Loading...
HomeMy WebLinkAbout621 Fultona Mr. Robert C. Fulton, Jr. Box 566 Adamstown, PA 19501 . Re: 87 -049 -C Dear Mr. Fulton: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 621 DATE DECIDED: 12/14/87 DATE MAILED: 12/28/87 The State Ethics Commission has received a complaint regarding you and a possible violation cf 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 Brecknock Township Supervisor, violated Section 5(b)(5) of the Ethics Act and 5.7(a) of the regulations which state that the statement shall include the name and address of any person who is the direct or indirect source of income totalling in the aggregate of $500 or more when you failed to list F & P Mobile Enterprises III on your Statement of Financial Interests filed on March 3, 1987; Section 5(b)(4) of the Ethics Act and 5.6(a) of the regulations which state that the statement shall include the name and address of each creditor to whom is owed in excess of $5,000 and the interest rate thereon, when you failed to list Alvin Martzall and William and Gladys Kring as creditors; Section 5(b)(7) and b(b)(8) of the Ethics Act and 5.14 and 5.15 of the regulations which state that the statement shall include the source of any honorarium received which is in excess of $10O and any office, directorship or employment of any nature whatsoever in any business entity, when you failed to list financial interest in Sill's Campground, F & P Mobile Enterprises and F & P Mobile Enterprises III. A. Findings: 1. You were a candidate for Brecknock Township Supervisor in the primary and general elections of 1987. a. You ran unopposed in the general election of November, 1987. b. You have served on the township zoning hearing board since February, 1985. Mr. Robert C. Fulton, Jr. Page 2 y .. 2. You stated that you are the owner of Sill's Campground, Adamstown, PA. 3. You stated that you are a partner in F & P Mobile Enterprises I, II and III. 4. Statements of Financial Interests on file with the township, which you filed show the following: a. Statements dated March 3, 1987: 1) Creditors: Denver Bank, Denver, PA - 11% Hamilton Bank, Reading, PA - 10% Harry Brubaker, Ephrata, PA - 10% 2) Direct or indirect source of income: Sill's Campground, owner F & P Mobile Enterprises This statement reflects the answer "none" in answer to item 14, office or directorship or employment in any business or item 15, financial interest in any legal entity in business for profit. Self- employment was listed as your profession under item 8. b. Statement dated April 20, 1987 (amended to above statement) 1) Creditors: Denver Bank, Denver, PA - 11% Hamilton Bank, Reading, PA - 10% Harry Brubaker, Ephrata, PA - 10% William and Gladys Kring, Bowmansville, PA - 10% Fidelity Bank - 9 1/4% Mr. A. Martzall - 10% Edna Sill - 10% 2) Direct or indirect source of. income: Sill's Campground, Box 566, Adamstown, PA F & P Mobile Enterprises I, II, and III, Adamstown, PA American Water Works Incorporated, Wilmington,' Delaware Mr. Robert C. Fulton, Jr. Page 3 - This statement alto reflects the answer "none" in answer to item 14, office or directorship or employment in any business or item 15, financial interest in any legal entity in business for profit. Item 8 reflected self - employment was listed as your profession. 5. You provided the following information in relation to the instant situation: a. You hastily filed your initial statement of March 30, 1987 because you were leaving for Florida on the following day. b. Upon your return to Pennsylvania you telephonically discussed your statement with a member of the State Ethics Commission staff and decided to forward an amended statement which was dated April 20, 1987. c. You stated that you initially believed only banks or financial institutions had to be listed under the creditors section of your statement. d. You related that you had no intent to conceal any creditors and compiled a complete listing of your creditors on the amended statement. e. You added an additional di rect or indi rect source of income, American Water Works, Inc., after your conversation with a State Ethics Commission staff member. f. You advised that F & P Mobile Home Enterprises I, II, and III are separate mobile home parks operated by the partnership in which you are involved. You stated that the Roman numeral identifiers are used for identifying amounts of income or expenses peculiar to an N. individual park. B. Discussion: The State Ethics Act requires all candidates for public office to file a Statement of Financial Interests and also provides as follows: Section 5. Statement of financial interests. (h) The statement shall include the following information for the prior calendar year with regard to the person required to file the statement and the members of his immedi ate family: Mr. Robert C. Fulton, Jr. Page 4 _ (4) The name and address of each creditor to whom is owed in excess of $5,0 and the interest rate thereon. However, loans or credit extended between members of the immediate family and mortgages securing real property which is the principal residence of the person filing or of his spouse shall not be included. (5) The name and address of any person who is the direct or indirect source of income totalling in the aggregate of $500 or more. However, this provision shall not be construed to require the divulgence of confidential information protected by statute or existing professional codes of ethics. (7) The source of any honorarium received which is in excess of $100. (8) Any office, directorship or employment of any nature whatsoever in any business entity. The Regulations of the State Ethics Commission further provide that: §5.6.Credi tors. (a) The person required to file shall list the name of every creditor to whom the person, his spouse, or minor dependent children owed in excess of $5,000 and the interest rate on each debt. 51 Pa. Code 5.6(a). §5.7.Income disclosure. • (a) The name and address of the person, including employers, who is the direct or indirect source of income totaling in the aggregate of $500 or more for the person required to file, his spouse, minor dependent children shall be listed unless otherwise limited as set forth in this section. 51 Pa. Code 5.7(a). §5.14.Di rectorship. A public official, public employe or candidate shall disclose the name and address of the business entity and Mr. Robert C. Fulton, Jr. Page 5 the position held where the person required to disclose, his spouse, or minor dependent child is an officer, director, fiduciary, or partner - -- limited or general. 51 Pa. Code 5.14. §5.15.Financial interests to be disclosed. A public official, public employe or candidate shall disclose his financial interest and that of his spouse, and minor dependent children in any legal entity engaged in business for profit where such interest exceeds 5.0% of the equity of the business or, if such financial interest is indebtedness, equals or exceeds 5.0% of the assets of the business. 51 Pa. Code 5.15. There is no doubt that as a candidate for Brecknock Township Supervisor you are within the purview of the above provisions of the State Ethics Act. 65 P.S. §404(b). 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 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). Mr. Robert C. Fulton, Jr. Page 6 t 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, (198S 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. In the instant situation, you, as a candidate for Brecknock Township Supervisor, failed to include in the Statement of Financial Interests dated March 3, 1987 the following information: F & P Mobile Enterprises III as a source of income totalling the aggregate of $500 or more; Alvin Martzall and William and Gladys Kring as creditors as to whom you owed amounts in excess of $5,000 and Sill's Campground, F & P Mobile Enterprises and F & P Mobile Enterprises III as business entities in which you held a position or interest. In your amended Statement of Financial Interests dated April 20, 1987, you did list F & P Mobile Enterprises III as a source of income and also listed the Kring's and Mr. Martzall as creditors to whom you owed money in excess of $5,000 but you did not list Sill's Campground, F & P Mobile Enterprises and F & P Mobile Enterprises III as business entities in which you held an office, directorship or employment. Since you did not include your interest in the business entities consisting of Sill's Campground, F & P Mobile Enterprises and F & P Mobile Enterprises III, this Commission finds that you violated Section 5(b)8 of the Ethics Act; however, if you file an amended Statement of Financial Interests within thirty (30) days of the date of this order listing your interests in these three business entities, this Commission will take no further action. There was also a technical violation of the Ethics Act in failing to list F & P Mobile Enterprises III as a source of income and the Kring's and Martzall as creditors to whom you owed amountsrn excess of $5,000.00 in your March 3, 1987 statement. However, the Commission notes that there is no evidence to establish that your failure to list this information Mr. Robert C. Fulton, Jr. Page 7 was occasioned by a conscience action or attempt on your part to conceal any financial interests. C. Conclusion and Order: 1. As a candidate for Rrecknock Township Supervisor, you are a candidate subject to the filing requirements of the State Ethics Act. 2. There is a technical violation of Section 5(b)(4) and (5) of the Ethics Act when you failed to list in your March 3, 1987 Statement of Financial Interests F & P Mobile Enterprises III as a source of income and the Kring's and Martzall as creditors to whom you owe amounts in excess of $5,000.00. 3. You violated Section 5(b)8 of the Ethics Act in that you failed to list your interest in the business entities consisting of Sill's Campground, F & P Mobile Enterprises and F & P Mobile Enterprises III. 4. If you file an amended Statement of Financial Interests within thirty (30) days of this order, including the above business interests referred to in paragraph 3, this Commission will take no further action. 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