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HomeMy WebLinkAbout736 SchaffhauserIn re: Walter Schaffhauser STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 : File Docket: 89 -026 -C Date Decided: March 29. 1990 : Date Mailed: March 30, 19,0 Before: Helena G. Hughes, Chair Robert W. Brown, Vice Chair G. Sieber Pancoast Dennis C. Harrington James M. Howley The State Ethics Commission received a complaint regarding a possible violation of the State Ethics Act, No. 170 of 1978, 65 P.S. 401 et. seq. 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. No Answer was filed and a hearing was waived. The record is complete. 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 the Ethics Act, 65 P.S. 408(a) 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). Mr. Walter Schaffhauser Page 2 ADJUDICATION I. Alleaation: That you, a candidate for Swatara Township Commissioner, violated the following provisions of the Ethics Act, (Act 170 of 1978), when you failed to file a Statement of Financial Interests with Swatara Township by the March 7, 1989 deadline: Section 4. Statement of financial interests required to be filed. (2) Any candidate for local office shall file a statement of financial interests with the commission pursuant to this act and shall file a copy of that statement with the governing authority of the political subdivision in which he is a candidate. 65 P.S. §404(e)(2). A. Findings: 1. You served as a Township Commissioner for Swatara Township, Dauphin County, Pennsylvania. a. In 1984, you were appointed to replace former Commissioner William Martz who died in office. b. You served in this position from 1984 to 1985. c. You ran for election to this position in the primaries of 1985 and 1989 and won but were defeated in both general elections. 2. Records of the Commonwealth Court of Pennsylvania, No. 1211 C.D. 1985, reflect that you failed to timely file a Statement of Financial Interests prior to filing your nominating petition in 1985. a. The County Board of Elections identified you as a non - filer in the 1985 primary election ballot. b. As a candidate, the State Ethics Act required you to file a Statement of Financial Interests before you filed a petition to appear on the ballot. c. On April 16, 1985, the State Ethics Commission sent a certified letter to you advising that court action would be initiated if you failed to file a statement. 1) A self - addressed envelope was attached. 2) A filing of the statement was requested within 10 days of the date of the letter. Mr. Walter Schaffhauser Page 3 3) A warning was contained therein which advised that you may be prevented from continuing as a candidate if a statement was not filed. 4) On April 17, 1985, Janet Schaffhauser acknowledged receipt of this certified letter. 5) No response was received from you with regard to this letter. d. On May 7, 1985, you filed a statement at the office of the Commission shortly after being served notification that the Commission initiated a court action to remove your name from the ballot. The date on this statement was May 9, 1985. e. On May 17, 1985, you appeared in court before Judge Genevieve Blatt and testified as follows: "Your Honor, this is my first time running. My neighbors asked me to run. I'm not aware - was not aware that there was a filing to be made. I filed a petition which I assumed was to get on the ballot. And, yes, I did receive the notice from Mr. Contino and I put it on my desk and it got on the bottom of the pile. As soon as I was notified by the summons that same day I filled out my notice and hand carried it into the State Ethics Commission. If the Court is better served by me not appearing on the ballot, so be i t." f. On May 20, and 21, 1985, Judge Blatt issued Orders which, in part, declared you ineligible to continue as a candidate in the May 21, 1985 primary election and further ordered the County Board of Elections not to certify you as the nominee of the political party for the office sought by you in that election. 1) The Republican Party of Swatara Township decided to fill the vacancy this decision created. 2) You were chosen to fill the vacancy which was created by the same Order that removed you from the ballot. g. On August 26, 1985, Commonwealth Court denied the Commission's request to enjoin the County Board of Elections from certifying you as a candidate in the 1985 general election. The Court's rationale was as follows: 1) You complied with all the filing requirements' for a substitute candidate in the general election. Mr. Walter Schaffhauser Page 4 The Court based its decision upon the reasoning that the State Ethics Act does not expressly extend a defaulting candidate's disqualification into the general election. 3. Records of Swatara Township reflect that you filed a copy of a Statement of Financial Interests, as a candidate for township commissioner, at their location on March 24, 1989. a. The final date for filing this statement was March 7, 1989. b. A date time stamp on this statement indicated a separate filing occurred at the office of the State Ethics Commission on March 7, 1989. 4. You provided the following information in relation to the instant situation: a. You served as a township commissioner from 1984 to 1985 and ran for election for this position during 1985 and 1989. b. You filed a Statement of Financial Interests as a candidate . for township commissioner at the office of the State Ethics Commission on March 7, 1989. c. A copy of this statement was belatedly filed at the township building on March 24, 1989. d. You stated that this late filing was due to an "oversight" by you. 1) You further stated that the back of the statement reflected that incumbents file by May 1st - and although you were not currently in office, this date remained in your mind as the required filing date. e. Other township commissioners and neighbors urged you to run for this office and you have a desire to serve the community. f. Your daily work schedule of about 14 hours, hinders you in being timely when opening mail and in handling other routine matters. III. Discussion: As a candidate for the position of Township Commission or Swatara Township, Walter Schaffhauser was subject to filing requirements of the Statement of the Financial Interests in Section 4(e)(2) of the Ethics Act. 65 P.S. S404(e)(2). Mr. Walter Schaffhauser Page 5 Initially, it is noted that Section 5 of Act 9 of June 26, 1989 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 provisions of Act 170 of October 4, 1978, P.L. 883 to determine whether the Ethics Act was violated. Section 4(e)(2) of the Ethics Act quoted above requires that candidates for local office file the Financial Interests Statement with this Commission and a copy with the political subdivision in which he is a candidate. The Financial Interests Statement must be filed on or before the deadline for filing nominating petitions. State Ethics Commission v. Baldwin, 66 Pa. Commw. Ct. 40, 444 A.2d 767 (1982), reversed in part on other grounds, 497 Pa. 609, 498 Pa. 255, 445 A.2d 1208 (1982). In the instant matter Walter Schaffhauser was appointed to the position of Township Commissioner in 1984 and served in that position until 1985 when he ran in the primary but was defeated in the General Election. At that time, Mr. Schaffhauser was identified as a non- filer as to the required Financial Interests Statement in the 1985 primary by the County Board of Elections. This Commission thereafter filed an action against Mr. Schaffhauser and other candidates to remove them from the ballot. Following a hearing in Commonwealth Court, Mr. Schaffhauser was removed from the ballot. However, Mr. Schaffhauser qualified as substitute candidate but was defeated in the General Election. In the 1989, Mr. Schaffhauser was once again a candidate for township commissioner and as such was required to file the Financial Interests Statement both locally and with the Commission prior to the filing deadline of March 7, 1989. Although Mr. Schaffhauser filed the Financial Interests Statement with the Commission on March 7, 1989, the copy of his Financial Interests Statement was not filed at the local level until March 24, 1989. Mr. Schaffhauser won the primary but lost in the 1989 General Election. In applying the above facts to Section 4(e)(2) of the Ethics Act quoted above, Mr. Schaffhauser was required by law to file the Mr. Walter Schaffhauser Page 6 Financial Interests Statement both at this Commission and locally by March 7, 1989. Since the local filing was not accomplished until March 24, 1989, the filing was late and therefore not in conformity with the legal filing requirements of the Ethics Act. Since Mr. Schaffhauser also was remiss in his legal duty to file in 1985, he was a respondent in a lawsuit filed by this Commission against non -filer candidates. At that point in time, he certainly had knowledge of the filing requirements. However, in the 1989 primary, a second transgression occurred by the failure of Mr. Schaffhauser to file locally. We find such conduct particularly disturbing because it reflects a disregard as to the Financial Interests Statement filing requirement. Based upon the above circumstances we find a violation of Section 4(e)(2) of the Ethics Act. IV. Conclusions of Law: 1. Walter Schaffhauser as a candidate for the position of Township Commissioner of Swatara Township in 1989 was a candidate subject to the filing requirements of Section 4(e)(2) of the Ethics Act. 2. A violation of Section 4(e)(2) of the Ethics Act occurred when Walter Schaffhauser failed to timely file a copy of his Financial Interests Statement locally by the March 7, 1989 filing deadline. In rei Walter Schaffhauser : File Docket: 89 -026 -C : Date Decided: March 29. 1990 : Date Mailed: March 30. 1990 ORDER No. 736 1. A violation of Section 4(e)(2) of the Ethics Act occurred when Walter Schaffhauser failed to timely file a copy of his Financial Interests Statement locally by the March 7, 1989 filing deadline. BY THE COMMISSION, /.1 44 HELENA G. HUGHES, CHAIR