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HomeMy WebLinkAbout510 AllenJohn M. Allen, Jr. Rox 464 Saxonhurg, PA 16056 Re: R6 -046 -C Dear Mr. Allen: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 510 DECIDED OCT 21 1986 ('1.41 L E D,fL,LEL146 The Ethics Commission has received a complaint regarding you and a possihle violation of Act 170 of 1978. The Commission has now completed its investigation. The individual allegations, conclusions, and findings on which those conclusions are lased are as follows: I. Allegation: That you, a Supervisor of Clinton Township, Rutler County, violated Section 4(a) of the State Ethics Act and Section 4(h) of the Commission regulations which requires that a local public official file a Statement of Financial Interests with their governmental body by May 1, of each year because you have not filed Statements for calendar years 1979, 1981, 1982, 1983 and 1984, by May 1, of each succeeding year. A. Findings: 1. You have been a township supervisor in Clinton Township, Rutler County, since January 1970. 2. United States Government Form W -2, Wage and Tax Statement 1979, completed for your 1979 earnings on file with the Clinton Township secretary, disclosed that you earned $503.36 as-a supervisor in 1979. •n Township, indicated that there was no Statement of Financial Interests on file for you for the year 1979. A personal search of the file of Statements of Financial Interests for Clinton Township, by our investigator, disclosed that no Statement was on file for you for the year 1979. 4. United States Government Form W -2, Wage and Tax Statement 1980, completeo for your 1980 earnings on file with the Clinton Township secretary, disclosed that you earned $404,00, as a supervisor in 1980. 5. The secretary for Clinton Township, did have a Statement of rinancial Interests on file for the year 1980. That Statement, dated March 1, 1981, was signed John m. Allen. John M. Allen, Jr. Page 2 6. United States Government Form W -2, Wage and Tax Statement 1981, completed for your 1981 earnings on file with the Clinton Township secretary, disclosed that you earned $409.00, as a supervisor in 1981. 7. The secretary, Clinton Township, indicated that no Statement of Financial Interests was on file for you for the year 1981. A personal search of the file of•Statements of Financial Interests for Clinton Township, by our investigator, disclosed that no statement was on file for you for the year 1981. 8. United States Government Form W -2, Wage and Tax Statement' 1981, completed for your earnings on file with the Clinton Township secretary, disclosed that you earned $446.00, as a supervisor in 1982. 9. The secretary, Clinton Township, indicated that there was no Statement of Financial Interests on file for you for the year 1981. A personal search of the file of Statements of Financial Interests for Clinton Township, by our investigator, disclosed that no statement was on file for you for the year 1981. 10. United States Government Form W -2, Wage and Tax Statement 1983, completed__ for your 1983 earnings on file with the Clinton Township secretary, disclosed that you earned $1,264.17, as a supervisor in 1983. 11. The secretary, Clinton Township, indicated that no Statement of Financial Interests was on file for you for the year 1983. A personal search of the file of Statements of Financial Interests by our investigator disclosed that no statement was on file for you for the year 1983. 12. United States Government Form W -2, Wage and Tax Statement 1984, completed for your 1984 earnings on file with the Clinton Township secretary, disclosed that you earned $947.50 as a supervisor in 1984. 13� The secretary, Clinton Township, did have. a Statement of Financial Interests on file for you for the year 1984. 14. Your Statement of Financial Interests, for 1984, was enclosed in a sealed envelope bearing the inscription, "Received from John Allen, March 20, 1985 ". An examination of the enclosed form disclosed that it was blank. 15. When asked about the uncompleted blank form, the Secretary, Mary Zacherl, said only that Mr. Allen doesn't think too much of that form. 16. An exami nation of the file of Statements of Financial Interests for the calendar year 1985, disclosed that you filed a Statement for 1985, on or about April 1, 1986. John M. Allen, Jr. Page 3 17. When interviewed on December 10, 1985, you advised our investigator that you did not recall filing a blank statement for the year 1984. You said that you did file a Statement on March 1, 1981, for the year 1980. You said at that time that you were self- employed but that you did sell some properties in excess of $500 in 1980. An examination of your statement for the year 1980 does not show any such sales in Item 15; Direct or Indirect Sour_ ^s of Income.- 18. When interviewed by our investigator on September 29, 1986, you stated you had a great problem with the Ethics Act. You said that ypu disliked the idea of financial disclosure. You said that your failure to file the required financial statements, was your small way of protesting. You repeated that you could not remember putting a blank disclosure form in an envelope and giving it to Mrs. Zacherl, the Secretary. You advised that the figures shown as wages for the years 1979 through 1984, appeared to be accurate. You admitted that in addition to filing for the year 1985, that the only year that you `filed for was calendar year 1980. B. Discussion: The State Ethics Act provides as follows: Section 4. Statement of financial interests required to be filed. (a) Each public employee employed by the Commonwealth shal 1 file a statement of financial i nterests 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. 6 5 - 1 5 3 -- 4641 - a). The Regulations of the State Ethics Commission further provide that: Section 4. Statement of financial interests required to be filed, (b) Each candidate for public office shall file a statement of financial interests for the preceding calendar year with the commission prior to filing a petition to appear on the ballot for election as a public official. A petition to appear on the ballot shall not be accepted by an election official unless the petition includes an affidavit that the candidate has filed the required statement of financial interests with the commission. 65 P.S. 404(b). John M. Allen, Jr. Page 4 There is no doubt that as a township supervisor for Clinton Township, Butler County, Pennsylvania, you are within the purview of the above provisions of the State Ethics Act. Sowers, 80 -050; Weltz, 86 -001. The Ethics Act defines "public official" as follows: Section 2. Definitions. "Public official." Any elected or appointed official in the Executive, Legislative or Judicial Branch of the State or any political subdivision thereof, provided that it shall not include members of advisory boards that have no authority to expend public funds other than reimbursement for personal expense, or to otherwise exercise the power of the State or any political subdivision thereof. "Public official" shall not include any appointed official who receives no compensation other than reimbursement for actual expenses. 65 402. Your position as township supervisor clearly falls within the above definition. The filing requirement, as set forth in the Ethics Act has been determined to apply equally to public employees and public officials. Kremer v. State Ethics Commission, 56 Pa. Commw. Ct. 160, 424 A.2d 968, (1981); Carter, 79 -066. The Ethics Act provides penalities for failure to file a Statement of Financial Interests as follows: Section 9. Penalties. (b) Any person who violates the provisions of Section 4 is guilty of a misdemeanor and shall be fined not more than $1,000 or imprisoned for not more than one year, or be both fined and imprisoned. 65 P.S. 409(b). This Commission has also been mandated to make recommendations to law enforcement officials either for criminal prosecution or dismissal of charges arising out of violations of the Act. 65 P.S. §409(11). The State Ethics Act also provides that: Section 4. Statement of financial interests required to be filed. (d) No public official shall be allowed to take the oath of office or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed a statement of financial interests with the commission as required by this act. 65 P.S. 404(d). John M. Allen, Jr. Page 5 Pursuant to this provision of the Act, the Commission has taken action to prohibit candidates who are in violation of the law from continuing in the election process, State Ethics Commission v. Landauer, Pa. Comm. Ct. 496 A,2d 862, (1985), and has also required public officials and emloyees in violation of the Act to return any compensation nhtained in violation of the above provision. Metzler, No. 389 -R; Huhn, No. 431. In the instant situation, it is clear that you were well aware of the fact that you were required to file a Statement of Financial interests, This knowledge was evidenced by the fact that ynu did file a statement "tc.7 the year 1980. Additionally, you had an item on file for the year 1985. This item, however, was placed in a sealed enveloped and was, in fact, a hlank Statement of Financial Interests. No items on the Statement of Financial Interests were complete, including your name. Thus, such cannot he considered an appropriate filing. The fact that you did file this blank statement, however, is a clear indication that you were well aware of the filing requirement and that your failure to f out the form was indeed intentional. Your intent was clearly evidenced in your statements to the State Ethics Commission investigator. During your statement, you had indicated that you were not in favor of the financial disclosure filing provisions of the State Ethics Let and you indicated tat your failure to file was your way of protesting this requirement. Your statements in this respect clearly displey your inte=nt not to comply wit i. the laws of the Commonwealth of Pennsy1' arc a relating to your position as a puhlic official. The General Assemhly of Pennsylvania has the ultimate autmirity to declare the puhlic policy of this Commonwealth. to relation to the Ethics Act, the General Assemhly of Pennsylvania has declared that the citizens of this Commonwealth have a right to know the financial interests of their public officials who are elected to serve them. The financial interests filing requirements have been upheld by the Supreme Court of Pennsylvania on numerous occasions. See, State Association of Township Supervisors v. Thornburgh, 496 Pa. 324, 437 A.2d 1. (1 decision that the citizens do not have a right to know the fi nanci -a-1- interests of puhlic officials serving them is a clear violation of the intent and purpose of the State Ethics Act. As such, we helieve that your actions in this respect should he dealt with accordingly. As noted ahove, the State Ethics Commission does hve the power to recommend the prosecution of individuals who violate the State Ethics Act. In addition, the Commission has the power to offer the individuals an opportunity to divest themselves of the financial gain obtained in violation of the State Ethics Act. In the instant situation, you ohtained a financial gain in violation of the Act when you received compensation from puhlic funds even though you had failed to file a Statement of Financial Interests. See, Section 4f4(d) supra. In this respect, that amount of money equaled 53,570.03. This was the compensation that you received as a township supervisor for the years in which no Statement of Financial Interests was filed. Payment in that amount should he forwarded to the State Ethics Commission within 30 days from the date of this Order. John M. Allen, Jr. Page 6 C. Conclusion: You violated the filing requirements of the State Ethics Act when you failed to file a Statement of Financial Interests for the years 1979, 1981, 1982, 1983 and 1984. Your violation in this respect was clearly . intentional as evidenced by your filing for the year 1980 and by your filing of a completely blank statement in 1985. We will offer you the o"'ortunity to return the financial gain obtained in violation of the State Ethics Act to your governmental body. This amount equals $3,570.03. Payment in that amount should he forwarded to the State Ethics Commission made payable to Clinton Township. Failure to comply with the above restitution requirement will result in the referral of this matter to an appropriate law enforcement officer with the recommendation that appropriate actions he taken under the appropriate sections of the State Ethics Act. Our files in this case will remain confidential in accordance with Section 8(a) of the Ethics Act, 65 P.S. 408(a). However, this Order is final and will he made available as a puhlic document: 15 days after service (defined as mailing) unless you file documentation with the Commission which justifies reconsideration and /or challenges. pertinent factual findings. See 51 Pa. Code 2.38. During this 15 -day period, no one, including the Respondent unless he waives his right to challenge thisl(rder, may violate this confidentiality by releasing, discussing or circulating this Order. Any person who violates the confidentiality of a Commission proceeding is guilty of a misdemeanor and shall he fined not more than $1,000 or imprisoned for not more than one year or hoth, see 65 P.S. 409(e). Ry the Commission, AY. J8 i' - �arrvc ,p. G. Sieher Pancoast Chairman