*1 ORDER PER CURIAM. NOW, AFFIRM the day April, 28th we
AND Court. of the Commonwealth Order 896A.2d 566 Timothy J. CARROLL In re Petition of Nomination Timothy Appeal J. Carroll. Pennsylvania. Supreme Court of April Submitted 2006. 2,May Decided *2 Vinsko, Jr., Sajer, Esq., E. Esq., Marsha Anne William Wilkes-Barre, Timothy J. Carroll. Comitz, Wilkes-Barre, Garvey.
Jonathan Dennis Scott C.J., CASTILLE, CAPPY, NEWMAN, BEFORE: *3 SAYLOR, BAER, BALDWIN, EAKIN, JJ.
OPINION Justice CASTILLE. from
Appellant/candidate Timothy appeals J. Carroll granting order of appellee/objector the Commonwealth Court to aside Nomination Garvey’s petition Dennis set Carroll’s Repre- Petition for office of Republican nomination Legislative from 117th Assembly sentative General District, County, The effect of Wyoming Pennsylvania. primary to strike name from the order below was Carroll’s follow, order ballot. For the reasons that we reverse nomination order setting petition aside Carroll’s and we primary Carroll’s name be restored to the ballot.1 1, 2006, Carroll, Mayor Borough, March Dallas On filed a nomination Wyoming County, timely petition name Secretary seeking of the Commonwealth have his original Garvey's petition filed was in the Commonwealth Court's 764(2) 42 Pa.C.S. jurisdiction, pursuant to Section of the Judicial Code. 764(2). jurisdiction appeal § appeal Court’s direct over Carroll’s This 723(a) 723(a). § pursuant to Section the Code. Id. on Primary for the placed Republican ballot Office of Representative Assembly in the General from the 117th Legis- lative District. Carroll filed Statement contemporaneously 1104(b) Interests, Financial as required by of the Section (“Ethics Employee Public Official and Ethics Act Act” or “Act”), et seq.:
(1) Any candidate for a office shall State-level file a statement of financial interests for the preceding calendar year day with the commission on or before the last for filing a petition to on the ballot for A appear election. copy statement of be appended financial interests shall also petition. such
[*] [*] [*] [*] (3) petition No appear the ballot for election shall be accepted by respective State or local election officials unless the has petition appended thereto a statement of (1) (2). set interests as forth in paragraphs Failure to file the statement provi- accordance with the shall, sions of this chapter addition other penalties provided, be a defect fatal to a petition appear on the ballot. 1104(b).2
Id. Block of the Statement of Financial Inter (which form Commission) ests produced by the State Ethics directs the filer to list his “PUBLIC POSITION OR PUBLIC (member, etc.).”3 Commissioner, title, OFFICE job Block allows the filer to check the position(s) he is seeking, block, holds or held. Within Carroll listed the positions he holds as HOUSE,” “MAYOR” AID “LEGISLATIVE *4 1104(b)(2) governs 2. Subsection county candidates for or local office and thus is not relevant here. 3. The State Ethics Commission's provide, respect instructions to Block 4: held) appropriate (seeking, holding, Please check the block for each
position you public list in the blocks position(s) below. List all of you seeking, currently which prior are hold or have held in the year. job calendar be sure Please to include titles official titles (even such as serving "member” or "commissioner” if as alter- nate/designee). “PA he HOUSE OF position seeking and he listed the was [sic].”4 REPRESENTATIVE 14, 2006, Republican Garvey, registered On March District, filed Legislative elector the 117th qualified petition, alleging aside Carroll’s nomination petition to set defec- “fatally” of Financial Interests was Carroll’s Statement 1104(b). Garvey claimed Specifically, tive under Section to to affiliations he was required had failed list two Carroll 1105(b) pro- of the pursuant disclose Section vides, part: in relevant information. —The statement shall include
(b) Required year for the calendar following prior information regard person required to the file statement: (1) Name, position. address and
[*] [*] [*] [*] (8) office, or nature Any directorship employment any entity. any whatsoever business (8). First, 1105(b)(1), Garvey alleged that Car- 65 Pa.C.S. (b)(1) in Block because he failed list roll violated subsection 4 the he held as a board member unpaid public position Municipal Authority Dallas Area Secretary Assistant Second, (“DAMA”). sub- alleged that Carroll violated Garvey (b)(8) because, in Block 13 of the Financial State- section “OFFICE, block filers to list DIRECTOR- requiring ment —a EMPLOYMENT IN ANY SHIP OR BUSINESS”—Carroll of the not-for- uncompensated presidency failed to list his Mayors Borough” J. Carroll’s of Dallas profit “Timothy Club Club”).5 defects, alleged, or both (“Mayors Garvey Either petition fatally nomination defective.6 rendered Carroll’s positions, as re- 4. In Carroll further identified these Block quired. provide: 5. The Ethics Commission's instructions for Block OFFICE, IN ANY DIRECTORSHIP OR EMPLOYMENT BUSINESS office, your employment directorship List busi- ENTITY: report, you do then check If not have such ness. “NONE”. aside, Garvey petition alleged that to set also Carroll failed list, yearly totaling $1300 or direct or indirect source of income as a *5 Court, 20, 2006, per the March the Commonwealth On on hearing held a Kelley, Judge, Honorable James R. Senior sole issue before the Court relevant Garvey’s Petition. The omis- the above two legal question here was the whether rendered it on of Financial Interests sions Carroll’s Statement 1104(b)(3), warranting thus “fatally defective” under Section petition that Carroll’s nomination be set aside. Mayors
At the testified that he created the hearing, Carroll entirely to fund The is funded community projects. Club Club donations, by including by people donations Carroll and on their salaries. serving borough council who donate salary that entire gives Carroll testified he the Club his average approxi- balance the Club’s account is $600. $3,000.00. finance that mately money projects This is used to cannot be For taxpayer money. example, funded with Boy Club assisted the local Scout donated to a troop, $300 fund, scholarship gave group assisting to a that was $200 Projects victims of Hurricane Katrina. undertaken are borough Club discussed with council and reflected borough minutes of council receives no meetings. Carroll income, salary, benefit in from the any kind Club. When asked he did not why report his association with the Club Interests, his Statement of Financial responded Carroll he the Club to be and that part Mayor, viewed his duties as he received no it. compensation connection with N.T. 3/20/06, 14-19. DAMA, regard to his testified
With Carroll that he appointed consequence position was as a of his and that he no income or other Mayor, salary, received serving benefit as a result of on DAMA. Carroll further report testified he did not on his Statement of Financial report Interest for the same reason he did not he Mayors compensation Club: received no for his work more, 1105(b)(5), part-time position police see 65 Pa.C.S. as a Township Department. Garvey officer the Dallas Police withdrew hearing parties stipulated this claim at the after the that Carroll 3/20/06, employment $1268 received in income from this in 2005. N.T. 3-4. Id. at mayoral to be of his duties. part
he believed his service
22, 2006,
single-judge
Judge Kelley
March
issued
On
Garvey’s peti
opinion
granted
memorandum
order and
petition.
nomination
set aside Carroll’s
“regrettably”
tion and
*6
view,
by”
“controlled
In re
In
the case was
Judge Kelley’s
(Pa.Cmwlth.
Anastasio,
In his to this argues brief Carroll the fatal 1104(b)(3), and as construed in Anasta- defect rule in Section sio, apply does not to a his report non-compensated failure DAMA the Mayors and Carroll Club. notes that interests, Act to financial speaks designed expose conflicts, potential financial acts to thereby strengthen faith and confidence of the in their people government by assuring impartiality public honesty officials. Brief 1101.1(a)). (citing for Appellant, 65 ar- Carroll gues that the fatal designed defect rule is to ensure that made, fully timely financial disclosures are so that they may interests, inform about candidate’s financial thus facilitating ability assess whether influence, those likely with, financial interests are or conflict execution of public responsibilities. candidate’s Con- *7 notes, sistently purpose, with Carroll the rule to date has been applied only terminate candidacies where the candi- statement,7 date file failed to a timely financial filed a timely financial but statement failed to the disclose sources of income debts,8 or filed the financial in wrong statement the loca- tion.9 Brief for Appellant, 7-8.
Carroll notes that
of
none
the heretofore-recognized reasons
for disqualification exists here. He
his
peti-
filed
nomination
tion
fashion;
of
Statement
Financial
timely
Interests
he
right place;
filed
and he
not fail to
any
did
disclose
relevant financial
point,
interest. On the last
Carroll notes
that, in
cases
passed
where this Court
alleged
has
upon
defects in the
of
statements,
substance
financial
we have
applied the fatal defect
rule
where there were “errors of
relating
omission
to a
candidate’s financial interests.” Id. at
9,
Braxton,
citing
re
Petitions
Nominating
35,
583 Pa.
874
of
146,
Citing
(1993).
7.
Cioppa,
In re Petition
533 Pa.
626 A.2d
of
Anastasio,
Citing
supra.
8.
Wilson,
Citing
In the Matter Nomination Petition
A.2d curiam). (2005) (p er Pa. 872 A.2d Katofsky, 582 of (fatal rule not defect Benninghojf, supra See and contrast re with compliance candidate in substantial where applied interests). emphasizes Carroll to disclose financial quirement implicat financial interest that there no undisputed that it is of wrongly he been accused ed either of the has Thus, of voting public not report. deprive he did failing his financial interests that would allow about information potentially conflict those interests voters assess whether Instead, the oppor he has been denied trust. public his of his because full disclosure appear ballot tunity of summary an interests did not include exhaustive financial associations. Carroll maintains non-financial fatal defect rule Court’s extension the Commonwealth “unprecedent non-financial interests an report to failures the terms or cannot be expansion” squared ed which statement require Ethics Act and purpose ment. from, and no compensation no had he receives
Because in, he failed to either of the associations financial interest his Financial Statement cannot be argues Carroll report, argues He that: cogently defective. then deemed reporting decide otherwise would mandate To affiliation voluntary or every not-for-profit into may falling official hold fear candidate or by the Commonwealth trap technical created Court’s ..., of the Parent Teachers Associ- such as President ruling ation, Youth Township Program, Soccer Treasurer myriad of others. of a church committee and Chair require intended to disclosure *8 Legislature Commonwealth officials entanglements by potential are in- financial disclosure rules not employees. from those as elected officials serving tended deter community ways. life in other continuing to contribute recognized civically contrary, Legislature To political are to both run office likely active citizens life. ordinary civil See participate to continue to 1101.1(b) (“It Pa.C.S. recognized [§ ] that many public officials, including most local officials and members of the General are Assembly, citizen-officials who to their bring public office the knowledge and concerns of ordinary citi- zens and taxpayers. They should not be discouraged from maintaining their contacts their community through their occupations professions.”).
Here, Garvey to disqualify seeks Carroll he not because failed to disclose positions for he is compensated which or businesses in he has financial interest merely but because he failed to list his position non-profit with a organization and his service on a municipal authority, both undertaken solely adjunct as an to his official duties as borough mayor.
Brief for Appellant, 9-10.
In addition to his argument broad stressing that the finan- cial statement required Ethics Act is concerned only interests, with financial Carroll also addresses each of the affiliations at issue. respect With to his role in the Mayors Club, which Garvey claimed had to be disclosed as a “business entity” affiliation 1105(b)(8), under Section Carroll notes that the term “business entity” is not defined in the Ethics Act. But, Carroll argues, the elemental term “business” is defined in the and in a way that plain makes that it encompasses for-profit entities: “[a]ny corporation, sole partnership, firm, proprietorship, franchise, enterprise, association, organi- zation, self-employed individual, holding joint company, stock company, or receivership, organized trust legal entity profit.” 65 § 1102 (emphasis supplied). Under the plain definition, language of this Carroll argues that his failure to list president non-profit Mayors Club did not violate the Ethics Act because there “simply noth- ing” in the Act that requires disclosing affiliations with non- profit Moreover, business entities. argues, Carroll if even this plain language could be ambiguous, construed it would be inequitable and unfair to fault him for failing to predict such an interpretation. accurately *9 Commission, of a non-textual to warn candidates such
Ethics Act recognizes notes that the explicitly Carroll interpretation. 1101.1(a), yet see need for “clear guidelines,” him below was not against invoked interpretation the novel extant, clear upon guideline. any based DAMA, unpaid affiliation is as an Turning where his Secretary, argues Assistant Carroll Board member and as Authority position on virtue of his he serves argues, listed he mayoralty, Because he his Carroll Mayor. affiliation. disclosed this lesser-included effectively also event, notes, position, in the fact of this nothing Carroll any (disclosed) position of as is but an incident his situation, as he has no financial Mayor, speaks to his financial Thus, compensation. he no had DAMA and receives stake affiliation, it have argues, listed Carroll would contrib- he his financial nothing public’s understanding to the of uted interests. alternative, that even if in the Carroll
Finally, argues deemed defective for failing his Financial could be Statement associations, he unpaid permitted to list these should two it rule an- pursuant compliance amend substantial in Benninghoff. nounced argues an He
Garvey position. counters with absolutist of fatal defects thus that Carroll’s “errors omission” were Thus, in was set aside. Gar- petition rightly his nomination view, 1105(b)(8) the Act that a of “mandates” vey’s Section nature any any office of whatsoever candidate “disclose Brief Carroll’s entity.” Appellee, business reported had to be Mayors Club therefore president Garvey language Financial stresses the broad Statement. isolation, i.e., read office” of provision “any when *10 that of appointed municipal members authorities are officials, therefore, and Carroll’s failure to his report an Moreover, DAMA fatal independent was defect. Garvey disputes argument Carroll’s that his on DAMA service incident mandatory position Mayor; was of his elected as maintains, the contrary, Garvey this “purely association was voluntary.”
Garvey also disputes argument Carroll’s that he substantial- the Act. ly complied argues that Garvey Carroll’s omis- sions Blocks 4 and 13 involve associations not otherwise Statement, accounted for in the Financial fact ren- and that inoperable ders the compliance substantial rule set forth in Benninghoff. Garvey concludes that either or both of Car- roll’s omissions rendered his Statement of Financial Interests 1104(b)(3) fatally Act, defective under Section of the warrant- nomination ing his petition be set aside.
Notably, at the outset of straightforward his otherwise argument, Garvey acknowledges the of “purpose” fatal defect is “to rule insure of public disclosures relevant Appellee, information.” Brief of 10 (emphasis add- ed). Yet, never Garvey discusses fact that neither of Carroll’s unreported implicated financial informa- Garvey tion. Nor does argue, for is example, that there some indirect inway Carroll’s financial implicat- situation was Instead, ed these non-financial Garvey affiliations. focuses 1105(b) on the language isolation, of Section affiliations separate and from the apart overall financial of emphasis form and the purpose well as the he has generally acknowledged, then declares that of omission informa- Thus, tion amounts to fatal defect. there is a missing essential ingredient when later Garvey declares that the non- deprived disclosures here of “an opportunity voters to accu- rately inspect Id., Carroll’s financial portfolio.”
636 of a concerning validity reviewing
In
an order
may
reverse
challenge
petition,
a nomination
Court
supported by
if
of fact are not
substantial
findings
discretion, or
an
evidence,
abuse of
there was
there was an
Driscoll,
Pa.
577
of
In re Nomination Petition
error
law.
of
(2004);
501,
44,
In
Nomination Petition
847
49
re
A.2d
of
(2001).
case,
671,
327,
In this
Pa.
A.2d
331
Flaherty, 564
770
and there is no discre
dispute,
facts are not
necessary
question,
below at issue. The
tionary
court
ruling
instead,
Ethics Act.
interpretation
proper
concerns
interpretation,
purely
statutory
As the
is one of
question
non-
issue,
plenary
this Court’s substantive review
legal
E.g.
Manufacturing
Commonwealth v.
deferential.
Gilmour
(2003).
676,
Co.,
143,
object of
822 A.2d
Pa.
statutes
to ascertain
construction
all
interpretation
Assembly.
See 1
and effectuate
intention
General
1921(a);
re
Absentee Ballots
Canvass
Election,
Pa.
843 A.2d
November
General
*11
(2004).
1223,
clear
When the words of a statute are
1230
is
plain language
free from
their
ambiguity,
generally
all
Blom,
v.
legislative
intent. Bowser
569 Pa.
best indication
(2002);
609,
830,
Re
Pennsylvania
807
835
Financial
A.2d
424,
English,
v.
541 Pa.
Assigned Claims Plan
sponsibility
1921(b).
84,
(1995);
reviewing
§
i Pa.C.S.
A
664 A.2d
87
legis
court
resort
other considerations
determine
should
are not
lative
when the words of
statute
intent
1921(b).
§
See
Bal
explicit. 1 Pa.C.S.
Canvass Absentee
Commonwealth,
lots,
v.
(citing
The intent and purpose Act Ethics is not shrouded mystery. The Act part of the “accountability” section of Title governs “public officers.” Section 1101.1 of the General Assembly set forth explicitly its “pur- pose” as follows:
(a) Legislature Declarations. —The hereby declares that public office is a public trust and that any effort to realize personal financial gain through public office other than compensation provided by law is a violation of that trust. In order to strengthen the faith and confidence of the people of this Commonwealth their government, Legislature further declares that the people a right have be assured that the financial interests of holders of or nominees or candidates for public office do not conflict with the public trust. Because public confidence government can best be sustained by assuring people of the impar- tiality and honesty public officials, this chapter shall be *12 liberally promote construed to complete financial disclosure specified as in chapter. Furthermore, this it recognized is that clear guidelines are needed in order guide public officials and employees in their Thus, actions. the General Assembly by chapter intends to define as clearly as possible those areas represent which conflict public with the trust. 1101.1(a). of focus this declara- § substantive Pa.C.S. interests, complete particularly, and how
tion is on financial trust,” “public further the may of financial interests disclosure in their people” of the the faith and confidence “strengthen inter- that the “financial and government, public assure trust.” public officials “do not conflict ests” of (“The purpose at 1186 obvious 852 A.2d Benninghoff, See also financial of the the Ethics Act is to mandate disclosure of officials.”). of dealings 1102, section of the defines the definitions
Section entity in a “Any legal as: financial interest “financial interest” 5% more than profit comprises in engaged business which of more than 5% the assets of the business or equity al- in 1102. As indebtedness.” Id. the economic interest argument, the definitions ready discussing Carroll’s noted way supports term “business” in a that section also defines the for-profit intends entities.10 it to cover reading financial forth the annual “statement of 1104 then sets Section (a) (c) through filing subsections requirement, interests” employee,” obligations “public official describing 1104(d) “nominee,” “candidate,” respectively. Subsection 1104(e) file, the failure to while subsection then addresses instance, copying. every provides public inspection inter- “statement of financial designated required filing 1105, entitled ests.” which is “Statement Section interests,” shall be on a form provides then that the statement "orga recognize possible are constructions of the 10. We that there two "business,” one profit” reference the Act's definition nized for examples modifying previous all the reference as which would construe (which statute), reads the and one definition Carroll flow See, example. applying only the last it antecedent would construe Pennsylvania, Dept. of Transp., 564 e.g., McKinley v. Commonwealth of (2001) (discussing "last antecedent Pa. A.2d 1160 n. 10 construction). grammatical To the extent definitional rule” of ambiguous, may principles we of construction. language is look Ballots, 1921(b); supra. For reasons set Canvass Absentee statute, below, greater length plainly-stated purpose of the forth at consequence accompany a construction harsh that would non-disclosure, finding convince us that of a material would lead to favorably to any ambiguity in most the definition should construed seeking access. candidates ballot *13 the prescribed by State Ethics Commission sets forth and what information must in required be included the statement.11 1105(a) (b) provide & 11. Section in full: (a) pursuant Form.—The statement of financial to interests filed this chapter by be prescribed shall on a form the All commission. requested provided information on the shall statement be the best knowledge, required person of the information belief of the and to file signed equivalent and shall under oath or affirmation. (b) Required following information. —'flic statement shall include the prior year person regard information for the the calendar required to file statement: (1) Name, public position. address and (2) profession. Occupation or (3) Any any direct or indirect in interest real estate which was sold Commonwealth, any agencies political or subdivisions, or leased to of its Commonwealth, purchased any or [ ] or leased from the subdivisions, agencies political subject of its or or which was the Commonwealth, any proceedings any by condemnation of its agencies political or subdivisions. (4) and The name address of each creditor whom owed in $6,500 However, excess of and the rate interest thereon. loans or family credit extended between members immediate and mort- gages securing property secondary real principal which is the or person filing residence of the shall not be included. (5) any and name address of direct or indirect source of $1,300 However, totaling aggregate in income or more. provision require not be divulgence shall construed of confi- protected by existing professional dential information or statute codes privileges. of ethics or law common (6) any gift The name and address of the source and the amount of gifts aggregate $250 or valued at or more and the circum- gift. gift paragraph apply gifts stances of each This shall not or to a child, spouse, parent, by sibling, parent marriage, received from grandchild, family other member friend when or the circumstances personal make it that the for clear motivation the action was or However, family relationship. purposes paragraph, for the of this registered lobbyist employee term shall not "friend” include a or an lobbyist. registered of a (7) any The name address of the source and the amount of payment expenses transportation for or reimbursement of actual lodging hospitality public or received connection with office or employment expenses transportation lodg- where such actual ing hospitality single $650 or exceed in the course of a occurrence. paragraph apply expenses by govern- This shall not reimbursed expenses body organization mental toor reimbursed an or associa- employees political tion of officials or subdivisions which employee capacity. official or in an serves official office, (8) Any directorship employment any nature whatsoev- entity. er in business (9) Any any legal entity engaged financial interest in in business for profit. construct, no difficulty have of this we light require Act not Carroll to disclose that the did finding not be Mayors The Act could non-profit in the Club. “interest” interests. concern any clearer inter terms “financial Moreover, Act’s definitions *14 which, reasonably as Carroll est” “business”—definitions the see them, in keeping supra note are with construed sup in Section legislation announced purpose of 1101.1— not his associa required a that Carroll was list finding port The is a Mayors his Statement. Club tion it on Financial no from Carroll receives entity, which non-profit corporate matter, Indeed, his a financial as compensation. financial loss, Club Mayors is a net as entity connection with funded, mayoral salary. in his donated part, from was positions with to Carroll’s
Turning uncompensated these DAMA, of decision that purposes assume for we will purposes for of subsec “public positions” are indeed 1105(b)(1) but, Mayors with the tion like Carroll’s association Club, required not because conclude that disclosure was we remotely Carroll’s financial implicate the association did not (1) isolation, in subsection is unlike the interests. Viewed 1105(b) in not mat in that it does address other subsections Instead, necessarily financial information. ters that involve identifying to the filer’s concerns what amounts subsection i.e., “name, and public position.” address information: It filing why. it is that is This information reveals who that the and the to remember Commission’s important service, form, variety public people a governs people wide reasons.12 overlapping to file for different and may who have holders; office some as incumbents file as incumbent Some office; reelection; for as new candidates some seeking some (10) identity in a financial interest business which preceding person has associated in the reporting is or been report- year which been transferred to member of calendar has ing family. person’s immediate Id. omitted). (footnote officials, (requiring public public employees, 12. See 65 Pa.C.S. state-level, county-level, public office and local-level candidates Interests). to file Statement Financial seeking any given as no office. long-term employees a small of Ethics Act filers are then year, only percentage actively seeking public public employ- office. Most filers are financial after year year, ees who must detail their interests filers, go holiday. Finally, trust does not some reasons, i.e., Carroll, because multiple like must file for both held as an elected positions currently well as actively being sought.
For rule —a rule purposes of Act’s fatal defect as a applies only filing to the extent that a filer 1104(b) office, not “candidate” «see do—we think that their “public directive candidates list (notably, singu position” Assembly employed General lar) can be isolation from the rest of the splendid viewed Act, and thus as of all requiring detailing existing public associations, irrespective they implicate whether candi date’s interests or reveal the office the candidate is A seeking. person seeking public reasonable interested *15 statute, form, office who consulted the the Commission’s and accompanying its instructions —all of in terms of speak financial interests —could reasonably understand subsec (1) requirement tion to to those apply “positions” neces candidate, seeks, sary identify the office he and his financial interests.13 does not a financial One have interest uncompensated positions one undertakes as a to an corollary public official position. The fact of the matter is that not all public positions and associations a candidate’s finan implicate interests, cial and in the nothing purports require statute interests, of disclosure non-financial of upon pain being exclud seeking ed from office.
Finally, in determining Assembly whether General can be said have intended the fatal rule to apply defect here, the sort of “non-disclosure” alleged we must “mindful of the general command that we that it ‘does not presume absurd, intend result that execution impossible of Notably, disputed report Carroll testified that he did not associa- because, alia, compensation tions inter he received no from them. 642 ” 70, Co., A.2d Koken v. Reliance Ins. 893 81
unreasonable.’ (2006), 1922(1); § see also Street Road Bar quoting Pa.C.S. Bd., Pa. Grille, v. Liquor Inc. Control Pennsylvania & (2005). “pur As statement of part A.2d its 1101.1, included Assembly the General Section pose” following “recognition:” officials, including recognized many public
It is that most Assembly, are local officials and members General public to their office bring citizen-officials who knowl- ordinary taxpayers. They and citizens and edge concerns from their contacts discouraged maintaining should not be through profes- their their community occupations Thus, to foster compliance sions. in order maximum terms, in a this shall be administered manner chapter its public em- emphasizes guidance public officials the ethical standards established ployees regarding chapter. 1101.1(b). Many office— public
65 Pa.C.S. candidates many public current holders of office—have numerous like official, in addition to their positions associations and not involve of these do paid positions. Many interest concomitant “violation possible 1101.1(a). simply trust.” Id. These associations citizenship. reading lives Act good Upon reflect active obvious, whole, to its eye salutary purpose, and with an Assembly remotely not believe intend- we do General a candidate disproportionate consequence denying ed the to run for office to attend a failure to disclose a right not involve the candidate’s finan- public “position” which does cial interests. reasons, erred
For these hold that the court below we *16 Interests that Carroll’s Financial was finding Statement to set petition defective and in aside fatally granting Garvey’s reverse the petition. Accordingly, nomination we Carroll’s that order of Court and direct Carroll’s Commonwealth the primary name restored to ballot.14 light disposition, argu- not alternative 14. In of our we do address the support ments Carroll has reversal. forwarded CAPPY, Chief Justice Justice and Justices NEWMAN join and EAKIN this SAYLOR opinion. BAER files dissenting joined
Justice which is opinion Justice BALDWIN. BAER, dissenting.
Justice Majority emphasizes While the statutory our mandate in to interpretation effectuate the intent General Assem- bly, and that intent acknowledges legislative is re- typically flected a statute’s plain language, it construes the Public (Ethics Employee Act), Official and Ethics Act Act or (Candi- §§ seq., permit et to Timothy J. Carroll date) to on the appear primary ballot despite his failure make a mandatory disclosure under the Act. Because I believe result defies Ethics Act’s plain language, respectful- I ly dissent.
The Commonwealth Court found fatal nomi- Candidate’s nation his petition failure disclose his as President of the not-for-profit “Timothy Mayors J. Carroll’s Club of (the Club), Borough” 1105(b)(8) Dallas see id. (requiring office, “[a]ny disclosure of directorship employment of any nature entity”), whatsoever business and as board member (DAMA), Dallas Area Municipal Authority see 1105(b)(1) id. “[n]ame, (requiring disclosure of address and I no position”). disagree find cause to Majori- ty to the extent that it finds that obligated Candidate was not to disclose his uncompensated office as president Club. however, I reach would not that question, I because believe Candidate’s failure to disclose his board member standing DAMA requires alone his peti- that nomination tion follows, be set aside. analysis accordingly, concerns aspect Majority’s for- opinion that gives Candidate’s failure disclose undisputedly public position with DAMA.1 My "public position" narrowly inclination to construe the term challenges avoid undue to would-be ballot candidates’ access. That said, definition, membership municipal even on narrow board with a sewage authority, funnels substantial funds into a function
644 the construing in a statute is “to effectuate object
Our
1921(a).
§
1 Pa.C.S.
Assembly.”
intention
General
all
a
are clear and free from
the words of
statute
“When
the
it is not to be
under
disregarded
the letter of
ambiguity,
1921(b).
§
a
Id.
We construe
pursuing
spirit.”
its
pretext
id.,
the
rendering
to all of its
give
provisions,
to
effect
statute
1922(2),
certain,”
§
a
“effective and
id.
statute
entirety
Assembly
the
does
presumption
the
General
guided by
“[t]hat
absurd,
or
impossible
is
of execution
a result that
not intend
1922(1).
§Id.
unreasonable.”
public
public
The
each
official and
requires
Ethics Act
file
of financial interests
to
an annual statement
employee
1104(a),
a
for
(Statement),
§
candidate
requires
65 Pa.C.S.
on
before
local,
office to file his Statement
or
county,
state
Id.
appear
for
a
ballot.
day
filing petition
the last
1104(b).
filed
form promulgat-
The
to be
on a
§
Statement
(Commission),
id.
Ethics
ed
the State
Commission
by
1105(a),
contain the information enumerated
§
and must
alia,
1105(b).
inter
that a candidate
provides,
§
That section
“[n]ame,
his or her
address
for
office “shall” disclose
public
1105(b)(1).
§
The
65
Statement
public position.”
(Form)
by
promulgated
form
the Com-
of Financial Interests
4,
in block
provision, requiring,
consistent
this
mission is
“PUBLIC POSITION OR OF-
the candidate
disclose
etc.)
(member, Commissioner,
title,
job
candidate
FICE
[the
hold[s,
The
Act
no
held.”
Ethics
leaves
seeking[,]
or]
is]
§ 1105:
noncompliance
doubt as to
sanction
provi-
file
statement
in accordance with the
“Failure to
...
chapter
petition
sions
this
shall
fatal defect
added).
1104(b)(3) (emphasis
Id.
appear on
ballot.”
of the General Assem-
product
“fatal defect” rule
by
Act
bly’s
following rulings
amendment to
Ethics
in addressing
allowing
leniency
some modicum
Court
require-
good faith failures
observe
Act’s
candidates’
health,
Indeed, testifying
certainly qualifies.
before the
critical to
See,
Court,
point.
e.g.,
all but conceded the
Candidate
Commonwealth
(DAMA
(N.T.),
expend
Testimony,
authorized to
at
Notes of
3/20/06
funds),
(DAMA
Pennsylvania Department of
identified
Pennsylvania municipal authority).
State as
Commonwealth,
merits
cases such
Ethics
State
Comm’n
Baldwin,
255,
(1982).
v.
498 Pa.
The
its
1105(b)(2)-(10),
§§
information from
emphasis
identifying
divulge
explicitly
to
information
require
candidate
financial conflicts of interest.
revealing
directed at
nascent
640,
(acknowledging
A.2d at
that
at 586 Pa.
896
575
Maj. Op.
1105(b)
(1)
in
in
is
the other subsections
“subsection
unlike
necessarily
it does not
matters
that
involve
that
address
legislature
clarify the Ethics
in favor of more stern
intended to
Act
Baldwin,
it could have
consequences
in the wake of our decision in
only
filing a
specified that
in
would constitute a
untimeliness
Statement
however,
contrary,
language
To
the Act’s amended
fatal defect.
to
emphasized that a
defect would be found for failure
file a
fatal
provisions”
’’in
of the
a far more
Statement
accordance with
proposition
espoused
Castille.
sweeping
than that
Mr. Justice
information”). Nevertheless,
in
Majority
finds
statute
that
larger
particular provision
evidence
office,
directed not at candidates for
but rather at
whose
are
public employees
“public
career
a form of
positions”
information and
identifying
required
who also are
file
In order to
at
annual Statements.
take the statute
face value
require
“public
candidates
office disclose a
regardless of whether the
position”
compensated,
1105(b)(1)
Majority argues, requires
§
in
viewing
“splen-
Thus,
did isolation from the rest of the Act.”
it concludes that
reasonable
person
seeking public
interested
office
“[a]
who
statute,
form,
consulted the
and its accom-
Commission’s
panying
speak
instructions —all which
in terms of financial
(1)
reasonably
subsection
interests —could
understand the
re-
quirement
apply
‘positions’
those
necessary
identify
candidate,
seeks,
the office he
and his financial
Maj.
interests.”
at 586 Pa.
at
Op.
(emphasis
896 A.2d
fails,
in original).5
reading
however,
This
real
give
effect to
1105(b)(1)
the term
“public position”
context
1921(b).
violation of
interpretive
our
mandate. 1 Pa.C.S.
Majority maintains
a contrary reading would lead
to an absurd result unintended by
legislature.
To this
end, the Majority adopts wholesale Appellant’s doomsday sce-
nario: that to require
DAMA,
disclosure of his position with
he
“position”
dispute
does not
is “public”
purposes
Act,6
Ethics
would be tantamount
to requiring disclosure of
positions such as
“President
the Parent Teachers Associa-
tion, Treasurer of the Township
Program,
Youth Soccer
Chair
committee,
aof
church
and myriad
of others.” Brief for
see
10; Maj.
at
Appellant
Op.
at 586 Pa.
at
A.2d
(noting that
associations
“[t]hese
reflect active
simply
lives of
good citizenship,”
finding
“disproportionate” the “conse-
*20
formulation,
reasonably
5. This "could
noting,
understand”
it bears
is
Pennsylvania
prior
inconsistent with
courts’
indifference whether a
mandatory
candidate's failure
a
good
to make
in
disclosure was
faith.
Braxton,
(Pa.2005);
In re
See
Nomination Petition
quence the does not a involve ‘position’ failure to disclose which interests”). candidate’s however, the argument is a litany, strawman Candidate’s in the at all. No any argument that it is extent by “pub- reasonable as interpreted people above be list would of the statute. To find otherwise purposes lic positions” “public” definition of disregarding narrower require would definitional section. See Act’s title and manifest in the full its “Public statute as the (identifying § 1101 65 Pa.C.S. Act”); a (defining “public Ethics Employee and Official or “[a]ny person by elected or elected official” as in body an official governmental appointed a or appointed by executive, judicial legislative or branch this Common- em- thereof’ and political “public subdivision wealth or exceptions and with immaterial part in relevant ployee,” discussion, by employed individual the Common- “[a]ny responsible taking political or a subdivision who wealth nature”).7 of nonministerial recommending or official action definitions, minimum these we can conclude at a by Informed intimately is one involved with position” that “public government.8 of state local functions clear, I to the To the Act is less than would look the extent of its promulgated by Form the Commission satisfaction 1105(a), 65 Pa.C.S. express statutory responsibility, interpretation of manifests its administrative effectively requires Act. Form disclosure of “PUBLIC block "public require Notably, Act’s official” does not 7. definition compensated. official "public Majority's that an I share the concern overbroad definition simultaneously impose potentially position” will onerous burden office, might parties civically active candidates for and leave the most noted, infra, specious challenges. I acting good faith vulnerable As "public believe the distinction drawn the Commission between material, "public consistently with the position” office” note, requires here at issue. I also Ethics Act disclosure however, already Act of much its that the contains the seeds mischief "public Perhaps, to the extent the result broad official." definition direction, legislative in either herein does not reflect intent reached necessary a fair Assembly clarify will to strike General disclosures transparency. balance between ballot access
649 (member, Commissioner, OR POSITION PUBLIC OFFICE title, etc.),” job as accompanying provide and instructions follows: held) appropriate
Please check the
(seeking, holding,
block
for each
list in
blocks
List
you
below.
all of
public position(s)
you
seeking,
are
or
currently hold
prior
have held in the
to
year,
calendar
Please
sure
job
include
titles and official titles such as “member” or
(even
“commissioner”
if serving
alternate/designees).
as an
3,
at
Maj. Op.
Ethics Act in conjunction
Form,
with the Commission’s
both of
require
the disclosure of any “public position,”
would
prudence
position
disclose a
like Candidate’s board member-
ship with DAMA. In failing
so,
to do
Candidate violated the
letter
spirit
and the
of the Act.11For
reasons,
the foregoing
I
My
11.
resolution of
open
this issue would
possibility
leave
that the
compliance” exception
"substantial
by
carved out
this Court in In re
Nomination
Benninghoff,
(2004),
Petition
578 Pa.
would dissent. Dissenting Opinion. joins BALDWIN
Justice A.2d 583 Papers of Thomas C. CREIGHTON In Re The Nomination Representative in the 37th for State as Candidate Legislative District. Newswagner. Mary and Ronald C. Appeal Jane Balmer Pennsylvania. Supreme Court April 2006. Submitted 2,May Decided Bal- Otter, Mary Jane Harrisburg, Esq., M. Lawrence Newswagner. mer and Ronald C. Glah, Phila- Tabas, Esq., Lindsey Marie Esq.,
Lawrence J. Creighton. for Thomas delphia, of State. Esq., Department Boyle, Louis Lawrence NEWMAN, CASTILLE, CAPPY, C.J., and BEFORE: BALDWIN, EAKIN, BAER, and JJ. SAYLOR, ORDER PER CURIAM. *24 NOW, May, Order day this 2nd
AND AFFIRMED. hereby Court Commonwealth Carroll notes that there is decision, no case and no rulings information from
Notes
notes then “any “any entity.” Garvey nature” in business corporation registered active Mayors non-profit is an Club State, and Carroll its Pennsylvania Department Therefore, Carroll Garvey argues, and sole officer. president and his to do so was report had to this business “office” failure not Notably, does address Carroll’s Garvey a fatal defect. Act argument for-profit that the defines “business” in terms entities. DAMA, regard Garvey With to Carroll’s 1105(b)(1) argues “obligates” that Section to dis- candidates close held. then positions they argues hold or Garvey
notes OR PUBLIC “PUBLIC POSITION these include “member” “Commis- parenthetically