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Home My WebLink About1770 RalstonPHONE: 717-783-1610 TOLL FREE: 1-800-932-0936 In Re: Joseph Ralston, Respondent 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: www.ethics.pa.gov 18-015 Order No. 1770 6/22/20 6/24/20 Before: Nicholas A. Calafella, Chair Mark R. Corrigan, Vice Chair Roger Nick Melanie DePalma 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 seg., by the above -named Respondent. At the commencement of its investigation, the Investigative Division served upon Respondent written notice of the specific allegations. Upon completion of its investigation, the Investigative Division issued and served upon Respondent a Findings Report identified as an Investigative Complaint." An Answer was flied and a hearing was requested. 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. ALLEGATIONS: That Joseph Ralston, a public official/pubiic employee in his capacity as a Supervisory Narcotics Agent/Narcotics Agent III with the Pennsylvania Office of Attorney General, violated Sections 1105{b)(5), 1105�b)(7), and 1105(b)(8) of the State Ethics Act �tatements Act93of1998),65Pa.C.S.§§ lI 105(b)(5), 105(b)(7),and 1i 105(b)(8), by filing deficient of Financial Interests when a failed to disclose all direct or indirect sources of income in excess of $1,300,00, namely income received from the International Brotherhood of Electrical Workers, Local 98 during calendar year 2012; income received from Elite Intelligence and Protection Group, Ltd. during calendar years) 2013, 2014, 2015, and 2016; and Income received from the Pennsylvania Office of A{torney General during calendar year 2017; when he failed to disclose the receipt, source, and value of travel, hospitality, and/or lodging, namely the receipt of tickets to Philadelphia Phillies sporting events in both calendar years 2015 and 2016, provided by the International Brotherhood of Electrical Workers, Local 98; and when he failed to identify his office, directorship or employment in any business, namely his employment as a professional Security Consultant, for calendar years 2012, 2013, 2014, 2015 and 2016. II. FINDINGS: Joseph Ralston (also referred to herein as "Respondent," "Respondent Ralston," and `Ralston") was employed by the Pennsylvania Office of Attorney General ("OAG"), Bureau of Narcotics Investigation and Drug Control, from May 1998 until June 23, 2017. Ralston, 18-015 sage a. Ralston served as a Narcotics Agent III/Supervisory Narcotics Agent from May 2007 until June 23, 2017. b. From 1998 until May 2007, Ralston served as a Narcotics Agent. 2. Prior to working with the OAG, Ralston was employed as a police officer for the City of Philadelphia from 1990 until 1998. 3. While employed with the OAG, Bureau of Narcotics Investigation and Drug Control, Ralston was assigned to the Philadelphia Regional Office. 4. Ralston's job description as a Narcotics Agent III included, in pertinent part: a. First level supervisory criminal investigative work of a highly confidential nature performed by agents of the Bureau of Narcotics Investigation and Drug Control, OAG. b. Conducts criminal investigations and supervises agents engaged in the detection, initiation, and development of cases by assigning and reviewing work. C. The employee may serve as the head of a subordinate district office. d. Supervision received from a Narcotics Agent IV and work is evaluated through conferences and the review of reports to ensure effectiveness and compliance with established policies and procedures. 5. As a Narcotics Agent III (Supervisory Narcotics Agent) Ralston's job duties were, in pertinent part, as follows: a. Serves as the head of a subordinate district office. b. Supervising subordinate agents engaged in the detection, initiation, and development of cases involving violations of the Controlled Substance, Drug, Device and Cosmetic Act, as well as other applicable laws and statutes by assigning cases and reviewing work. C. Supervises the preparation of criminal complaint and arrest warrants. d. Coordinates and maintains liaison at the supervisory level with local, state, and federal law enforcement agencies. e. Evaluates and rates employee performance. f. Responds to complaints and grievances of subordinate agents. g. Manages employee attendance by authorizing leave. h. Recommends favorable or adverse personnel actions. 6. As a Narcotics Agent III/Supervisory Narcotics Agent, Ralston has been a "public official/public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102. 7. Ralston, as a public official/public employee, is subject to the Statement of Financial Interests filing provisions of the State Ethics Act. Ralston, 18-015 a� 8. As an employee of OAG, Ralston was subject to Directive 202, Code of Conduct for the OAG, Criminal Law Division, Criminal Investigations. a. Date of issue of Directive 202 was August 1, 2012, effective date was October 1, 2012. 9. The Code of Conduct addressed "Unbecoming Conduct and Outside Employment" as follows: a. Unbecoming Conduct All personnel employed by the Office of Attorney General shall conduct themselves in a manner that will reflect favorably on the agency, to the public and the law enforcement community overall. Any conduct that may decimate respect and/or reflect unfavorably on the integrity of the Agency or the individual employee shall be considered UNBECOMING CONDUCT. b. Outside Employment Members shall be required to receive prior approval from Headquarters to engage in any outside employment. Outside employment must conform with the Office of Attorney General Administrative Policy Manual. 10. The OAG had an Administrative Policy on the Appropriate Use of Computer Resources. a. The effective date of this policy was November 1, 2006. b. The purpose was to establish policy and procedures governing the proper use of computer equipment, systems, peripheral devices, electronic mail (e- mail), instant messaging and Internet access within the OAG. 11. Section IV of the Administrative Policy on the Appropriate Use of Computer Resources addressed Prohibited Communications in part, as follows: a. The following are examples of prohibited uses of the OAG's information technology systems. This list is by way of example and is not intended to be exhaustive or inclusive. Communicating, accessing, viewing, downloading or storing materials on OAG resources which falls into any of the following categories is prohibited: • Business activities unrelated to OAG business or activities directed at personal gain. • Material that is illegal or prohibited in other ways, including violations of state or federal law or OAG rules of conduct. • Promoting any unethical behavior of activities that would bring discredit on the OAG. • Any other use that is deemed inappropriate by the OAG and is communicated as such to authorized users. 12. Ralston, as a Narcotics Agent III/Supervisory Narcotics Agent of OAG, was subject to the Standards of Conduct for OAG employees. Ralston, 18-015 Page 4� a. Ralston executed a Standards of Conduct Questionnaire on January 20, 2014, acknowledging his understanding and the personal responsibilities they represent. 13. Ralston checked "YES" that he understood the Standards of Conduct Questionnaire for the following areas and OAG employee: a. Abuse of Official Position 1. You shall not use your official credentials or position or allow others to use your political credentials or position, for personal or financial gain. 2. You shall not engage directly or indirectly in any business transaction or private arrangement for profit which arises from or is based upon your official position or authority. 3. You shall not solicit or otherwise engage in personal business transactions which use or give the appearance of using Commonwealth equipment, supplies or property or for officially designated purposes. b. Use of Commonwealth Property You shall not use Commonwealth equipment, supplies or property for private gain or unofficial purposes. 2. You shall not access or utilize any information obtained from criminal databases for your personal use or the gain of others. c. Outside or Supplemental Employment/Appearances 1. You shall not engage in any outside or supplemental employment without first submitting a request for employment and receiving the required approval in accordance with the procedures set forth in the Administrative Manual Outside or Supplemental Employment Policy. 2. You shall not engage in any outside employment which creates an actual or apparent conflict of interest, reflects adversely upon the OAG, or interferes with your availability to perform your duties competently. 3. You shall not engage in the misuse of office space, state vehicles, state furnished transportation or any other Commonwealth resources. THE FOLLOWING FINDINGS RELATE TO RALSTON RECEIVING A SUSPENSION FOR NOT SEEKING AND/OR OBTAINING APPROVAL FOR SUPPLEMENTAL EMPLOYMENT. 14. Chickie's and Pete's Sports Bar & Crab House is a chain of restaurants in the Philadelphia and South Jersey area. a. The first restaurant opened in or around 1977. 15. In or around 2007, Ralston was employed with OAG as a Narcotics Agent 11. Ralston, 18-015 Page 5 16. In or around 2007, Ralston was performing supplemental employment that included security work for Chickie's and Pete's Sports Bar & Crab House Restaurant in the Philadelphia area. 17. Ralston never submitted a supplemental employment request consistent with OAG policy, to work at Chickie's and Pete's Sports Bar & Crab House Restaurant. 18. On or around September 14, 2007, Ralston received a letter from Richard Sheetz, then Executive Deputy Attorney General for the Criminal Law Division for OAG, that, in part, contained the following: This is official confirmation of your suspension without pay from your Narcotics Agent II position with the Bureau of Narcotics Investigation and Drug Control for a period of three working days effective Wednesday, September 12, 2007, through Friday, September 14, 2007. You are to return to work on Monday, September 17, 2007. This disciplinary suspension is the result of your inappropriate conduct regarding your unauthorized outside employment at Chickie's and Pete's Crab House and Sports Bar. This is unacceptable behavior for a law enforcement agent of this Office and cannot be tolerated. Should your behavior continue in this manner in the future, your employment will be terminated. THE FOLLOWING FINDINGS RELATE TO RALSTON'S SUPPLEMENTAL EMPLOYMENT WITH ELITE INTELLIGENCE AND PROTECTION GROUP, LTD. 19. Elite Intelligence and Protection Group, Ltd ("Elite Intelligence and Protection") was first established by Louis Palumbo ("Palumbo") approximately 30 years ago. a. Palumbo is a retired law enforcement officer from Nassau County, New York. 20. Elite Intelligence and Protection was first incorporated in the state of New York in or around 2008. 21. Elite Intelligence and Protection is comprised of active and former law enforcement agents employed on federal, state, and local levels. 22. Ralston first began working for Elite Intelligence and Protection in or around 2013. a. The duties performed by Ralston included physical and personal security. b. Ralston served as an independent contractor/Professional Security Consultant. 23. Ralston never sought or received approval for outside or supplemental employment from the OAG while employed by Elite Intelligence and Protection. 24. Ralston received payments from Elite Intelligence and Protection beginning in or about January 2013 and continuing until February 2016. 25. Payments made to Ralston by Elite Intelligence and Protection were deposited into Ralston's Convenience Checking Account at TD Bank. Ralston, 18-015 a�g- 26. Ralston received the following total amounts from Elite Intelligence and Protection from 2013 through 2016: Year No. of Checks Amount 2013 27 $16, 920.00 2014 40 $18,032.50 2015 30 $11,752.50 2016 4 $2,525.00 a. Each year payments from Elite Intelligence and Protection exceeded the reportable income threshold of $1,300.00. b. Payments received by Ralston from Elite Intelligence and Protection were income, as defined by § 1102 of the Ethics Act. THE FOLLOWING FINDINGS RELATE TO INCOME RALSTON RECEIVED FROM THE INTERNATIONAL BROTHERHOOD OF ELECTRICAL WORKERS LOCAL 98 ("IBEW LOCAL 98"); AND RECEIPT OF TICKETS TO PHILADELPHIA PHILLIES SPORTING EVENTS FROM IBEW LOCAL 98. 27. The International Brotherhood of Electrical Workers ("IBEW') is a labor organization that represents approximately 750,000 workers and retirees across the United States, Canada, Panama, Guam, and several Caribbean nations. a. IBEW mainly consists of electricians and wiremen. b. IBEW maintains multiple local chapters. 28. IBEW Local 98 is a labor organization that has jurisdiction over inside electrical equipment service and electrical manufacturing work in Philadelphia, Pennsylvania, and parts of the surrounding counties. a. IBEW Local 98 was first established in or around 1900. b. IBEW Local 98 has approximately 4,652 members. C. Officers of the Local include John Dougherty, Business Manager, and Brian Burrows, President. 29. Bobby Henon ("Henon") is an electrician by trade and has been a Member of IBEW Local 98 for several years. 30. In or around 1999, Henon became the Political Director of IBEW Local 98. a. Henon lobbied various levels of government on legislative issues pertaining to the electrical industry, managed election day operations for endorsed candidates, educated campaign volunteers, and coordinated major campaign events. 31. In 2011, Henon was elected as a City Council Member for the City of Philadelphia, 6th District. a. Henon first took office as a Council Member with the City of Philadelphia representing the 6th District in January 2012. Ralston, 18-015 a� 32. Henon was aware of Ralston's position as a Supervisory Narcotics Agent with the OAG, and his knowledge and expertise in conducting surveillance, wiretaps, and the monitoring of electrical communication. a. Ralston and Henon are childhood friends. 33. After Henon was elected as a City Council Member, Henon contacted Ralston for a referral for a company to perform electronic listening device (alkla "bug") sweeps at the offices of IBEW Local 98 and Henon's City Council Offices. 34. Ralston, through his position with the OAG and prior employment, worked with law enforcement officers from other state, local, and federal agencies. a. Upon inquiry of other friends in law enforcement, Respondent learned of Frank Cavallaro (also referred to herein as "Cavallaro") and his business. b. Cavallaro is a retired New Jersey State Trooper who conducted electronic surveillance while employed as a New Jersey State Trooper. 35. After Cavallaro retired from the New Jersey State Police, he started a business known as Frank Cavallaro Investigations, Technical and Security Consultants. a. Cavallaro specialized in electronic countermeasures and building security assessments. b. Cavallaro only worked through referrals from those in the law enforcement field. 36. In or about January 2012, Ralston initiated communication with Cavallaro by way of email and telephone regarding Cavallaro conducting Technical Surveillance Counter -Measures ("TSCM'' for IBEW Local 98. 37. Between January 26, 2012, and March 5, 2012, Ralston and Cavallaro exchanged a series of emails regarding TSCM. 38. Ralston used his Commonwealth of Pennsylvania email address and a Commonwealth owned computer to communicate with Cavallaro. a. Ralston's communications occurred during his regular working hours as an employee of the OAG. 39. On February 7th and 81t', 2012, a TCSM Survey took place of the following designated offices/areas by Cavallaro and accompanied by Ralston. a. IBEW Local Union #98,1701 Spring Garden St., Philadelphia, PA 19130 First Floor Conference Room/Adjoining Kitchen Area Lisa's Office John Dougherty's Office/Adjoining Conference Room Ms. Rumba's Office Tara's Office Basement Vault/Conference Room b. Fourth Floor Offices, Philadelphia City Hall Councilman Henon's Office Outer Waiting Room Adjoining Henon's Office Lisa Deeleyy's Office Courtney Voss's Office Council President Darrell L. Clark's Office Suite Ralston, 18-015 a�T M 41. !y6 Darrell L. Clark Secretary's Office Room 497 Room 499 C. 317 Jackson St., Philadelphia, PA Councilman Henon's Office — 2nd Floor Secretary's Office — 2nd floor middle Unknown occupant — 2nd Floor rear Conference Room/office — Basement, rear On October 4, 2012, Cavallaro, accompanied by Ralston, conducted another TCSM Survey at the IBEW facilities at 12 h & Wood Street, Philadelphia, PA. Cavallaro submitted an undated invoice to the attention of Ralston, identified as Confidential Security Services rendered for IBEW Local 98, as follows: 317 Jackson Street One (1) Initial Electronic Room Swee &$1600.00] Three 3) Electronic Room Sweeps a� 0.00 Two 2 Inspections of data Lines &Devices $100.00 Total p @ SDrina Garden Street One ni is ec ronic Room Sweep @ $1600.00 Four (4) Electronic Room Sweeps @ $600.00 Two (2) Electronic Room Sweeps $500.00 Four (4) Inspections of Data Lines & Devices @ $100.00 Total: 12t" and Wood Street One ursory inspection of this location @ $400.00 Administrative expenses: Vehicles 359 miles @ .60 Tolls Total Due $1,600.00 $1,800.00 200.00 3,600. 0 $1,600.00 $2,400.00 $1, 000.00 400.00 5,4 0 $400.00 $215.40 22.27 9,637.67 Ralston submitted an undated Confidential Security Agreement and invoice to MEW Local 98 which included the following: Invoice for Services Rendered Invoice for private security consulting work performed by Technical Surveillance Countermeasures (TSCM), Frank Cavallaro Investigation, and Joseph Ralston. Total ppayment for services rendered, transportation and tolls is $14,790.12. Prompt payment would be appreciated. Joseph Ralston xx xxxxx Street xxxxxxx, xx xxxxx SSN. xxx-xx-xxxx 43. Every labor organization with $250,000,00 or more in total annual receipts, and labor organizations in trusteeship, must use a Form LM-2 Labor Organization Annual Report (LM-2). Ralston, 18-015 aP ge-9- a. LM-2 reports are normally required to be completed by March 31St of the following year. 44. Schedule 18 of the LM-2 Report filed by IBEW Local 98 identified all payments made for General Overhead. a. Schedule 18 of the LM-2 Report filed by IBEW Local 98 for 2012 identified the following payments made to Ralston and Cavallaro: Name Date Type or Classification Amount Joseph Ralston 6/30/2012 Professional Security Consultant $14,790.00 Frank A. Cavallaro 12/18/2012 Security Consultant $9,638.00 45. Ralston's Convenience Checking Account at TD Bank reflected the following deposit being made into his account from IBEW Local 98 for serving as a Security Consultant as follows: Check No. Check Date Check Amount Check Deposited 5730 4/4/2012 $14,790.12 4/5/2012 a. The check issued to Ralston was from IBEW Local 98 Job Recovery Fund at PNC Bank. 46. In 2014, Ralston facilitated another TCSM Survey for IBEW Local 98, with Cavallaro's company, Frank Cavallaro Consultants. 47. On February 19, 2014, emails were exchanged between Cavallaro and Ralston regarding a security sweep set to occur on February 20, 2014. 10:45 a.m. Cavallaro to Ralston Joe, We're set for tomorrow. What is the address of the location we'll be parking at? We will be there by 6 p.m. Frank 10:47 a.m. Ralston to Cavallaro 1709 Spring Garden... down the street from the main office at 1701...we parked there last time, thanks. 10:50 a.m. Cavallaro to Ralston Will you be there, or will we be meeting someone else? 10:49:32 a.m. Ralston to Cavallaro I will meet you there. Ralston, 18-015 Page 1 10:57 a.m. Cavallaro to Ralston Ok. Please make sure they provide us with the ladders necessary to examine above the ceiling tiles. They did so the last time. Thanks. a. Ralston used his Commonwealth email address to send and receive these emails. 48. Emails were again exchanged between Cavallaro and Ralston on March 27, 2014, with the subject matter TSCM. 10:55 a.m. Cavallaro to Ralston Joe, Was wondering if you received the report and invoice I sent to your home email address March 8th . Frank 11:28:13 a.m. Ralston to Cavallaro No I did not...I can stop by there this evening —will you be around ... text me. 12:34 p.m. Cavallaro to Ralston Can I send it to this address? I'm not usually here at night. 12:42 p.m. Ralston to Cavallaro The subject matter was TSCM, but no content. a. Ralston utilized his Commonwealth email address to send and receive these messages. 49. On Tuesday, April 15, 2014, Ralston forwarded the March 27, 2014, email sent to him by Cavallaro to Henon at the email address [email address redacted] with the subject matter TSCM, that identified attachments as follows: a. Joe Ralston Invoice 3-7-2014.doc; IBEW Report 3-07-2014.doc. 1. The email was sent by Ralston from a blackberry smartphone on the Verizon Wireless 4G LTE network. 50. On March 7, 2014, Cavallaro completed a report of a TSCM Survey of IBEW Local 98 as requested by Ralston, conducted at IBEW Local 98 offices at 1701 and 1709 Spring Garden Street, Philadelphia, PA 19130. a. Cavallaro, accompanied by Ralston, completed an evaluation of oral and telephonic communications, in order to identify agy actual listening or video devices and/or hazards, for the purpose of providing recommendations to Ralston 18-015 age i enhance the overall technical and physical security of the location(s) being examined. 51. Cavallaro's report, in part, identified areas and individuals from IBEW Local 98 that were checked as part of the TSCM Survey. 52. Cavallaro issued an invoice dated March 7, 2014, for the work completed for IBEW Local 98, to the attention of Ralston, listing the confidential security services rendered as follows: Services Rendered Total Cost One (1) Initial Electronic Sweep at $1,500.00 ,500.00 Four 4Electronic Room Sweeps at $500.00 $2,000.00 Five 5 Electronic Room Sweeps at $400.00 $2,000.00 Seven (7) Electronic Room Sweeps at $300.00 $2,100.00 Fifteen 15Inspections of Data Lines/Devices at $50.00 750.00 Two 2) Vehicle Inspections at $300.00 $600.00 Administrative Expenses Vehicle Mileage 24Miles) at $0.60 $74.80 Train Ticket 54.00 Meals $34.25 Tolls 5.00 Jotall Due for Services Rendered 9, 8.05 53. On May 14, 2014, Ralston forwarded to the email address of [email address redacted] attachments Joe Ralston Invoice 3-7-2014.doc; IBEW report-3-07- 2014.doc, which included the following message: Sorry any questions you can contact me at xxx-xxx-xxxx, Joseph Ralston a. The email address of [email address redacted] was for Pasquale Binaculli, in house Legal Counsel for IBEW Local 98. b. The cell phone number of xxx-xxx-xxxx was an OAG issued cell phone. C. Also included was Cavallaro's email of March 7, 2014. 54. Schedule 18 of the LM-2 Report filed by IBEW Local 98 for 2014 identified the following payment made to Cavallaro for the March 7, 2014, invoice submitted to Ralston. Name Date Type or Classification Amount Frank A. Cavallaro Investigations 5/14/2014 Business Security Systems $9,118.00 Security Services 55. In 2015 and 2016, IBEW Local 98 maintained a Suite License Agreements for Partial Use with the Philadelphia Phillies. a. Ralston was provided multiple tickets to attend Phillies games at the Suite paid for by IBEW Local 98 in 2015 and 2016. Ralston, 18-015 aF _geT2 b. Ralston offered and provided tickets to Phillies games to subordinate employees at OAG, that were provided to him by Henon and/or IBEW Local 98. C. Subordinate employees of OAG who attended the Phillies games as Ralston guests were unaware of who provided/paid for the tickets. d. The Investigative Division is unable to determine that Respondent received the tickets from Henon/IBEW in connection to Respondent's public position. THE FOLLOWING FINDINGS RELATE TO COMPENSATION RALSTON RECEIVED FROM THE COMMONWEALTH OF PENNSYLVANIA IN 2017 FROM HIS POSITION AS A SUPERVISORY NARCOTICS AGENT WITH OAG. 56. Ralston's W-2 Wage and Tax Statements from the Commonwealth of Pennsylvania confirm compensation of more than $70,000.00 he received as a Supervisory Narcotics Agent with OAG. 57. On May 18, 2017, a pre -disciplinary conference by OAG officials with Ralston was held to discuss allegations that Ralston was in violation of Criminal Law Division, Criminal Investigations Operational Manual Sections 202.5, Unbecoming Conduct, and 202.38 Outside Employment. a. Those present included Ralston, Philadelphia regional Director Isaac Caraway, AFSME District Council 88 Local 2244 Representative Ed Sadusky, and OAG Labor Relations Coordinator Ericka Nale. 58. Following the pre -disciplinary conference, Ericka Nale prepared a memo to Nicole Kreiser, OAG Director of Human Resources, dated May 18, 2017, that provided in part: a. Ralston acknowledged his awareness of the supplemental employment rules for OAG, and he was supposed to report it and seek approval. b. Ralston denied being aware at the time but was now aware that it was prohibited to use Commonwealth property for the purpose of advancing his own economic interest, including supplemental employment. C. Ralston acknowledged that he previously received a three-day suspension in 2007 regarding prior unauthorized outside employment. d. Ralston acknowledged having supplemental employment in one form or another over the course of several years. e. Ralston acknowledged emailing an invoice and report to ibew98.org for services performed on March 7, 2014. Ralston was responding to his friend, Bobby Henon, who was elected to City Council. g. Henon had contacted Ralston about conducting sweeps of offices for bugs/devices. h. Ralston knew Frank Cavallaro and asked Cavallaro to email him the reports and invoices. Ralston agreed that he utilized OAG computer resources, email account, and cellphone for supplemental employment. Ralston, 18-015 a� g T3 j. Ralston acknowledged that his completed Statements of Financial Interests from 2012-2016 were not completely accurate and he made a mistake by not including the supplemental employment. 59. Ralston filed Statements of Financial Interests as a Narcotics Agent III/Supervisory Narcotics Agent from 2012 through 2017 with the OAG, which reflected the following information: Calendar Year: Date Filed Status: Public Position: Governmental Entity: Creditors: Direct or Indirect Sources Of Income: Gifts: Transportation, Lodging, Hospitality: Office, Directorship or Employment In Any Business: Financial Interest in Any Legal Entity In Business for Profit: Business Interests Transferred to Immediate family Member: Calendar Year: Date Filed Status: Public Position: Governmental Entity: Creditors: Direct or Indirect Sources Of Income: Gifts: Transportation, Lodging, Hospitality: Office, Directorship or Employment In Any Business: Financial Interest in Any Legal Entity In Business for Profit: Business Interests Transferred to Immediate family Member: Calendar Year: Dated Filed: Status: Public Position: Governmental Entity: Creditors: Direct or Indirect Sources Of Income: Gifts: Transportation, Lodging, Hospitality Office, Directorship or Employment In Any Business: 2012 4-17-13 Public Employee Supervisor Narcotics Agent Office of Attorney General None Office of Attorney General 7801 Essington PA 19153 None None None None None 2013 5-15-14 Public Employee Supervisor Narcotics Agent PA Office of Attorney General Chase Auto Finance PA Office of Attorney 7801 Essington Ave., None None None None None General Phila., PA 19153 2014 4-21-15 Public Employee Supervisor Narcotics Agent PA Office of Attorney General None PA Office of Attorney General 7801 Essington Ave., Phila., PA 19153 None None None Ralston, 18-015 aP�4 Financial Interest in Any Legal Entity In Business for Profit: Business Interests Transferred to Immediate family Member: Calendar Year: Dated Filed: Status: Public Position: Governmental Entity: Creditors: Direct or Indirect Sources Of Income: Gifts: Transportation, Lodging, Hospitality: Office, Directorship or Employment In Any Business: Financial Interest in Any Legal Entity In Business for Profit: Business Interests Transferred to Immediate family Member: Calendar Year: Dated Filed: Status: Public Position: Governmental Entity: Creditors: Direct or Indirect Sources Of Income: Gifts: Transportation, Lodging, Hospitality: Office, Directorship or Employment In Any Business: Financial Interest in Any Legal Entity In Business for Profit: Business Interests Transferred to Immediate family Member: Calendar Year: Dated Filed: Status: Public Position: Governmental Entity: Creditors: Direct or Indirect Sources Of Income: Gifts: Transportation, Lodging, Hospitality: Office, Directorship or Employment In Any Business: Financial Interest in Any Legal Entity In Business for Profit: Business Interests Transferred to Immediate family Member: None None 2015 (Calendar year 4-21-16 Public Employee Supervisory Narcotic PA Office of Attorney None PA Office of Attorney 7801 Essington Ave., None None None None None 2016 {Calendar year 3-16- 7 Public Employee Supervisory Narcotic PA Office of Attorney None PA Office of Attorney 7801 Essington Ave., None None None None None list 2016) s Agent General General Phila., PA 19153 listed 2017) s Agent General General Phila., PA 19153 2017 1-25-18 Former Public Employee Narcotics Agent PA Office of Attorney General None None None None None None None Ralston, 18-015 aP�5 60. Ralston filed deficient Statements of Financial Interests for calendar years 2012 through 2017 as noted: a. Ralston failed to disclose IBEW Local 98 as a direct or indirect source of income upon Statements of Financial Interests filed for calendar year 2012. 1. Ralston was paid by IBEW Local 98 for services rendered when he facilitated consultations with a security consultant. b. Ralston failed to disclose Elite Intelligence and Protection Group, Ltd. as a direct or indirect source of income on Statements of Financial Interests filed for calendar years 2013 through 2016. 1. Ralston was employed by Elite Intelligence and Protection Group from 2013 to 2016. 2. Ralston had not sought or received approval for supplemental employment from the OAG despite working per diem/part-time for Elite Intelligence and Protection Group. G. Ralston failed to disclose his office, directorship, or employment in any business from 2012 through 2016 at a time when he was a paid employee as a Security Consultant for IBEW Local 98 and Elite Intelligence and Protection Group, Ltd. d. Ralston failed to disclose his income from the Office of Attorney General for calendar year 2017 after leaving employment with the Commonwealth of Pennsylvania, [which income] was in excess of $1,300 for the calendar year. III. DISCUSSION: As a Narcotics Agent III/Supervisory Narcotics Agent with the Pennsylvania Office of Attorney General ("0AG") from May 2007 until June 23, 2017, Respondent Joseph Ralston, also referred to herein as "Respondent," "Respondent Ralston," and "Ralston," was a public employee subject to the provisions of the Public Official and Employee Ethics Act ("Ethics Act'), 65 Pa.C.S. § 1101 et sec.. The allegations are that Ralston violated Sections 1105 b (5), 1105(b (7 , and 1105(b)((8) of the Ethics Act, 65 Pa.C.S. §§ 1105(b)(5 : 1105(b)(7�, and 1105 b) 8), by filing deficient Statements of Financial Interests { SFls �: • When he failed to disclose all direct or indirect sources of income in excess of $1,300.00, namely: (1) income received from the International Brotherhood of Electrical Workers Local 98 during calendar year 2012; (2) income received from Elite Intelligence and Protection Group, Ltd. during calendar year(s) 2013, 2014, 2015, and 2016; and (3) income received from the OAG during calendar year 2017; • When he failed to disclose the receipt, source, and value of travel, hospitality, and/or lodging, namely the receipt of tickets to Philadelphia Phillies sporting events in both calendar years 2015 and 2016, provided by the International Brotherhood of Electrical Workers Local 98; and • When he failed to identify his office, directorship or employment in any business, namely his employment as a Professional Security Consultant, for calendar years 2012, 2013, 2014, 2015 and 2016. Ralston, 18-015 FageW-716 As noted above, the parties have submitted a Consent Agreement and Stipulation of Findings. Per the Consent Agreement of the parties, the Investigative Division has exercised its prosecutorial discretion to nol pros the allegation under Section 1105(b)(7) of the Ethics Act pertaining to tickets to sporting events. Based upon the nol pros, we need not address that portion of the allegations no longer before us. Subject to certain statutory exceptions, 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. Section 1105(b)(8) of the Ethics Act requires the filer to disclose on the SFI any office, directorship or employment in any business entity. The parties' Stipulated Findings are set forth above as the Findings of this Commission. We shall now summarize the relevant facts as contained therein. As a Narcotics Agent III/Supervisory Narcotics Agent with the OAG from May 2007 until June 23, 2017, Ralston was a public employee subject to the SFI filing provisions of the Ethics Act. While employed as a Narcotics Agent I I [/Supervisory Narcotics Agent with the OAG, Ralston performed outside/supplemental work without obtaining approval from the OAG and without disclosing required information on his SFIs. Ralston filed deficient SFIs for calendar years 2012 through 2017 as follows. First, Ralston failed to disclose the International Brotherhood of Electrical Workers Local 98 CIBEW Local 98")--a labor organization with offices in Philadelphia, Pennsylvania --as a direct or indirect source of income on his SFI filed for calendar year 2012. In 2012 Ralston was paid by IBEW Local 98 for services rendered when he facilitated consultations with a security consultant to conduct Technical Surveillance Counter -Measures surveys of various offices/areas and facilities. Ralston also failed to disclose Elite Intelligence and Protection Group, Ltd. ("Elite Intelligence and Protection") as a direct or indirect source of income on SFIs filed for calendar years 2013 through 2016. Beginning in or about January 2013 and continuing until February 2016, Ralston received the following payments from Elite Intelligence and Protection for work he performed as a Professional Security Consultant: (1) in 2013, 27 checks totaling $16,920.00; (2) in 2014, 40 checks totaling $18,032.50; (3) in 2015, 30 checks totaling $11,752.50; and in 2016, four checks totaling $2,525.00. After leaving employment with the Commonwealth of Pennsylvania, Ralston failed to disclose the OAG itself as a source of income in excess of $1,300.00 for calendar year 2017. Finally, the parties have stipulated that Ralston failed to disclose his office, directorship, or employment in any business from 2012 through 2016 at a time when he was a paid employee as a Security Consultant for IBEW Local 98 and Elite Intelligence and Protection. 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: Ralston, 18-015 aP�7 That a violation of Section 1105(b)(5) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1105(b)(5) occurred in relation to Ralston's failure to disclose all direct or indirect sources of income in excess of $1,300.00, namely, income received from the International Brotherhood of Electrical Workers, Local 98 during calendar year 2012, income received from Elite Intelligence and Protection Groupp, Ltd. during calendar years 2013, 2014, 2015, and 2016; and income received from the Pennsylvania Office of Attorney General during calendar year 2017, b. That a violation of Section 1105(b)(8) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1105(b)(8) occurred in relation to Ralston's failure to identify his office, directorship or employment in an business, namely his employment as a Professional Security Consultant, for calendar years 2012, 2013, 2014, 2015 and 2016. C. That the allegation regarding Section 1105(b)(7) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1105(b)(7) be nolle prossed. Ralston agrees to make payment in the amount of $2,500.00 in settlement of this matter as follows: a. Ralston agrees to make a payment of $1,500.00 in regard to his Statement ofFinancialInterests deficiencies for calendar years 2012 through 2017, 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. Ralston agrees to make an additional payment of $1,000.00 representing a portion of the costs incurred by the Commission in the investigation and enforcement of this matter, which shall be made payable to the Pennsylvania State Ethics Commission within thirty (30) days of the issuance of the final adjudication in this matter. To the extent Ralston has not already done so, Ralston agrees to file complete and accurate amended Statements of Financial Interests with the Pennsylvania Office of Attorney General, through the Pennsylvania State Ethics Commission, for calendar years 2012, 2013, 2014, (2015], 2016, and 2017 within thirty (30) days of the issuance of the final adjudication in this matter. Ralston agrees to not accept any reimbursement, compensation or other payment from the Pennsylvania Office Ralston, 18-015 a�T8 of Attorney General 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. We agree with the parties and we hold that a violation of Section 1105(b}(5) of the Ethics Act, 6 Pa.C.S. § 1105(b)(5), occurred when Ralston failed to disclose all direct or indirect sources of income in excess of $1,300.00, namely: income received from IBEW Local 98 during calendar year 2012, income received from Elite Intelligence and Protection during calendar years 2013, 2014, 2015, and 2016; and income received from the OAG during calendar year 2017. We further hold that per the Consent Agreement of the parties, a violation of Section '1105(b)(8) of the Ethics Act, 65 Pa.C.S. § 1105(b)(8), occurred in relation to Ralston's failure to identify his office, directorship or employment in any business, namely his employment as a Professional Security Consultant, for calendar years 2012, 2013, 2014, 2015 and 2016. As part of the Consent Agreement, Ralston has agreed to make payment in the amount of $2,500.00 in settlement of this matter as follows. First, Ralston has agreed to make a payyment of $1,500.00 in regard to his SFI deficiencies for calendar years 2012 through NW, 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. Ralston has also agreed to make an additional payment of $1,000.00 representing a portion of the costs incurred by the Commission in the investigation and enforcement of this matter, which shall be made payable to the Pennsylvania State Ethics Commission within thirty (30) days of the issuance of the final adjudication in this matter. Ralston has agreed to not accept any reimbursement, compensation or other payment from the OAG representing a full or partial reimbursement of the amount paid in settlement of this matter. Finally, to the extent he has not already done so, Ralston has agreed to file complete and accurate amended SFIs with the OAG, through this Commission, for calendar years 2012, 2013, 2014, 2015, 2016, and 2017 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, Ralston is directed to make a payment in the amount of $1,500.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission by no later than the thirtieth (30t") day after the mailing date of this adjudication and Order. Ralston, 18-016 a�ge�3 Per the Consent Agreement of the parties, Ralston is further directed to make an additional payment of $1,000.00, representing a portion of the costs incurred by the Commission in the investigation and enforcement of this matter, which shall be made payable to the Pennsylvania State Ethics Commission and forwarded to this Commission y no laterthan the thirtieth (30€n) day afterthe mailing date of this adjudication and Order. Per the Consent Agreement of the parties, Ralston is directed to not accept any reimbursement, compensation or other payment from the OAG representing a full or partial reimbursement of the amount paid in settlement of this matter. Finally, to the extent he has not already done so, Ralston is directed to file complete and accurate amended SFIs with the OAG, through this Commission, for calendar years 2012, 2013, 2014, 2015, 2016, and 2017 by no later than the thirtieth (301") 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 Narcotics Agent I I I/Supervisory Narcotics Agent with the Pennsylvania Office of Attorney General ("OAG") from May 2007 until June 23, 2017, Respondent Joseph Ralston ("Ralston") was a public employee subject to the provisions of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et .tg. 2. Ralston violated Section 1105(b)(5) of the Ethics Act, 65 Pa.C.S. § 1105(b)(5), when he failed to disclose all direct or indirect sources of income in excess of $1,300.00, namely: income received from the International Brotherhood of Electrical Workers Local 98 during calendar year 2012; income received from Elite Intelligence and Protection Group, Ltd. during calendar years 2013, 2014, 2015, and 2016; and income received from the Pennsylvania Office of Attorney General during calendar year 2017. 3. Per the Consent Agreement of the parties, a violation of Section 1105�b%) of the Ethics Act, 65 Pa.C.S. § 1105(b)(8), occurred in relation to Ralston s (failure to identify his office, directorship or employment in any business, namely his employment as a Professional Security Consultant, for calendar years 2012, 2013, 2014, 2015 and 2016. In Re: Joseph Ralston, File Docket: 18-015 Respondent Date Decided: 6/22/20 Date Mailed: 6/24120 ORDER NO. 1770 Joseph Ralston ("Ralston"), a public employee in his capacity as a Narcotics Agent III/Suppervisory Narcotics Agent with the Pennsylvania Office of Attorney General ( OAG) from May 2007 until June 23, 2017, violated Section 1105(b){{5) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1105(b)(5), when he failed to disclose all direct or indirect sources of income in excess of $1,300.00, namely income received from the International Brotherhood of Electrical Workers Local 98 during calendar year 2012; income received from Elite Intelligence and Protection Group, Ltd. during calendar years 2013, 2014, 2015, and 2016; and income received from the Pennsylvania Office of Attorney General during calendar year 2017. 2. Per the Consent Agreement of the parties, a violation of Section 1105�b%) of the Ethics Act, 65 Pa.C.S. § 1105(b)(8), occurred in relation to Ralston s allure to identifyhis office, directorship or employment in an business, namely his employment as a Professional Security Consultant, for calendar years 2012, 2013, 20141 2015 and 2016. 3. Per the Consent Agreement of the parties, Ralston is directed to make a payment in the amount of $1,500.00 payable to the Commonwealth of Pennsylvania and 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, Ralston is directed to make an additional payment of $1,000.00, representing a portion of the costs incurred by the Commission in the investigation and enforcement of this matter, which shall be made payable to the Pennsylvania State Ethics Commission and forwarded to this Commission by no later than the thirtieth (30th) day after the mailing date of this Order. 5. Per the Consent Agreement of the parties, Ralston is directed to not accept any reimbursement, compensation or other payment from the OAG representing a full or partial reimbursement of the amount paid in settlement of this matter. 6. To the extent he has not already done so, Ralston is directed to file complete and accurate amended Statements of Financial Interests with the OAG, through this Commission, for calendar years 2012, 2013, 2014, 2015, 2016, and 2017 by no later than the thirtieth (30th) day after the mailing date of this Order. 7. Compliance with Paragraphs 3, 4, 5, and 6 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, r