HomeMy WebLinkAbout681 ForbesMr. Stephen Forbes
P.O. Box 21781
Philadelphia, PA 19146
Re: 88 -018 -C
Dear Mr. Forbes:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
ORDER OF THE COMMISSION
ORDER NO. 681
DATE DECIDED: September 28, 1988
DATE MAILED: October 13, 1988
The State Ethics Commission has reviewed the allegation(s) that
you have violated the Ethics Act, Act 170 of 1978. The nature of the
alleged violation(s) is as follows:
I. Allegation: That you, a former Boiler Inspector with the
Department of Labor and Industry, violated the following provisions of
the State Ethics Act (Act 170 of 1978), when you were employed at the
Philadelphia Nursing Home while on Commonwealth time; and when you
failed to disclose the Philadelphia Nursing Home as a source of income
on Statements of Financial Interests for the 1985, 1986 and 1987
calendar years.
Section 3. Restricted Activities.
(a) No public official or public employee shall
use his public office or any confidential
information received through his holding public
office to obtain financial gain other than
compensation provided by law for himself, a member
of his immediate family, or a business with which
he is associated. 65 P.S. Code §403(a).
Section 5. Statement of financial interests.
(b) The statement shall include the following
information for the prior calendar year with
regard to the person required to file the
statement and the members of his immediate
family:
Mr. Stephen Forbes
Page 2
(5) The name and address of any person who is the
direct or indirect source of income totalling in
the aggregate $500 or more. However, this
provision shall not be construed to require the
divulgence of confidential information protected
by statute or existing professional codes of
ethics. 65 P.S. §405(b)(5).
A. Findings:
1. You were an employee of the State of Pennsylvania, working as a
Boiler Inspector for the Department of Labor and Industry from
December 11, 1985 to August 12, 1987.
a. As an employee you were required to file a Statement of
Financial Interest with the Bureau of Personnel, Department
of Labor and Industry.
2. Records of the Commonwealth of Pennsylvania, Department of Labor
and Industry disclosed as follows regarding your hiring:
a. September 19, 1985 - As a prospective employee, you signed
Labor and Industry informational sheets acknowledging that
you did not have supplemental employment.
b. December 11, 1985 - You were notified by letter from
Richard Himler, Director of Personnel, of your appointment
to the position of Boiler Inspector in the Bureau of
Occupational and Industrial Safety at a salary of $659.25
biweekly or $17,193 annually. Step 35B.
That letter also informed you that you were covered by Act
170, the Pennsylvania Ethics Act and that you were required
to file a Statement of Financial Interests.
c. All documents you signed in relation to your employment
listed a home address at 2226 Spruce Street, Philadelphia,
Pennsylvania.
3. Department of Labor and Industry personnel disclosed that Boiler
Inspectors in the Bureau of Occupational and Industrial Safety work
out of their homes with little on -site supervision. Inspectors are
required to submit daily and weekly time records which document hours
worked and sites worked. These records are submitted to a supervisor
who reviews and forwards the records to the Personnel Office. Labor &
Industry•officials disclose that strict adherence to this policy is
required.
Mr. Stephen Forbes
Page 3
a. As a Boiler Inspector, you were required to submit daily and
weekly time records.
4. The Department of Labor and Industry compared your time sheets of
hours worked for the Bureau of Occupational and Industrial Safety and
hours worked at the Philadelphia Nursing Home. A review of those
documents disclosed that you were claiming hours worked as a Boiler
Inspector for BIOS while also working at the Philadelphia Nursing Home
(PNH).
a. Those records from February, 1986 through May 5, 1987
reflect that you were paid by the Commonwealth for 59.3
hours while you were also being paid by PNH. A comparison
of hours worked disclosed:
YEAR MONTH
1986 FEBRUARY 13
MARCH 6
13
20
27
APRIL 3
10
17
24
29
MAY 5
6
13
27
JUNE 2
3
10
24
30
JULY 22
28
29
AUGUST 5
19
25
26
SEPTEMBER 2
9
16
22
23
24
30
DAY BOIS SHIFT PNH SHIFT DUPLICATE TIME
(Minutes)
8 -4:30 3 -11 90
8 -4:30 3 -11 30
8 -4 :15 3 -11 75
8 -4:00 3 -11 60
8 -4:00 3 -11 60
8 -3:30 3 -11 30
8 -4:30 3 -11 90
8 -4:00 3 -11 60
8 -3:30 3 -11 30
8 -4:00 3 -11 60
8 -3:30 3 -11 30
8 -3:30 3 -11 30
8 -4:30 3 -11 90
8 -3:30 3 -11 30
8 -4:00 3 -11 60
8 -3:30 3 -11 30
8 -3:30 3 -11 30
8 -3:45 3 -11 45
8 -4:00 3 -11 60
8 -3:30 3 -11 30
8 -3:30 3 -11 30
8 -3:30 3 -11 30
8 -3:30 3 -11 30
8 -3 :30 3 -11 30
8 -3:45 3 -11 45
8 -3:30 3 -11 30
8 -3:50 3 -11 50
8 -3:30 3 -11 30
8 -3:00 3 -11 50
8 -3:50 3 -11 50
8 -3:00 3 -11 0
8 -3:30 3 -11 30
8 -3:20 3 -11 20
Mr. Stephen Forbes
Page 4
OCTOBER 14 8 -3:55 3 -11 55
16 8 -3:20 3 -11 20
20 8 -4:15 3 -11 75
21 8 -3:40 3 -11 40
27 8 -3 :00 3 -11 0
28 8 -3:40 3 -11 40
NOVEMBER 3 8 -4:15 3 -11 75
4 8 -3:40 3 -11 40
10 8 -3:30 3 -11 30
17 8 -3:45 3 -11 45
18 8 -3:50 3 -11 50
24 8 -3:30 3 -11 30
25 8 -4:00 3 -11 60
DECEMBER 1 8 -3:00 3 -11 0
2 8 -3:00 3 -11 0
8 8 -3:45 3 -11 45
9 8 -3:15 3 -11 15
15 8 -3:30 3 -11 30
16 8 -3 :20 3 -11 20
22 8 -3:25 3 -11 25
23 8 -3:50 3 -11 50
29 8 -3:30 3 -11 30
30 8 -3:30 3 -11 30
1987 JANUARY 5 8 -3:30 3 -11 30
6 8 -3:30 3 -11 30
12 8 -3:30 3 -11 30
13 8 -4:00 3 -11 60
20 8 -3:30 3 -11 30
27 8 -4:30 3 -11 90
FEBRUARY 2 8 -3:45 3 -11 45
3 8 -3:30 3 -11 30
9 8 -4:30 3 -11 90
10 8 -3:30 3 -11 3C
17 8 -3:50 3 -11 50
24 8 -3:30 3 -11 30
MARCH 2 8 -4:00 3 -11 60
3 8 -3:30 3 -11 30
4 8 -3:30 3 -11 30
9 8 -3:55 3 -11 55
10 8 -3:50 3 -11 50
16 8 -3:45 3 -11 45
17 8 -3:45 3 -11 45
23 8 -3:30 3 -11 30
24 8 -3:50 3 -11 50
30 8 -3:30 3 -11 30
31 8 -3:45 3 -11 45
APRIL 6 8 -3:30 3 -11 30
7 8 -3:20 3 -11 20
13 8 -3:30 3 -11 30
14 8 -3:00 3 -11 0
Mr. Stephen Forbes
Page 5
MAY
(1)
(3)
(1)
20
21
27
28
4
5
8 -3:55
8 -3:20
8 -3:35
8 -3:30
8 -3:45
8 -3:30
3 -11
3 -11
3 -11
3 -11
3 -11
3 -11
55
20
35
30
45
30
Total disputed time (minutes) 3,560
Total disputed hours 59.3
5. Department of Labor and Industry records disclosed the following:
a. July 16 1987: You were notified by letter from Charles
Sludden, Jr., Acting Administrator for Technical Services,
of a fact finding meeting scheduling for July 28, 1987. The
purpose of the meeting was to discuss as follows:
Completion of a Labor and Industry informational sheet
stating you had no supplemental employment.
(2) Completion of a Statement of Financial Interests (SEC -
1) stating your only "DIRECT OR INDIRECT SOURCE OF
INCOME" was Labor and Industry, BOIS -Blr. Div.
Possible theft of Commonwealth services in that you
completed BOIS time recording forms which indicate you
were performing BOIS boiler inspection functions while
at the same time you were working at the Philadelphia
Nursing Home.
b. July 28, 1987: Fact finding
Arnold Mack, AFSCME District
Wildeman, Labor and Industry
BOIS Administrator.
hearing attended by you,
Representative, James
Relations, Charles Sludden,
Summary of comments by you as compiled by James
Wildeman:
(a) Mr. Forbes loves his job with the Department or
wants to continue working with the Commonwealth.
(b) Mr. Forbes will cease work with PNH.
c. August 11, 1987 - Correspondence from Otto Eleuteri,
Assistant Personnel Director to you which advised in part:
This is to inform you that effective Wednesday, August 12,
1987, close of business, you are terminated from your
position as a regular Boiler Inspector in the Bureau of
Occupational and Industrial Safety. This action is in
Mr. Stephen Forbes
Page 6
7. James
Industry,
a .
accordance with Section 807 of the Civil Service Act and
Article 29, Section 1, of the Master Agreement with AFSCME.
During a meeting held on July 28, 1987, for the purpose of
presenting you with an opportunity to address these issues,
you admitted that you knew the supplemental employment and
financial disclosure forms and B.O.I.S. time recording forms
were inaccurate when you completed them. The reasons given
by you on July 28, 1987, regarding your actions outlined
above, are determined to be unacceptable. Accordingly, and
in light of the very serious nature of your actions, it is
felt that no alternative exists but to terminate your
services.
d. December 1, 1987 - Civil Service Hearing, Appeal of your
dismissal.
During this hearing, your attorney withdrew your appeal.
6. Information developed by the Department of Labor and Industry
disclosed that while employed by Labor and Industry, you reported
your earnings under Social Security No. 152 -36 -2586. You also used a
Social Security No. 156 -56 -2475 for reporting earnings while employed
at the Philadelphia Nursing Home.
a. At a Civil Service hearing held on December 1, 1987, James
Coleman testified that he spoke with you in June, 1987
regarding your working two jobs and that you admitted
working for both the State and PNH. Coleman further
testified that you admitted to using two social security
numbers, that the number you were using with the state was
your brother's and that you needed the money. That's wily
you were working for the state.
Wildeman, Labor Relations Office, Department of Labor and
stated the following:
You were employed as a Boiler Inspector, for the Department
of Labor and Industry, from December 11, 1985 until August
12, 1987.
b. You submitted Statements of Financial Interests forms, SEC -
1, to the Bureau of Personnel, Department of Labor and
Industry on May 12, 1986 and May 9, 1987, which indicated
that you had no other, direct or indirect sources of income
: for the years 1985 and 1986.
c. He attended a fact finding meeting, on July 28, 1987, held
to investigate the allegations made against you. Also
present at the meeting were Arnold Mack, AFSCME District
Mr. Stephen Forbes
Page 7
Representative, Charles Sludden, BOIS Administrator and
yourself.
d. During the course of that meeting, you admitted knowing the
information you supplied, on the Statements of Financial
Interests' forms was incorrect when you completed and
submitted the forms.
8. James A. Coleman, Personnel Officer, City of Philadelphia
Nursing Home, stated the following:
a. You were employed by the Philadelphia Nursing Home, as a
Stationary Engineer from July 15, 1985 to November 9, 1987.
You transferred to the City of Bureau of Prisons at that
time.
b. You were a full -time employee earning in excess of $500 a
year, for the years of 1985, 1986 and 1987.
9. Records of the Department of Labor and Industry disclosed the
following:
a. The Bureau of Personnel, Department of Labor and Industry,
received from you, on May 12, 1986 and May 9, 1987
Statements of Financial Interests on forms, SEC -1, bearing
your signature and dated May 12, 1986 and May 9, 1987,
respectively, for the position of Boiler Inspector,
Department of Labor and Industry.
b. The form dated May 12, 1986, disclosed, on Line 11, the box
for direct or indirect sources of income was checked "none ".
The form dated May 9, 1987 disclosed, on Line 11 the box for
direct or indirect sources of income was checked "none ".
The section immediately below contained the name "Labor and
Industry, BOIS, Blr. Div., Harrisburg, PA 17120, Labor and
Industry Building."
c. The form dated May 12, 1986, line 2 listed your address as
P.O. Box 21781, Philadelphia, Pennsylvania, 19146.
Telephone No. (215)- 696 -4263. The form dated May 9, 1987,
line 2 listed your address as 2226 Spruce Street,
Philadelphia, 19103, telephone No. (215)- 696 -4263.
10. A Statement of Financial Interests dated December 23, 1985 lists
your address as 2226 Spruce Street, Philadelphia, Pennsylvania.
a. • Your phone number is listed as 215 - 696 -4263.
b. You list none in all categories of financial interests
including direct or indirect sources of income.
Mr.. Stephen Forbes
Page 8
11. June Abel, an employee of Julius Katz Real Estate, 700 South
18th Street, Philadelphia, Pennsylvania, stated her agency is the
rental agent for the apartment house at 2226 Spruce Street. This is
the street address that you list on your Statements of Financial
Interests. A check of the Real Estate firm's records disclosed no
record of you presently or previously living at that address.
12. A check with Bell Telephone of Pennsylvania disclosed the
telephone No. 215 - 696 -4263 you list on your Statements of Financial
Interests, is registered to a person in West Chester, Pennsylvania.
13. A check with New Jersey Bell Telephone disclosed that telephone
No. 848 -1806 is listed to Stephen Forbes at 18 Cooper Drive, Woodbury,
New Jersey. You were contacted at that number on April 21, 1988.
14. On April 6, 1988, two motor vehicles were observed parked in the
driveway of 18 Cooper Drive, Woodbury, New Jersey. The vehicles had
New Jersey license tags CMJ93B and BAE28E. Both tags are registered
to Stephen Forbes, 18 Cooper Drive, Woodbury, New Jersey. A check
with the New Jersey Bureau of Motor Vehicles disclosed that you
maintain a current New Jersey driver's license.
a. Records of the Pennsylvania Department of Motor Vehicles
indicate ' that - you also hold a current operator's license in
the State of Pennsylvania.
15. You are not a resident of the Commonwealth of Pennsylvania.
16. Your salary in December 1985 when you started with the Department
of Labor and Industry was $17,193 /annually, or $8.79/hr.
17, Your salary when you were terminated was $18,602 /annually or
$9.51 /hr.
B. Discussion: As a former boiler inspector with the Department of
Labor and Industry, you were a "public employee" as that term is
defined under the State Ethics Act. As such, you are subject to the
provisions of the Ethics Act and the restrictions therein are
applicable to you. 65 P.S. 402; 51 Pa. Code Section 1.1.
Section 3(a) of the Ethics Act quoted above, specifically
provides, in part, that no public employee may use public office to
obtain a financial gain for himself other than compensation provided
for by law.
In determining whether your actions have violated Section 3(a) of
the Ethics Act supra, a review of the facts set forth in the findings
above is in order. You were hired as a boiler inspector for the
Department of Labor and Industry commencing December 11, 1985 in the
Mr. Stephen Forbes
Page 9
Bureau of Occupational and Industrial Safety (BOIS) which position
entailed working out of your home with little on -site supervision. As
part of your duties, you were required to submit daily and weekly time
records which documented the hours you worked and the locations where
you worked. A review of these work records beginning as early as
February of 1986 reflect an impossibility that you were working as a
Commonwealth employee on various specified dates while simultaneously
working as an employee of the Philadelphia Nursing Home (PNH).
Simply stated, the records of BOIS and PNH show that you were working
on certain specified dates and times at both jobs at the same time.
The foregoing facts are incontrovertible since your work records both
at BOIS and PNH establish that you submitted false time records to the
Department of Labor and Industry; you claimed time for non - existent
work when you were in fact working at PNH. The discovery of your
actions by Labor and Industry resulted in your termination. It is
further noted that although you initially considered challenging this
by appealing to the Civil Service Commission, you withdrew your
appeal. It is clear that you withdrew your appeal because you had no
basis for challenging your termination. You have been incriminated by
your own time records which you prepared. Further, you made false
statements on the Labor and Industry informational sheets of September
19, 1985 wherein you indicated that you did not have any supplemental
employment. It even appears that you have made misrepresentations as
to your residency in that you are not, in fact, a Pennsylvania .
resident but are a New Jersey resident. The foregoing has been
verified through the New Jersey Bureau of Motor Vehicles which has a
record of your New Jersey driver's license and your two vehicles which
are registered in your name at the location of 18 Cooper Drive,
Woodbury, New Jersey. Aside from your deceit in gaining employment
with the Commonwealth when you were /are not a Pennsylvania resident
and in stating that you had no outside employment when, in fact, you
were employed by PNH, the base conclusion in this case is that you
have violated Section 3(a) of the Ethics Act by obtaining a payment
from the Commonwealth for work which you did not perform. In this
instance, all of elements necessary to establish a violation of 3(a)
of the Ethics Act have been established. You were a public employee,
you used public office through the submission of the false time
records, you obtained a financial gain consisting of the payment for
the time that you did not work, you received the gain individually and
lastly, the gain was not compensation provided for by law because
there is no provision in law which would allow you to be paid for work
which you did not perform.
The above conclusion is consonant with this Commission's
decision in Cohen, Order 610 -R. In the cited case, the
determined that a Commonwealth attorney with the Pennsylvania
Securities Commission violated Section 3(a) of the Ethics Act when he
received payment for "working" in the state office while he was at the
same time serving on arbitration panels in state and federal court for
which he also received compensation. In this case, you completed
Mr. Stephen Forbes
Pege 10
time records indicating that you were working for BOIS for which you
received payment when, in fact, you were working for PNH. Such action
on your part constitutes a flagrant violation of the Ethics Act. In
an attempt to conceal your activities it is noted that you failed to
list PNH as a source of income on your Financial Interest Statements
for the calendar years 1985 and 1986. The personnel officer of PNH
verifies that you were an employee during that period of time and that
you did receive a salary in excess of $500. The foregoing failur:. f to
list your outside income coupled with the fact that you used two
social security numbers conclusively establishes your intent to
conceal financial information in this instance.
The foregoing establishes that you have also violated Section
5(b)(5) of the Ethics Act quoted above as to your failure to list your
outside source of income; this was done for the sole purpose of
concealing that information so that you could continue to bilk the
Commonwealth for time that you did not work. Additionally, you
violated Section 4 of the Ethics Act when you failed to file a
Statement of Financial Interests for the calendar year 1987.
You are hereby directed to file amended Statements of Financial
Interests for the 1985 and 1986 .calendar year which will include
listing your employment with PNH and you will further file a complete
Statement of Financial Interests for the calender year 1987.
The State Ethics Act authorizes this Commission to require
restitution of any financial gain obtained in violation of the Act.
See, Yocabet v. State Ethics Commission, Pa. Commw. Ct., 531 A.2d
536, (1987). The Act further provides as follows:
Section 9. Penalties.
(a) Any person who violates the provisions of
Section 3(a) and 3(b) is guilty of a felony and
shall be fined not more than $10,000 or
imprisoned for not more than five years, or be
both fined and imprisoned. 65 P.S. §409(a).
(b) Any person who violates the provisions of
section 3(c) and (h) or section 4 is guilty of a 1+
misdemeanor and shall be fined not more than
$1,000 or imprisoned for not more than one year,
or be both fined and imprisoned. 65 P.S. §409(b).
Since you have received $546.00 from violating the Ethics Act by
being paid for the time for which you did not work, you are hereby
dir4cted'to make restitution to the Department of Labor and Industry
in that amount. The power of this Commission to order restitution of
an unlawful financial gain has been sustained by the courts. See
Yocabet v. State Ethics Commission, Pa. Commw. Ct. , 531 A.2d
Mr. Stephen Forbes
Page 11
536 (1987). Therefore, you must, within 30 days of the date of this
order, forward a check to the State Ethics Commission payable to the
Department of Labor and Industry in the amount of $546.00.
It is further provided in Section 9(c) of the Ethics Act:
Section 9. Penalties.
(c) Any person who obtains financial gain from
violating any provision of this act, in addition
to any other penalty provided by law, shall pay
into the State Treasury a sum of money equal to
three times the financial gain resulting from such
violation. 65 P.S. §409(c).
Pursuant to the above provision, since you have received a
financial gain of $546.00, you are hereby ordered to make restitution
in that amount to your former governmental Agency and to also pay
treble that amount or $1,638.00 into the State Treasury. Therefore,
you must, within 30 days of the date of this order, forward checks to
the State Ethics Commission payable to the State Treasury in the
amount of $1,638.00 and to the Department of Labor and Industry in the
amount of $546.00.
Additionally, it is noted that you have a driver's license for
both Pennsylvania & New Jersey. This is in direct contravention to 75
Pa. C.S.A. §1501(c) which provides:
(c) Limitation on number of licenses -No person
shall receive a driver's license unless and until
the person surrenders to the department all valid
licenses in the person's possession issued by this
or any other state. All surrendered licenses
issued by another state shall be returned to that
state, together with information that the person
is licensed in this Commonwealth. No person shall
be permitted to have more than one valid driver's
license at any time.
In light of the above quoted statute, this Order will be referred
to the Pennsylvania Department of Transportation, PennDot.
Finally, based upon your flagrant violation of the various
provisions of the Ethics Act, this Commission will refer this case to
the appropriate law enforcement authority with a recommendation for
prosecution and for a review to determine whether other state or
federal laws have been violated which would warrant either a civil or
criminal prosecution.
Mr. Stephen Forbes
Page 12
C. Conclusion and Order:
1. As a former boiler inspector in the Department of Labor and
Industry, you were a public employee subject to the provisions of the
State Ethics Act.
2. You violated Section 3(a) of the Ethics Act when ycu submitted
false time records and were paid for work which you did not perform.
3. You violated Section 5(b)(5) of the Ethics Act when you failed to
disclose your private employment in the 1985 and 1986 calendar year
Statements of Financial Interests.
4. You violated Section 4 of the Ethics Act when you failed to file a
Statement of Financial Interests for the 1987 calendar year.
5. You must, within 30 days of the date of this Order, file amended
Statements of Financial Interests for the calendar years 1985 and 1986
wherein you will list your outside employment as a source of income
and further, you must file a complete Statement of Financial Interests
for the calendar year 1987.
6. You are hereby directed, within 30 days of the date of this order
to make restitution of your financial gain by forwarding a check to
the State Ethics Commission payable to the Department of Labor and
Industry in the amount of $546.00.
7. You are further directed, within 30 days of the date of this
order, to pay a treble penalty for your financial gain by forwarding a
check to the State Ethics Commission payable to the State Treasury in
the amount of $1,638.00.
8. This matter will be referred to PennDot and to the appropriate law
enforcement authority with a recommendation for prosecution and for a
review to determine whether other state or federal laws have been
violated which would warrant either civil or criminal prosecution.
Our files in this case will remain confidential in accordance
with Section 8(a) of the Ethics Act, 65 P.S. 5408(a). However, this
Order is final and will be made available as a public document 15 days
after service (defined as mailing) unless you file documentation with
the Commission which justifies reconsideration and /or challenges
pertinent factual findings. See 51 Pa. Code §2.38. During this 15-
day period, no one, including the respondent unless he waives his
right to.challenge this Order, may violate this confidentiality by
releasing, discussing or circulating this Order.
Mr. Stephen Forbes
Page 13
Any person who violates the confidentiality of a Commission
proceeding is guilty of a misdemeanor and shall be fined not more than
$1,000 or imprisoned for not more than one year or both, see 65 P.S.
S409(e).
Enclosures (SFr - 3)
By the Commission,
4. \%*At (X)44k,k
Joseph W. Marshall, 1I1
Chairman