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Home My WebLink About1211 LindemuthIn Re: William Lindemuth File Docket: X -ref: Date Decided: Date Mailed: Before: Daneen E. Reese, Chair Louis W. Fryman, Vice Chair John J. Bolger Frank M. Brown Susan Mosites Bicket Donald M. McCurdy 01- 019 -C2 Order No. 1211 8/23/01 9/7/01 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 Effective December 15, 1998, Act 9 of 1989 was repealed and replaced by Chapter 11 of Act 93 of 1998, 65 Pa.C.S. §1101 et seq., which essentially repeats Act 9 of 1989 and provides for the completion of pending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 Act 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, W., 01- 019 -C2 Page 2 I. ALLEGATION: William Lindemuth, as a Supervisor for Warsaw Township, failed to comply with Section 4(a)/1104(a) of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file a Statement of Financial Interests for the calendar year 1997 as a Supervisor for Warsaw Township. II. FINDINGS: 1. William Lindemuth is an adult individual who resides at or maintains a mailing address at R.R. 1, Box 610, Brockway, PA 15824. 2. Lindemuth serves as a Warsaw Township Supervisor. a. He has served in this position since January 1994. 3. Lindemuth is required to file Statements of Financial Interests by May 1 on an annual basis in his position as a township supervisor. 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 William Lindemuth filed for calendar year 1997. a. Lindemuth's 1997 calendar year Statement of Financial Interests was dated January 3, 1998. b. The Statement of Financial Interests form utilized by Lindemuth for the filing of the 1997 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 January 3, 1998, the purported dated [sic] of the filing of Lindemuth's 1997 calendar year Statement of Financial Interests, the form used had not yet been printed. 9. Lindemuth backdated his Statement of Financial Interests to make it appear as if it had been filed in January of 1998 at the direction of the township secretary. 10. During sworn testimony taken on April 25, 2001, Lindemuth admitted backdating his 1997 calendar year Statement of Financial Interests. III. DISCUSSION: At all times relevant to this matter, the Respondent, William 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. Lindemuth, W., 01- 019 -C2 Page 3 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 Interests for calendar year 1997 as a Supervisor for Warsaw Township. 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 facts. Lindemuth has served as a Warsaw Township Supervisor since January 1994. 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 Lindemuth filed an FIS for calendar year 1997 on January 3, 1998. 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 1997 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 1997; 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 1997 containing the actual date of filing within 30 days of the issuance of this Order. Lindemuth, W., 01- 019 -C2 Page 4 Lindemuth, as a Warsaw Township Supervisor, 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 calendar year 1997 on or before the May 1 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 timely file an FIS for the calendar year 1997. 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 1997 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 a Supervisor 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 timely file a Statement of Financial Interests for calendar year 1997. In Re: William Lindemuth : File Docket: 01- 019 -C2 : Date Decided: 8/23/01 : Date Mailed: 9/7/01 ORDER NO. 1211 1. Lindemuth, as a Supervisor for Warsaw Township, violated Section 4(a)/1104(a) of the Ethics Act when he failed to file a Statement of Financial Interests for calendar year 1997. 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 1997 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