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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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11, Act 93 of 1998, which essentially repeats Act 9 of 1989 and provides for the completion of pending matters under Act 93 of 1998.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