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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