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Home My WebLink About536 ShafferMr. Lee Shaffer R.fl. #2 Selinsgrove, PA 17R7n Re: R - n19 -C s ms s: STATE ETHICS COMMISSION 308 FINANCE. BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 536 DECIDED NOV 19 1986 MAILEDNOV 25 i 86 near Mr. Shaffer: The State 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 hased are as follows: I. Allegation: That you, an incumbent Monroe Township Supervisor, violated Section 4(e)(2) of the State Ethics Act and 4.2(h) of the Ethics Commission regulations which provide that public officials shall file a Statement of Financial Interests with the political suhdivision of their governing hody on an annual basis when you failed to file Statements of Financial Interests for calendar years 1983 and 1984. A. Findings: 1. You have served as a township supervisor in Monroe Township, Pennsylvania, from January, 1979 to the present, and are subject to the requirements of the State Ethics Act. a. You have acted as a chairman of the township hoard of supervisors for nine of the eleven years you have served. 2. You filed Statements of Findncial Interests with the township as follows: a. Statement dated march 7, 1981, for the year 19R0. h. Statement dated July 5, 1983, which was obtained from a manila envelope marked "1983" at the township office. This statement was marked to indicate that it represents disclosure for the calendar year 1983. c. Statement dated April 29, 1985, for the year 1984. H. Statement dated March 12, 1986, for the year 1985. Mr. Lee Shaffer Page 2 e. Search of other statements held the township office failed to disclose ariy filings by you for calendar years 1979, 1981 or 1982. 3. Township payroll records reflect that during calendar years 1979 through 1985, you earned in excess of $500.00 only during calendar year 1984. a. The amount earned was $525.00 in 1984. b. Earnings were as follows: 1979 - $375.00 1980 - $447.50 1981 - $'85.75 1982 - $495.00 1983 - $450.00 1984 - :525.00 1985 - $425.00 1986 - 625.00 (through October 31, 1986) c. You failed to list Monroe Township under direct or indirect sources of income for calendar year 1984. 4. You stated that you were unsure as to whe }her or not you made a mistake in dating your statement for calendar year 1983, i .e. , July 5, 1983 when it should have been July 5, 1984. 5. You stated that you were uncertain as tr whether or not you filed required statements for all years you have serve(: as township supervi sor. 6. You believe that you never earned in excess c f $500.00 from the township during any calendar year from 1979 through :985. B. Discussion: The State Ethics Act provides as follows: Section 4. Statement of fi nanci al interests requi red to be filed. (a) Each public employee employed by the Commonwealth ..+gaffer Page 3 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. 65 P.S. 404(a). 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(2). The Regulations of the State Ethics Commission further provide that: §4.4.Incumbent and former public officials. (b) Incumbent public officials in governmental bodies other than those specified in subsection (a) who are not candidates shal 1 file their Statement of Fi nanci al Interests only with their governmental body. 51 Pa. Code 4.4(b).. There is no doubt that as a township supervisor for Monroe Township you are within the purview of the above provisions of the State Ethics Act. Sowers, 80 -050. 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. Mr. Lee Shaffer Page 4 "Public official" shall not include any appointed official who receives no compensation other than reimbursement for actual expenses. 65 F.S. 402. Your position as township supervisor clearly falls within the above definition. The filing requirement, as set forth it 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. Additionally, the Commission has recognized the need for judicious application of the law and also reviews matters such as the instant situation to determine if the failure to file or delay in filing was occasioned by conscious action or in an attempt to conceal or realize prohibited financial gain or interests. 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 been mandated to make recommendations to law enforcement officials either for criminal prosecution or dismissal of charges arising cut 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). 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. Commw. Ct. 496 A.2d 862, (1985), and has also required public officials and emloyees in Mr. Lee Shaffer Page 5 violation of the Act to return any compensation obtained in violation of the above provision. Metzler, No. 389 -R; Huhn, No. 431. In the instant situtation, the evidence clearly indicates that you did not file a Statement of Financial Interests for the year 1979, 1981 and 1982. You did, however, file for all other years in which you were serving as a public official. There is no indication, from the evidence, that you intentionally failed to file in the three years indicated above. Additionally, there is no indication that you were doing any business privately with your own governmental body or were otherwise engaged in a conflict of interests which would have been revealed through those filings or which would have been hiden through the lack of filing. As such, we do not believe that we should impose, at this time, the harsher penalties of the State Ethics Act requiring restitution of compensation as indicated in Section 404(d) above. We do, however, believe that you must bring yourself into compliance with the State Ethics Act and as such you must file Statements of Financial Interests for the years 1979, 1981 and 1982. You, therefore, must within 30 days of the issuance of this Order, file Statements of Financial Interests for the years in which you did not file. Additionally, you should submit an amended 1984 Statement indicating Monroe Township as a source of income in excess of $500. C. Conclusion: You violated the State Ethics Act by failing to file Statements of Financial Interests for the years 1979, 1981 and 1982, which would have been required in that you served as a township supervisor in Monroe Township, Pennsylvania. You must, within 30 days of the date of this Order, file Statements of Financial Interests for the years indicated above. Upon filing said statements, we will close our files in this matter and recommend no further action in reference thereto. Failure to comply with this Order will result in the referral of this matter to the appropriate law enforcement authority for further review and action. You also must file an amended 1984 Statement as set forth above. All Statements should be filed with this Commission with copies being submitted to the township. 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 be made available as a public 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 thisUrde r, may violate this confidentiality by rel easi ng, di scussi ng or ci rcul ati ng thi s Order. Mr. Lee Shaffer Page 6 Any person who violates the confidentiality of a Commission proceeding is guilty of a misdemeanor and shall be fined not shore than $1,000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). By the Commission, G. Sieber Pancoast Chai rman