HomeMy WebLinkAbout1210 LindemuthIn Re: Alan Lindemuth
File Docket: 01- 020 -C2
X -ref: Order No. 1210
Date Decided: 8/23/01
Date Mailed: 9/7/01
Before: Daneen E. Reese, Chair
Louis W. Fryman, Vice Chair
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
Donald M. McCurdy
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission conducted
an investigation regarding a possible violation of the Public Official and Employee Ethics
Law, Act 9 of 1989, P.L. 26, 65 P.S. §401 et seq., by the above -named Respondent. At the
commencement of its investigation, the Investigative Division served upon Respondent
written notice of the specific allegation(s). Upon completion of its investigation, the
Investigative Division and Respondent entered into a Stipulation of Findings and Consent
Agreement. The record is complete. The Consent Agreement was submitted by the
parties to the Commission for consideration which was subsequently approved.
Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter
11, Act 93 of 1998, which essentially repeats Act 9 of 1989 and provides for the completion
of pending matters under Act 93 of 1998.
This adjudication of the State Ethics Commission is issued under Act 93 of 1998
and will be made available as a public document thirty days after the mailing date noted
above. However, reconsideration may be requested. Any reconsideration request must be
received at this Commission within thirty days of the mailing date and must include a
detailed explanation of the reasons as to why reconsideration should be granted in
conformity with 51 Pa. Code §21.29(b). A request for reconsideration will not affect the
finality of this adjudication but will defer its public release pending action on the request by
the Commission.
The files in this case will remain confidential in accordance with Chapter 11 of Act
93 of 1998. Any person who violates confidentiality of the Ethics Law is guilty of a
misdemeanor subject to a fine of not more than $1,000 or imprisonment for not more than
one year. Confidentiality does not preclude discussing this case with an attorney at law.
Lindemuth, 01- 020 -C2
Page 2
I. ALLEGATION:
That Alan Lindemuth, as Secretary /Treasurer for Warsaw Township, failed to
comply with Section 4(a)/1104(a) of the Ethics Law, 65 Pa. C.S. §1104, when he failed to
file a Statement of Financial Interests for the calendar year 1998 as the
Secretary /Treasurer for Warsaw Township.
II. FINDINGS:
1. Alan Lindemuth is an adult individual who resides at or maintains a mailing address
at R.R. 1, Box 109 -1, Reynoldsville, PA 15851.
2. Lindemuth serves as a Warsaw Township Secretary /Treasurer.
a. He has served in this position since February 1998.
3. Lindemuth is required to file Statements of Financial Interests by May 1 St on an
annual basis in his position as a township secretary /treasurer.
4. On February 22, 2001, a Statement of Financial Interests Compliance Review was
scheduled with the Warsaw Township Secretary /Treasurer, Alan Lindemuth.
5. Review of Statements of Financial Interests on file with Warsaw Township revealed
a Statement of Financial Interests for Alan Lindemuth filed for calendar year 1998.
a. Lindemuth's 1998 calendar year Statement of Financial Interests was dated
March 3, 1999.
b. The Statement of Financial Interests form utilized by Lindemuth for the filing
of the 1998 calendar year statement contained a revision date of 01/00.
6. Statement of Financial Interests Forms Sec -1 Rev. 01/00 were received by the
State Ethics Commission from the printer in January 2000.
7 The Statement of Financial Interests forms SEC -1 Rev. 01/00 were mailed by the
State Ethics Commission to municipalities throughout the Commonwealth on
January 21, 2000.
8. On March 3, 1999, the purported dated of the filing of Lindemuth's 1998 calendar
year Statement of Financial Interests, the form used had not yet been printed.
9. During sworn testimony taken on April 25, 2001, Lindemuth admitted backdating his
1998 calendar year Statement of Financial Interests.
III. DISCUSSION:
At all times relevant to this matter, the Respondent, Alan Lindemuth, hereinafter
Lindemuth, has been a public official subject to the provisions of the Public Official and
Employee Ethics Law, Act 9 of 1989, Pamphlet Law 26, 65 P.S. §401, et seq., as codified
by the Public Official and Employee Ethics Act, Act 93 of 1998, Chapter 11, 65 Pa.C.S.
§1101 et seq., which Acts are referred to herein as the "Ethics Act."
The issue is whether Lindemuth violated Section 4(a)/1104(a) of the Ethics Act as to
the allegation that he failed to file a Statement of Financial Interest for calendar year 1998
as Secretary /Treasurer of Warsaw Township.
Lindemuth, 01- 020 -C2
Page 3
facts.
Section 4/1104. Statement of financial interests required to be
filed.
(a) Public official or public employee. - -Each public official of
the Commonwealth shall file a statement of financial interests
for the preceding calendar year with the commission no later
than May 1 of each year that he holds such a position and of
the year after he leaves such a position. Each public employee
and public official of the Commonwealth shall file a statement
of financial interests for the preceding calendar year with the
department, agency, body or bureau in which he is employed
or to which he is appointed or elected 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 or public
official shall file a statement of financial interests with the
governing authority of the political subdivision by which he is
employed or within which he is appointed or elected no later
than May 1 of each year that he holds such a position and of
the year after he leaves such a position. Persons who are full -
time or part -time solicitors for political subdivisions are
required to file under this section.
65 P.S. §404(a)/65 Pa. C. S. §1104(a).
Section 4(a)/1104(a) of the Ethics Act quoted above requires that each public
official /public employee must file a Statement of Financial Interests for the preceding
calendar year, each year that he holds the position and the year after he leaves it.
Having noted the issues and applicable law, we shall now summarize the relevant
Lindemuth has served as the Secretary /Treasurer of Warsaw Township since
February 1998.
On February 22, 2001, a Statement of Financial Interests Compliance Review was
scheduled with Lindemuth. A review of the Statements of Financial Interests (FIS's) on file
with the Township revealed that Lindemuth filed an FIS for calendar year 1998 on March 3,
1999.
The FIS filed by Lindemuth was completed on Form SEC -1 Rev. 01/00. The State
Ethics Commission received Forms SEC -1 Rev. 01/00 from the printer in January 2000
and distributed the forms to the municipalities throughout the Commonwealth on January
21, 2000. Form SEC -1 Rev. 01/00 was not in print at the time Lindemuth purportedly filed
his FIS. During sworn testimony, Lindemuth admitted to backdating his FIS for the 1998
calendar year.
Having summarized the above relevant facts, we must now determine whether the
actions of Lindemuth violated Section 4(a)/1104(a) of the Ethics Act.
The parties' Consent Agreement sets forth a proposed resolution of the allegations.
The Consent Agreement proposes that this Commission find a "fail[ure] to comply with"
Section 4(a)/1104(a) of the Ethics Act in relation to Lindemuth's failure to file an FIS for
calendar year 1998; that Lindemuth agree to make payment in the amount of $100 within
30 days of the issuance of this Order through this Commission to the Commonwealth of
Pennsylvania; and that Lindemuth file an FIS for calendar year 1998 containing the actual
date of filing within 30 days of the issuance of this Order.
Lindemuth, 01- 020 -C2
Page 4
Lindemuth, as Secretary /Treasurer of Warsaw Township, is a public official
required to annually file an FIS on or before May 1 for the prior calendar year. In this
case, not only did Lindemuth fail to file an FIS for the calendar year 1998 on or before the
May 1St deadline, he attempted to conceal this fact by backdating his FIS on a form that
was not in print at the time of the purported filing. Accordingly, Lindemuth violated Section
4(a)/1104(a) of the Ethics Act when he failed to file an FIS for the calendar year 1998.
We determine that the Consent Agreement submitted by the parties sets forth the
proper disposition for this case, based upon our review as reflected in the above analysis
and the totality of the facts and circumstances. Accordingly, Lindemuth is directed to make
payment of $100 within 30 days of the issuance of this Order through this Commission to
the Commonwealth of Pennsylvania; and to file an FIS for calendar year 1998 containing
the actual date of filing within 30 days of the issuance of this Order. Compliance with the
foregoing will result in the closing of this case with no further action by this Commission.
Noncompliance will result in the institution of an order enforcement action.
IV. CONCLUSIONS OF LAW:
1. Lindemuth, as Secretary /Treasurer for Warsaw Township, is a public official subject
to the provisions of Act 9 of 1989/Act 93 of 1998, Chapter 11.
2. Lindemuth violated Section 4(a)/1104(a) of the Ethics Act when he failed to file a
Statement of Financial Interests for the 1998 calendar year.
In Re: Alan Lindemuth
: File Docket: 01- 020 -C2
: Date Decided: 8/23/01
: Date Mailed: 9/7/01
ORDER NO. 1210
1 Lindemuth, as Secretary /Treasurer for Warsaw Township, violated Section
4(a)/1104(a) of the Ethics Act when he failed to file a Statement of Financial
Interests for the 1998 calendar year.
2. Per the Consent Agreement of the parties, Lindemuth is directed to make payment
of $100 within 30 days of the issuance of this Order through this Commission to the
Commonwealth of Pennsylvania; and to file a Statement of Financial Interests for
calendar year 1998 containing the actual date of filing within 30 days of the
issuance of this Order.
a. Compliance with the foregoing will result in the closing of this case with no
further action by this Commission.
b. Non - compliance will result in the institution of an order enforcement action.
BY THE COMMISSION,
DANEEN E. REESE, CHAIR