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HomeMy WebLinkAbout1270 HeichelIn Re: William Paul Heichel 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- 036 -C2 Order No. 1270 4/4/03 4/18/03 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 investi9ation, the Investigative Division served upon Respondent written notice of the specific allegation(s). Upon completion of its investi9ation the Investigative Division issued and served upon Respondent a Findings Report identified as an "Investigative Complaint." An Answer was not filed and a hearing was deemed waived. The record is complete. A Consent Agreement and Stipulation of Findings were submitted by the parties to the Commission for consideration. 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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11 of Act 93 of 1998, 65 Pa.C.S. § 1101 et seq., which essentially repeats Act 9 of 1989 and provides for the completion of pending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. Heichel 02- 036 -C2 Page 2 I. ALLEGATION: That William Paul Heichel, a (public official /public employee) in his capacity as a Supervisor for West Keating Township, Clinton County, violated the following provisions of the Ethics Act (Act 93 if 1998) when he failed to file Statements of Financial Interests for the 1998, 1999 and 2000 calendar years; and when he subsequently submitted backdated forms giving the impression that forms were timely filed. §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 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 Pa.C.S. §1104(a). II. FINDINGS: 1. William Paul Heichel has served as a West Keating Township, Clinton County, Supervisor for over 25 years. 2. Statements of Financial Interests are required to be filed by elected public officials by May 1 of each year, containing information relating to the prior calendar year. a. Forms are to be filed each year a person holds public office and for one year after the person leaves office. 3. The Administrative Division of the State Ethics Commission annually mails blank Statements of Financial Interests to municipalities throughout the Commonwealth for completion by elected public officials, appointed officials and public employees. a. Township supervisors are elected public officials. 4. Statement of Financial Interests forms were annually mailed to West Keating Township Secretary Faith Shepardson in 1999, 2000 and 2001 by the Administrative Division of the State Ethics Commission. a. In 1999, blank forms, SEC -1, Rev. 1/99 were mass mailed to all municipalities in the Commonwealth on February 9, 1999. b. The 2000 forms SEC -1, Rev. 1/00 were bulk mailed on January 21, 2000. c. The 2001 forms SEC -1, Rev. 1/01 were bulk mailed on or about December 13, 2000. d. The 2002 forms SEC -1, Rev. 1/02 were bulk mailed on or about December 14, Heichel 02- 036 -C2 Page 3 2001. 5. Each year when forms are printed, an identification date is listed in the upper left hand corner of the form. a. Forms printed in 1999 contained an identification date of SEC -1 1/99, while forms printed in 2000, 2001, and 2002 contained identification dates of SEC -1 1/00, SEC -1 1/01 and SEC -1 1/02. 6. Statement of Financial Interests forms on file with West Keating Township include the following filings for William Paul Heichel: a. Calendar Year: Filed: [sic] Position: Creditors: Direct /Indirect Income: All other financial interests: b. Calendar Year: Filed: [sic] Position: Direct /Indirect Income: All other financial interests: c. Calendar year: Filed: [sic] Position: Creditors: Direct /Indirect Income: All other financial interests: d. Calendar year: Filed: [sic] Position: Creditors: Direct /Indirect Income: All other financial interests: e. Calendar year: Filed: Position: Creditors: Direct /Indirect Income: All other financial interests: a. b. c. 1998 01/06/99 on SEC Form 1/02 Supervisor None Social Security None 1999 01/10/00 on SEC Form 1/02 Supervisor Social Security None 2000 01/04/01 on SEC Form 1/02 Supervisor None Social Security None 2000 01/10/01 on SEC Form Rev. 1/99 Supervisor None Social Security None 2001 01/15/02 on SEC Form 1/99 Supervisor None Social Security None 7. Heichel's Statement of Financial Interests forms for the 1998, 1999 and 2000 calendar years were backdated to create the impression of a timely filing. Each filing was on a Statement of Financial Interests form with a revision date of SEC -1, Rev. 1/02. These forms were not mailed to municipalities until December 13, 2001. These forms were not printed or in circulation at the times Heichel purportedly filed them. Heichel 02- 036 -C2 Page 4 8. On January 29, 2002, a State Ethics Commission Special Investigator contacted Faith Shepardson telephonically to arrange a time to review West Keating Township records, including Statements of Financial Interests. 9. On January 30, 2002, State Ethics Commission Investigators Kollin Harmon and Jason Bricker conducted a review of Statement of Financial Interests forms for West Keating Township officials. 10. Heichel was provided with blank Statements of Financial Interests by Faith Shepardson between January 29, 2002, and January 30, 2002. a. Shepardson gave these forms to Heichel after becoming aware that there would be a compliance review and that forms for Heichel and other township officials were not on file. 11. Heichel filed backdated SFI forms for calendar years 1998, 1999 and 2000 with Faith Shepardson between January 29, 2002, and January 30, 2002, so that the forms would be on file for Ethics Commission review on January 30, 2002. 12. W -2 Wage and Tax Statements on file with West Keating Township include the following supervisors wages paid to Heichel during calendar years 1998 through 2000 while failing to timely file Statements of Financial Interests for those calendar years: a. 1998 $325.00 b. 1999 $325.00 c. 2000 $300.00 Total $950.00 13. Faith Shepardson, township secretary, confirmed that she delivered the blank SEC -1, Rev. 1/02 Statements of Financial Interests to the non - filing individuals, including Heichel, on January 29 and 30, 2002, so that when the Ethics Commission investigators reviewed them, they would appear to have been timely filed. 14. Heichel admitted that to the best of his knowledge, he never filled out an Statement of Financial Interests Form, and his sister, Faith Shepardson, filled the forms out, and he thought his only responsibility was to sign the form. III. DISCUSSION: At all times relevant to this matter, the Respondent, William Paul Heichel, hereinafter Heichel, 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 se ., as codified by the Public Official and Employee Ethics Act, Act 93 of 1998, Chapter 11, 65Pa.C.S. § 1101 et seq., which Acts are referred to herein as the "Ethics Act." The allegations are that Heichel, as a West Keating Township Supervisor, violated Section 1104(a) of the Ethics Act when he failed to file Statements of Financial Interests (SFI's) for the 1998, 1999 and 2000 calendar years; and when he subsequently backdated SFI forms for the calendar years 1998, 1999 and 2000. Pursuant to Section 1104(a) of the Ethics Act quoted above, Respondent was specifically required to file SFI's for calendar years 1998, 1999 and 2000 with West Keating Township (Township) on or before May 1, 1999, May 1, 2000, and May 1, 2001, respectively. Heichel 02- 036 -C2 Page 5 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. Heichel has served as a Supervisor for the Township for over 25 years. As a public official, Heichel is required to file SFI's with the Township by May 1 of each year that he holds the position of Township Supervisor as well as of the year after he leaves such a position. Each year, the Administrative Division of the State Ethics Commission has bulk mailed blank SFI forms to municipalities throughout the Commonwealth including the Township. Blank SFI forms for the 1998, 1999, 2000, and 2001 calendar years were mailed by the State Ethics Commission to the Township Secretary/Treasurer for distribution to Township public officials and public employees in February 1999, January 2000, December 2000, and December 2001, respectively. The SFI forms mailed by the State Ethics Commission bore different identification dates depending upon the year of printing. Forms printed in 1999 were marked SEC -1, Rev. 1/99; forms printed in 2000 were marked SEC -1, Rev. 1/00; forms printed in 2001 were marked SEC -1, Rev. 1/01; and forms printed in 2002 were marked SEC -1, Rev. 1/02. SFI's for calendar years 1998 through 2001 were completed and filed with the Township by Heichel. Heichel completed his 1998 and 1999 calendar year SFI's on SEC -1, Rev. 1/02 forms, but dated the forms January 6, 1999, and January 10, 2000, respectively. Heichel filed two SFI's for calendar y ear 2000. One of the two SFI's for calendar year 2000 was completed on an SEC -1, Rev. 1/02 form and dated January 4, 2001, while the other SFI was completed on an SEC -1, Rev.1 /99 form and dated January 10, 2001. See, Fact Finding 6. c, d. The SEC -1, Rev. 1/02 form was not in print at the times of Heichel's purported filings. As to the SFI completed on an SEC -1, Rev. 1/99 form with the purported filing date of January 10, 2001, the parties have stipulated that Heichel's SFI's for calendar years 1998 through 2000, were backdated to create the impression that they were timely filed. See, Fact Finding 7. An SFI compliance review was scheduled by investigators for the State Ethics Commission on January 30, 2002. Prior to the compliance review, the Township Secretary/Treasurer determined that SFI's for Heichel were not on file with the Township. The Township Secretary/Treasurer then provided Heichel with blank SFI's. Between January29, 2002, and January 30, 2002, Heichel completed and filed SFI's for calendar years 1998, 1999, and 2000 with the Township, but backdated the forms as noted above. Heichel admitted that to the best of his knowledge, he never filled out an SFI form, and that his sister, Faith Shepardson, the Township Secretary/Treasurer, filled the forms out for him. Heichel stated his belief that his only responsibility was to sign the form. 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 a violation of Section 1104(a) of the Ethics Act by Heichel, as a Supervisor for West Keating Township, when he failed to file Statements of Financial Interests for the 1998, 1999 and 2000 calendar years by May 1, 1999, May 1, 2000, and May 1, 2001 and when he subsequently submitted backdated forms filed for the 1998, 1999 and 2000 calendar years; and an agreement by Heichel to make payment in the amount of $100 in settlement of this matter within thirty (30) days of the issuance of this Order through this Commission to the Commonwealth of Pennsylvania. Heichel 02- 036 -C2 Page 6 As a public official, Heichel is required to annually file SFI's. Despite the legal requirement of the Ethics Act, Heichel failed to comply with the law. The record reflects that after receiving blank SFI's from the Township Secretary /Treasurer between January 29, 2002, and January 30, 2002, but prior to the Compliance Review, Heichel completed SFI's for calendar years 1998, 1999 and 2000. When Heichel subsequently filed the forms, he backdated them to give the impression that the forms were timely filed. The printer's identification dates on the SFI forms filed by Heichel for calendar years 1998, 1999 and 2000 establish that Heichel backdated his SFI's, as those particular forms were neither in print nor in circulation during the purported filings. Accordingly, we find that Heichel violated Section 1104(a) of the Ethics Act when he failed to timely file SFI's for calendar years 1998, 1999 and 2000 and when he backdated his SFI's for those calendar years. If Heichel has not already done so, we direct that he file amended SFI's for calendar years 1998, 1999 and 2000 reflecting actual dates of filing. The originals are to be filed with the Township and copies are to be sent to the Administrative Division of the State Ethics Commission for compliance verification. As for the payment of $100 by Heichel, we have previously imposed a pay back in a case where a public official received compensation when he was not in compliance with the SFI filing requirements of the Ethics Act. See, Huhn, Order 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, Heichel is directed to make payment of $100.00 to the Commonwealth of Pennsylvania through this Commission within thirty (30) days of the mailing date of this Order and, if he has not already done so, to file amended SFI's for calendar years 1998, 1999 and 2000 reflecting the actual dates of filing, the originals of which are to be filed with the Township with copies to be sent to the Administrative Division of the State Ethics Commission for compliance verification. 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. Heichel, as a Supervisor for West Keating Township, was at all times relevant to these proceedings a public official subject to the provisions of Act 9 of 1989 as codified by Act 93 of 1998. 2. Heichel violated Section 1104(a) of the Ethics Act when he failed to timely file and then backdated SFI forms for calendar years 1998, 1999 and 2000. In Re: William Paul Heichel ORDER NO. 1270 File Docket: 02- 036 -C2 Date Decided: 4/4/03 Date Mailed: 4/18/03 1. Heichel, as a Supervisor for West Keating Township, violated Section 1104(a) of the Ethics Act when he failed to timely file and then backdated SFI forms for calendar years 1998, 1999 and 2000. 2. If Heichel has not already done so, he is directed to file amended SFI's for calendar years 1998, 1999 and 2000 reflecting actual dates of filing. The originals are to be filed with the Township and copies are to be sent to the Administrative Division of the State Ethics Commission for compliance verification. 3. Per the Consent Agreement of the parties, Heichel is directed to make payment of $100.00 to the Commonwealth of Pennsylvania through this Commission within thirty (30) days of the mailing date of this Order. a. Compliance with the foregoing will result in the closing of this case with no further action by this Commission. b. Non - compliance will result in the institution of an order enforcement action. BY THE COMMISSION, Louis W. Fryman, Chair