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HomeMy WebLinkAbout1218 ThomasIn Re: James Thomas File Docket: X -ref: Date Decided: Date Mailed: Before: Daneen E. Reese, Chair Louis W. Fryman, Vice Chair John J. Bolger Frank M. Brown Susan Mosites Bicket Donald M. McCurdy 00- 062 -C2 Order No. 1218 8/23/01 9/7/01 This is a final adjudication of the State Ethics Commission. Procedurally, the Investigative Division of the State Ethics Commission conducted an investigation regarding a possible violation of the Public Official and Employee Ethics Act, Act 9 of 1989, P.L. 26, 65 P.S. §401 et seq., as codified by Act 93 of 1998, Chapter 11, 65 Pa.C.S. §1101 et seq., by the above -named Respondent. At the commencement of its investigation, the Investigative Division served upon Respondent written notice of the specific allegation(s). Upon completion of its investigation, the Investigative Division issued and served upon Respondent a Findings Report identified as an "Investigative Complaint." An Answer was filed and a hearing was waived. The record is complete. A Consent Agreement and Stipulation of Findings were submitted by the parties to the Commission for consideration. The Consent Agreement was subsequently approved. Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11 of Act 93 of 1998, 65 Pa.C.S. §1101 et seq., which essentially repeats Act 9 of 1989 and provides for the completion of pending matters under Act 93 of 1998. This adjudication of the State Ethics Commission is issued under Act 93 of 1998 and will be made available as a public document thirty days after the mailing date noted above. However, reconsideration may be requested. Any reconsideration request must be received at this Commission within thirty days of the mailing date and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §21.29(b). A request for reconsideration will not affect the finality of this adjudication but will defer its public release pending action on the request by the Commission. The files in this case will remain confidential in accordance with Chapter 11 of Act 93 of 1998. Any person who violates confidentiality of the Ethics Act is guilty of a misdemeanor subject to a fine of not more than $1,000 or imprisonment for not more than one year. Confidentiality does not preclude discussing this case with an attorney at law. Thomas, 00- 062 -C2 Page 2 I. ALLEGATION: That James Thomas, a public employee, in his capacity as a township secretary /auditor for Pittston Township, Luzerne County, violated Section 4(a)/1104(a) of the Ethics Act (Act 93 of 1998, 65 Pa.C.S. §1101 et seq.) when he failed to file Statements of Financial Interests with the township for the 1998 and 1999 calendar years of May 1, 1999, and May 1, 2000, respectively; and when he back -dated forms for the 1998 and 1999 calendar years indicating dates filed as January 4, 1999, and January 4, 2000. II. FINDINGS: 1. James Thomas has served as Secretary and Accountant for Pittston Township since January 1998. a. Thomas has been annually appointed to these positions by the township's board of supervisors. b. Thomas' position as secretary and accountant for the township is part -time. 1. Thomas is compensated for the secretary /accountant position at a rate of $12.50 per hour. 2. Thomas maintains two (2) office locations, one (1) at the township building, the other at his residence. 3. Thomas does not use a time clock or record his hours worked in any manner. 2. Thomas' general job duties as township secretary /accountant includes recording township meeting minutes, soliciting bids for contracts, recording receipts and disbursements, making recommendations to the board for purchases and maintaining township records at the municipal building. a. The duties performed by Thomas were previously the duties of the township manager. b. A part -time clerical employee is utilized to assist Thomas. 3. Professionally, Thomas is a self - employed accountant operating his accounting business from his home. a. This is the same location that he performs the township secretarial/ accounting services. 4. Statements of Financial Interests for Pittston Township officials are maintained by Secretary /Accountant James Thomas at the Pittston Township Municipal Building. a. Statements of Financial Interests for Pittston Township are maintained in a locked file drawer located in Thomas' office. 1. Thomas' office is not located in a public area of the Township building. 2. Thomas' office is kept locked with only Thomas and Supervisor Anthony Attardo having keys to it. Thomas, 00- 062 -C2 Page 3 5. Prior to 1998 the Statements of Financial Interests were maintained by the township manager. a. Savino Bonita served as Pittston Township Manager prior to Thomas serving as Township Secretary /Accountant. b. Bonita's position was full -time. c. Bonita's duties were the same as those performed by Thomas. d. Bonita maintained Statements of Financial Interests in a locked file cabinet within the file room at the township building. 6. Prior to 1998 Bonita distributed blank forms to the supervisors and public officials deemed to be required to file. a. Completed forms were returned to Bonita for storage. b. Bonita placed the completed forms into a file specifically for them and stored the file in a locked filing cabinet at the township building. 7 In his capacity as Pittston Township Secretary, Thomas first became aware of the requirement for public officials and employees to file Statements of Financial Interests when informed by township resident James Musto. a. Musto advised Thomas of the requirement on or about April 30, 1998. b. Musto obtained forms from the Luzerne County Courthouse for Thomas. 1. Musto does not specifically recall picking SFI's up at the courthouse but does recall discussing filing requirements with township officials. c. Thomas had township officials complete the forms for calendar year 1997 and file them prior to the May 1, 1998, filing deadline. d. Thomas placed these filings in the folder Bonita had used for the previous calendar years. e. The folder was placed back in a file cabinet which was located in a non- public portion of the township building. 8. Thomas filed a Statement of Financial Interests with Pittston Township for the 1997 calendar year on April 30, 1998. 9. The Pennsylvania State Ethics Commission contracts the printing of Statements of Financial Interests annually. a. In 1998, 1999 and 2000 the State Ethics Commission contracted Vanguard Printing, Moore Business Forms and Digital Ink Printing Co. respectively. b. Orders for forms are placed with the printers in December of the preceding year. c. Forms are received by the Administrative Division of the State Ethics Commission in early to mid January of the filing year. Thomas, 00- 062 -C2 Page 4 d. Forms are then bulk mailed to each municipality, in the Commonwealth of Pennsylvania. 10. Each year when forms are printed an identification date is listed in the upper left hand corner of the form. a. Forms printed in 1998 contained an identification date of SEC -1 1/98, while forms printed in 1999 and 2000 contained identification dates of SEC -1 1/99 and SEC -1 1/00. 11. Statements of Financial Interests forms were annually mailed to Pittston Township in 1998, 1999 and 2000 by the Administrative Division of the State Ethics Commission. a. In 1998 blank forms were mass mailed to all Commonwealth municipalities on January 26, 1998. 1. These forms contained the State Ethics Commission form identification of SEC -1, Rev. 1/98. b. The 1999 forms SEC -1, Rev. 1/99 were bulk mailed on February 9, 1999. c. The 2000 forms SEC -1, Rev. 1/00 were bulk mailed on January 21, 2000. 12. Blank SFI forms were annually mailed by the Administrative Division to the Manager and Secretary of Pittston Township, 421 Broad Street, Pittston Township, PA 18640, in 1998, 1999 and 2000. 13. Since January 1998 Thomas has annually received blank Statements of Financial Interests forms from the State Ethics Commission at the township. 14. Thomas did not distribute Statements of Financial Interests to township officials/ employees in 1999 and 2000 for calendar years 1998 and 1999. a. This included former public officials who left office at the end of 1999. 15. Josephine DiGennari served as a Pittston Township Supervisor from 1995 through December 1999. a. She was replaced on the board of supervisors by Anthony Attardo. b. Prior to 1998 DiGennari received blank Statements of Financial Interests from Manager Savino Bonita. 1. Completed forms were returned to Bonito. 16. DiGennari was not provided blank Statements of Financial Interests by Secretary James Thomas in 1999 and 2000. a. DiGennari would have filed for the 1998 calendar year by May 1, 1999, as a current public official. b. DiGennari would have filed for the 1999 calendar year by May 1, 2000, as a former public official. c. DiGennari subsequently filed Statements of Financial Interests for the 1998 and 1999 calendar years with the State Ethics Commission on February 15, Thomas, 00- 062 -C2 Page 5 2001. 17. Thomas did not file a Statement of Financial Interests with Pittston Township for the 1998 calendar year by May 1, 1999. 18. Thomas did not file a Statement of Financial Interests with Pittston Township for the 1999 calendar year by May 1, 2000. 19. On August 7, 2000, Special Investigator Patrick Kissell contacted Pittston Township by telephone requesting to review township records of meeting minutes, check ledgers and Statements of Financial Interests. a. Special Investigator Kissell requested the records be made available to him for review on August 9, 2000. 20. On August 9, 2000, Special Investigator Kissell traveled to the Pittston Township Building located at 421 Broad Street, Pittston Township, PA 18640, to review the requested documents. a. Special Investigator Kissell was met by a male seated behind the secretary's desk who informed him that township secretary Cindy Alaimo was out sick and Accountant James Thomas was also out. b. The male added that the requested documents were located in Thomas' office and that the office is locked. c. Special Investigator Kissell informed the acting secretary that he would return on Tuesday, August 15, 2000. 21. On Tuesday, August 15, 2000, Special Investigators Patrick Kissell and Daniel Bender went to the Pittston Township Building to review the requested documents. 22. Statements of Financial Interests were provided to Kissell and Bender for the supervisors and Thomas. 23. Statements of Financial Interests on file with Pittston Township included the following filings by Thomas: a. Calendar Year: Filed: Position: Real Estate Interests: Creditors: Direct /Indirect Income: Office, Directorship or Employment in any Business: All Other Financial Interests: b. Calendar Year: Filed: Position: Real Estate Interests: Creditor: Direct /Indirect Income: Office, Directorship or Employment in any business: All Other Financial Interests: 1997 04/30/98 on SEC -1, Rev. 1/98 Secretary /Accountant None None Pittston Township, Self- Employment Pittston Township Self- Employment 1998 01/04/99 on SEC Form 1/00 Secretary, Accountant None None Pittston Township, Self- Employment Pittston Township /Self Self- Employed Accountant Thomas, 00- 062 -C2 Page 6 c. Calendar Year: 1999 Filed: 01/04/00 Position: Secretary, Accountant Real Estate Interests: None Creditor: None Direct /Indirect Income: Pittston Township, Self- Employment Office, Directorship or Employment in any business: Pittston Township /Self All Other Financial Interests: Self- Employed Accountant 24. The Statements of Financial Interests on file for Thomas for calendar years 1998 and 1999 were backdated to give the impression that the forms were filed by May 1, 1999, and May 1, 2000. a. The form filed by Thomas for the 1998 calendar year was filed on SEC -1, Rev. 1/00 signed by Thomas and dated January 4, 1999. 1. This form was not received by the State Ethics Commission from its printer until January 13, 2000, and not mailed to municipalities until January 21, 2000. 2. Thomas' listed filing date of January 4, 1999, is more than a year prior to the form being printed and mailed to Pittston Township. b. The form filed by Thomas for the 1999 calendar year was also filed on SEC - 1, Rev. 1/00 which was not available to municipalities until at least January 21, 2000. 1. Thomas' form was dated January 4, 2000, seventeen (17) days prior to the forms being mailed to the township. 25. Between August 7, 2000, and August 15, 2000, Thomas arranged for Statements of Financial Interests for calendar years 1998 and 1999 to be filed by Stephen Rinaldi, Police Chief; Anthony Attardo, Administrator /Supervisor; Joseph Adams, Sr., Supervisor; John Paglianite, Supervisor; and Jeff Pisanchyn, Zoning Officer. a. Such was done after the State Ethics Commission investigator had requested to see the forms and prior to the actual review. b. Thomas did not arrange to have Statements of Financial Interests filed for DiGennari. 1. DiGennari was no longer in office. 26. Thomas filled out and dated the Statements of Financial Interests for these township officials to create the appearance that they were filed in a timely manner. a. The officials placed their signature on the Statements of Financial Interests, Thomas filled in all other information on the forms, including the date. b. Thomas completed Statements of Financial Interests for Rinaldi, Attardo, Adams, Paglianite and Pisanchyn using forms with an identification date of SEC -1, Rev. 1/00. 27. Thomas completed Statements of Financial Interests for Jeff Pisanchyn for calendar years 1998 and 1999 on forms with a revision date of SEC -1, Rev. 1/00. Thomas, 00- 062 -C2 Page 7 a. Pisanchyn wasn't appointed zoning officer until February 2000 and not required to file a Statement of Financial Interests until May 1, 2000. b. Pisanchyn did not hold any township appointed or elected position prior to February 2000. c. Pisanchyn was not required to file an SFI form for calendar year 1998. d. Pisanchyn signed the forms on Friday, August 11, 2000. e. Pisanchyn signed the blank forms and Thomas completed and dated the forms. f. Thomas does not personally know Pisanchyn's financial background to competently complete the forms. 28. Thomas dated SFI forms for Anthony Attardo, Joseph Adams, Sr., and John Paglianite on January 4, 1999, for calendar year 1998 and January 4, 2000, for calendar year 1999 respectively. a. Thomas used Statements of Financial Interests forms with a revision date of 1/00. b. These forms were not available to municipalities until at least January 21, 2000. c. These SFI's were not completed by Thomas until August 11, 2000. d. These filings were backdated to create the impression of timely filing. 29. Thomas signed and dated the Statements of Financial Interests in August of 2000 knowing that the dates of filing affixed at that time were not accurate. III. DISCUSSION: At all times relevant to this matter, the Respondent, James Thomas, hereinafter Thomas, has been a public employee subject to the provisions of the Public Official and Employee Ethics Law, Act 9 of 1989, Pamphlet Law 26, 65 P.S. §401, et seq., as codified by the Public Official and Employee Ethics Act, Act 93 of 1998, Chapter 11, 65 Pa.C.S. §1101 et seq., which Acts are referred to herein as the "Ethics Act." The allegation is that Thomas, a public employee, in his capacity as a township secretary /auditor for Pittston Township, Luzerne County, violated Section 4(a)/ 1104(a) of the Ethics Act (Act 93 of 1998, 65 Pa.C.S. §1101 et seq.) when he failed to file Statements of Financial Interests with the township for the 1998 and 1999 calendar years of May 1, 1999, and May 1, 2000, respectively; and when he back -dated forms for the 1998 and 1999 calendar years indicating dates filed as January 4, 1999, and January 4, 2000. Section 4/1104. Statement of financial interests required to be filed. (a) Public official or public employee. - -Each public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the commission no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Each public employee Thomas, 00- 062 -C2 Page 8 and public official of the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency, body or bureau in which he is employed or to which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Any other public employee or public official shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed or within which he is appointed or elected no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. Persons who are full - time or part -time solicitors for political subdivisions are required to file under this section. 65 P.S. § 404(a)/65 Pa. C. S. §1104(a). Section 4(a)/1104(a) of the Ethics Act quoted above requires 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. As noted above, the parties have submitted a Consent Agreement and Stipulation of Findings. The parties' Stipulated Findings are reproduced above as the Findings of this Commission. We shall now summarize the relevant facts as contained therein. Thomas has served as Secretary and Accountant for Pittston Township since January 1998. Thomas' duties and responsibilities include recording township minutes, soliciting bids for contracts, recording receipts and disbursements, making recommendations to the board for purchases, and maintaining township records. Prior to 1998, FIS's were maintained by the township manager who distributed the blank forms to the supervisors and other individuals who were required to file. Once the FIS's were returned to the manager, she placed them in a locked filing cabinet in the township building. Thomas did not become aware of the FIS filing requirement for the supervisors and other individuals until he was advised by a township resident in late April of 1998. After the required individuals completed the FIS form for the 1997 calendar year, Thomas placed the filings in a folder which was locked in a file cabinet in a non - public portion of the township building. Thomas filed his FIS for the 1997 calendar year on April 30 of 1998. As to the FIS forms, this Commission contracts with a printing service each December to do a bulk printing of FIS's which are received by the Administrative Division of the Commission in early to mid - January of the filing year. Thereafter, the FIS forms are bulk mailed to each municipality in the Commonwealth of Pennsylvania. The 1998 blank FIS forms were mass mailed to municipalities on January 26, 1998, showing a printing identification of SEC -1, REV. 1 -98. The 1999 blank FIS forms were mass mailed to municipalities on February 9, 1999, showing a printing identification of SEC -1, REV. 1 -99. The 2000 blank FIS forms were mass mailed to municipalities on January 21, 2000, showing a printing identification of SEC -1, REV. 1 -00. Although Thomas annually received the blank FIS's since January 1998, he did not distribute them to the township officials /employees in 1999 and 2000. Thomas himself did not file his 1998 and 1999 calendar year FIS's by the following respective May 1St deadlines. Thomas, 00- 062 -C2 Page 9 In August of 2000, a special investigator of the Commission traveled to Pittston Township to review certain records including FIS's. Even though the investigator had requested that the records be available for him on August 9, 2000, he was informed when he arrived on that date that the requested documents were located in the locked office of Thomas who was out on that day. The investigator advised that he would return on a subsequent date. When two special investigators of the Commission arrived at that latter date, they were supplied with FIS's for the officers and employees of Pittston Township. The FIS's for Thomas for the calendar years 1998 and 1999 were backdated to give the impression that the forms were filed by the following respective May 1 deadlines. Thomas signed and dated the FIS's in August of 2000 knowing that the dates he utilized were not accurate. 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. The Consent Agreement proposes that this Commission find violations of Section 4(a)/ 1104(a) of the Ethics Act when Thomas failed to timely file and properly date his FIS's for the 1998 and 1999 calendar years with Thomas making a payment of $1,000 through this Commission to the Commonwealth of Pennsylvania within 30 days of the date of issuance of this Order. Thomas, as a Pittston Township Secretary /Accountant, is a public employee required to annually file an FIS on or before May 1 for the prior calendar year. In this case, not only did Thomas fail to file an FIS for calendar years 1998 and 1999 on or before the May 1 deadline, he attempted to conceal this fact by backdating his FIS's on forms that were not in print or mailed out by this Commission at the time of the purported filing. This is further evidenced by the fact that Thomas knew he had to file, given that he filed his 1997 calendar year FIS on April 30, 1998. Accordingly, Thomas violated Section 4(a)/1104(a) of the Ethics Act when he failed to timely file and properly date FIS's for the calendar years 1998 and 1999. We determine that the Consent Agreement submitted by the parties sets forth the proper disposition for this case, based upon our review as reflected in the above analysis and the totality of the facts and circumstances. Accordingly, Thomas is directed to make payment of $1,000 within 30 days of the issuance of this Order through this Commission to the Commonwealth of Pennsylvania. 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. Thomas, as a Secretary /Auditor for Pittston Township, is a public employee subject to the provisions of Act 9 of 1989/Act 93 of 1998. 2. Thomas violated Section 4(a)/1104(a) of the Ethics Act when he failed to timely file and properly date his Statements of Financial Interests for the 1998 and 1999 calendar years. In Re: James Thomas File Docket: 00- 062 -C2 Date Decided: 8/23/01 Date Mailed: 9/7/01 ORDER NO. 1218 1 Thomas, as a Secretary /Auditor for Pittston Township, violated Section 4(a)/ 1104(a) of the Ethics Act when he failed to timely file and properly date his Statements of Financial Interests for the 1998 and 1999 calendar years. 2. Per the Consent Agreement of the parties, Thomas is directed to make payment of $1,000 within 30 days of the issuance of this Order through this Commission to the Commonwealth of Pennsylvania. a. Compliance with the foregoing will result in the closing of this case with no further action by this Commission. b. Non - compliance will result in the institution of an order enforcement action. BY THE COMMISSION, DANEEN E. REESE, CHAIR