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HomeMy WebLinkAbout1214 NormanIn Re: Ronald E. Norman : File Docket: : X -ref: : Date Decided: : Date Mailed: 01- 018 -C2 Order No. 1214 8/23/01 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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11, Act 93 of 1998, which essentially repeats Act 9 of 1989 and provides for the completion of pending matters under Act 93 of 1998.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. Norman, 01- 018 -C2 Page 2 I. ALLEGATION: Ronald E. Norman, as an Auditor for Warsaw Township, failed to comply with Section 4(a)/1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file Statements of Financial Interests for calendar years 1998 and 1999 as an Auditor for Warsaw Township. II. FINDINGS: 1. Ronald Norman is an adult individual who resides at or maintains a mailing address at R.R. 5, Box 156, Brookville, PA 15825. 2. Norman serves as a Warsaw Township Auditor. a. He has served in this position since January 1998. 3. Norman is required to file Statements of Financial Interests by May 1 on an annual basis in his position as a township auditor. 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 Ronald Norman filed for calendar year 1998 and 1999. a. Norman's 1998 and 1999 calendar years Statements of Financial Interests were dated January 4, 1999, and January 5, 2000, respectively. b. The Statement of Financial Interests form utilized by Norman for the filing of the 1998 and 1999 calendar year statement contained a revision date of 01/01. 6. Statement of Financial Interests Forms Sec -1 Rev. 01/01 were received by the State Ethics Commission from the printer in December 2000. 7 The Statement of Financial Interests forms SEC -1 Rev. 01/01 were mailed by the State Ethics Commission to municipalities throughout the Commonwealth on December 29, 2000. 8. On January 8, 1999, and January 5, 2000, the purported dates of the filing of Norman's 1998 and 1999 calendar years Statements of Financial Interests, the form used had not yet been printed. 9. Norman backdated his Statements of Financial Interests to make it appear as if it had been filed in January of 1999 and January 2000 at the direction of the township secretary. 10. During sworn testimony taken on April 25, 2001, Norman admitted backdating his 1998 and 1999 calendar years Statements of Financial Interests. III. DISCUSSION: At all times relevant to this matter, the Respondent, Ronald E. Norman, hereinafter Norman, 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 Norman, 01- 018 -C2 Page 3 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 Norman violated Section 4(a)/1104(a) of the Ethics Act as to the allegation that he failed to file Statements of Financial Interests for calendar years 1998 and 1999 as an Auditor for Warsaw Township. Section 4/1104. Statement of financial interests required to be filed. facts. (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 Norman has served as a Warsaw Township Auditor since January 1998. On February 22, 2001, a Statement of Financial Interests Compliance Review was scheduled with the Warsaw Township Secretary /Treasurer, Alan Lindemuth. A review of the Statements of Financial Interests (FIS's) on file with the Township revealed that Norman filed FIS's for calendar years 1998 and 1999 on January 4, 1999 and January 5, 2000, respectively. Both FIS's filed by Norman were completed on Form SEC -1 Rev. 01/01. The State Ethics Commission received Forms SEC -1 Rev. 01/01 from the printer in December 2000 and distributed the Forms to the municipalities throughout the Commonwealth on December 29, 2000. Form SEC -1 Rev. 01/01 was not in print at the time Norman purportedly filed his FIS's. During sworn testimony, Norman admitted to backdating his FIS's for the 1998 and 1999 calendar years. Having summarized the above relevant facts we must now determine whether the actions of Norman 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" Norman, 01- 018 -C2 Page 4 Section 4(a)/1104(a) of the Ethics Act in relation to Norman's failure to file FIS's for calendar years 1998 and 1999; that Norman 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 Norman file FIS's for calendar years 1998 and 1999 containing the actual dates of filing within 30 days of the issuance of this Order. Norman, as a Warsaw Township Auditor, 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 Norman fail to file FIS's for calendar years 1998 and 1999 on or before each May 1s' deadline, he attempted to conceal this fact by backdating his FIS's on forms that were not in print at the times of the purported filings. Accordingly, Norman violated Section 4(a)/1104(a) of the Ethics Act when he failed to timely file FIS's for the calendar years 1998 and 1999. 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, Norman 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 FIS's for calendar years 1998 and 1999 containing the actual dates 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. Norman, as an Auditor for Warsaw Township, is a public official subject to the provisions of Act 9 of 1989/Act 93 of 1998, Chapter 11. 2. Norman violated Section 4(a)/1104(a) of the Ethics Act when he failed to timely file Statements of Financial Interests for calendar years 1998 and 1999. In Re: Ronald E. Norman : File Docket: 01- 018 -C2 : Date Decided: 8/23/01 : Date Mailed: 9/7/01 ORDER NO. 1214 1. Norman, as an Auditor for Warsaw Township, violated Section 4(a)/1104(a) of the Ethics Act when he failed to file Statements of Financial Interests for calendar years 1998 and 1999. 2. Per the Consent Agreement of the parties, Norman 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 Statements of Financial Interests for calendar years 1998 and 1999 containing the actual dates 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