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