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