HomeMy WebLinkAbout1281 HeichelIn Re: Clair 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
Donald M. McCurdy
02- 006 -C2
Order No. 1281
6/23/03
7/8/03
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 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 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Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter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- 006 -C2
Page 2
I. ALLEGATION:
That Clair Heichel, a (public official /public employee) in his capacity as a Supervisor
for West Keating Township, Clinton County, violated the following Section [sic] 1103(a)) and
1103(f) and 1104(a) of the Public Official and Employee Ethics Act (65 Pa.C.S. §1101 et
seq.) when he used the authority of his office for a private pecuniary gain when he leased
equipment owned by him to the township for work on township roads; when he approved
payments to himself and /or his son for use of the personal equipment; when the contract
was subsequently entered into with the township without an open and public process; and
when he failed to file Statements of Financial Interests with the township for the 1997 and
1998 calendar years by May 1 of the succeeding calendar year and subsequently
backdated those forms giving the impression of timely filing.
II. FINDINGS:
1. Clair Heichel has been a supervisor for West Keating Township since at least
January 6, 1997.
a. Heichel served as chairman of the board in 1997 and 1998.
2. Clair Heichel has held the position of Supervisor for West Keating Township for
various terms for approximately twenty (20) years.
3. Clair Heichel has served as a part -time West Keating Township Road Department
employee since prior to the reorganization meeting of January 6, 1997.
a. Clair Heichel will, from time to time, work as an employee of West Keating
Township Road Department when additional labor is needed for road
projects.
4. West Keating Township employs one (1) full -time roadmaster with no other full -time
employees.
5. West Keating has utilized the services of contractors for road projects which require
equipment and additional manpower that the township does not possess.
a. The township owns two front -end loaders, a road grader and one dump truck.
6. The township board of supervisors have [sic] approved motions authorizing the
hiring of outside contractors for road work.
7. During the annual reorganization meetings the board of supervisors have [sic] set
rates for the hiring of equipment with operator to assist with road projects.
a. January 6, 1997: Equipment rental and wages same as 1996 ($25 /hour).
b. January 1998: Backhoe contractor at $30 /hour.
c. 1999: No rates set (Used same rates as 1998).
d. January 4, 2000: Equipment and operator at $35 /hour.
e. Clair Heichel attended each meeting and participated in board actions setting
the rates.
8. Darin Heichel is Clair Heichel's son.
Heichel 02- 006 -C2
Page 3
a. Darin Heichel owns a 1987 Ford dump truck and a 1960 Oliver backhoe.
9. Darin Heichel has worked for West Keating Township as a contracted equipment
operator since at least 1997.
10. The board of supervisors has contracted with Darin Heichel every year between
1997 and 2001 for equipment rental and operator.
a. The selection of Darin Heichel was approved by board action on two
occasions in 2000 and 2001.
b. No formal board action was taken in 1997, 1998 and 1999.
11. Darin Heichel was hired by vote of the board of supervisors for a road project on
Sand Rock Road in West Keating Township on April 3, 2000.
a. Clair Heichel was present at the meeting of April 3, 2000.
b. A motion was made by Supervisor Paul Heichel, second by Miles Gaines to
use two trucks (Dewey and Darin Heichel) on Sand Rock Road. The motion
was approved by a vote of "all in favor."
c. The Sand Rock Road project was not advertised or placed out for a
competitive bid.
12. At the April 2, 2001, regular meeting of the West Keating Township Board of
Supervisor [sic], Supervisor Paul Heichel made a motion to hire Supervisor Clair
Heichel's son, Darin's heavy equipment to be utilized for the Keating Mountain
Road project.
a. Clair Heichel abstained from voting to hire Darin's services and equipment.
1. Heichel informed board members that it would be a conflict of interest
to vote for his son.
b. The Keating Mountain Road project was not advertised or placed out for a
competitive bid.
c. Paul Heichel and Supervisors [sic] Miles Gaines agreed that Darin Heichel's
services would be necessary, and voted to hire him with Clair Heichel
abstaining from the vote.
13. There were no votes of the board of supervisors in 1997, 1998 or 1999 to authorize
the rental of Darin Heichel's equipment for any other projects.
a. The board of supervisors used the services of Darin Heichel due to his
availability and reasonable rates.
14. Darin Heichel worked as an equipment operator utilizing his personal equipment for
road projects including the Keating Mountain and Sand Rock Road Projects.
a. Darin Heichel would perform work and submit invoices to the township for
reimbursement.
15. Invoices submitted to the township by Darin Heichel would include type of services
provided, either backhoe or hauling, number of hours, hourly rate and total amount.
Heichel 02- 006 -C2
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a. The invoices did not identify the project or job site.
16. Darin Heichel submitted invoices for payment to West Keating Township as follows:
Date From To Reason Total FSy
ae
07/08/97 Darin West Keating Hauling Tractor —
to Heichel Township 3 trips $150.00 07/15/97
07/15/97
10/98 Darin West Keating 9 hrs backhoe $225.00 10/30/98
Heichel Township work @ $25 /hr
Backhoe hours
on the following
dates: 04/20/99
— 6 hrs
04/99 Darin West Keating 04/21/99 — 7 hrs $810.00 04/30/99
Heichel Township 04/27/99 — 8 hrs
4/29/99 — 6 hrs
Total 27 hrs (No
hourly rate
specified)
05/99 Darin West Keating Backhoe work — $180.00 05/15/99
Heichel Township 6 hrs
Backhoe Work —
07/99 Darin West Keating 10 $350.00 07/30/99
Heichel Township (No hourly wage
specified)
08/99 Darin West Keating Backhoe work — $525.00 08/15/99
Heichel Township 08/99 — 15 hrs
04/00 Darin West Keating Use of Truck — $700.00 04/15/00
Heichel Township 20 hrs @ $35 /hr
Darin West Keating 15 hours
04/00 backhoe Township bkhoe use @ $525.00 04/15/00
$35 /hr
Darin West Keating Backhoe work — $770.00 07/17/00
Heichel Township 22 hrs @ $35 /hr
Darin West Keating Use of Backhoe
08/07/00 Heichel Township — 10 hours @ $350.00 08/07/00
$35 /hr
09/15/00 Darin West Keating Backhoe Work — $175.00 09/15/00
Heichel Township 5 hrs @ $35 /hr
Darin West Keating Township project
05/30/01 Heichel Township — No hours or $1,435.00 05/30/01
rate listed
17. West Keating Township meeting minutes are limited and do not always document
approvals by the board of [sic] the Treasurer's Report, including bill approval.
a. Bill lists are not submitted at meetings listing individual payments.
Heichel 02- 006 -C2
Page 5
b. The township secretary /treasurer circulates invoices to board members for
review during a regular meeting.
1. No vote is taken to approve bills.
2. If there are no objections by board members, the secretary /treasurer
then prepares checks which are signed by board members.
18. Clair Heichel has signature authority on payroll accounts for West Keating
Township.
a. At least one supervisor and the secretary /treasurer are required to sign
checks issued by the township.
19. Clair Heichel has signed or verbally approved thirteen (13) West Keating Township
checks issued to Darin Heichel for services provided to the township between
October 30, 1997, to May 30, 2001.
a. Clair Heichel did not sign checks issued during this period.
20. Between May 1997 and May 2001, Darin Heichel received payments totaling
$6,967.44 for hauling and backhoe services provided to West Keating Township.
21 The following represents W -2 wage and tax statements and 1099 filings by West
Keating Township filed for Darin Heichel:
1997
1998
1999
2000
2001
W -2 earnings $1,025.00
Not on record with the Township
1099 earnings $1,865.00
1099 earnings $2,520.00
1099 earnings $1,435.00
*According to checks payable to Darin Heichel, his 1997 earnings total $1,057.44.
West Keating Township Secretary Faith Shepardson incorrectly filed erroneous
amounts of income received by Darin Heichel, understating the amount by $32.44.
The following findings relate to the allegation that Clair Heichel failed to file
Statements of Financail [sic] Interests for the 1997 and 1998 calendar years.
22. Statements of Financial Interests are required to be filed by elected and appointed
public officials and public employees by May 1 st of each year, containing information
relating to the prior calendar year.
a. As an elected supervisor of West Keating Township, Clair Heichel was
required to file Statements of Financial Interests.
23. 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.
24. Statements 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. 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.
Heichel 02- 006 -C2
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b. The 1999 forms contained the State Ethics Commission form identification
of SEC -1, Rev. 1/99.
c. The 2000 forms containing identification SEC -1, Rev. 1/00 were bulk mailed
on January 21, 2000.
d. The 2001 forms SEC -1, Rev. 1/01 were bulk mailed on or about December
13, 2000.
e. The 2002 forms SEC -1, Rev. 1/2002 were bulk mailed on or about
December 14, 2001.
25. Faith J. Shepardson confirmed the receipt of blank Statements of Financial Interests
forms for West Keating Township public officials and /or public employees to
complete.
26. Statements of Financial Interests on file with West Keating Township include the
following filings by Clair Heichel:
a. Calendar Year: 1997
Filed: 01/10/98 on SEC 1 -99
b. Calendar Year: 1998
Filed: 01/10/99 on SEC 1 -00
c. Calendar Year: 1999
Filed: 01/06/00 on SEC 1 -99
d. Calendar Year: 2000
Filed: 03/21/01 on SEC 1 -01
e. Calendar Year: 2001
Filed: 01/15/02 on SEC 1 -99
27. Heichel's Statements of Financial Interests form for the 1997 calendar year listed
the date filed as January 10, 1998.
a. Heichel's Statement of Financial Interests filed for calendar 1997 was on an
[sic] Statement of Financial Interests form with a revision date SEC -1, 1/00.
1. This form was not bulk mailed to municipalities until February 19,
1999, over one year after the January 10, 1998, date when Heichel
purportedly filed the form.
b. The form filed by Heichel was backdated giving the impression it was timely
filed.
28. Heichel's Statement of Financial Interests filed for calendar year 1998 listed a filing
date of January 10, 1999.
a. Heichel's Statement of Financial Interests for 1998 was filed on a form with a
revision date of SEC -1, Rev. 1/00.
1. This form was not bulk mailed to municipalities until January 21,
2000, over one year after the January 10, 1999, date when Heichel
purportedly filed the form.
c. [sic] This form was backdated by Heichel giving the impression that it was timely
Heichel 02- 006 -C2
Page 7
filed.
29. W -2 Wage and Tax Statements on file with West Keating Township confirm Heichel
received the following annual wages in 1997 and 1998.
Meeting Pay Labor Pay Total
a. 1997: $300.00 $2,875.40 $3,175.40
b. 1998: $300.00 $1,935.50 $2,235.00
30. On January 30, 2002, State Ethics Commission Investigative Division conducted a
compliance review of Statements of Financial Interests forms for West Keating
Township officials.
a. The review was prearranged on January 29, 2002.
31. Subsequent to being contacted by the State Ethics Commission, but prior to
January 30, 2002, when the records were to be reviewed by the State Ethics
Commission, Shepardson reviewed township files and determined that Statements
of Financial Interests for herself and other township officials were not on file.
a. Shepardson contacted township officials, advised them of the pending
compliance review, and the need to file Statements of Financial Interests.
b. Shepardson distributed blank forms to township officials who had not filed.
32. Sometime between January 29, 2002, and January 30, 2002, Heichel filed the
backdated SFI forms for calendar years 1997 and 1998.
a. These forms were filed at that time with knowledge that representatives of
the State Ethics Commission would be reviewing forms at the township on
January 30, 2002.
33. Clair Heichel admitted to Ethics Commission Special Investigator Kollin Harmon
during an interview that he had intentionally backdated Statements of Financial
Interests forms for the calendar years 1997 and 1998 to create the illusion that they
had been timely filed.
III. DISCUSSION:
At all times relevant to this matter, the Respondent, Clair 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 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 allegations are that Heichel, as a West Keating Township Supervisor, violated
Sections 3(a)/1103(a), 3(f)/1103 (ff) and 4(a)/1104(a) of the Ethics Act when he: leased
equipment he owned to the township for work on township roads; approved payments to his
son for use of personal equipment; entered into a contract with the township without an
open and public process; and failed to file Statements of Financial Interests (SFI's) with the
township for the 1997 and 1998 calendar years by May 1 S of the succeeding calendar year
and subsequently backdated those forms giving the impression of timely filing.
Pursuant to Section 3(a)/1103(a) of the Ethics Act, a public official /public employee
is prohibited from engaging in conduct that constitutes a conflict of interest.
Heichel 02- 006 -C2
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The term "conflict of interest" is defined under Act 9 of 1989/Act 93 of 1998 as
follows:
Section 2/1102. Definitions
"Conflict" or "conflict of interest." Use by a ublic
official or public employee of the authority of his office or
employment or any confidential information received through
his holding public office or employment for the private
pecuniary benefit of himself, a member of his immediate family
or a business with which he or a member of his immediate
family is associated. "Conflict" or "conflict of interest" does
not include an action having a de minimis economic impact or
which affects to the same degree a class consisting of the
general public or a subclass consisting of an industry,
occupation or other group which includes the public official or
public employee, a member of his immediate family or a
business with which he or a member of his immediate family is
associated.
65 P.S. § 402/65 Pa.C.S. § 1102.
Section 3(a)/1103(a) of the Ethics Act prohibits a public official /public employee from
using the authority of public office /employment or confidential information received by
holding such a public position for the private pecuniary benefit of the public official /public
employee himself, any member of his immediate family, or a business with which he or a
member of his immediate family is associated.
Section 3(f)/1103(f) of the Ethics Act imposes certain restrictions as to contracting.
Section 3(f)/1103(f) of the Ethics Act provides:
Section 3/1103. Restricted activities
(f) No public official or public employee or his
spouse or child or any business in which the person or his
spouse or child is associated shall enter into any contract
valued at $500 or more with the governmental body with which
the public official or public employee is associated or any
subcontract valued at $500 or more with any person who has
been awarded a contract with the governmental body with
which the public official or public employee is associated,
unless the contract has been awarded through an open and
public process, including prior public notice and subsequent
public disclosure of all proposals considered and contracts
awarded. In such a case, the public official or public employee
shall not have any supervisory or overall responsibility for the
implementation or administration of the contract. Any contract
or subcontract made in violation of this subsection shall be
voidable by a court of competent jurisdiction if the suit is
commenced within 90 days of the making of the contract or
subcontract.
65 P.S. § 403(f)/65 Pa.C.S. § 1103(f).
Heichel 02- 006 -C2
Page 9
Section 3(f)/1103( of the Ethics Act provides in part that no public official /public
employee or spouse or child or business with which he or the spouse or child is associated
may enter into a contract with his governmental body valued at five hundred dollars or more
or any subcontract valued at five hundred dollars or more with any person who has been
awarded a contract with the governmental body with which the public official /public
employee is associated unless the contract is awarded through an open and public process
including prior public notice and subsequent public disclosure.
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.
The parties in their Consent Agreement propose that this Commission find that
Heichel violated Section 3(a)/1103(a) of the Ethics Act when he participated in decisions of
the West Keating Township Board of Supervisors, approved payments to his son, and
subsequently signed checks issued to his son for excavating services; violated Section
3(f)/1103(f) of the Ethics Act when a contract was entered into in excess of $500 by West
Keating Township with Darin Heichel without an open and public process; and
unintentionally violated Section 4(a)/1104(a) of the Ethics Act when he failed to file SFI's
for the 1997 and 1998 calendar years, and when he subsequently backdated those forms.
In addition, Heichel agrees to make payment in the amount of $100.00 in settlement of this
matter in regard to the unintentional violation of failing to file his SFI's for the 1997 and
1998 calendar years and make a payment in the amount of $300.00 in regards to the
allegations as to his participation in approving payments to his son and as to the contracting
between his son and the township without an open and public process with payment to the
Commonwealth of Pennsylvania through this Commission within thirty (30) days of the
mailing date of the final adjudication in this matter.
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 been a West Keating Township Supervisor for various terms for
approximately 20 years. Heichel has served as a part -time road department employee
when additional labor was needed on work projects. Since West Keating Township
employs only one full -time roadmaster with no other full -time employees, the township
utilizes the services of contractors for equipment or additional manpower on road projects.
The township board of supervisors has approved motions for the authorization to hire
outside contractors to do such road work.
Heichel's son Darin, who owns a dump truck and backhoe, has worked for the
township as a contracted equipment operator since at least 1997. The board of supervisors
has contracted with Darin Heichel every year between 1997 and 2001 for equipment rental
and an operator. Darin Heichel was hired for a road project in West Keating Township in
April of 2000. Although a motion of the board was approved by a vote of "all in favor," the
project was neither advertised nor placed for competitive bid.
In an April 2001 meeting, the board passed a motion to hire Darin Heichel's services
and equipment. Heichel abstained on the basis that it would be a conflict for him to vote for
his son. That particular road project was neither advertised nor placed for bid.
For projects in the calendar years 1997 through 1999, there were no votes of the
board of supervisors to authorize the rental of Darin Heichel's equipment. The board of
supervisors used Darin Heichel due to his availability and reasonable rates. The various
invoices that Darin Heichel submitted to West Keating Township for his services are
detailed in Fact Finding 16. Bill approvals as to invoices are not always documented in
township board minutes and bill lists are not submitted at meetings listing individual
Heichel 02- 006 -C2
Page 10
payments. Heichel would seem to have signed (compare Fact Finding 19 to Fact Finding
19a) or verbally approved 13 checks issued to his son, Darin Heichel, for services provided
to the township between October 1997 and May of 2001. See, Fact Finding 19. For the
years 1997 and 1999 through 2001, Darin Heichel received compensation in excess of
$500 for those years.
Each year, the Administrative Division of the State Ethics Commission has bulk
mailed blank SFI forms to municipalities throughout the Commonwealth including West
Keating Township. Blank SFI forms for the 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 1997 through 2001 were completed and filed with the
Township by Heichel. Heichel completed his 1997 and 1999 calendar year SFI's on SEC -
1, Rev. 1/99 forms, but dated the forms January 10, 1998, and January 6, 2000,
respectively; 1998 calendar year SFI on SEC 1, Rev. 1/00 dated January 10, 1999; 2000
calendar year SFI on SEC 1, Rev. 1/01 dated 3/21/01; and 2001 calendar year on SEC -1,
Rev. 1/99 dated 1/15/02. See, Fact Finding 26. The SEC -1, Rev. 1/99 and 1/00 forms
were not in print at the times of Heichel's purported filings for the respective SFI calendar
years 1997 and 1998. The parties have stipulated that Heichel's SFI's for calendar years
1997 and 1998, were backdated to create the impression that they were timely filed. See,
Fact Finding 33.
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. Heichel
completed and filed SFI's for calendar years 1997 and 1998 with the Township, but
backdated the forms as noted above.
Heichel admitted that he intentionally backdated SFI's for the calendar yeas 1997
and 1998 to create the illusion that they had been timely filed.
Having highlighted the Stipulated Findings and issues before us, we shall now apply
the Ethics Act to determine the proper disposition of this case.
In a plying Section 3(a)/1103(a) of the Ethics to the instant matter, the findings
reflect that -leichel apparently participated (Fact Finding 19 vs. Fact Finding 19a) in the bill
approval processes as to invoices submitted by his son, Darin, to the township for providing
services as a contractor for equipment rentals and equipment operators. See, Juliante,
Order 809. Such uses of authority of office resulted in a private pecuniary benefit
consisting of the profits received as to the contracts between the township and Heichel's
son, Darin.
Darin, as Heichel's son, is a member of his immediate family as that term is defined
under the Ethics Act. Accordingly, as per the Stipulation and Consent Agreement of the
parties, Heichel violated Section 3(a)/1103(a) of the Ethics Act when he participated in
actions as to approving payments to his son, Darin, for performing equipment
rental /operator services to the township. See, Futules, Order 1231.
Heichel 02- 006 -C2
Page 11
Regarding Section 3(f)/1103 (f) of the Ethics Act, a public official /public employee,
his spouse or child may contract with a governmental body but if the contract is $500 or
more, it must be awarded through an open and public process. In this case, the stipulated
facts reflect that the township did not advertise or conduct a bidding process as to road
service contracts in the township. For the relevant time period, Heichel's son, Darin,
received such contracts in 1997 and 1999 through 2001 without an open and public
process as required by Section 3(a)/1103(f) of the Ethics Act. Accordingly, Heichel
violated Section 3(f)/1103(f) of the Ethics Act when contracting in excess of $500 per year
occurred between West Keating Township and Heichel's son, Darin, without an open and
public process. See, Doaty Order 1221.
As to the SFI allegation, Heichel, as a public official, is required to annually file
SFI's. Despite the legal requirement of the Ethics Act, Heichel failed to comply with the
law. Heichel had not completed SFI's for calendar years 1997 and 1998. 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 1997 and 1998 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 unintentionally violated Section 4(a)/1104(a) of the Ethics Act when he failed to
timely file SFI's for calendar years 1997 and 1998 and when he backdated his SFI's for
those calendar years. See, Shepardson, Order 1272.
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 $400.00 to the Commonwealth of Pennsylvania through this Commission within
30 days of the mailing date of this Order. If Heichel has not already done so, we direct that
he file amended SFI's for calendar years 1997 and 1998 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.
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 West Keating Township Supervisor, is a public official subject to the
provisions of Act 9 of 1989 as codified by Act 93 of 1998.
2. Heichel violated Section 3(a)/1103(a) of the Ethics Act when he participated in
actions to approve payments to his son, Darin, for performing equipment
rental /operator services to the township.
3. Heichel violated Section 3(a)/1103(f) of the Ethics Act as to contracting in excess of
$500 between West Keating Township and Heichel's son, Darin, without an open
and public process.
4. Heichel unintentionally violated Section 4(a)/1104(a) of the Ethics Act when he
failed to file Statements of Financial Interests for the 1997 and 1998 calendar years,
and when he subsequently backdated those forms
In Re: Clair Heichel
ORDER NO. 1281
File Docket: 02- 006 -C2
Date Decided: 6/23/03
Date Mailed: 7/8/03
1. Heichel, as a West Keating Township Supervisor, violated Section 3(a)/1103(a) of
the Ethics Act when he participated in actions to approve payments to his son,
Darin, for performing equipment rental /operator services to the township.
2. Heichel violated Section 3(f)/1103(f) of the Ethics Act as to contracting in excess of
$500 between West Keating Township and Heichel's son, Darin, without an open
and public process.
3. Heichel unintentionally violated Section 4(a)/1104(a) of the Ethics Act when he
failed to file Statements of Financial Interests for the 1997 and 1998 calendar years,
and when he subsequently backdated those forms
4. Per the Consent Agreement of the parties, Heichel is directed to make payment in
the amount of $400.00 payable to the Commonwealth of Pennsylvania through this
Commission within thirty (30) days of the mailing date of this Order.
5. If Heichel has not already done so, he is directed to file amended SFI's for calendar
years 1997 and 1998 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.
6. Compliance with the paragraphs 4 and 5 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