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HomeMy WebLinkAbout1244 WrightIn Re: Thomas Wright File Docket: X -ref: Date Decided: Date Mailed: Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Daneen E. Reese Frank M. Brown Susan Mosites Bicket Donald M. McCurdy Michael Healey 02- 004 -C2 Order No. 1244 9/4/02 9/25/02 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). A Consent Agreement and Stipulation of Findings were submitted by the parties to the Commission for consideration. The record is complete. The Stipulation of Findings is quoted as the Findings in this Order. 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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11 of Act 93 of 1998, 65 Pa.C.S. § 1101 et seq., which essentially repeats Act 9 of 1989 and provides for the completion of pending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. Wright 02- 004 -C2 Page 2 I. ALLEGATION: Thomas Wright, as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council, committed an unintentional violation of Section 1104 of the Ethics Law, 65 Pa.C.S. §1104, when he failed to file a Statement of Financial Interests for the calendar years 1997, 1998 and 1999 as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council, and when he subsequently backdated said forms. II. FINDINGS: 1. Thomas Wright served as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council (LCSC) from 1995 through 2001. a. Beginning in 2002, Wright has been serving as Chairman of the LCSC. 2. The LCSC is an association of 32 municipalities in Washington County formed to provide services to member municipalities pursuant to the Sewage Facilities Act (Act 537). a. Each member municipality appoints a delegate to serve on the LCSC council. b. The general council members vote to appoint the operating committee. c. General council members are not compensated. 3. The operating committee serves as the governing board of the LCSC and is responsible for making policy, hiring employees, and setting wages. a. The operating committee is comprised of three officers and four other members. 1. The officers include a chairman, vice - chairman, and secretary/ treasurer. b. The operating committee members are not compensated. 4. Services provided by the LCSC include planning and regulation of community and individual sewage disposal systems, requiring municipalities to submit plans for systems in their jurisdictions, authorizing grants to municipalities and requiring permits for persons installing sewage systems. 5. The LCSC employs sewage enforcement officers and an administrator. a. The LCSC appoints the SEO's with member municipalities sharing fees and expenses on a prorated basis. 6. The administrator selected by the operating committee is responsible for the day -to -day operation of the LCSC including, but not limited to, the following duties: a. Directing the sewage enforcement officers. b. Organizing operating committee and general council meetings. c. Interacting with DEP. 7. Wright, in his capacity as Chairman and Administrator for the LCSC was required to file Statements of Financial Interests annually. Wright 02- 004 -C2 Page 3 a. Pursuant to a compliance check conducted during the spring of 2001, the State Ethics Commission requested that Wright provide copies of the Statements of Financial Interests that he filed at the LCSC in his capacity of Chairman and Administrator. 8. Along with a letter dated August 2, 2001, Wright provided copies of his Statements of Financial Interests for calendar years 1998, 1999, and 2000, that he claimed were on file at the LCSC to the State Ethics Commission. a. The forms were filed in his capacity as Chairman and Administrator. b. These forms appeared to be filed completely, accurately, and timely. c. These forms were date stamped by the State Ethics Commission as received on August 7, 2001. 9. By letter dated August 13, 2001, the State Ethics Commission confirmed receipt of Wright's 1998, 1999, and 2000, Statements of Financial Interests and requested a copy of his 1997 Statement of Financial Interests that was originally required to be provided. a. The letter provided that civil proceedings could be initiated against Wright if he did not file the 1997 Statement of Financial Interests by August 30, 2001. 10. Wright provided a copy of his 1997 Statement of Financial Interests that he claimed was on file at the LCSC to the State Ethics Commission on August 20, 2001. 11. The Statement of Financial Interests that Wright sent to the State Ethics Commission for the 1997 calendar year listed the date filed as March 3[sic], 1998. 12. The form filed by Wright for the 1997 calendar year contained a revision date of 01/00. a. Forms with a revision date of 01/00 were not printed until January 2000 and mailed to municipalities by the State Ethics Commission until January 21, 2000. 13. Wright did not file the Statement of Financial Interests for the 1997 calendar year until after January 2000. 14. Statements of Financial Interests for Wright on file with the LCSC confirm that Wright backdated forms as follows: Calendar Form Date Wright Year Revision Date Signed on Form 1995 01/01 March 1, 1996 1996 01/01 March 3, 1997 1997 01/00 March 6, 1998 1998 01/00 March 18, 1999 15. During an interview with a State Ethics Commission investigator on February 1, 2002, Wright confirmed that he backdated Statements of Financial Interests that he filed at the LCSC. Wright 02- 004 -C2 Page 4 a. Wright claimed that he was unaware that he was required to file SFI at the LCSC in his capacity as Chairman and Administrator until his discussions with State Ethics Commission personnel in 2001. b. After being notified that he was required to file Statements of Financial Interests at the LCSC, Wright completed Statements of Financial Interests for all of the years that he served as the Chairman and Administrator of the LCSC. c. Wright claimed that he was confused about what date to put on the forms when he completed them in or around June 2001 and decided to date the forms in the years that they should have been filed. III. DISCUSSION: At all times relevant to this matter, the Respondent, Thomas Wright, hereinafter Wright, has been a public official and 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 Thomas Wright, as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council, committed an unintentional violation of Section 1104 of the Ethics Law when he failed to file Statements of Financial Interests for the calendar years 1997, 1998 and 1999 and when he subsequently backdated said forms. Section 4(a)/1104(a) of the Ethics Act 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. §411104. 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 osition. 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). 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. Wright served as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council (LCSC) from 1995 through 2001 but only as Chairman from 2002. The LCSC is an association comprised of 32 municipalities in Washington County with Wright 02- 004 -C2 Page 5 an Operating Committee that serves as its governing board. The LCSC Operating Committee is responsible for making policy, hiring employees, and setting wages. The function of the LCSC is to provide planning and regulation of county and individual sewage disposal systems, to require municipalities to submit plans for systems, to authorize grants to municipalities and require permits for sewage system installations. The LCSC employs sewage enforcement officers and an administrator who is selected by the Operating Committee. The Administrator is responsible for the day to day operation of the LCSC. Wright, in his capacity as Chairman and Administrator for the LCSC, is required to file Statements of Financial Interests (SFI's). During an SFI compliance check by this Commission in 2001, Wright was requested to rovide copies of his SFI's. By IetterofAugust 2, 2001, Wright provided copies of his SFI's for the calendar years 1998, 1999, and 2000 which were received at the Commission on August 7, 2001. By letter of August 13, 2001, Wright was requested to provide a copy of his SFI for the calendar year 1997. Wright supplied a copy of his 1997 calendar year SFI which was received on August 20, 2001. As to the SFI's of Wright that are on file with the LCSC, a review of those forms reflects the following: the calendar year 1995 with a purported signing date of March 1, 1996 was not printed until January 2001; the calendar year 1996 with a purported signing date of March 3, 1997 was not printed until January 2001; the calendar year 1997 with a purported signing date of March 6, 1998 was not printed until January 2000; and the calendar year 1998 with a purported signing date of March 18, 1999 was not printed until January 2000. As to the three calendar years in issue, 1997 -1999, a review of the 1997 and 1998 calendar year SFI's filed by Wright indicates that those two forms were backdated by Wright. The foregoing is verified by the printer's number which conclusively establishes that the forms were not yet printed on the dates that Wright purports to have signed the forms. Concerning the 1999 calendar year SFI, the stipulated findings do not establish that the form was either untimely filed or backdated. Although the parties have stipulated to a violation for that particular year, we will not address that aspect of the allegation because there is not a factual basis to support such a finding. Wright claims that he was not aware that he had to file the SFI's until discussions with Commission personnel in 2001 and was confused as to the signing date when he completed the SFI's. 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 that Wright committed an unintentional violation of Section 1104 of the Ethics Act when he failed to file a Statement of Financial Interests for the calendar years 1997, 1998, and 1999. Wright agrees to make payment in the amount of $100 payable to the Commonwealth of Pennsylvania through this Commission within 30 days of the issuance of the final adjudication in this matter. Wright, as Chairman and Administrator of LCSC, is a public official and public employee required to annually file an SFI on or before May 1 S for each prior calendar year of service and for the year after leaving service. In this case, Wright failed to timely file SFI's for the calendar years 1997 and 1998 on or before the May 1 deadline and backdated his SFI's on forms that were not yet printed at the time of the purported filing. Accordingly, Wright unintentionally violated Section 1104 of the Ethics Act when he failed to timely file SFI's for calendar years 1997 and 1998 and subsequently backdated the forms. We determine that the Consent Agreement submitted by the parties sets forth the proper disposition for this case, based upon our review and modification as reflected in the Wright 02- 004 -C2 Page 6 above analysis and the totality of the facts and circumstances. Accordingly, Wright is directed to make payment in the amount of $100 payable to the Commonwealth of Pennsylvania through this Commission within 30 days of the issuance of the final adjudication in this matter. In addition, Wright is directed within 30 days of the date of mailing of this Order to file amended SFI's for the calendar years 1997 and 1998 with a correct, current filing date. 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. Wright, as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council, was a ublic official and public employee subject to the provisions of Act 9 of 1989 as codified by Act 93 of 1998. 2. Wright unintentionally violated Section 1104 of the Ethics Act when he failed to timely file SFI's for calendar years 1997 and 1998 and subsequently backdated the forms. In Re: Thomas Wright ORDER NO. 1244 File Docket: 02- 004 -C2 Date Decided: 9/4/02 Date Mailed: 9/25/02 1. Wright, as the Chairman and Administrator of the Washington County Local Cooperative Sanitation Council, unintentionally violated Section 1104 of the Ethics Act when he failed to timely file SFI's for calendar years 1997 and 1998 and subsequently backdated the forms. 2. Per the Consent Agreement of the parties, Wright agrees to make payment in the amount of $100 payable to the Commonwealth of Pennsylvania through this Commission within 30 days of the issuance of the final adjudication in this matter. 3. Wright is directed within 30 days of the date of mailing of this Order to file amended SFI's for the calendar years 1997 and 1998 with correct, current filing dates. 4. Compliance with 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, Louis W. Fryman, Chair