COM., STATE ETHICS COM'N v. Baldwin

445 A.2d 1208, 498 Pa. 255
CourtSupreme Court of Pennsylvania
DecidedMay 28, 1982
StatusPublished
Cited by6 cases

This text of 445 A.2d 1208 (COM., STATE ETHICS COM'N v. Baldwin) is published on Counsel Stack Legal Research, covering Supreme Court of Pennsylvania primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
COM., STATE ETHICS COM'N v. Baldwin, 445 A.2d 1208, 498 Pa. 255 (Pa. 1982).

Opinion

498 Pa. 255 (1982)
445 A.2d 1208

COMMONWEALTH of Pennsylvania, STATE ETHICS COMMISSION, Appellee,
v.
William E. BALDWIN, et al.
Appeal of Marshall FRUMER, Catherine Masur, and Edward Thompson.

Supreme Court of Pennsylvania.

Argued April 22, 1982.
Decided May 28, 1982.

*256 James H. Stewart, Jr., Harrisburg, Michael Etkin, Philadelphia, for Marshall Frumer.

Stewart Magdule, Harrisburg, for Wm. E. Baldwin.

Anthony Vardaro, Meadville, for Julius Russell.

R. Bruce Manchester, Bellefonte, for Donald F. Heggenstaller, Sr.

Frank M. Jackson, Philadelphia, for Ann L. Moss.

*257 David Raker, Williamsport, for Bruce E. Waugh.

Sandra S. Christianson, Gen. Counsel, Asst. Atty. Gen., James J. Kutz, Deputy Atty. Gen., for State Ethics Com'n.

Before O'BRIEN, C.J., and ROBERTS, NIX, LARSEN, FLAHERTY, McDERMOTT and HUTCHINSON, JJ.

OPINION

NIX, Justice.

The State Ethics Commission challenged the nomination petitions of thirteen prospective candidates[1] for the offices of State Senator and State Representative for their failure to file with the Commission financial interests statements as required by the State Ethics Act (Ethics Act). Act of October 4, 1978, P.L. 883, 65 P.S. § 404(b) (Supp. 1981-1982). The Ethics Act requires a financial interests statement to be filed prior to the filing of nomination petitions. These prospective candidates had failed to file financial interests statements with the Commission before the last day for filing nomination petitions on March 9, 1982.

The Commonwealth Court relying on In re Petition of Cianfrani, 467 Pa. 491, 359 A.2d 383 (1976) held that "[f]ailure to file such a statement prior to filing the affidavit *258 required with the nomination petition would clearly invalidate the affidavit and also, consequently, the nomination petition, thereby requiring that the candidate's name be removed from the ballot." On April 8, 1982, ____ Pa. Cmwlth. ____, 444 A.2d 767, an order was entered striking the names of eight of the prospective candidates including Marshall Frumer, Catherine Masur and Edward Thompson, the appellants in the instant case.

Section 4(b) of the Ethics Act provides:

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 the affidavit that the candidate has filed the required statement of financial interests with the Commission. 65 P.S. 404(b).

The provisions of Section 4(b) of the Ethics Act require that (1) a candidate for election must file a financial interests statement with the State Ethics Commission, (2) the financial interests statement must be filed with the State Ethics Commission prior to the filing of a petition to appear on the ballot for election and (3) an election official must reject a nomination petition which does not include an affidavit attesting to the fact that the candidate has filed the required financial interests statement with the State Ethics Commission. Although the nominating petitions' affidavits contained an attestation that a financial statement had previously been filed with the Commission[2] pursuant to section 4(b), such filings were not in fact made on or before the March 9, 1982 filing deadline.[3] The Commonwealth *259 Court found this to be a fatal defect which could not be cured by amendment. We are satisfied that a correct analysis of Section 4(b) does not reflect a legislative intent requiring the stilted and harsh ruling reached by the Commonwealth Court in this case.[4]

It is apparent from the stated purpose of the Ethics Code, see Section 1, 65 P.S. 401 (Supp. 1981-82), that the legislature intended a full financial disclosure by public officials and office holders to avoid conflicts of interest and to reaffirm the citizens confidence in the integrity of their public officials. Section 4(b) was the device designed to secure that information from those persons seeking public office. Section 4(d)[5] anticipates that Section 4(b) would not be all encompassing in assuring that everyone prior to entering into public office will have submitted the desired information and adds a further requirement to reach those public officials who have not complied up to that point in time with the disclosure requirement. It must be emphasized that Section 4(b) is only a means used by the legislature to reach a goal and not the goal itself. The objective was the disclosure of the financial activities of the candidate, the requirement to file an affidavit attesting to compliance with the disclosure requirements was the means chosen to achieve that objective. Clear thinking requires *260 that we do not exalt the means to an extent that the end is obscured.

To treat the affidavit attesting to financial disclosure as an appendage to the qualifications for office set forth in the Election Code creates a fiction that does a disservice to the legislative intention underlying the enactment of Section 4(b). Section 4(b) was not designed as positing a barrier to seeking public office, rather it was conceived as a way in which to obtain further information which could be available during the selection process. It cannot be presumed from the fact that the mechanical device used to obtain the information provides for its receipt prior to the filing of the nominating petition should necessarily require foreclosing access to the nomination process where the information is in fact received after the filing of the petition but is available for all of the purposes envisioned under the Ethics Act.

It is, of course, legitimate to argue that the development of a machinelike rule that forecloses access to the nomination process whenever there is non-compliance with the strict letter of the section, regardless of the reason for the non-compliance, will assist in obtaining the desired information. However, there is no basis for concluding that the legislature intended such a rule to implement its design in this area nor is there evidence that such a stringent approach is here necessary. Not only has there not been in this instance such a compelling necessity established for adopting such a per se rule, to do so would be in direct conflict with the well-established public policy of this jurisdiction to favor enfranchisement. In Re: Recount of Ballots, 457 Pa. 279, 325 A.2d 303 (1974); Mellody Appeals, 449 Pa. 386, 296 A.2d 782 (1972); Weiskerger Appeal, 447 Pa. 418, 290 A.2d 108 (1972); James Appeal, 377 Pa. 405, 105 A.2d 64 (1954).

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445 A.2d 1208, 498 Pa. 255, Counsel Stack Legal Research, https://law.counselstack.com/opinion/com-state-ethics-comn-v-baldwin-pa-1982.