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HomeMy WebLinkAbout1271 HeichelIn Re: Joan E. 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- 037 -C2 Order No. 1271 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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11 of Act 93 of 1998, 65 Pa.C.S. § 1101 et seq., which essentially repeats Act 9 of 1989 and provides for the completion of pending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- 037 -C2 Page 2 I. ALLEGATION: That Joan E. Heichel, a (public official /public employee) in her capacity as an Auditor for West Keating Township, Clinton County, violated the following provisions of the Public Official and Employee Ethics Act (Act 93 of 1998) when she failed to file Statements of Financial Interests for the 1998 and 1999 calendar years; and when she 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. Joan Heichel has served as an elected auditor for West Keating Township, Clinton County, since 1995. 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 auditors are elected public officials. 4. Statement of Financial Interests forms were annually mailed to West Keating Township in 1999, 2000 and 2001 by the Administrative Division of the State Ethics Commission. a. In 1999 blank forms were mass mailed to all municipalities in the Commonwealth on February 9, 1999. 1. These forms contained the State Ethics Commission form identification of SEC -1, Rev. 1/99. 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 Heichel 02- 037 -C2 Page 3 13, 2000. d. The 2002 forms SEC -1, Rev. 1/2002 were bulk mailed on or about December 14, 2001. 5. The Pennsylvania State Ethics Commission contracts the printing of Statements of Financial Interests annually. 6. 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. 7. Blank SFI forms were annually mailed by the Administrative Division to Faith J. Shepardson, West Keating Township Secretary/Treasurer, P.O. Box 21, Pottersdale, PA 16871 in February 1999, January 2000, December 2000 for 2001, and December 2001 for 2002. a. Instructions for completion are attached to the blank forms. 8. Since at least February 1999, Faith J. Shepardson annually received blank Statement of Financial Interests forms for West Keating Township public officials and /or public employees to complete. 9. Statements of Financial Interests on file with West Keating Township include the following filings for Joan Heichel: a. Calendar year: 1998 Filed: [sic] 01/14/99 on SEC Form 1/02 Position: Auditor b. Calendar year: 1999 Filed: [sic] 01/12/00 on SEC Form Rev. 1/02 Position: Auditor c. Calendar year: 2000 Filed: 03/20/01 on SEC Form Rev. 1/01 Position: Auditor d. Calendar year: 2001 Filed: 01/17/02 on SEC Form Rev. 1/99 Position: Auditor 10. Joan Heichel's Statement of Financial Interests forms for the 1998 calendar year listed the date filed as January 14, 1999. a. The Statement of Financial Interests dated January 14, 1999, signed by Heichel was on SEC form 1/2002 which was not printed and mailed to municipalities until December 14, 2001. b. This form was not printed or in circulation on January 14, 1999, the date Heichel purportedly filed it. c. Heichel's filing was backdated creating the impression that the form was timely filed. Heichel 02- 037 -C2 Page 4 11. Joan Heichel's Statement of Financial Interests for the 1999 calendar year listed the date filed as January 12, 2000. a. The form, dated January 14, [sic] 2000, and signed by Joan Heichel was on SEC -1, Rev. 1/2002 which was not mailed to municipalities until December 14, 2001. b. This form was not printed or in circulation on January 12, 2000, the date Heichel allegedly filed the form. c. The form was backdated giving the impression it was timely filed. 12. A Statement of Financial Interests Compliance Review was to be conducted by investigators for the State Ethics Commission on January 30, 2002. a. Heichel was provided with blank Statements of Financial Interests by Faith Shepardson between January 29, 2002, and January 30, 2002, prior to the compliance review. b. 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. 13. Heichel filed Statements of Financial Interests for calendar years 1998 and 1999 with Faith Shepardson between January 29, 2002, and January 30, 2002, so that the forms would be available for review by Commission investigators. a. The forms filed by Heichel contained backdates of January 14, 1999, and January 12, 2000. 14. On November 12, 2002, Joan Heichel provided a sworn statement to Special Investigator Harmon admitting that she intentionally backdated calendar years 1998 and 1999 Statement of Financial Interests forms to create the appearance that they had been timely filed. a. Joan Heichel stated she believed that the infraction of not filing her Statement of Financial Interests timely was very minor and only completed the forms in order to "comply." III. DISCUSSION: At all times relevant to this matter, the Respondent, Joan E. 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, 6 Pa.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 Auditor, violated Section 1104(a) of the Ethics Act when she failed to timely file Statements of Financial Interests (SFI's) for the 1998 and 1999 calendar years; and when she subsequently backdated SFI forms for the calendar years 1998 and 1999. Pursuant to Section 1104(a) of the Ethics Act quoted above, Respondent was specifically required to file SFI's for calendar years 1998 and 1999 with the West Keating Township (Township) on or before May 1, 1999 and May 1, 2000, respectively. Heichel 02- 037 -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 an Auditor for the Township since 1995. As a public official, Heichel is required to file SFI's with the Township by May 1 of each year that she holds the position of Township Auditor as well as of the year after she 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 her 1998 and 1999 calendar year SFI's on SEC -1, Rev. 1/02 forms, but dated the forms January 14, 1999, and January 12, 2000, respectively. The SEC -1, Rev. 1/02 form was not in print at the times of Heichel s purported filings. 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 January 29, 2002, and January 30, 2002, Heichel completed and filed SFI's for calendar years 1998 and 1999 with the Township, but backdated the forms as noted above. Heichel provided a sworn statement to an investigator for the State Ethics Commission admitting that she intentionally backdated her SFI's for calendar years 1998 and 1999 to create the appearance that they had been timely filed. Heichel stated her belief that her delinquency in filing was very minor and that she only completed the forms in order to "comply." 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 an Auditor for West Keating Township, when she failed to file Statements of Financial Interests for the 1998 and 1999 calendar years by May 1, 1999, and May 1, 2000, and when she subsequently submitted backdated forms filed for the 1998 and 1999 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. 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 and 1999. When Heichel subsequently filed the forms, she 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 and 1999 establish that Heichel Heichel 02- 037 -C2 Page 6 backdated her 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 she failed to timely file SFI's for calendar years 1998 and 1999, and when she backdated her SFI's for those calendar years. If Heichel has not already done so, we direct that she file amended SFI's for calendar years 1998 through 1999 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. We take administrative notice that Heichel has made payment in the amount of $100 to the Commonwealth of Pennsylvania on or about December 20, 2002. 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, if Heichel has not already done so, she is directed to file amended SFI's for calendar years 1998 and 1999 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 an Auditor 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 she failed to timely file and then backdated SFI forms for calendar years 1998 and 1999. In Re: Joan E. Heichel ORDER NO. 1271 File Docket: 02- 037 -C2 Date Decided: 4/4/03 Date Mailed: 4/18/03 1. Heichel, as an Auditor for West Keating Township, violated Section 1104(a) of the Ethics Act when she failed to timely file and then backdated SFI forms for calendar years 1998 and 1999. 2. If Heichel has not already done so, she is directed to file amended SFI's for calendar years 1998 and 1999 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. 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