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HomeMy WebLinkAbout1739 StaibPHONE: 717 - 783 -1610 TOLL FREE: 1 -800- 932 -0936 In Re: Richard Staib, Respondent `'. L yu YW STATE ETHICS COMMISSION FINANCE BUILDING 613 NORTH STREET, ROOM 309 HARRISBURG, PA 17120 -0400 File Docket: X -ref: Date Decided Date Mailed: FACSIMILE: 717 -787 -0806 WEBSITE: wy w.ethics.pa.gov 17 -037 Order No. 1739 10/23/18 10/31/18 Before: Nicholas A. Colafella, Chair Mark R. Corrigan, Vice Chair Roger Nick Melanie DePalma Monique Myatt Galloway Michael A. Schwartz Shelley Y. Simms 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 she ., 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 Richard Staib, a public official /public employee in his capacity as a Supervisor for Armstrong Township, Lycoming County, violated Sections 1104(x), 1104(d), and 1105(a) of the State Ethics Act when he failed to timely file Statement of Financial Interests forms for the 2013, 2014, 2015, and 2016 calendar years; and when he subsequently filed backdated calendar year 2015 and 2016 forms to give the impression that the forms were timely filed. H. FINDINGS: 1. Richard Staib (also referred to herein as "Respondent," "Respondent Staib," and "Staib ") has served as a Supervisor for Armstrong Township (the "Township "), Lycoming County, Pennsylvania, since about January 2014. 2. The Township Board of Supervisors is a three- Member Board that is charged with general governance of the Township and corporate powers of the Township. 3. Cheryl Kurtz ( "Kurtz ") has served as the Secretary for the Township since October of 2014. a. Kurtz serves as the custodian of all Township records, including Statements of Financial Interests. Staib, 17 -037 i e2 b. Statements of Financial Interests for the Township are maintained at the Township Municipal Building. 4. Statement of Financial Interests forms are required to be annually filed by all elected and appointed public officials of the Commonwealth. a. The forms are required to be filed by no later than May 1 st of each year that a public official holds public office. b. The Statement of Financial Interests form requires filers to report specified financial information pertaining to the preceding calendar year. 5. The Pennsylvania State Ethics Commission annually contracts the printing of blank Statement of Financial Interests forms. a. Orders for forms are generally placed with the printing company in December of each year. b. The ordered forms are received by the Administrative Division of the State Ethics Commission in December, prior to January 1st of the filing year. C. Forms are then bulk mailed to municipalities within the Commonwealth of Pennsylvania. 6. Pursuant to the procedure outlined above, Statement of Financial Interests forms were mailed annually to the Township by the Administrative Division of the State Ethics Commission. 7. Each year that forms are printed, a revision number is listed in the upper left -hand corner of the form. a. Forms printed in 2013 contained an identification number of SEC -1, REV. 1114, while forms printed in 2014, 2015 and 2016 contained identification numbers of SEC -1, REV. 01115, SEC -1, REV. 01116; and SECA, REV. 01117 respectively. b. The revision number [REV.] would correspond with the year in which the filing was to take place. For example, form REV. 01117 was to be filed in year 2017. 8. Cheryl Kurtz, Township Secretary, is responsible for the distribution of Statement of Financial Interests forms to Township public officials and employees who are required to file the Statement of Financial Interests. a. Kurtz provides blank Statement of Financial Interests forms to all Township officials, including Respondent, Supervisor Richard Staib, in or around January of each year. b. Kurtz attempts to obtain time compliance from all public officials in the Township, including the Board of Supervisors, concerning the filing of individual Statement of Financial Interests forms. 9. Richard Staib, in his capacity as Township Supervisor, is annually required to file a Interests Statement of Financial form by May 1 st, with information pertaining to the prior calendar year. 10. Staib, as a Township Supervisor, has been provided with blank Statement of Staib, 17 -037 3 Financial Interests forms each year for completion. a. Kurtz provided Staib with forms to be completed in calendar years 2015, 2016, and 2017. 11. On or about November 8, 2017, Township Secretary Kurtz was contacted by a State Ethics Commission Investigator for the purpose of arranging a compliance review of Statement of Financial Interests forms on file with the Township. a. Kurtz made all Statements of Financial Interests then filed with the Township available for review by Commission staff on November 9, 2017. b. While retrieving the Statements of Financial Interests for review from Township files, Kurtz determined that no forms were on file for Supervisor Staib concerning the 2013, 2014, 2015, and 2016 calendar years. 12. On or about November 8, 2017, Kurtz contacted Staib to inform him that Township files did not contain Statement of Financial Interests forms for the 2015 and 2016 calendar years. a. Staib informed Kurtz that he would complete Statement of Financial Interests forms for the 2015 and 2016 calendar years and submit them for inclusion in the compliance review. b. Kurtz did not inform Staib that calendar year 2013 and 2014 forms were not filed. C. Staib did not submit a 2013 or 2014 Statement of Financial Interests form for inclusion in the compliance review. 13. On November 9, 2017, a Statement of Financial Interests compliance review was conducted at the Township Municipal Building by a State Ethics Commission Investigator. a. The purpose of the compliance review was to review the Statement of Financial Interests forms that were completed and on file for all Township officials /employees required to file and determine if there were any public officials and employees who had not filed. b. Three (3) Statement of Financial Interests forms filed by Staib were located in Township records during the compliance review. C. These filings included: two (2) filings for calendar year 2012, dated March 11, 2013, and June 6, 2013; and a fifing dated May 13, 2017, on form SEC -1 REV. 01117, with no calendar year listed. 14. On or about November 17, 2017, Township Secretary Cheryl Kurtz provided two (2) additional Statement of Financial Interests forms for Supervisor Richard Staib via email to a Commission Investigator. a. These were the forms submitted by Staib on November 14, 2017. b. These forms were not included in the file that was provided on November 9, 2017, at the time of the compliance review conducted at the Township Municipal Building. C. Secretary Kurtz's email falsely stated "attached you will find the 2015 & 2016 [Statements of Financial Interests] from Richard Staib that were in a different Staib, 17 -037 '4 file folder. However, I did not find any other Statements for any other employees." 1. Kurtz's email was false as to the Statement of Financial Interests filings for Richard Staib being in a different file folder. d. Secretary Kurtz also included a letter certifying that she had submitted the Statements of Financial Interests that were on fife with the Township for calendar years 2013 through 2016. 15. A review by Commission staff of the 2015 and 2016 calendar year Statements of Financial Interests provided on or about November 17, 2017, as filed by Richard Staib in his capacity as a Township Supervisor, confirmed that Staib's forms were backdated as indicated below: Calendar Year 2015 2016 Purported Date of Completion SEC Form Used 03/12/2015 SECA REV. 01117 02/01/2016 SECA REV. 01117 a. Staib's 2015 and 2016 Statement of Financial Interests forms contained dates of executionlcompletion which were factually impossible, as SEC -1, REV. 01/17 was not printed /distributed until December 2016. b. It was impossible for Staib to have completed these forms on the dates purported (as signed) as the forms had not yet then been distributed. C. Staib backdated the Statement of Financial Interests forms for the 2015 and 2016 calendar years to give the impression that the forms were timely filed. 16. Sometime between November 14, 2017, and November 17, 2017, Staib completed calendar year 2015 and 2016 Statement of Financial Interests forms and arbitrarily selected and affixed a date of when he believed the forms should have been completed. a. Staib completed the forms after being advised by Secretary Kurtz that he was missing Statement of Financial Interests forms for the 2015 and 2016 calendar years. b. Staib brought the completed Statement of Financial Interests forms for 2015 and 2016 to Secretary Kurtz's residence on or around November 17, 2017.... C. Staib directed Secretary Kurtz to submit the forms to the State Ethics Commission to be included as part of the compliance review for the Township. 17. On November 21, 2017, Secretary Kurtz provided a taped interview statement to a State Ethics Commission Investigator. a. During that toped interview, Kurtz provided the following facts about Staib's failure to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years: 1. Kurtz informed Staib that the forms were missing from Township files on or about November 8, 2017. 2. Staib picked up blank Statement of Financial Interests forms used for the filings from Kurtz, at the Township Building, on November 14, Staab, 17 -037 5 2017. Staib completed the forms and returned them to Kurtz, at her residence, sometime between November 14, 2017, and November 17. 2017. 18. Kurtz's November 17, 2017, email to the State Ethics Commission contained false and misleading information regarding Staib's Statement of Financial Interests forms for the 2015 and 2016 calendar years. a. Kurtz indicated in the email that she had found the forms in another folder, creating the appearance of timely filings which were misplaced. b. Kurtz admitted in her November 21, 2017, taped interview statement that the forms were actually filled out by Staib between November 14, 2017, and November 17. 2017. 19. Staib provided a sworn interview statement to a State Ethics Commission Investigator on November 21, 2017. a. During the sworn interview, Staib admitted that he backdated his Statement of Financial Interests forms for calendar years 2015 and 2016 after Secretary Kurtz advised him that they were not on file with the Township. 20. Staib's backdated filings for the 2015 and 2016 calendar years created the impression that he was complying with the filing requirements of the law. III. DISCUSSION; Asa Supervisor for Armstrong Township (the "Township" ), Lycoming County, Pennsylvania, since about January 2014, Respondent Richard Qib, also referred to herein as "Respondent," "Respondent Staib," and "Staab," has been a public official /public employee subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act'), 65 Pa.C.S. § 1101 et seq. The allegations are that Respondent Staib violated Sections 1104(a), 1104(d), and 1105(a) of the Ethics Act when he failed to timely file Statement of Financial Interests forms for the 2013, 2014, 2015, and 2016 calendar years; and when he subsequently filed backdated calendar year 2015 and 2016 forms to give the impression that the forms were timely filed. Section 1104(a) of the Ethics Act provides that each public official /public employee must file a Statement of Financial Interests for the preceding calendar year, each year that he holds the position and the year after he leaves it. Section 1104(d) of the Ethics Act provides that no public official shall be allowed to take the oath of office, or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed a Statement of Financial Interests as required by the Ethics Act. Section 1105(a) of the Ethics Act provides that the Statement of Financial Interests shall be filed on the form prescribed by this Commission; that all information requested on the form shall be provided to the best of the knowledge, information and belief of the filer; and that the form shall be signed under oath or equivalent affirmation. 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. Staib, 17 -037 6 Respondent Staib has served as a Township Supervisor since about January 2014. As a Township Supervisor, Staib is required to file a Statement of Financial Interests each year by May 'I Each year this Commission contracts the printing of blank Statement of Financial Interests forms. Each year the printed forms bear a revision number that enables this Commission to determine when the forms were printed. Each year the Administrative Division of this Commission receives the printed forms from the printer in December, prior to January 1 of the filing year. Forms are then bulk mailed to municipalities within the Commonwealth of Pennsylvania. Township Secretary Cheryl Kurtz ( "Kurtz ") serves as the custodian of all Township records, including Statements of Financial Interests. On or about November 8, 2017, a State Ethics Commission Investigator contacted Kurtz to arrange a compliance review of Statement of Financial Interests forms on file with the Township. While retrieving the forms for review from Township files, Kurtz determined that there were no Statements of Financial Interests on file for Staib concerning the 2013, 2014, 2015, and 2016 calendar years. On or about November 8, 2017, Kurtz informed Staib that Township files did not contain Statement of Financial Interests forms for the 2015 and 2016 calendar years. Kurtz did not inform Staib that the Township files also did not contain Statements of Financial Interests for calendar years 2013 and 2014. Staib informed Kurtz that he would complete Statement of Financial Interests forms forthe 2015 and 2016 calendar years and submit them for inclusion in the compliance review. On November 9, 2017, a State Ethics Commission Investigator conducted a Statement of Financial Interests compliance review at the Township Municipal Building. During the compliance review, three Statement of Financial Interests forms filed by Staib were located in Township records. These filings included two forms for calendar year 2012 and a form dated May 13, 2017, that did not list a calendar year. Between November 14, 2017, and November 17, 2017, Staib completed and provided to Kurtz two Statements of Financial Interests for calendar years 2015 and 2016, which Staib backdated March 12, 2015, and February 1, 2016, respectively. Staib backdated these forms to give the impression that the forms were timely filed. Staib directed Kurtz to submit these backdated forms to the Commission to be included as part of the compliance review for the Township. Staib did not submit a 2013 or2014 Statement of Financial Interests form for inclusion in the compliance review. On or about November 17, 2017, Kurtz provided to a State Ethics Commission Investigator the aforesaid two backdated Statement of Financial Interests forms that Staib had submitted to Kurtz, indicating that the forms had been "in a different file folder." Fact Finding 14 c. 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 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), occurred when, as a Township Supervisor for Armstrong Township, Lycoming Staib, 17 -037 7 County, Richard Staib failed to timely file Statement of Financial Interests forms for the 2013, 2014, 2015, and 2016 calendar years. That a violation of Section 1105(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1105(a), occurred when, as a Township Supervisor for Armstrong Township, Lycoming County, Richard Staib failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years, and subsequently backdated those filings, to give the impression that the forms were timely filed. C. That no action betaken pursuant to 65 Pa.C.S. § 1104(d). 4. Staib agrees to make payment in the amount of $500.00 in settlement of this matter, payable to the Commonwealth of Pennsylvania, and forwarded to the Pennsylvania State Ethics Commission within thirty (30) days of the issuance of the final adjudication in this matter. 5. To the extent Staib has not already done so, Staib agrees to file complete and accurate amended Statements of Financial Interests with Armstrong Township, through the Pennsylvania State Ethics Commission, for calendar years 2013, 2014, 2015 and 2016 within thirty (30) days of the issuance of the final adjudication in this matter. 6. Staib agrees to not accept any reimbursement, compensation or other payment from Armstrong Township 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 -2. In considering the Consent Agreement, we agree with the parties and we hold that a violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when, as a Township Supervisor, Staib failed to timely file Statement of Financial Interests forms for the 2013, 2014, 2015, and 2016 calendar years. We further agree with the parties and we hold that a violation of Section 11 05(a) of the Ethics Act, 65 Pa.C.S. § 1105(a), occurred when, as a Township Supervisor, Staib failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years and subsequently backdated those filings, to give the impression that the forms were timely filed. Staib, 17 -037 ' 8 Per the Consent Agreement, the parties are in agreement that no action be taken pursuant to 65 Pa.C.S.§ 1104(d). As part of the Consent Agreement, Staib has agreed to make payment in the amount of $500.00 payable to the Commonwealth of Pennsylvania, with such payment forwarded to this Commission within thirty (30) days of the issuance of the final adjudication in this matter. Staib has agreed to not accept any reimbursement, compensation or other ayment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. To the extent he has not already done so, Staib has agreed to file complete and accurate amended Statements of Financial Interests with the Township, through this Commission, for calendar years 2013, 2014, 2015 and 2016 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. Per the Consent Agreement of the parties, Staib is directed to make payment in the amount of $500.00 payable to the Commonwealth of Pennsylvania, with such payment forwarded to this Commission by no later than the thirtieth (30 1h ) day after the mailing date of this adjudication and Order. Per the Consent Agreement of the parties, Staib is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid in settlement of this matter. To the extent he has not already done so, Staib is directed to file complete and accurate amended Statements of Financial Interests for calendar years 2013, 2014, 2015, and 2016 with the Township, through this Commission, by no later than the thirtieth (30th) 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 Supervisor for Armstrong Township (the "Township "), Lycoming County, Pennsylvania, since about ,January 2014, Respondent Richard Staib ( "Staib" has been a public official /public employee subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et sew. 2. Staib violated Section 1104(a ) of the Ethics Act, 65 Pa.C.S. § 1104(a), when, as a Township Supervisor, Staib failed to timely file Statement of Financial Interests forms for the 2013, 2014, 2015, and 2016 calendar years. 3. A violation of Section 1105(a) of the Ethics Act, 65 Pa.C.S. § 1105(a), occurred when, as a Township Supervisor, Staib failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years and subsequently backdated those filings, to give the impression that the forms were timely filed. In Re: Richard Staib, File Docket: 17 -037 Respondent Date Decided: 10/23/18 Date Mailed: 10131118 IV 1. As a Supervisor for Armstrong Township (the "Township "), Lycoming County, Pennsylvania, Richard Staib ( "Staib ") violated Section 1104(a) of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1104(a), when he failed to timely file Statement of Financial Interests forms for the 2013, 2014, 2015, and 2016 calendar years. 2. A violation of Section 1105(a) of the Ethics Act, 65 Pa.C.S. § 1105(a), occurred when, as a Township Supervisor, Staib failed to timely file Statement of Financial Interests forms for the 2015 and 2016 calendar years and subsequently backdated those filings, to give the impression that the forms were timely filed. 3. Per the Consent Agreement of the parties, Staib is directed to make payment in the amount of $500.00 payable to the Commonwealth of Pennsylvania, with such payment forwarded to the Pennsylvania State Ethics Commission by no later than the thirtieth (30th) day after the mailing date of this Order. 4. Per the Consent Agreement of the parties, Staib is further directed to not accept any reimbursement, compensation or other payment from the Township representing a full or partial reimbursement of the amount paid to settlement of this matter. 5. To the extent he has not already done so, Staib is directed to file complete and accurate amended Statements of Financial Interests for calendar years 2013, 2014, 2015, and 2016 with the Township, through this Commission, by no later than the thirtieth (30th) day after the mailing date of this Order. 6. Compliance with paragraphs 3, 4, and 5 of this Order will result in the closing of this case with no further action by this Commission. Non - compliance will result in the institution of an order enforcement action. BY THE COMMISSION, f