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HomeMy WebLinkAbout553 ArmsMs. Janet L. Arms Pine Forge Post Office Pine Forge, PA 19548 Re: 86 -175 -C Dear Ms. Arms: STATE ETHICS COMMISC1ON 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 553 DECIDEDMAP, 1 1 87 MAILED 7 The Ethics Commission has received a cpmplaint regardin,g,you and._a possible violation of Act 170 of 1978. The Commission has now completed its investigation. The individual allegations, conclusions, and findings on which those conclusions are based are as follows: I. Allegation: That you, a Douglass Township Auditor, violated Sections 4(a) of the State Ethics Act which states that any other public employee shall file a Statement of Financial Interests with the governing authority of the politicE:l 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; and, 4.6(b) of the Ethics Commission regulations which provides that incumbent public officials in governmental bodies other than those specified in subsection (a) who are not candidates shall file their Statements of Financial Interests only with their governmental body, in that you failed to file a Statement of Financial Interests with the local governing body of the 1985 calendar year by the May 1, 1986 deadline. A. Findings: 1. You have served as a Douglass Township, Berks County, Auditor since at least 1983. As a public official, you are subject to the provisions of the State Ethics Act. 2. Records of the Douglass Township Supervisors disclosed no filing of an annual Statement of Financial Interests for the 1985 calendar year. Said form was required to be filed with the governing body by May 1, 1986. 3. Records of the Douglass Township Supervisors confirmed the following: Ms. Janet L. Arms Page 2 ; a. On May 22, 1986, Township Secretary Anita Dombrowski, notified you by mail -that the township did not receive your Statement of Financial Interests and requested that you file the form. b. On August 1, 1986, by certified mail, return receipt No. P622 658 591, you were sent a second letter by the township secretary requesting that you file as soon as possible. Return receipt card indicates that you received the letter on August 4, 1986. 4. Township records disclose the following regarding your filing of the Statement of Financial Interests. a. You filed with the township on February 29, 1984 for the 1983 calendar year. b. You filed on February 17, 1985, for the 1984 calendar year. 5. You were notified of the State Ethics Commission investigation of you by letter dated December 1, 1986. 6. By letter dated January 5, 1987, you wrote to the Douglass Township Secretary and advised that you tried, on several occasions, to reach her by phone. You also enclosed a copy of a Statement of Financial Interests which you stated was completed long ago. a. That form was dated April 29, 1986. 7. You advised a State Ethics Commission investigator that the original form referred to in No. 6 above, was mailed to the State Ethics Commission. 8. State Ethics Commission records disclose that the following forms are on file for you: a. December 30, 1933, received fonn dated December 27, 1983 for the 1982 calendar year. Form marked filed as a candidate. b. May 2, 1986, received form dated April 29, 1986 for the 1985 calendar year. B. Discussion: The State Ethics Act provides as follows: Ms. Janet L. Arms Page 3 Section 4. Statement of financia) interests required to be filed. (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. 65 P.S. §404(a). 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 shall file their Statement of Financial Interests only with their governmental body. 51 Pa. Code 4.4(b). There is no doubt that as an auditor for Douglass Township you are within the purview of the above provisions of the State Ethics Act. Wheeler/ Williams, 85 -518, 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 hoards 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 P.S. §402. Ms. Janet L. Arms Page 4 Your position as auditor 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. 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 penalties 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 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). 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 employees in violation of the Act to return any compensation obtained in violation of the above provision. Metzler, No. 389 -R; Huhn, No. 431. Ms. Janet L. Arms Page 5 In the instant situatic i,.while the a, ;,c S off nanciai Interests on file for you in Douglass Township for the year 1985, a review of Ethics Commission files indicates that you filed that form with this agency. That form was received on May 2, 1986, at the office of the State Ethics Commission, one day after the filing deadline. While your Statement of Financial Interests was filed in the wrong location, and while that form was received one day after the filing deadline, there is no doubt that it would have been mailed prior to the filing deadline. As such, we do not believe that a violation of the State Ethics Act has been occasioned under the foregoing circumstances. C. Conclusion: You did not violate the State Ethics Act when you incorrectly filed your Statement of Financial Interests with the State Ethics Commission rather than with the local governmental authority, Douglass Township, Your Statement of Financial Interests will be returned to the township for filing, in accordance with the provisions of the State Ethics Act and the regulations of the State Ethics Commission. 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 this Order, 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 be fined not more than $1,000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). By the Commission, .C/ , l0 JC7 RM-e.cC.ON G. Sieber Pancoast Chairman