HomeMy WebLinkAbout575 JamesMr. V. Joseph James
Vine Road Extension
St. Marys, PA 15857
Re: 87 -092 -C
Dear Mr. James:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
ORDER OF THE COMMISSION
Order No. 575
DATE DECIDED: July 21, 1987
DATE MAILED: July 28, 1987
The State Ethics .Commission has received a complaint regarding 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 candidate for Benzinger Township Supervisor,
violated Section 4(e)(2) of the Ethics Act and 4.2(b) of the Ethics Commission
regulations which provides that candidates for local public office shall file
a Statement of Financial Interests with the State Ethics Commission and the
governing authority of the political subdivision in which he is a candidate
prior to filing a petition to appear on the ballot, in that prior to the 1987
primary election, you failed to file a Statement of Financial Interests with .
the township.
A. Findings:
1. You were a candidate for Benzinger Township Supervisor during the 1987
primary election. You also were 'a candidate for St. Marys Area School Board
Director. As a candidate for public office, you are subject to the provisions
of the Ethics Act.
2. The Benzinger Township Manager confirmed that as of June 10, 1987 you had
not filed a Statement of Financial Interests with the municipality.
a. The manager also confirmed that on June 11, 1987 and June 18, 1987
you did file with the township.
3. Records of the State Ethics Commission confirmed the following:
a. You were a candidate for Benzinger Township Supervisor.
Mr. V. Joseph James
Page 2
b. You did not file a Statement of Financial Interests with the
Commission by the March 10, 1987 deadline.
c. You were notified by letter dated April 13, 1987 from the Executive
Director John Contino that you had not filed. You were given ten
(10) days from the date of that letter to file.
d. On April 16, 1987 the State Ethics Commission received a Statement of
Financial Interests from you.
4. You provided the following information to a State Ethics Commission
investigator on June 11, 1987:
a. You were a candidate for both Benzinger Township Supervisor and St.
Marys Area School Board.
b. Questions were raised by the Elk County Board of Elections regarding
your candidacy for two (2) elected offices. As a result you did not
immediately file the form.
c. You were subsequently notified by the County Board that you could
seek both offices.
d. You forgot to file the Statement of Financial Interests until
receiving a notice from the State Ethics Commission.
You did file with the Commission but failed to file with the
governing bodies.
f. You would file with both governing bodies.
g. You did not intentionally violate the Ethics Act, but believed your
non- filing was attributed in part to questions about your candidacy.
B. Discussion: The State Ethics Act provides as follows:
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).
Mr. V. Joseph James
Page 3
The Regulations of the State Ethics Commission further provide that:
§4.2.Candidates.
(b) Each candidate for local office shall file a
Statement of Financial Interests with the Commission and
shall file a copy of the Statement with the governing
authority of that political subdivision for which he is a
candidate prior to filing a petition to appear on the
ballot. 51 Pa. Code 4.2(b).
There is no doubt that as a candidate for Benzinger Township Supervisor
and St. Mary's Area School Board Director you are within the purview of the
above provisions of the State Ethics Act. 65 P.S. §404(e)(2).
While it is clear, that as a candidate, you were required to file a
Statement of Financial Interests pursuant to the State Ethics Act, judicial
decisions have established that the timing of such filing may be flexible and
that the required filing must be effected during the selection process. State
Ethics Commission v. Baldwin, 498 Pa. 255, 445 A.2d 1208, (1982). The
purpose, of course, of the timing requirement is to ensure that the
information is made available within a sufficient period of time for the
public to have meaningful access to it. State Ethics Commission v. Landauer,
Pa. Commw. Ct. , 496 A.2d 862, (1985).
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 out of violations of the Act. 65 P.S. §409(11).
Mr. V. Joseph James
Page 4
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
violation of the Act to return any compensation obtained in violation of the
above provision. Metzler, No. 389 -R; Huhn, No. 431.
Factually, the Benzinger Township Manager confirms that you filed your
Financial Interests Statement with the municipality. After receiving
notification from the Executive Director of this Commission that you had not
filed, you did file here within the the thirty (30) day time limit. You state
that Lecause you were a candidate for two positions, there were questions
concerning your candidacy and consequently, your non - filing can be attributed
to that situation. You state that you did not intentionally violate the
Ethics Act. You state that you will also file with both governing bodies.
Since it does not appear that the failure to file initially with the
Commission and with both governing bodies was of an intentional nature or that
the failure was prompted by a desire to hide any particular financial
interest, this Commission will take no further action in light of the fact
that you have, in fact, filed the Financial Interests Statement with this
Commission provided that you also file your Financial Interests Statement with
both governing bodies within thirty (30) days of the date of this order.
C. Conclusion and Order: As a candidate for the Benzinger Township
Supervisor and St. Mary's Area School Board Director, you were required to
file a Statement of Financial Interests pursuant to the Ethics Act. Your
failure to file was a violation of the requirements of the State Ethics Act.
You have filed the Statement of Financial Interests with the Ethics
Commission. You are ordered to file the Statement of Financial Interests with
both governing bodies within thirty (30) days of the date of this order. Upon
receipt of those statements, this Commission will take no further action,
based upon the fact that there is no evidence to indicate that your failure to
file was either intentional or constituted an attempt to conceal any financial
interest.
Mr. V. Joseph James
Page 5
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,
G. Sieber Pancoast
Chairman