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HomeMy WebLinkAbout645 HeckmanMr. Thomas C. Heckman 131 East Prospect Street Nazareth, PA 18064 Re: 87 -182 -C Dear Mr. Heckman: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 645 Date Decided: April 8, 1988 Date Mailed: April 19, 1988 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 Nazareth Borough Councilman and candidate for re- election in 1987, violated the following provisions of the State Ethics Act (Act 170 of 1978) when you failed to file a Statement of Financial Interests with the borough: Section 4. Statement of financial interests required to be filed. '(a) Each public employee employed by the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency or bureau in which he is employed no later than May 1, of each year that he holds such a position and of the year after he leaves such a position. Any other public employee shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. 65 P.S. S404(a). Mr. Thomas C. Heckman Page 2 A. Findings: b) Each candidate for public office shall file a statement of financial interests for the preceding calendar year with the Commission prior to filing a petition to appear on the ballot for election as a public official. A petition to appear on the ballot shall not be accepted by an election official unless the petition includes an affidavit that the candidate has filed the required statement of financial interests with the commission. 65 P.S. §404(b). 1. You are an incumbent Nazareth Borough Councilman and were a candidate in 1987. As such, you are subject to the provisions of the State Ethics Act. 2. Records of the State Ethics Commission disclosed the following: e.. The Northampton County Board of Elections notified the State Ethics Commission that you were a candidate for Nazareth Borough Council for the 1987 primary. b. By certified letter number P 285 030 677 dated June 18, 1985, you were notified by the State Ethics Commission that you were required to file a Statement of Financial Interests within (10) days. c. -oh June 30, 1987, the State Ethics Commission received a Statement of Financial Interests dated June 26, 1987 bearing your signature. 3. Paul Kokolus, Nazareth Borough Secretary, provided the following information: a. You were an incumbent councilman and also a candidate for re- election. b. As a candidate, you did not file a copy of a Statement of Financial Interests with the borough. c. He provided you with a blank Statement of Financial Interests for filing as an incumbent official. Mr. Thomas C. Heckman Page 3 d. He gave you additional forms on five or six occasions, but you did not file. e. The solicitor was asked to render an opinion regarding your failure to file and ruled that you were not entitled to be compensated unless you filed. f. Council ruled at an executive session to withhold payments until you filed. You filed a Statement of Financial Interests with the borough on October 31, 1987. h. Your monthly salary of $125.00 was withheld for the five months between November, 1987, and March, 1988 as reimbursement for the months between May and September of 1987 when you had not filed. 4. You provided the following information to a State Ethics Commission investigator. a. In 1987, you were an incumbent Nazareth Borough Councilman and also sought re- election. b. You thought that you mailed a Statement of Financial Interests to the State Ethics Commission as a candidate prior to the deadline, but the State Ethics Commission apparently did not receive the form. c. After receiving a second notice from the State Ethics Commission, you filed a Statement of Financial Interests with the State Ethics Commission sometime in June, 1987. g. d. You were reminded by the borough secretary on a few occasions to file, but you did not because you thought that since you filed with the State Ethics Commission, there was no need to file locally. e. Once the solicitor made his ruling, you filed a Statement of Financial Interests with the borough. f. You were required to forfeit five months salary for the time you were not in compliance. B. Discussion: The State Ethics Act provides as follows: Mr. Thomas C., Heckman Page 4 Section 4. Statement of financial interests required to be filed. (b) Each candidate for public office shall file a statement of financial interests for the preceding calendar year with the Commission prior to filing a petition to appear on the ballot for election as a public official. A petition to appear on the ballot shall not be accepted by an election official unless the petition includes an affidavit that the candidate has filed the required statement of financial interests with the commission. 65 P.S. §404(b). The regulations of the State Ethics Commission further provide that: Section 4.2.Candidates. (b) Each candidate for local office sha'1 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 54.2(b). There is no doubt that as a candidate for re-election for Nazareth Borough Council, you are within the purview of the above provisions f the State Ethics Act. 65 P.S. §404(b). While it is clear that as a candidate you were require r 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 Mr. Thomas C. Heckman Page 5 attempt to conceal or realize prohibited financial gain or interest. 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 3(c) through (h) or 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 oficharges 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. 8'5 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 employees in violation of the Act to return any, compensation obtained in violation of the above provision. Metzler, Order 389 -R; Huhn, Order 431. In the instant situation, you were a candidate for re- election in 1987 for Nazareth Borough Council. Although you were required to file the Statement of Financial Interests prior to the time of filing your nominating petition for the position of Nazareth Borough Councilmember, you did not, in fact, file the statement with the Commission until June 30, 1987 and with the Mr. Thomas C. Heckman Page 6 borough until October 31, 1987. Because of your recalcitrance in filing the statement of Financial Interests with the Borough, despite several attempts by the borough secretary to get you to file and an opinion by the solicitor that you were required to file, five months of your salary as councilmember was subsequently withheld as reimbursement for the period of time in which you did not file. Under these circumstances, this Commission finds a violation of Section 4(b) of the State Ethics Act. However, no further action will be taken because you hmve forfeited five months of your salary for your late filing of the Statement of Financial Interests and because there is no evidence to indicate that your late filing was due to any attempt on your part to conceal financial information. C. Conclusion and Order: 1. As a candidate for re- election for Nazareth Borough Council, you were subject to the requirements of Section 4(b) of the State Ethics Act regarding the filing of the Statement of Financial Interest with this Commission and with your governmental body. 2. You violated Section 4(b) of the Ethics Act by failing to file the required Statement of Financial Interests with this Commission and your governmental body prior to the filing of your nominating petition for the 1987 primary election. 3. This Commission will take no further action since you forfeited five months of salary for the period in which you did not file and since there is no evidence to indicate that your failure to timely file was related to any attempt on your part to conceal financial information. Our files in this case will remain confidential in accordance with Section 8(a) of the Ethics Act, 65 P.S. 5408(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. Mr. Thomas C. Heckman Page 7 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, Joseph W. Marshall, III Chairman