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HomeMy WebLinkAbout843 HomaIn re: V. Luddy Homa STATE ETHICS COMMISSION 309 FINANCE BUILDING PO. BOX 11470 HARRISBURG, PA 17108 -1470 TELEPHONE (717) 783 -1610 : File Docket: : Date Decided: : Date Mailed: 87 -021 -C April 23, 4P2 April 27, 1992 Chair Chair Before: Dennis C. Harrington, James M. Howley, Vice Daneen E. Reese Roy W. Wilt Austin M. Lee Allan M. Kluger The State Ethics Commission received a complaint regarding a possible violation of the State Ethics Act, No. 170 of 1978, P.L. 883. Written notice, of the specific allegation(s) was served at the commencement of the investigation. A Findings Report was issued and served, upon completion of the investigation, which constituted the Complaint by the Investigation Division. An Answer was filed and a hearing was waived. A Consent Order was submitted by the parties to the Commission for consideration which was subsequently approved. This adjudication of the Commission is hereby issued which sets forth the individual Allegations, Findings of Fact, Discussion, Conclusions of Law and Order. This adjudication is final and will be made available as a public document fifteen days after issuance. However, reconsideration may be requested which will defer public release of this adjudication pending action on the request by the Commission. A request for reconsideration, however, does not affect the finality of this adjudication. A reconsideration request must be received at this Commission within fifteen days of issuance and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code 52.38. The files in this case will remain confidential in accordance with Section 8(a) of Act 170 of 1978 during the fifteen day period and no one unless the right to challenge this Order is waived, may violate confidentiality by releasing, discussing or circulating this Order. However, confidentiality does not preclude discussing this case with an attorney at law. 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, 65 P.S. 409(e). V. Luddy Boma April 27, 1992 Page 2 I. ALLEGATION: That V. Luddy Homa, Building Inspector for Carnegie Borough, Allegheny County, violated the following provisions of the State Ethics Law (Act 170 of 1978), when he failed to require occupancy permits for properties owned by him and his real estate partner; when he issued building permits to his real estate partner; and, when he failed to file Statements of Financial Interests for 1985 and 1986: 65 P.S. 5403(a). Section 4. Statement of financial interests required to be filed. 65 P.S. 5404(a) II. FINDINGS: Section 3. Restricted Activities. (a) No public official or public employee shall use his public office or any confidential information received through his holding public office to obtain financial gain other than compensation provided by law for himself, a member of his immediate family, or a business with which he is associated. (a) Each public employee employed by the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency or bureau in which he is employed 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 shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. 1. Vladimer Luddy Homa served as the Building Inspector for the Borough of Carnegie from 1968 through April, 1986. a. From January, 1980 through April, 1986, Homa served as Zoning Officer. V. Luddy Homa April 27, 1992 Page 3 b. Both the Building Inspector and Zoning Officer positions were part time. c. In April, 1986, Homa was appointed to the Planning Commission. 2. Vladimer Luddy Homa held a real estate license with Plaza Realty. a. Plaza Realty is solely owned by Leonard DeFonso and John DeFonso. b. John DeFonso served as a member of Carnegie Borough Council from 1979 through 1989 and as Borough Council President. c. Homa was not a principal in this business and held no financial interest therein. 3. The Borough of Carnegie Ordinance #995, sets forth the duties and responsibilities of the zoning officer as follows: a. Administer and enforce the provisions of the Ordinance in accordance with it's literal terms, and shall not have the power to permit any construction or any use or change of use which does not conform to the Ordinance. Issue building permits, zoning certificates, occupancy permits and applications as public records. Identify and register all non - conforming uses and structures as required by law. A zoning certificate shall then be issued to the owner of said use or structure. 4. The Borough of Carnegie Ordinance #995, defines a zoning occupancy permit as follows: a. A document issued by the zoning officer upon completion of the construction of a structure, or change in use of structure or parcel of land, or change of occupancy of structure, and indicating that the use and structure is in compliance with this Ordinance, that all conditions attached to the granting of the zoning certificate have been met, and that the structure and land may be occupied and used for the purposes set forth in the zoning certificate. 5. Records of the Borough of Carnegie reflect the following Ordinances relating to the requirements for occupancy permits: V. Luddy Homa April 27, 1992 Page 4 a. Ordinance No. 802 1. That no dwelling, apartment or other place for human occupancy may be occupied when previously vacated unless the owner or landlord of said property shall first apply for an occupancy permit to be issued by the chief of police of the borough. 2. An application for the permit shall be formulated by the proper officials of the borough, and required information shall be requested from the said landlord or owner thereof. 3. No permit shall be issued for occupancy unless the premises shall be in livable and habitable condition and after having been inspected by the chief of police, the fire chief and building inspector and /or such other officials as the council may require from time to time. 4. The fee for the issuance of said permit shall be $2.00. 5. Any person, firm, association or corporation violating any of the provisions of this ordinance shall be subject to a fine of not more than $100.00 and costs; and in default of the payment of the fine and costs, shall be subject to imprisonment for a period not exceeding 30 days. b. Ordinance No. 878 - Amending Ordinance No. 802. 1. The Borough of Carnegie believes it to be in the public interest to provide for the health, safety and welfare of its residents by requiring the obtaining of occupancy permits prior to the future occupancy of dwellings for human occupancy in the borough. 2. No dwelling house, apartment unit, official building or other place for human occupancy may be initially occupied after the enactment of this ordinance, unless the owner or landlord of said property shall first obtain an occupancy permit from the chief of police of the Borough of Carnegie. 3. An occupancy permit must be obtained each time there is a vacancy of a dwelling house or apartment unit by the owner or landlord thereof, prior to the V. Luddy Roma April 27, 1992 Page 5 new occupancy of that particular dwelling house or apartment unit from the chief of police of the Borough of Carnegie. 4. The fee for the issuance of said occupancy permit shall be $2.00. 6. The State Fire & Panic Code requires occupancy permits for certain buildings including: a. All classes of buildings which have four or more persons housed, employed, or assembled. b. All buildings which have plans approved on or after may, 19. 1984. c. Factories, power plants, mercantile buildings, hotels, office buildings, etc. d. The State Code does not apply to single family residences, buildings or structures which are used for group habitation, farm buildings occupied by ten employees, and buildings with less than four persons housed, employed or assembled throughout the building or buildings within cities of the 1st and 2nd Class A. 7. The Pennsylvania Department of Labor and Industry administers and enforces the State Fire and Panic Code. a. Vladimer Homa had no responsibilities or duties in relation to the issuance of state occupancy permits under the State Code. 8. Vladimer Luddy Homa's compensation as Building Inspector and Zoning Officer was primarily based upon a percentage of the permit fee paid to the borough by the applicant. a. If no fee was paid and no permit was issued, Mr. Homa would not be compensated. 9. As Building Inspector Homa was to receive 50% of the permit fee for construction permits and a fee of $12.50 for demolition permits. a. Mr. Homa's fee on any single construction project could not exceed $3,000.00. 10. As Zoning Officer Mr. Homa received 50% of the permit fee except on conditional use permits. V. Luddy Homa April 27, 1992 Page 6 a. On conditional use permits Mr. Homa could receive from 1/6 to 1/2 of the permit fee. 11. Mr. Homa's compensation was fixed by the Borough Council. Records of the Borough of Carnegie Building Inspection and Zoning Office indicate the following permits issued between July 1, 1979 and July, 1986 for properties owned by Vladimer Luddy Homa, John DeFonso, Leonard DeFonso and Plaza Realty: PERMIT ESTIMATED DATE NUMBER NAME ADDRESS COST FEE 7/16/79 R7973 J. DeFonso 9 E. Mall Plaza $5,500 $19.00 8/30/89 D8081 L. Homa 304 Run Street - $ 5.00 7/81 R8176 L. Homa 617 Main Street $3,000 $14.50 3/3/82 S8231 J. DeFonso 8 E. Mall Plaza $ 120 $10.00 3/82 S8232 J. DeFonso 110 E. Mali Plaza $ 300 $10.00 6/21/82 11/6/82 B08263 L. Homa 617 W. Main Street - Denied No offices allowed in residential area. Ordinance No. 792 - Exhibit A - District Regulations R82112 L. DeFonso 150 E. Mall Plaza $35,000 $62.00 8/23/83 R8383 J. DeFonso 8 E. Mall Plaza $7,200 $27.00 8/22/83 CZ8384 J. DeFonso 110 E. Mall Plaza - $25.00 12/13/83 R83121 J. DeFonso 602 Poplar Way $12,000 $28.00 4/1/85 S8542 L. DeFonso 200 3rd Street $ 100 $25.00 4/27/85 B08542 L. DeFonso 200 3rd Street - $10.00 12/18/85 B085121 V. L. Homa - $25.00 1/3/86 B08611 V. L. Homa 617 W. Main Street - - 1/17/86 S8611 J. DeFonso $ 664 $25.00 (Plaza Realty) 3/10/86 A8631 J. DeFonso 207 Ingrid Drive $3,800 $16.00 4/22/86 R8642 L. DeFonso 150 E. Mall Plaza $2,900 $16.00 V. Luddy Homa April 27, 1992 Page 7 4/22/86 58641 L. DeFonso 150 E.Mall Plaza - $25.00 7/24/86 R8671 J. DeFonso 314 -316 7th Avenue $19,100 $40.00 PERMIT CODE: R - Remodeling S - Signs BO - Business Occupancy O - Occupancy G - Garage SP - Swimming Pools ST - Sewer Tap -In B - New Homes A - Addition D - Demolition F - Fence CZ - Certificate of Zoning US - Utility Shed SPR - Sight Plan Review BPA - Building Permit Application 12. Properties recorded in the deed registry blotter for the Borough of Carnegie as owned by Vladimer Luddy Homa, in the years 1989 through and including 1986 are as follows: a. Owner: Vladimer Homa /Blanche Owner address: 18 Point Street, Carnegie Lot & block: 103 -8 -124 Property address: 304 Run Street, Carnegie Description: Two story frame house Assessment: $1,970.00 b. 1980 through 1986: Owner: Vladimer Homa Owner address: 18 Run Street, Carnegie Lot & block: 104 -S -286 Property address: Arch Street, Carnegie Description: Land Assessment: $800.00 Owner: Vladimer Homa /Blanche Owner address: 18 Point Street, Carnegie Lot & block: 104 -S -294 Property address: 320 Arch Street, Carnegie Description: Land Assessment: $320.00 Owner: Vladimer Homa V. Luddy Homa April 27, 1992 Page 8 Owner address: 18 Run Street, Carnegie Lot & block: 103 -P -138 Property address: 411 Sixth Avenue, Carnegie Description: Two story brick house Assessment: $4,490.00 Owner: Vladimer Homa /Blanche Owner address: 18 Point Street, Carnegie Lot & Block: 104 -P -192 Property address: Point Avenue, Carnegie Description: 1 1/2 story frame house Assessment: $3,850.00 c. 1982 through 1986: Owner: Vladimer Homa Owner address: 18 Point Street, Carnegie Lot & block: 103 -B -124 Property address: Run Street, Carnegie Description: Land Assessment: $400.00 d. 1983, 1984, 1985, 1986: Owner: Vladimer Homa /Blanche Owner Address: 18 Run Street, Carnegie Lot & block: 103 -P -136 Property address: Sixth Avenue, Carnegie Description: Land Assessment: $450.00 e. 1984, 1985, 1986: Owner: Vladimer Homa /Blanche Owner address: 18 Run Street, Carnegie Lot & Block: 102 -B -198 Property address: 617 -619 West Main St.. Carnegie Description: Two story brick house, storage Assessment: $5,250.00 Owner: Vladimer Homa /Blanche Owner address: 18 Run Street, Carnegie Lot & block: 104 -S -282 Property address: 617 Arch Street, Carnegie Description: Land Assessment: $450.00 13. Properties recorded in the deed registry blotter for the Borough of Carnegie as owned by John DeFonso, co -owner of Plaza Realty, in the years 1980 through and including 1986 are V. Luddy Roma April 27, 1992 Page 9 as follows: a. Owner: John DeFonso /Roseanne - 1980, 82, 83, 84, 85, 86 Owner address: 207 Ingrid Place, Carnegie Lot & block: 65 -C -92 Property address: 200 Ingrid Place, Carnegie Description: One story brick house Assessment: $12,500.00 b. Owner: John DeFonso /John Oliver -1980, 82, 83, 84, 85, 86 Owner address: #2 West Mall Plaza, Carnegie Lot & block: 66 -K -112 Property address: 117 Patterson Avenue, Carnegie Description: Two story frame aluminum house and garage Assessment: $9,500.00 c. Owner: John DeFonso /Roseanne - 1981 Owner address: #2 West Mall Plaza, Carnegie Lot & block: 103 -S -160 Property address: 447 Beechwood Avenue, Carnegie Description: Two story frame house Assessment: $9,450.00. d. Owner: John DeFonso - 1983 Owner address: #9 East Mall Plaza, Carnegie Lot & Block: 103 -P -238 Property address: 314 Fifth Avenue, Carnegie Description: Two story frame house Assessment: $7,950.00 e. Owner: John DeFonso - 1984, 85, 86 Owner address: 110 East Mall Plaza, Carnegie Lot & Block: 103 -S -198 Property address: 602 Trimble Avenue Description: Two story STN house Assessment: $8,500.00 14. Properties recorded in the deed registry blotter, for the Borough of Carnegie, as owned by John Oliver /John DeFonso, in the years 1980 through and including 1986 are as follows: a. Owner: J. Oliver /John DeFonso - 1980, 81, 82, 83, 84, 85, 86 Owner address: #2 West Mall Plaza, Carnegie Lot & block: 103 -P -200 Property address: 418 -420 Fifth Ave., Carnegie Description: One half -two story double house and one car garage; one half -two story double frame house and one car garage Assessment: $8,000.00 V. Luddy Homa April 27, 1992 Page 10 b. The owner address in sub section (a) changes in 1985 from #2 West Mall Plaza, Carnegie, to 110 East Mall Plaza, Carnegie. c. Owner: John DeFonso /John Oliver - 1981 Owner address: 9 East Mall Plaza, Carnegie Lot & block: 102 -H -162 Property Address: 118 Lee Street, Carnegie Description: Two story frame house; two story connected block garage and apartment. Assessment: $10,000.00 15. Properties recorded in the deed registry blotter, for the Borough of Carnegie, as owned by Leonard DeFonso, co -owner of Plaza Realty, in the years 1980 through and including 1986 are as follows: a. Owner: Leonard DeFonso /Amanda - 1980, 82, 83, 84, 85, 86 Owner address: 110 East Main Street, Carnegie Lot & Block: 65 -A -220 Property address: 319 California Ave., Carnegie Description: One story brick house and garage Assessment: $14,500.00 b. Owner: Leonard DeFonso /Amanda - 1980, 82, 83, 84, 85, 86 Owner address: 110 East Main Street, Carnegie Lot & Block: 65 -A -260 Property address: Franklin Avenue, Carnegie Description: Land Assessment: $200.00 c. Owner: Leonard DeFonso /Amanda - 1980, 82, 83, 84, 85, 86 Owner address: 110 East Main Street, Carnegie Lot & block: 65 -A -274 Property address: Federal Avenue, Carnegie Description: Land Assessment: $370.00 d. Owner: Leonard DeFonso /Amanda - 1980, 82, 83, 84, 85, 86 Owner address: 110 E. Main St., Carnegie Lot & Block: 66 -E -273 Property address: Anthony Street, Carnegie Description: Land Assessment: $300.00 e. Owner: Leonard DeFonso - 1980, 82, 83, 84, 85, 86 Owner address: 110 East Main Street, Carnegie Lot & block: 102 -C -84 Property address: 204 -212 Third Street, Carnegie Description: 204 -Two story frame hotel; 210 two story V. Luddy Boma April 27, 1992 Page 11 frame house; 212 - two story frame house Assessment: $12,200.00 f. Owner: Leonard DeFonso /Amanda - 1980, 82, 83, 84, 85, 86 Owner address: 110 East Main Street, Carnegie Lot & block: 103 - D -191 Property address: 458 Morrow Avenue, Carnegie Description: Two story frame house and two story frame garage and apartment Assessment: $7,900.00 g. Owner: Leonard DeFonso - 1980, 82, 83, 84, 85, 86 Owner address: #7 West Mall Plaza, Carnegie Lot & block: 103 -M -247 Property address: Brown Avenue, Carnegie Description: Two story brick office building Assessment: $21,000.00 h. Owner: Leonard DeFonso /Amanda - 1980, 82, 83, 84, 85, 86 Owner Address: 18 West Main St., Carnegie Lot & block: 103 -M -322 Property Address: 110 E. Main Street, Carnegie Description: Brick shop Assessment: $8,770.00 i. Owner: Leonard DeFonso - 1980, 82, 83, 84, 85, 86 Owner Address: 110 East Main St., Carnegie Lot & block: 103 -P -24 Property address: 7th Avenue, Carnegie Description: Land Assessment: $230.00 j Owner: Leonard DeFonso - 1980, 82, 83, 84, 85, 86 Owner address: 18 West Main Street, Carnegie Lot & block: 103 -P -46 Property address: 414 -418 Sixth Ave., Carnegie Description: Two story tile apartment house and garages. Assessment: $8,500.00 k. Owner: Leonard DeFonso - 1981 Owner address: 110 East Mall Plaza, Carnegie Lot & block: 103 -A -20 Property address: Carnegie Road, Carnegie Description: Land Assessment: $2,500.00 1. Owner: Leonard DeFonso - 1981 Owner address: 10 East Mali Plaza, Carnegie Lot &'block: 103 -F -42 V. Luddy Homa April 27, 1992 Page 12 Property address: Run Street, Carnegie Description: Land Assessment: $900.00 m. Owner: Leonard DeFonso - 1981 Owner address: 210 East Mall Plaza, Carnegie Lot & block: 103 -K -294 Property address: 8th Avenue, Carnegie Description: Land Assessment: $1,800.00 n. Owner: Leonard DeFonso - 1981 Owner address: 110 East Mall Plaza, Carnegie Lot & block: 103 -K -338 Property address: None Description: Land Assessment: $350.00 o. Owner: Leonard DeFonso - 1981 Owner address: 21 East Main Street, Carnegie Lot & block: 103 -L -69 Property address: East Main Street, Carnegie Description: Two story brick and frame building and storage Assessment: $32,750.00 p. Owner: Leonard DeFonso /Amanda - 1981 Owner address: #9 East Mall Plaza, Carnegie Lot & block: 103 -M -334 Property address: East Main Street, Carnegie Description: Four story brick building Assessment: $50,850.00 q. Owner: Leonard DeFonso /Amanda - 1981 Owner address: #9 East Mali Plaza, Carnegie Lot & block: 103 -R -108 Property address: 203 West Main Street, Carnegie Description: Three story brick house Assessment: $8,500.00 r. Owner: Leonard DeFonso /Amanda - 1981 Owner address: #9 East Mall Plaza, Carnegie Lot & block: 103 -R -150 Property address: 23 -25 West Main St., Carnegie Description: One and two story brick and STL storage building Assessment: $26,300.00 s. Owner: Leonard DeFonso - 1982, 83, 84, 85, 86 Owner address: #9 East Mall Plaza, Carnegie V. Luddy Homa April 27, 1992 Page 13 Lot & block: 103 -G -123 Property address: 212 Railroad Ave., Carnegie Description: Two story frame house Assessment: $6,200.00 t. Owner: Leonard DeFonso - 1985, 86 Owner Address: 110 East Mall Plaza, Carnegie Lot & Block: 103 -R -324 Property address: 415 Elk Avenue, Carnegie Description: Two story frame house and out building Assessment: $8,100.00 16. Available records of the Borough of Carnegie Building Inspection and Zoning Office include the following certificates of occupancy issued between 1985 and 1986 for properties owned by Vladimer Luddy Homa and Leonard DeFonso. a. Date: December 18, 1985 Address: 617 W. Main Street Type of Structure: Two Story Brick Commercial Owner: Vladimer Luddy Homa Tenant or Lessee: John F. Crouse and Company, Inc. b. Date: January 16, 1985 Address: 110 E. Mall Plaza Type of Structure: Two Story Brick, Wood Owner: Leonard DeFonso Tenant or Lessee: Evelyn Schmidt c. Both certificates were issued by Vladimer Homa. 17. Vladimer Luddy Homa also issued as Building Inspection and Zoning Officer the following certificates of occupancy for properties owned by him: a. Date: January 3, 1985 Address: 411 6th Avenue Type of Structure: Two Story Brick, residential Tenant or Lessee: Cynthia Peluso and Jim b. Date: January 18, 1988 Address: 411 6th Avenue Type of Structure: Two Story Brick, residential Tenant or Lessee: Mike Fondling 1) Approved by Home, as Zoning Officer 2) Homa retired as Zoning Officer on or around April, 1986 (see Finding la). V. Luddy Homa April 27, 1992 Page 14 18. Only one property was jointly owned by John DeFonso and Vladimer Luddy Homa. a. The property located on Chestnut Street, was vacant land. b. The Chestnut Street property was purchased in or around 1985. c. The property was sold in 1987 and Homa received $ 5 , 6 5 0.0 0 in sales commission. 1. The property was still vacant land when it was sold. 2. The above commission may reflect Homa's gain on the sale of the property. d. Homa did not issue any type of permit relating to this property. e. No permit of any type was required during the time that Homa and DeFonso owned the property. 19. No permits were required for vacant land. 20. Mr. Homa's real estate occupation was part time, and he may have sold three or four houses in ten years. a. He was a non - active licensed agent. b. He was compensated on a commission basis only if he sold houses. 21. Vladimer Homa did not actively enforce the occupancy permit requirement. a. He did not have time to ride around and look for new occupancies. b. He would take the applications when filed, inspect the property, and issue the occupancy permit. 22. Although there are various properties owned by John and Leonid DeFonso, there was no evidence that permits were required to be issued and were not. 23. An audit of the Statements of Financial Interest on file with the Carnegie Borough Secretary include the following in regard to Vladimer Luddy Homa: V. Luddy Roma April 27, 1992 Page 15 a. Filing date: May 5, 1989: For the Year: (Blank) Source of income: Greek Catholic Union of Beaver County; Koger of Florida; storage in Washington County. Office or directorship: Plaza Realty - salesman. Real Estate Interests: Lots on Arch Street, house, also 6th Avenue house and house in Florida. All other financial interest category: None. b. Filing date: April 6, 1988. For the year: (Blank) Source of income: Roger Agency of Florida, 44 6th Avenue - rent. Real estate interest: 340 Sarasota Street; 411 6th Avenue; 631- 629 - 627 - 625 -619 Arch Street lots. 1. Homa received a sales commission in the amount of $5,650.00 in December, 1987, from Plaza Realty for the sale of a property on Chestnut Street, Carnegie. 2. The property was jointly owned by Homa and John DeFonso. 3. Homa could not say how much of this amount was gain on the sale of the property and how much may have been commission. 4. Homa did not know whether he received a commission for the sale of the Chestnut Street property. c. Filing date: Not listed. For the year: (Blank) Source of Income: Koger Partnership of Jacksonville Florida; Strabane Storage Association of Carnegie, Pennsylvania. Real estate interest: House at 411 6th Avenue; lots 304 Run Street, 629 - 625 -622 Arch Street. All other financial interest categories: None. 24. Records of the Carnegie Borough Secretary include reminder letters sent to elected /appointed officials who were required to file statements of financial interests. a. Vladimer Luddy Homa was included in these letters as Building Inspector and Zoning Officer. V. Luddy Homa April 27, 1992 Page 16 b. Letters on file are dated: 3/882; 3/2/83; and 3/1/84. 25. Additional Statements of Financial interests were supplied during respondent interview (Homa- 11 /14/91) which include the following: a. Filing date: February 3, 1984 For the year: Blank Sources of Income: Unreadable (copy made from the green carbon copy of the form). Occupation: Stationary Engineer Real Estate Interests: Unreadable All other Financial Interest categories: None b. Filing date: February 10, 1990 For the year: 1989 Sources of Income: Plaza Realty (1,064.00); Roger Partnership - Florida; limited partnership Strabane Storage; Wife's Income - Kane Hospital Real Estate Interests: Lots on Arch St. - 617, 625, 627, 631; 629 Arch St; 411 6th Avenue. All other Financial Interest Categories: None c. Filing date: February 7, 1991 Form is unreadable. d. These forms were not on file with the Borough. 26. Vladimer Luddy Homa filed amended statements of financial interests for the years 1983, 1984, 1985 and 1986 as follows: a. Filing date: November 19, 1991 For the year: 1983 Sources of Income: Borough of Carnegie, Commonwealth of Pennsylvania, Roger Partnership Limited, and rental income. Real estate Interests: 617 West Main St; 411 6th Avenue; 409 6th Avenue. A11 other Financial Interest Categories: None b. Filing date: November 19, 1991 For the year: 1984 Sources of Income: Borough of Carnegie, Commonwealth of Pennsylvania; Koger Partnership Limited; rental income. Real Estate Interests: 617 West Main Street, Carnegie; 411 6th Street, Carnegie; 409 6th Street, Carnegie. V. Luddy Homa April 27, 1992 Page 17 All other Financial Interest Categories: None c. Filing date: November 19, 1991 For the year: 1985 Sources of Income: Borough of Carnegie; Commonwealth of Pennsylvania; Roger Partnership Limited; Mellon Bank. Real Estate Interests: 617 West Main Street, Carnegie; 411 6th Street, Carnegie; 409 Sixth Street, Carnegie d. Filing date: November 19, 1991 For the year: 1986 Sources of Income: Borough of Carnegie; Commonwealth of Pennsylvania; Roger Partnership Limited; First National Bank; Frigtronics, Incorporated- stock. All other Financial Interest Categories: None III. DISCUSSION: 1. Homa did not include income from Plaza Realty. According to John DeFonso's records, Homa earned $600.00 in listing commission on the sale of a property on Vine Street, Carnegie. As a Building Inspector for Carnegie Borough, Allegheny County, Pennsylvania, V. Luddy Homa, hereinafter Homa, is a public employee as that term is defined in the Ethics Act, 65 P.S. 5402; 51 Pa. Code 51.1. As such, his conduct is subject to the provisions of the Ethics Act and the restrictions therein are applicable to him. Initially, it is noted that Section 9 of Act 9 of June 26, 1989, P.L. 26, provides, in part, as follows: "This amendatory act shall not apply to violations committed prior to the effective date of this act, and causes of action initiated for such violations shall be governed by the prior law, which is continued in effect for that purpose as if this act were not in force. For the purposes of this section, a violation was committed prior to the effective date of this act if any elements of the violation occurred prior thereto." Since the occurrences in this case transpired prior to the effective date of Act 9 (June 26, 1989), we must apply the V. Luddy Homa April 27, 1992 Page 18 provisions of Act 170 of 1978, P.L. 883, to determine whether the Ethics Act was violated. Under Section 3(a), quoted above, this Commission has determined that use of office by a public official to obtain a financial gain for himself or a member of his immediate family or a business with which he is associated which is not provided for in law transgresses the above provision of law. Thus, use of office by a public official to obtain a financial gain which is not authorized as part of his compensation is prohibited by Section 3(a): Hoak /McCutcheon v. State Ethics Commission, 77 Pa. Commw. Ct. 529, 466 A.2d 283 (1983); Yacobet v. State Ethics Commission, 109 Pa. Commw. Ct. 432 531 A.2d 536 (1987). Similarly, Section 3(a) of the Ethics Act would prohibit a public official /employee from using public office to advance his own financial interests; Koslow v. State Ethics Commission, 116 Pa. Commw. Ct. 19, 540 A.2d 1374 (1988). Section 4(a) of Act 170 of 1978 quoted above requires that each public official /public employee file a Statement of Financial Interests (FIS) for each year that he holds public position and for the year after he leaves such position. The allegation before us is that Homa violated Section 3(a) of Act 170 of 1978 quoted above regarding the failure to require occupancy permits for properties owned by Homa and a real estate partner and also as to the issuance of building permits to a real estate partner. We also must decide whether Homa violated Section 4(a) of Act 170 of 1978 regarding the failure to timely file FIS's for 1985 and 1986. Homa served as the Building Inspector for Carnegie Borough from 1968 until 1986 and as Zoning Officer between 1980 and 1986. In a private capacity, Homa held a real estate license with Plaza Realty which was solely owned by Leonard and John DeFonso. Homa had no financial interest in Plaza Realty. As Zoning Officer Homa had duties and responsibilities of issuing building permits, zoning certificates, and occupancy permits as well as identifying and registering all non - conforming uses within the municipality. An occupancy permit is required by Carnegie Ordinance after completion of construction or a change in structure with the occupancy permit indicating that the use of the structure is in compliance with the ordinance. Homa's compensation as a Building Inspector /Zoning Officer was based upon a percentage of the permit fee paid by the applicant. For construction permits, Homa would receive 50% of the permit fee with the maximum compensation allowable of $3000 as to any single construction project. As Zoning Officer, Homa received 50% of the permit fee except as to conditional use permits where his V. Luddy Homa April 27, 1992 Page 19 compensation would run from 1/6 to 1/2 the value of the permit fee. As to the issuance of building permits to Leonard or John DeFonso, who solely own Plaza Realty, it is clear that Homa had no financial interest in such business. Accordingly, since the record before us does not show any financial gain as to the issuance of such building permits to a business with which Homa was associated, we find no violation of Section 3(a) of Act 170 of 1978. As to the matter of the occupancy permits, the evidence establishes that Homa did not enforce occupancy permit requirements but merely accepted those permit applications which were filed, followed by an inspection and issuance of the permit. In addition, as to any of the DeFonso properties, there is nothing of record to show that occupancy permits would have been required in any event (Fact Finding 22). As to properties owned by Homa or by Homa and Leonard DeFonso, occupancy permits were issued (Fact Findings 16, 17). There was also one other property, consisting of vacant land, which was owned by John DeFonso and Homa but a permit is not required for vacant land (Fact Findings 18, 19). Therefore, we find no violation of Section 3(a) of Act 170 of 1978 as to the failure to issue occupancy permits. As to Section 4(a) of Act 170 of 1978, we find a violation in that Homa failed to timely file FIS's for the 1985 and 1986 years. However, since there is no evidence of any intent by Homa to conceal financial interests and since Homa has now filed, we will take no further action in this matter provided that Homa files a second amended FIS for the 1986 year which would list a $600 commission Homa received on a sale of a property as a real estate agent. IV. CONCLUSIONS OF LAW: 1. Vladimer Homa as a Carnegie Borough Building Inspector and Zoning Officer is a public employee /public official as that term is defined under Act 170 of 1978. 2. Homa did not violate Section 3(a) of Act 170 of 1978 regarding his failure to issue occupancy permits as to properties owned by himself or a real estate partner in that there is no showing that any of the properties of the real estate "partner" required occupancy permits and in that permits were issued as to properties owned by Homa or as to property owned by Homa and DeFonso. 3. Homa did not violate Section 3(a) of Act 170 of 1978 regarding the issuance of building permits to a real estate "partner" in that Homa had no financial interest in the real estate agency V. Luddy Homa April 27, 1992 Page 20 which was not a business with which Homa was associated. 4. Soma violated Section 4(a) of Act 170 of 1978 when he failed to timely file Statements of Financial Interests for 1985 and 1986. In re: V. Luddy Homa ORDER NO. 843 : File Docket: 87 -021 -C : Date Decided: April 23, 1992 : Date Mailed: April 27, 1992 1. Vladimer Homa as a Carnegie Borough Building Inspector and Zoning Officer did not violate Section 3(a) of Act 170 of 1978 regarding his failure to issue occupancy permits as to properties owned by himself or a real estate partner in that there is no showing that any of the properties of the real estate "partner" required occupancy permits and in that permits were issued to as to properties owned by Homa or as to property owned by Homa and DeFonso. 2. Homa did not violate Section 3(a) of Act 170 of 1978 regarding the issuance of building permits to a real estate "partner" in that Homas had no financial interest in the real estate agency which was not a business with which Homa was associated. 3. Homa violated Section 4(a) of Act 170 of 1978 when he failed to timely file Statements of Financial Interests for 1985 and 1986. 4. Homa is directed to file within thirty (30) days of issuance of this Order an amended FIS for 1986 which lists a $600 real estate commission which he received on the sale of a property. 5. The failure to comply with the requirement of Paragraph 4 will result in a directive of this Commission to institute an order enforcement action. BY THE COMMISSION, DENNIS C. HARRINGTON, CHAIR