HomeMy WebLinkAbout601 MainesMr. Elmer I. Maines
Box 47
La Jose, PA 15753
Re: 86 -155 -C
Dear Mr. Maines:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
ORDER OF THE COMMISSION
Order No. 601
DATE DECIDED: October 14, 1987
DATE MAILED: October 20, 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 Councilmember in New Washington
Borough, violated Section 4(e)(2) of the Ethics Act and 4.2(c) of Ethics
Commission's regulations which provide that announced write -in candidates for
public office shall file a Statement of Financial Interests with the
Commission and the governing authority of that political subdivision in which
he is a candidate within 15 days of declaring his candidacy or within half the
time between the declaration of candidacy and the election, if that period is
less than 15 days; Section 4.2(d)(1) and (2) of Ethics Commission regulations
which provides that write -in winners of nominations file a Statement of
Financial Interests with the Commission and the governing authority of the
governmental body associated with the nomination within 85 days of General
Election and write -in winners of elections shall file a Statement of Financial
Interests with the Commission and the governing authority of the governmental
body associated with the office to which they are elected 5 days prior to
taking the oath of office.
A. Findings:
1. You were a write-in winner for the office of borough counci l member in New
Washington Borough, Clearfield County, in the 1985 General Election.
2. County records confirmed that you filed a loyalty oath for that office.
3. Information obtained from the borough discloses that you were the write -in
winner for borough council. You have served on council since January, 1986.
Mr. Elmer I. Maines
Page 2
4. On February 27, 1986, you were advised by certified letter from the State
Ethics Commission that as a write -in election winner, you were required to
file a Statement of Financial Interests no later than 5 days prior to taking
office. The letter enclosed a form and provided instructions for filing.
a. The return receipt was signed by you on March 1, 1986.
5. You were notified of this investigation by letter dated October 1, 1986.
6. You filed a Statement of Financial Interests form with the Commission on
October 9, 1986. The form was dated October 8, 1986.
7. You stated you filed the form after receiving a letter from the State
Ethics Commission in October, 1986.
a. You could not recall receiving the certified letter of February 27,
1986 from the Ethics Commission.
b. You are serving as councilman of New Washington.
c. You assert that as a write -in winner you were unaware of the filing
requirement.
8. Borough records confirm that you filed a Statement of Financial Interests
sometime in October, 1986.
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).
The Regulations of the State Ethics Commission further provide that:
§4.2.Candidates.
(c) Announced write -in candidates must file a
Statement of Financial Interests with the Commission and a
copy with the governing authority of that political
subdivision for which he is a candidate within 15 days of
declaring their candidacy or within half the time between
the declaration of candidacy and the election, if that
period is less than 15 days. 51 Pa. Code 4.2(c).
Mr. Elmer I. Raines
Page 3
There is no doubt that as a write-in candidate for New Washington Borough
Council , you are within the purview of the above provisions of the State
Ethics Act. Domalakes, 85 -010.
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. Comm. 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).
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.
Mr. Elmer I. Maines
Page 4
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.
As the write -in candidate and winner for the office of borough council in
the Washington Borough in the 1985 General Election, you were required to file
the Statement of Financial Interests within 5 days of taking office on January
1986. Although you were notified of this requirement by certified mail from
the Commission on February 27, 1986, which was signed for by you on March 1,
1986, you did not file the required Statement of Financial Interests until
October 9, 1986. Since there is no evidence to indicate that you have
attempted to conceal financial information or that your failure to file was
intentional, this Commission will take no further action. It is noted that
the borough records confirm that you have, in fact, filed the required
statement in October of 1986.
C. Conclusion and Order:
1. As the successful write -in candidate for the office of borough
council in New Washington Borough, you are required under Section
4(e)(2) of the Ethics Act to file a Statement of Financial Interests
for each year in which you hold a position and for the year after you
leave such position.
2. Your failure to timely file the Statement of Financial Interests was
a violation of Section 4(e)(2) of the Ethics Act; however, since you
have filed the Statement of Financial Interests with the borough, no
further action will be taken.
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