HomeMy WebLinkAbout1229 DraperIn Re: Peter Draper
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
01- 045 -C2
Order No. 1229
2/4/02
2/15/02
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 parties submitted a
Consent Agreement and Stipulation of Findings to the Commission which approved the
Consent Agreement. The averments in the Stipulation of Findings are quoted verbatim as
the Findings in this Order.
Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter
11, Act 93 of 1998, 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 Law 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.
Draper, 01- 045 -C2
Page 2
I. ALLEGATION:
That Peter Draper, a public official /public employee in his capacity as a Supervisor
for Honey Brook Township, Chester County, violated Sections 1104(a); 1104(d) and
1105(a) of the Public Official and Employee Ethics Law65 Pa.C.S. § §1104(a); 1104(d) and
1105(a) when he failed to file Statements of Financial Interests for the 1996, 1997, 1998,
1999 and 2000 calendar years with the township by May 1 of the following year when such
forms were due; and when he subsequently backdated Statements of Financial Interests
for the calendar years 1996 through 1999 giving the impression that the forms were timely
filed.
II. FINDINGS:
1. Peter Draper has served as a Honey Brook Township Supervisor since January
1996.
2. Ruby Whitman has served as Honey Brook Township Secretary /Treasurer since
approximately 1980 and for approximately the last four years Elaine Salek has
served as part -time secretary for Honey Brook Township.
a. Whitman's general job duties as township secretary /treasurer include
recording township meeting minutes, recording receipts and disbursements
and maintaining township records at the municipal building.
b. Whitman and Salek serve as the custodians of all Honey Brook Township
records, including Statements of Financial Interests.
3. Pursuant to the Public Official and Employee Ethics Law, Statements of Financial
Interests are required to be filed annually by public officials and employees
including township supervisors.
a. The forms are required to be filed no later than May 1 of each year that a
public official holds a public position or public office.
b. The Statement of Financial Interests reports interests for the preceding
calendar year.
4. Since approximately 1980, Whitman has been primarily responsible for distributing
Statements of Financial Interests to public officials /employees of the Honey Brook
Township.
5. Upon receipt of blank Statements of Financial Interests forms from the State Ethics
Commission, Whitman or other township employees distribute blank forms to all
township officials and employees who are required to file, usually in January or
February of each year.
a. Whitman either personally delivers the blank forms or includes them in
meeting packets for the supervisors.
6. Whitman accepts completed Statements of Financial Interests forms to be
maintained with other Honey Brook municipal records.
a. Whitman does not date or time stamp completed Statement of Financial
Interests Forms.
b. Whitman does not maintain any ledger or log book listing the date she
Draper, 01- 045 -C2
Page 3
receives an official[']s completed from [sic].
7 Statements of Financial Interests for Honey Brook Township officials are currently
maintained by Secretary /Treasurer Ruby Whitman or Elaine Salek at the Honey
Brook Township Municipal Building.
a. Statements of Financial Interests for Honey Brook Township are maintained
in a filing cabinet located in Whitman's office.
b. Whitman and part -time secretary Elaine Salek are the only individuals
having keys to the filing cabinet where the Statements of Financial Interests
forms are kept.
8. The Pennsylvania State Ethics Commission contracts the printing of the Statement
of Financial Interests annually.
a. In 1997, 1998, 1999, 2000, and 2000 [sic], the State Ethics Commission
contracted with Vanguard Direction, Moore USA, Inc., Vanguard Direct, and
Digital -Ink, respectively.
b. Orders for forms are placed with the printing vendor in December of the
preceding year.
c. Forms are received by the Administrative Division of the State Ethics
Commission in late December to mid January of the filing year.
d. Forms are then bulk mailed to each municipality in the Commonwealth of
Pennsylvania.
9. Blank Statements of Financial Interests forms were annually mailed by the
Administrative Division of the State Ethics Commission to Ruby Whitman, Secretary
of Honey Brook Township, P.O. Box 1281, Honey Brook, PA 19344, in 1997, 1998,
1999, 2000, and 2001.
a. Whitman annually received sufficient blank Statement of Financial Interests
forms to distribute to all Honey Brook Township Public Officials and Public
Employees to file.
10. Statements of Financial Interests forms were annually mailed to Honey Brook
Township in 1997, 1998, 1999, 2000, and 2001 by the Administrative Division of the
State Ethics Commission on the following dates:
a. In 1997 blank forms were mass mailed to all Commonwealth municipalities
on February 14, 1997.
1. These forms contained the State Ethics Commission form
identification of SEC -1, Rev. 1/97.
b. 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.
c. In 1999 blank forms were mass mailed to all Commonwealth municipalities
on February 9, 1999.
Draper, 01- 045 -C2
Page 4
1. These forms contained the State Ethics Commission form
identification of SEC -1, Rev. 1/99.
d. In 2000 blank forms were mass mailed to all Commonwealth municipalities
on January 21, 2000.
1. These forms contained the State Ethics Commission form
identification of SEC -1, Rev. 1/00.
e. In 2001 blank forms were mass mailed to all Commonwealth municipalities
on December 29, 2000.
a.
1. These forms contained the State Ethics Commission form
identification of SEC -1, Rev. 1/01.
11. Since January 1997, Peter Draper has annually received blank Statements of
Financial Interests to be completed.
12. From 1997 to 2001, Whitman annually reminded Draper to fill out Statements of
Financial forms.
a. Draper would tell Whitman that he "would get around to it when he gets a
chance" and never do it.
b. Draper was reminded annually by Whitman prior to May 1 to file his
Statement of Financial Interests.
c. Draper was aware that he was required to file Statements of Financial
Interests.
13. During the week of October 1, 2000, a State Ethics Commission Investigator
contacted Whitman advising her that he would be at the Honey Brook Township
Building on October 13, 2000, to conduct a compliance review of the Statements of
Financial Interests forms completed by township officials.
a. After being contacted by the Investigator, Whitman informed Draper that the
investigator was coming to the township on October 13, 2000, and Draper
needed to file his Statements of Financial Interests before that date.
14. Between October 1, 2000, and October 13, 2000, Draper filed Statements of
Financial Interests for the 1996, 1998 and 1999 calendar years.
15. On October 13, 2000, the Special Investigator conducted a Statement of Financial
Interests Compliance Review in Honey Brook Township and reviewed the following
Statements of Financial Interests which were on file for Draper.
Calendar Years:
Dated:
Position:
Real Estate Interests:
Creditors:
Direct /Indirect Income:
Office, Directorship or
Emp. in any Business:
Financial Int. in any Bus:
1996
05/01/96 on Sec Form 1/00
Supervisor
None
None
D &B Tech Services, Inc. and Honey Brook Township
D &B Tech Services, Inc., Vice President
D &B Tech Services Inc., 50%
Draper, 01- 045 -C2
Page 5
Backdated form
b.
Calendar Years:
Dated:
Position:
Real Estate Interests:
Creditors:
Direct /Indirect Income:
Office, Directorship or
Emp. in any Business:
Financial Int. in any Bus:
c.
Calendar Years:
Dated:
Position:
Real Estate Interests:
Creditors:
Direct /Indirect Income:
Office, Directorship or
Emp. in any Business:
Financial Int. in any Bus:
Backdated form
d.
Calendar Years:
Dated:
Position:
Real Estate Interests:
Creditors:
Direct /Indirect Income:
Office, Directorship or
Emp. in any Business:
Financial Int. in any Bus:
Backdated form
1997
05/01/97 on Sec Form 1/97
Supervisor
None
None
D &B Tech Services, Inc. and Honey Brook Township
D &B Tech Services, Inc., Vice President
D &B Tech Services Inc., 50%
1998
05/01/98 on Sec Form 1/00
Supervisor
None
None
D &B Tech Services, Inc. and Honey Brook Township
D &B Tech Services, Inc., Vice President
D &B Tech Services Inc., 50%
1999
05/01/99 on Sec Form 1/00
Supervisor
None
Ford Motor Company, 2%
D &B Tech Services, Inc., Honey Brook Township,
Honey Brook Computer & Electronics and Packaged
Electrical Power
D &B Tech Services, Inc., Vice President
D &B Tech Services Inc., 50%
16. The filings listed in Finding No. 15 were made by Draper immediately prior to the
compliance review.
17. The Statements of Financial Interests on file for Draper for calendar years 1996,
1998 and 1999 were backdated.
a. The form filed by Draper for the 1996 calendar year was filed on form SEC -1,
Rev. 1/00, signed by Draper and dated May 1, 1996.
1. This form was not mailed to municipalities until January 21, 2000.
2. Draper's listed filing date of May 1, 1996, is more than three years
prior to the form being printed and mailed.
Draper, 01- 045 -C2
Page 6
b. The form filed by Draper for the 1998 calendar year was filed on form SEC -1,
Rev. 1/00, signed by Draper and dated May 1, 1998.
1. This form was not mailed to municipalities until January 21, 2000.
2. Draper's listed filing date of May 1, 1998, is more than a year and a
half prior to the form being printed and mailed.
c. The form filed by Draper for the 1999 calendar year was filed on form SEC -1,
Rev. 1/00 signed by Draper and dated May 1, 1999.
1. This form was not mailed to municipalities until January 21, 2000.
2. Draper's listed filing date of May 1, 1999, is more than eight months
prior to the form being printed and mailed.
18. On June 15, 2001, a State Ethics Commission Special Investigator conducted a
subsequent Statement of Financial Interests Compliance Review in Honey Brook
Township.
a. The review was initiated following the receipt of information by the Ethics
Commission that Statements of Financial Interests for Honey Brook
Township officials were not on file.
b. Specifically reviewed were Statement[s] of Financial Interests for calendar
year 2000 with a filing due date of no later than May 1, 2001.
19. As of June 15, 2001, Draper had not filed a Statement of Financial Interests with
Honey Brook Township for the 2000 calendar year.
a. Draper's failure to file an [sic] Statement of Financial Interests for calendar
year 2000, by May 1, 2001, was confirmed by Township Secretary Whitman
on June 15, 2001.
20. Sometime after June 15, 2001, Whitman advised Honey Brook Township
Supervisor Michal [sic] Jany that investigators from the State Ethics Commission
had conducted a Statement of Financial Interests Compliance Review on June 15,
2001, and Draper's Statement of Financial Interests form for calendar year 2000
had not yet been filed.
21. Sometime between June 15, 2001, and June 26, 2001, Jany gave Draper a blank
Statement of Financial Interests form to complete for the 2000 calendar year.
a. This form was required to have been filed no later than May 1, 2001.
22. Sometime between June 15, 2001, and June 26, 2001, Draper filed a Statement of
Financial Interests for calendar year 2000.
a. Draper[']s Statement of Financial Interests for calendar year 2000 contained
the following information:
Calendar Year: 2000
Dated: 05/10/01 on SEC form 1/01
Position: Supervisor
Real Estate Interests: None
Creditors: Blue Ball Bank, 8%
Direct /Indirect Income: D &B Tech Services, Inc., Honey Brook Township and
Draper, 01- 045 -C2
Page 7
Office, Directorship or
Emp. in any Business:
Financial Int. in any Bus:
Packaged Electrical Power
D &B Tech Services, Inc., owner, Vice President
D &B Tech Services, Inc., 50%
23. Draper's form dated May 10, 2001, was not filed before June 15, 2001.
24. On June 28, 2001, the State Ethics Commission received a letter from Secretary
Whitman dated June 26, 2001, which included Statements of Financial Interests
forms filed by Peter Draper, Joseph Wilson, Donald Johnson, Barbara Stoltzfus,
and Beverly Jackson.
a. A Statement of Financial Interests for Draper dated May 10, 2001, was
included.
b. The forms filed by Wilson, Johnson, Stoltzfus and Jackson were not
backdated.
25. Draper submitted backdated Statements of Financial Interests forms for calendar
years 1996, 1998, 1999, and 2000 after being made aware that compliance reviews
were to be conducted by the State Ethics Commission.
26. Draper annually accepted compensation from the general fund of Honey Brook
Township in his official capacity as a Township Supervisor for calendar years 1996,
1998, 1999, and 2000 as follows.
a. 1996: $1,522.50
1998: $1,500.00
1999: $1,500.00
2000: $1, 500.00
Total: $6,022.50
b. Total wages collected during the time frame when Statements of Financial
Interests were not filed in accordance with the provisions of the Ethics Act
(calendar years 1996, 1998, and 1999): $4,522.50.
c. Draper[']s Statement of Financial Interests for calendar year 2000, although
backdated, was still filed during the same calendar year it was due.
III. DISCUSSION:
At all times relevant to this matter, the Respondent, Peter Draper, hereinafter
Draper, has been a public official 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 Draper, as a Honey Brook Township Supervisor, violated
Sections 4(a)/1104(a), 4(d)/1104(d), and 5(a)/1105(a) of the Ethics Act when he failed to
file Statements of Financial Interests for the 1996 through 2000 calendar years by May 1 of
each following year; and subsequently backdated the forms for the calendar years 1996
through 1999.
Section 4/1104. Statement of financial interests required to be filed.
Draper, 01- 045 -C2
Page 8
(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 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.
(d) Failure to file required statement. - -No public official shall be
allowed to take the oath of office or enter or continue upon his duties, nor
shall he receive compensation from public funds, unless he has filed a
statement of financial interests as required by this chapter.
Section 5/1105. Statement of financial interests.
(a) Form. - -The statement of financial interests filed pursuant to this
chapter shall be on a form prescribed by the commission. All information
requested on the statement shall be provided to the best of the knowledge,
information and belief of the person required to file and shall be signed
under oath or equivalent affirmation.
65 P.S. §405(a)/65 Pa.C.S. §1105(a).
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.
Draper has served as a Supervisor in Honey Brook Township since January of
1996. In that position, Draper is required to annually file Statements of Financial Interests
(FIS's). The Honey Brook Township Secretary /Treasurer who is the custodian of all of the
township records including FIS's, routinely distributes FIS's to all public officials /employees
in the township. Typically, the secretary /treasurer distributes blank FIS's in January or
February of each year after receipt of the forms from this Commission. The secretary/
treasurer accepts the completed FIS's and maintains them in the municipal building in a
locked filing cabinet to which only she and a part -time secretary have the keys.
Since January of 1997, Draper has received blank FIS's from the
secretary /treasurer who frequently reminded Draper to fill out FIS's prior to the May 1
deadline. Nevertheless, Draper did not file the forms despite the reminders by the
secretary /treasurer.
Draper, 01- 045 -C2
Page 9
After the secretary /treasurer was advised in October of 2000 that a State Ethics
Commission (SEC) investigator would conduct a compliance review of the FIS's on file for
Honey Brook Township, she contacted Draper and advised him to file his FIS's before
October 13, 2000, which is the date the investigator would come to the township. When
the SEC investigator did a compliance review of the FIS's on October 13, 2000, he found
that Draper had filed his 1996 through 2000 calendar year FIS's immediately prior to the
compliance review.
It was determined that Draper backdated his 1996, 1998, and 1999 calendar year
FIS's to give the impression that the FIS's had been filed at an earlier time. The foregoing
is conclusively established because the FIS forms that Draper used had a printer's date of
January 2000 which were not mailed to the municipalities until January 21, 2000. Thus,
Draper's purported filing dates of May 1, 1996, 1998, and 1999 for those same calendar
years were backdated.
Similarly, for the calendar year 2000, a compliance review on June 15, 2001,
revealed that Draper had not filed his FIS. Draper filed the FIS for the 2000 calendar year
sometime in June of 2001 but backdated the filing by using the date of May 10, 2001.
It is stipulated by the parties that Draper backdated his FIS's for the calendar years
1996, 1998, 1999, and 2000.
Lastly, the admitted findings reflect that Draper received compensation as a
Supervisor of $1,522.50 in 1996, $1,500.00 in 1998, $1,500 in 1999, and $1,500 in 2000
making a total of $6,022.50 during that time period when he was not in compliance with the
FIS filing requirements of the Ethics Act.
Having summarized the above relevant facts we must now determine whether the
actions of Draper violated Section 4(a)/1104(a) of the Ethics Act.
The parties' Consent Agreement sets forth a proposed resolution of the allegations.
The Consent Agreement proposes that this Commission find violations of Section 1104(a),
1104(d) and 1105(a) of the Ethics Act when Draper failed to file FIS's for calendar years
1996, 1997, 1998, 1999, and 2000 by May 1 of the following years and when he
subsequently backdated FIS's for calendar years 1996 through 1999. In addition, Draper
agrees to make payment in the amount of $2,500 in settlement of this matter to the
Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics
Commission in seventeen (17) monthly installments of $139 and one final payment of
$137. The payments are to begin no later than the 30 day after the date of the mailing of
this Order and every thirty (30) days thereafter until fully paid.
As a public official, Draper is required to annually file FIS's. Despite the legal
requirement of the Ethics Act, Draper chose not to comply with the law. The record reflects
that the township secretary/ treasurer specifically gave the FIS forms to Draper on a yearly
basis and reminded him that he had to file. Draper chose not to file. Draper's conduct
became more severe when he deliberately backdated the FIS forms when he belatedly
filed them. The backdating is established of record as per the Stipulation of Findings filed
by the parties. Accordingly, Draper violated Section 4(a)/1104(a) of the Ethics Act in each
instance when he failed to timely file FIS's for calendar years 1996, 1997, 1998, 1999, and
2000. Draper also violated Section 5(a)/1105(a) of the Ethics Act in each instance when
he backdated FIS forms for the calendar years 1996 through 1999. Finally, Draper
violated Section 4(d)/1104(d) of the Ethics Act when he received compensation as the
Honey Brook Township Supervisor for each year in which he was not in compliance with
the FIS filing requirements. Although Draper's FIS for calendar year 2000 was backdated,
we need not address that issue in that it is not part of the allegation.
Draper, 01- 045 -C2
Page 10
As for the payment of $2,500 by Draper, we have previously imposed such a pay
back in a case where a public official received compensation when he was not in
compliance with the FIS filing requirements of the Ethics Act. See, Huhn, Order No. 431.
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. If Draper has not already done so, he is
directed to file amended FIS's for the calendar years 1996, 1997, 1998, 1999, and 2000 to
reflect the actual date of filing. The original is to be filed with the secretary /treasurer of
Honey Brook Township with one copy sent to the Administrative Division of the
Commission for compliance verification. Further, Draper is directed to make payment of
$2,500 to the Commonwealth through this Commission in seventeen (17) monthly
installments of $139 and one final payment of $137. Said payments are to begin no later
than the 30 day after the date of mailing of this Order and every 30 days thereafter until
fully paid. 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. Draper, as a Supervisor for Honey Brook Township in Chester County, is a public
official subject to the provisions of Act 9 of 1989/Act 93 of 1998, Chapter 11.
2. Draper violated Section 4(a)/1104(a) of the Ethics Act in each instance that he
failed to timely file FIS forms for calendar years 1996, 1997, 1998, 1999, and 2000.
3. Draper violated Section 5(a)/1105(a) of the Ethics Act in each instance that he
backdated FIS forms for the calendar years 1996 through 1999.
4. Draper violated Section 4(d)/1104(d) of the Ethics Act when he received
compensation from public funds as the Honey Brook Township Supervisor while he
was not in compliance with the FIS filing requirements.
In Re: Peter Draper
File Docket: 01- 045 -C2
Date Decided: 2/4/02
Date Mailed: 2/15/02
ORDER NO. 1229
1 Draper, as a Supervisor for Honey Brook Township in Chester County, violated
Section 4(a)/1104(a) of the Ethics Act in each instance that he failed to timely file
Statement of Financial Interests forms for calendar years 1996, 1997, 1998, 1999,
and 2000.
2. Draper violated Section 5(a)/1105(a) of the Ethics Act in each instance that he
backdated Statement of Financial Interests forms for the calendar years 1996
through 1999.
3. Draper violated Section 4(d)/1104(d) of the Ethics Act when he received
compensation from public funds as the Honey Brook Township Supervisor while he
was not in compliance with the Statement of Financial Interests filing requirements.
4. If Draper has not already done so, he is directed to file amended Statements of
Financial Interests for the calendar years 1996, 1997, 1998, 1999, and 2000 to
reflect the actual date of filing. The original is to be filed with the secretary/treasurer
of Honey Brook Township with one copy sent to the Administrative Division of the
Commission for compliance verification.
5. Per the Consent Agreement, Draper is directed to make payment of $2,500 to the
Commonwealth through this Commission in seventeen (17) monthly installments of
$1 9 and one final payment of $137. Said payments are to begin no later than the
30 day after the date of mailing of this Order and every 30 days thereafter until
fully paid.
6. Compliance with paragraphs 4 and 5 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.
BY THE COMMISSION,
DANEEN E. REESE, CHAIR