and/or judgment, would be influenced by receipt of said items of
monetary value; and when he failed to disclose as either a direct or indirect source of
income or gift(s) the receipt of cash on Statements of Financial Interests (“SFIs”) filed for
the 2010, 2011, and 2012 calendar years; and when he failed to disclose the value of
transportation, lodging and hospitality on a Statement of Financial Interests filed for the
2013 calendar year.
Per the Consent Agreement of the parties, the Investigative Division has exercised
its prosecutorial discretion to nol pros the allegation under Section 1105(b)(6) of the Ethics
Act. Based upon the nol pros, we need not address the Section 1105(b)(6) allegation no
longer before us.
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.
1 We take administrative notice that Waters resigned from the House of Representatives on June 1, 2015. See,
http://www.legis.state.pa.us/cfdocs/legis/BiosHistory/MemBio.cfm?ID=142&body=H.
Waters, 14-018
Page 8
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).
Section 1105(b) of the Ethics Act and its subsections detail the financial disclosure
that a person required to file the SFI form must provide.
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 SFI the name and address
of any direct or indirect source of income totaling in the aggregate $1,300 or more.
Subject to certain statutory exceptions not applicable to this matter, Section
1105(b)(7) of the Ethics Act requires the filer to disclose on the SFI the name and address
of the source and the amount of any payment for or reimbursement of actual expenses for
transportation and lodging or hospitality received in connection with public office or
employment where such actual expenses exceed $650 in an aggregate amount per year.
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.
Waters began serving as a Member of the House of Representatives after being
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elected during a special election in May 1999. Waters represented the 191 Legislative
District, which covers portions of Philadelphia County and Delaware County. Prior to his
election to the House of Representatives, Waters was employed by the Philadelphia
Parking Authority.
Tyron B. Ali (“Ali”) was a lobbyist and businessman with dealings in the Philadelphia
area. Ali was a registered lobbyist with the Pennsylvania Department of State from about
April 2008 to 2012, and he was active in Philadelphia political circles during that time
period.
In or about 2010, Ali became an informant for the Pennsylvania Office of Attorney
General. In or about October 2010, Ali began making cash payments to Philadelphia area
Waters, 14-018
Page 9
public officials as part of a sting operation organized by the Pennsylvania Office of
Attorney General.
Waters was one of the public officials who received payments from Ali, who posed
as a lobbyist representing businesses/individuals with interests in Waters’ district. Waters’
relationship with Ali was that Ali would help Waters by giving him money, and Waters
would perform official actions on behalf of Ali in return.
Between October 22, 2010, and April 2012, Ali made nine payments totaling
$8,750.00 to Waters. Ali paid Waters $1,500.00 in 2010, $5,250.00 in 2011, and
$2,000.00 in 2012. The payments were in the form of cash or a money order and were
made at various locations, including Waters’ Philadelphia district office, restaurants in
Harrisburg, Pennsylvania, and an Upper Darby, Pennsylvania, location for Waters’
birthday party.
Ali made the payments to Waters at or about the time they discussed specific
official actions Waters would perform on behalf of Ali and/or his clients. The official
actions that Waters took or promised to take on behalf of Ali included voting “no” on House
Bill 934, setting up and attending a meeting with a Philadelphia Parking Authority
executive, and contacting an elected official to help Ali’s friend obtain a job.
Ali did not identify the payments he made to Waters as campaign contributions.
Waters did not report the payments received from Ali on any campaign finance reports
filed by Waters or on his behalf with the Pennsylvania Department of State, and he kept
the payments for his own personal use. The parties have stipulated that Waters realized a
private pecuniary benefit of $8,750.00 when he accepted the payments from Ali between
October 2010 and April 2012.
In his official capacity as a Member of the House of Representatives, Waters was
required to file an SFI form by May 1 annually containing information for the prior calendar
year. Waters did not disclose on his SFIs for calendar years 2010, 2011, and 2012 the
aforesaid payments he received from Ali during those calendar years. On his SFI for
calendar year 2013, Waters disclosed that he had received transportation, lodging, and
hospitality from various entities, including the Vera Institute of Justice, Black Alliance for
Education Options, and Novartis Pharmaceuticals, but he did not disclose “the amount of
any payment for or reimbursement of actual expenses” for such transportation, lodging and
hospitality as required by Section 1105(b)(7) of the Ethics Act.
Having highlighted the Stipulated Findings and issues before us, we shall now apply
the Ethics Act to determine the proper disposition of this case.
The parties' Consent Agreement sets forth a proposed resolution of the allegations
as follows:
3. The Investigative Division will recommend the following in
relation to the above allegations:
a. That a violation of Section 1103(a) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. §
1103(a), occurred when Ronald G. Waters
utilized the authority of his public office, in his
capacity as a Member of the Pennsylvania
General Assembly, House of Representatives,
st
representing the 191 District, to solicit and/or to
accept items of monetary value, namely cash, for
the sole purpose of realizing a private pecuniary
Waters, 14-018
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benefit, which he would not have otherwise been
offered, but for his public office.
b. That a violation of Section 1103(c) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. §
1103(c), occurred when Ronald G. Waters
utilized the authority of his public office, in his
capacity as a Member of the Pennsylvania
General Assembly, House of Representatives,
st
representing the 191 District, to solicit and/or to
accept items of monetary value, namely cash,
based on the understanding that his action as a
Member of the House of Representatives,
including official action and/or judgment, would
be influenced by receipt of said cash.
c. That a violation of Section 1105(b)(5) of the
Public Official and Employee Ethics Act, 65
Pa.C.S. § 1105(b)(5), occurred when Ronald G.
Waters failed to disclose \[the name and address
of the source of\] cash payments exceeding
$1,300.00 on Statements of Financial Interests
filed for the 2010, 2011 and 2012 calendar
years.
d. That a violation of Section 1105(b)(7) of the
Public Official and Employee Ethics Act, 65
Pa.C.S. § 1105(b)(7), occurred when Ronald G.
Waters failed to disclose the name and address
of the source and the amount of any payment for
or reimbursement of actual expenses for
transportation and lodging or hospitality received
in connection with public office or employment
when such actual expenses for transportation
and lodging or hospitality exceeded $650.00 in
an aggregate amount for the calendar year on a
Statement of Financial Interests filed for the
2013 calendar year.
e. That no violation of Section 1105(b)(6) of the
Public Official and Employee Ethics Act, 65
Pa.C.S. § 1105(b)(6), occurred when Ronald G.
Waters failed to disclose as a gift the receipt of
cash payments exceeding $250.00 on
Statements of Financial Interests filed for the
2010, 2011 and 2012 calendar years, as same is
hereby nol prossed.
4. Waters agrees to make payment in the amount of $10,000.00
in settlement of this matter as follows:
a. Waters agrees to make payment of $1,000.00
(representing four (4) years of deficient
Statement of Financial Interests filings) to the
Commonwealth of Pennsylvania, and forwarded
to the Pennsylvania State Ethics Commission
Waters, 14-018
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within thirty (30) days of the issuance of the final
adjudication in this matter.
b. Waters agrees to make payment of $250.00
(which represents a portion of the expenses and
costs incurred by the State Ethics Commission in
the investigation and administrative prosecution
of the instant matter) to the Pennsylvania State
Ethics Commission within thirty (30) days of the
issuance of the final adjudication in this matter.
c. Waters agrees to make payment of $8,750.00 to
the Commonwealth of Pennsylvania. The
payment of the $8,750.00 as ordered by the
State Ethics Commission is concurrent to any
restitution ordered by the Court of Common
Pleas in the matter docketed as: CP-22-CR-
0000519-2015, and is to be paid through the
Court of Common Pleas.
5. Waters agrees to file complete and accurate amended
Statements of Financial Interests with the Pennsylvania House
of Representatives, through the Pennsylvania State Ethics
Commission, for the 2010, 2011, 2012 and 2013 calendar
years within thirty (30) days of the issuance of the final
adjudication in this matter.
6. Waters agrees to not accept any reimbursement,
compensation or other payment from the Pennsylvania House
of Representatives representing a full or partial reimbursement
of the amount paid in settlement of this matter.
7. The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter; and make no
specific recommendations to any law enforcement or other
authority to take action in this matter. Such, however, does
not prohibit the Commission from initiating appropriate
enforcement actions in the event of Respondent's failure to
comply with this agreement or the Commission's order or
cooperating with any other authority who may so choose to
review this matter further.
Consent Agreement, at 1-3.
In considering the Consent Agreement of the parties, we accept the parties’
recommendations for a finding of a violation of Section 1103(a) of the Ethics Act and a
finding of a violation of Section 1103(c) of the Ethics Act.
In or about October 2010, Ali began making cash payments to Philadelphia area
public officials as part of a sting operation organized by the Pennsylvania Office of
Attorney General. Waters was one of the public officials who received payments from Ali,
who posed as a lobbyist representing businesses/individuals with interests in Waters’
district.
Waters’ relationship with Ali was that Ali would help Waters by giving him money,
and Waters would perform official actions on behalf of Ali in return. Between October 22,
2010, and April 2012, Ali made nine payments totaling $8,750.00 to Waters, who kept the
Waters, 14-018
Page 12
payments for his own personal use. Waters took or promised to take various official
actions as a Member of the House of Representatives on behalf of Ali, including voting
“no” on a House Bill, setting up and attending a meeting with a Philadelphia Parking
Authority executive, and contacting an elected official to help Ali’s friend obtain a job. The
parties have stipulated that Waters realized a private pecuniary benefit of $8,750.00 when
he accepted the payments from Ali between October 2010 and April 2012.
Based upon the Stipulated Findings and the Consent Agreement, we hold that
Waters violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he utilized
the authority of his public office in his capacity as a Member of the House of
st
Representatives, representing the 191 Legislative District, to solicit and/or to accept items
of monetary value, namely cash, for the sole purpose of realizing a private pecuniary
benefit, which he would not have otherwise been offered but for his public office.
We further hold that a violation of Section 1103(c) of the Ethics Act, 65 Pa.C.S. §
1103(c), occurred when Waters utilized the authority of his public office in his capacity as
st
a Member of the House of Representatives, representing the 191 Legislative District, to
solicit and/or to accept items of monetary value, namely cash, based on the understanding
that his action as a Member of the House of Representatives, including official action
and/or judgment, would be influenced by receipt of said cash.
As for the allegations regarding Waters’ SFIs, it is clear that Waters failed to
disclose on his SFIs for calendar years 2010, 2011, and 2012 the payments he received
from Ali during those calendar years. Waters further failed to disclose on his SFI for
calendar year 2013 all required information as to transportation, lodging, and hospitality
received during that calendar year.
We hold that a violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. §
1105(b)(5), occurred when Waters failed to disclose the name and address of the source
of cash payments exceeding $1,300.00 on SFIs filed for the 2010, 2011, and 2012
calendar years.
We further hold that a violation of Section 1105(b)(7) of the Ethics Act, 65 Pa.C.S. §
1105(b)(7), occurred when Waters failed to disclose on an SFI filed for the 2013 calendar
year the name and address of the source and the amount of any payment for or
reimbursement of actual expenses for transportation and lodging or hospitality received in
connection with public office or employment when such actual expenses for transportation
and lodging or hospitality exceeded $650.00 in an aggregate amount for the calendar year.
As part of the Consent Agreement, Waters has agreed to make payment in the
amount of $10,000.00 payable as follows: (1) $1,000.00 representing four years of
deficient SFI filings, payable to the Commonwealth of Pennsylvania and forwarded to this
Commission within thirty (30) days of the issuance of the final adjudication in this matter;
(2) $250.00 representing a portion of the expenses and costs incurred by this Commission
in the investigation and administrative prosecution of the instant matter, payable to the
Pennsylvania State Ethics Commission within thirty (30) days of the issuance of the final
adjudication in this matter; and (3) $8,750.00 payable to the Commonwealth of
Pennsylvania, through the Court of Common Pleas, with such restitution concurrent to any
restitution ordered by the Court of Common Pleas in the matter docketed as: CP-22-CR-
0000519-2015. We take administrative notice that the parties’ reference to “the Court of
Common Pleas” is to the Dauphin County Court of Common Pleas.
Waters has agreed to not accept any reimbursement, compensation or other
payment from the House of Representatives representing a full or partial reimbursement of
the amount paid in settlement of this matter.
Waters, 14-018
Page 13
Waters has further agreed to file complete and accurate amended SFIs for the
2010, 2011, 2012, and 2013 calendar years with the House of Representatives, through
this Commission, within thirty (30) days of the issuance of the final adjudication in this
matter.
We determine that the Consent Agreement submitted by the parties sets forth a
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, Waters is directed to make
payment in the amount of $10,000.00 payable as follows: (1) $1,000.00 representing four
years of deficient SFI filings, payable to the Commonwealth of Pennsylvania and
th
forwarded to this Commission by no later than the thirtieth (30) day after the mailing date
of this adjudication and Order; (2) $250.00 representing a portion of the expenses and
costs incurred by this Commission in the investigation and administrative prosecution of
the instant matter, payable to the Pennsylvania State Ethics Commission by no later than
th
the thirtieth (30) day after the mailing date of this adjudication and Order; and (3)
$8,750.00 payable to the Commonwealth of Pennsylvania, through the Dauphin County
Court of Common Pleas, with such restitution concurrent to any restitution ordered by the
Dauphin County Court of Common Pleas in the matter docketed as: CP-22-CR-0000519-
2015.
Per the Consent Agreement of the parties, Waters is further directed to not accept
any reimbursement, compensation or other payment from the House of Representatives
representing a full or partial reimbursement of the amount paid in settlement of this matter.
To the extent he has not already done so, Waters is directed to file complete and
accurate amended SFIs for the 2010, 2011, 2012, and 2013 calendar years with the House
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of Representatives, through this Commission, 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 Pennsylvania General Assembly, House of Representatives
(“House of Representatives”), Respondent Ronald G. Waters (“Waters”) was a
public officialsubject to the provisions of the Public Official and Employee Ethics
Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq.
2. Waters violated Section 1103(a) of the Ethics Act, 65 Pa.C.S. § 1103(a), when he
utilized the authority of his public office in his capacity as a Member of the House of
st
Representatives, representing the 191 Legislative District, to solicit and/or to
accept items of monetary value, namely cash, for the sole purpose of realizing a
private pecuniary benefit, which he would not have otherwise been offered but for
his public office.
3. A violation of Section 1103(c) of the Ethics Act, 65 Pa.C.S. § 1103(c), occurred
when Waters utilized the authority of his public office in his capacity as a Member of
st
the House of Representatives, representing the 191 Legislative District, to solicit
and/or to accept items of monetary value, namely cash, based on the understanding
that his action as a Member of the House of Representatives, including official
action and/or judgment, would be influenced by receipt of said cash.
Waters, 14-018
Page 14
4. A violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. § 1105(b)(5),
occurred when Waters failed to disclose the name and address of the source of
cash payments exceeding $1,300.00 on Statements of Financial Interests filed for
the 2010, 2011, and 2012 calendar years.
5. A violation of Section 1105(b)(7) of the Ethics Act, 65 Pa.C.S. § 1105(b)(7),
occurred when Waters failed to disclose on a Statement of Financial Interests filed
for the 2013 calendar year the name and address of the source and the amount of
any payment for or reimbursement of actual expenses for transportation and lodging
or hospitality received in connection with public office or employment when such
actual expenses for transportation and lodging or hospitality exceeded $650.00 in
an aggregate amount for the calendar year.
In Re: Ronald G. Waters, : File Docket: 14-018
Respondent : Date Decided: 10/6/15
: Date Mailed: 10/19/15
ORDER NO. 1683
1. Ronald G. Waters (“Waters”) violated Section 1103(a) of the Public Official and
Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1103(a), when he utilized the
authority of his public office in his capacity as a Member of the Pennsylvania
General Assembly, House of Representatives (“House of Representatives”),
st
representing the 191 Legislative District, to solicit and/or to accept items of
monetary value, namely cash, for the sole purpose of realizing a private pecuniary
benefit, which he would not have otherwise been offered but for his public office.
2. A violation of Section 1103(c) of the Ethics Act, 65 Pa.C.S. § 1103(c), occurred
when Waters utilized the authority of his public office in his capacity as a Member of
st
the House of Representatives, representing the 191 Legislative District, to solicit
and/or to accept items of monetary value, namely cash, based on the understanding
that his action as a Member of the House of Representatives, including official
action and/or judgment, would be influenced by receipt of said cash.
3. A violation of Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. § 1105(b)(5),
occurred when Waters failed to disclose the name and address of the source of
cash payments exceeding $1,300.00 on Statements of Financial Interests filed for
the 2010, 2011, and 2012 calendar years.
4. A violation of Section 1105(b)(7) of the Ethics Act, 65 Pa.C.S. § 1105(b)(7),
occurred when Waters failed to disclose on a Statement of Financial Interests filed
for the 2013 calendar year the name and address of the source and the amount of
any payment for or reimbursement of actual expenses for transportation and lodging
or hospitality received in connection with public office or employment when such
actual expenses for transportation and lodging or hospitality exceeded $650.00 in
an aggregate amount for the calendar year.
5. Per the Consent Agreement of the parties, Waters is directed to make payment in
the amount of $10,000.00 payable as follows: (1) $1,000.00 representing four years
of deficient Statement of Financial Interests filings, payable to the Commonwealth
of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no
th
later than the thirtieth (30) day after the mailing date of this Order; (2) $250.00
representing a portion of the expenses and costs incurred by the Pennsylvania
State Ethics Commission in the investigation and administrative prosecution of the
instant matter, payable to the Pennsylvania State Ethics Commission by no later
th
than the thirtieth (30) day after the mailing date of this Order; and (3) $8,750.00
payable to the Commonwealth of Pennsylvania, through the Dauphin County Court
of Common Pleas, with such restitution concurrent to any restitution ordered by the
Dauphin County Court of Common Pleas in the matter docketed as: CP-22-CR-
0000519-2015.
6. Per the Consent Agreement of the parties, Waters is further directed to not accept
any reimbursement, compensation or other payment from the House of
Waters, 14-018
Page 16
Representatives representing a full or partial reimbursement of the amount paid in
settlement of this matter.
7. To the extent he has not already done so, Waters is directed to file complete and
accurate amended Statements of Financial Interests for the 2010, 2011, 2012, and
2013 calendar years with the House of Representatives, through the Pennsylvania
th
State Ethics Commission, by no later than the thirtieth (30) day after the mailing
date of this Order.
8. Compliance with paragraphs 5, 6, and 7 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,
___________________________
Nicholas A. Colafella, Chair