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HomeMy WebLinkAbout1230 ForrestIn Re: Steven Forrest 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- 058 -C2 Order No. 1230 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 untimely filed and a hearing was deemed waived. A Consent Agreement and Stipulation of Findings were submitted by the parties to the Commission for consideration. The Consent Agreement was subsequently approved. 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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11 of Act 93 of 1998, 65 Pa.C.S. §1101 et seq., which essentially repeats Act 9 of 1989 and provides for the completion of pending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. Forrest, 01- 058 -C2 Page 2 I. ALLEGATION: That Steven Forrest, a public official in his capacity as a Member of the Zoning Hearing Board, Honey Brook Township, Chester County, violated Section 4(a)/1104(a) and 4(d)/1104(d) of the Ethics Act when he failed to file Statements of Financial Interests for the 1998, 1999 and 2000 calendar years; when he subsequently backdated forms for those calendar years on a form not printed until January 2001; and when he received compensation from public funds in 1998, 1999 and 2000 when he had not filed Statements of Financial Interests. II. FINDINGS: 1. Steven Forrest has served as a member of the Zoning Hearing Board of Honey Brook Township, Chester County, since January 1999. 2. Ruby Whitman has served as Honey Brook Township Secretary /Treasurer since approximately 1980. 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 serves as the custodian of all Honey Brook Township records, including Statements of Financial Interests. 3. Statements of Financial Interests are required to be filed annually by elected and appointed public officials and employees of the Commonwealth. 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. During Forrest's tenure on the Zoning Hearing Board, Whitman has been responsible for distributing Statements of Financial Interests to public officials /employees of the township. Whitman distributes blank statements to individuals serving on various township boards, including the zoning hearing board. 5. Upon receipt of blank Statements of Financial Interests forms from the State Ethics Commission, Whitman distributes blank forms to all township officials and employees who are required to file, usually in January or February of each year. a. a. Whitman either personally delivers the blank forms or includes them with meeting materials and official correspondence for the Zoning Hearing Board. 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 Forrest, 01- 058 -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 at the Honey Brook Township Municipal Building. a. Statements of Financial Interests for Honey Brook Township are maintained in a locked filing cabinet located in Whitman's office. 1. Whitman's office is not located in a public area of the township building. 2. Whitman's filing cabinet is locked at the end of her shift and again opened at the beginning of her shift. 3. 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. Whitman never received any information that any Statements of Financial Interests forms for Honey Brook Township officials were lost or stolen. 9. Since January 1999, Steven Forrest has annually received blank Statements of Financial Interests forms from Ruby Whitman to be completed. a. Whitman annually provided Forrest with blank Statement of Financial Interests forms to complete either personally or along with Zoning Hearing Board materials. b. This was the same process utilized by Whitman for the distribution of blank Statement of Financial Interests forms to all township officials /employees. c. The forms are distributed by Whitman in January or February of each year. 10. Annually, from 1999 to 2001, Whitman frequently reminded Forrest to fill out Statements of Financial [I]nterests. a. Forrest was reminded annually by Whitman prior to May 1 St to file his Statement of Financial Interests. b. Forrest did not file forms even though Whitman advised him he was required to do so. 11. During the week of October 1, 2000, a State Ethics Commission Investigator contacted Whitman advising her that a compliance review of the Statements of Financial Interests forms completed by township officials would be conducted on October 13, 200[0]. a. After being contacted by the Investigator, Whitman informed Forrest that the investigator was coming to the township on October 13, 2000, and Forrest needed to file his Statements of Financial Interests before that date. 12. On October 13, 2000, the Special Investigator conducted a Statement of Financial Interests Compliance Review in Honey Brook Township. a. No Statements of Financial Interests forms were on file for Forrest. 13. On April 11, 2001, the Administrative Division of the State Ethics Commission sent Forrest, 01- 058 -C2 Page 4 a notice to Forrest advising him that he failed to file Statements of Financial Interests for the 1998 and 1999 calendar years. a. The notice informed Forrest that he had a twenty (20) day grace period during which he could file the forms. b. The notice further advised th[at] civil penalty proceedings could ensue resulting in the imposition of financial penalties. 14. Forrest took no action regarding the notice letter. a. No statements were filed by Forrest with the township. 15. On June 5, 2001, a Honey Brook Township resident viewed Statements of Financial Interests forms on file for township officials. a. No forms were filed by Forrest for any calendar year. 16. Township Supervisor Michael Jany learned of the citizen inquiry to review the statements and discussed the situation with Secretary Whitman. a. b. 17. Between June 5, 2001, and June 7, 2001, Forrest filed the following Statements of Financial Interests for calendar years 1998, 1999 and 2000. a. Whitman informed Jany that several township officials including Forrest had failed to file Statements of Financial Interests forms. On or about June 5, 2001, Supervisor Jany personally contacted Forrest and directed him to file Statements of Financial Interests for calendar years 1998, 1999 and 2000. Calendar Year: Filed: Position: Occupation or Profession: Real Estate Interests: Direct /Indirect Income: Office, Directorship or Emp. in any Business: Emp in any Business: Fin. Int. in any Business: b. Calendar Year: Filed: Position: Occupation or Profession: Real Estate Interests: Direct /Indirect Income: Office, Directorship or Emp. in any Business: Emp in any Business: Fin. Int. in any Business: c. 1998 03/15/98 on SEC Rev. 1/01 Zoning Hearing Board Member Retail Sales None None None None None 1999 03/25/99 on SEC Rev. 1/01 Zoning Hearing Board Member Maintenance Supervisor None None None None None Forrest, 01- 058 -C2 Page 5 Calendar Year: Filed: Position: Occupation or Profession: Real Estate Interests: Direct /Indirect Income: Office, Directorship or Emp. in any Business: Emp in any Business: in. Int. in any Business: 2000 03/05/01 on SEC Rev. 1/01 Zoning Hearing Board Member Maintenance Supervisor and Road Crew None None None None None 18. Forrest's Statements of Financial Interests listed in the previous finding were observed by a township resident in township files on June 7, 2001. a. None of these forms were filed prior to June 5, 2001. 19. 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. c. During this review, Statements of Financial Interests filed by Forrest were observed in township files. 20. The Statements of Financial Interests on file for Forrest for calendar years 1998, 1999 and 2000 listed filing dates prior to the date when Forrest actually filed the forms. a. The statements were backdated giving the impression that the forms were filed by May 1, 1999; May 1, 2000; and May 1, 2001. b. The form filed by Forrest for the 1998 calendar year was filed on form SEC -1, Rev. 1/01, signed by Draper [sic] and dated March 15, 1998. 1. This form was not mailed to municipalities until December 29, 2000. 2. Forrest's listed filing date of March 15, 1998, is more than two and a half years prior to the form being printed and mailed. c. The form filed by Forrest for the 1999 calendar year was filed on form SEC -1, Rev. 1/01 signed by Forrest and dated March 25, 1999. 1. This form was not mailed to municipalities until December 29, 2000. 2. Forrest's listed filing date of March 25, 1999, is more than a year and a half prior to the form being printed and mailed. d. The form filed by Forrest for the 2000 calendar year was filed on form SEC -1, Rev. 1/01, signed by Forrest and dated March 5, 2001. 1. Forrest admitted to investigators of the State Ethics Commission that Forrest, 01- 058 -C2 Page 6 he actually didn't complete this form until Michael Jany told him to do so between June 5, 2001, and June 7, 2001. 21. The Pennsylvania State Ethics Commission contracts the printing of the Statement of Financial Interests annually. a. In 1999, 2000 and 2001, 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. 22. 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 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. 23. Statements of Financial Interests forms were annually mailed to Honey Brook Township in 1999, 2000 and 2001 by the Administrative Division of the State Ethics Commission on the following dates: a. In 1999 blank forms were mass mailed to all Commonwealth municipalities on February 9, 1999. 1. These forms contained the State Ethics Commission form identification of SEC -1, Rev. 1/99. b. 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. c. In 2001 blank forms were mass mailed to all Commonwealth municipalities on December 29, 2000. 1. These forms contained the State Ethics Commission form identification of SEC -1, Rev. 1/01. 2. This form should have been filed no later than May 1, 2001. 24. On November 9, 2001, Forrest admitted to investigators for the State Ethics Commission that he backdated forms for the calendar years 1998, 1999 and 2000. a. Forrest confirmed annually receiving blank SFI forms to complete. b. Forrest admitted that he did not complete the forms by their required due Forrest, 01- 058 -C2 Page 7 date. c. Forrest admits to being informed by Whitman of the necessity to file but did not believe the forms were important and decided not to file. d. Forrest acknowledged completing the forms after specifically being told by Supervisor Jany to do so in June 2001. 25. Forrest's backdated filings created the impression that he was complying with the filing requirements of the law. 26. Forrest annually accepted compensation from the general fund of Honey Brook Township in his official capacity as a Township Zoning Hearing Board Member during the period when he failed to file Statements of Financial Interests for calendar years 1998, 1999 and 2000. a. Forrest received the following wages from the township during those years. 1998: $225.00 1999: $400.00 2000: $325.00 Total: $950.00 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 1998, 1999 and 2000): $950.00. III. DISCUSSION: At all times relevant to this matter, the Respondent, Steven Forrest, hereinafter Forrest, 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 Forrest violated Sections 4(a)/1104(a) and 4(d)/1104(d) of the Ethics Act when he, as a Member of the Zoning Hearing Board, Honey Brook Township, Chester County, failed to file Statements of Financial Interests for the 1998, 1999 and 2000 calendar years, subsequently backdated forms for those calendar years on a form not printed until January 2001, and received compensation from public funds in 1998, 1999 and 2000 when he had not filed Statements of Financial Interests. 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 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 Forrest, 01- 058 -C2 Page 8 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. (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. 65 Pa.C.S. §1104(a) and (d). Having noted the issues and applicable law, we shall now summarize the relevant facts. Forrest has served as a Zoning Hearing Board Member in Honey Brook Township since January of 1999. In that position, Forrest 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 the 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. According to the secretary /treasurer, there has never been an instance where FIS's have been lost or stolen in the township. Since January of 1999 Forrest received blank FIS's from the secretary/ treasurer who frequently reminded Forrest to fill out FIS's for the prior calendar years. Nevertheless, Forrest failed to file FIS's despite the reminders by the secretary /treasurer. 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 with Honey Brook Township, she contacted Forrest 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 completed a compliance review of the FIS's on October 13, 2000, he found that Forrest had not filed any FIS's. The Administrative Division of this Commission gave notice to Forrest that he failed to file FIS's for calendar years 1998 and 1999 but Forrest did not comply. Subsequently, after one of the township supervisors learned that Forrest failed to file the FIS's, the supervisor personally contacted Forrest and directed him to file the FIS's for the calendar years 1998 through 2000. Forrest then filed the FIS's sometime during the first week of June 2001. During a subsequent FIS compliance review by the SEC investigator on June 15, 2001, it was learned that Forrest backdated his calendar 1998 through 2000 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 Forrest used had a printer's date of January 2001. Thus, Forrest's purported filing date of March 15, 1998, and March 25, 1999, for the calendar year 1998 and 1999 forms were backdated. As to the 2000 calendar year form, Forrest admitted that he filed the FIS during the first week of June of 2001 but wrote the date of March 5, 2001, on the FIS as the filing date. In a subsequent interview with investigators of this Commission, Forrest admitted that he received the FIS forms, did not complete them, and only filed the FIS's after he was Forrest, 01- 058 -C2 Page 9 directed by the township supervisor. Forrest stated that he considered the FIS's unimportant and decided not to file the forms. Lastly, the admitted findings reflect that Forrest received compensation as a Zoning Hearing Board Member of $225 in 1998, $400 in 1999, and $325 in 2000 making a total of $950 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 Forrest violated Sections 4(a)/1104(a) and 4(d)/1104(d) of the Ethics Act. The parties have entered into a Consent Agreement and filed a Stipulation of Findings. The Consent Agreement proposes that we find that a violation of Section 1104(a) of the Ethics Act when Forrest failed to file FIS's for the 1998, 1999, and 2000 calendar years by May 1 of the respective following year, and when he subsequently backdated the FIS `s creating the impression that the forms had been timely filed. Further, Forrest agrees to make payment of $600 to the State Treasury through this Commission in six (6) equal monthly installments of $100, commencing thirty (30) days thereafter until fully paid. As a public official, Forrest is required to annually file FIS's. Despite the legal requirement of the Ethics Act, Forrest chose not to comply with the law. The decision by Forrest was not due to carelessness or forgetfulness. The record reflects that the township secretary /treasurer specifically gave the FIS forms to Forrest on a yearly basis and reminded him that he had to file. Forrest made an intentional decision not to file. In this regard, Forrest admitted that he did not believe the FIS forms were important and specifically decided not to file the FIS's. See, Finding 24.c. Even after the Administrative Division of the Commission gave notice to Forrest of his failure to file, he still failed to comply. It was only after the township supervisor specifically directed Forrest to file that he did so. Forrest's action became even more egregious when he deliberately backdated the FIS forms when he subsequently filed them. Forrest has admitted backdating the FIS's. In this regard, the FIS printer's date indubitably establishes that the purported filing dates were at times when the forms were not printed or not even sent by the Commission to the township for the 1998 and 1999 calendar year filings. Accordingly, Forrest violated Section 1104(a) of the Ethics Act when he failed to timely file and then backdated his FIS's for calendar years 1998, 1999, and 2000. If Forrest has not already done so, he is directed to file amended FIS's for the calendar years 1998, 1999, and 2000 to reflect the actual dates 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. As for the payment of $600 by Forrest, 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. Accordingly, Forrest is directed to make payment to the Commonwealth of Pennsylvania in the amount of $600 to the State Treasury, through this Commission, in six (6) equal monthly installments of $100, commencing thirty (30) days after the date of the mailing of this Order, with each subsequent payment being due within thirty (30) days thereafter until full payment is made. Compliance with this Order 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. Forrest, 01- 058 -C2 Page 10 IV. CONCLUSIONS OF LAW: 1. Forrest, as a Member of the Honey Brook Township Zoning Hearing Board, is a public official subject to the provisions of Act 9 of 1989/Act 93 of 1998, Chapter 11. 2. Forrest violated Section 1104(a) of the Ethics Act when he failed to timely file and then backdated FIS forms for calendar years 1998, 1999, and 2000. In Re: Steven Forrest ORDER NO. 1230 File Docket: 01- 058 -C2 Date Decided: 2/4/02 Date Mailed: 2/15/02 1 Forrest, as a Member of the Honey Brook Township Zoning Hearing Board, violated Section 1104(a) of the Ethics Act when he failed to timely file and then backdated the FIS forms for calendar years 1998, 1999, and 2000. 2. If Forrest has not already done so, he is directed to file amended FIS's for the calendar years 1998, 1999, and 2000 to reflect the actual dates 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. 3. Per the Consent Agreement of the parties, Forrest is directed to make payment in the amount of $600 to the Commonwealth of Pennsylvania through the State Ethics Commission, to be paid in six (6) equal monthly installments of $100, commencing thirty (30) days after the date of mailing of this Order, with each subsequent payment being due within thirty (30) days thereafter until paid in full. 4. Compliance with the paragraphs 2 and 3 will result in the closing of this case with no further action by this Commission. Non - compliance will result in the institution of an order enforcement action. BY THE COMMISSION, DANEEN E. REESE, CHAIR