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HomeMy WebLinkAbout224 NorrisCharles H. Norris, Jr. 125 Strafford Avenue Building #3 Wayne, PA 19087 RE: No. 83 -117 -C Dear Mr. Norris: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF COMMISSION January 6, 1984 Order No. 224 The State Ethics Commission has reviewed the possibility that you have violated the State Ethics Act, Act 170 -1978. The nature of the alleged violation is as follows: I. Allegation: That as a public official, you failed to file a Financial Interest Statement by May 1, 1982, for calendar year 1981, as required by the State Ethics Act and regulations. A. Findings: 1. An audit of the Financial Interest Statements for calendar year 1981 required to be filed by May 1, 1982, was conducted by the State Ethics Commission. Your statement was not on file. 2. You served as a compensated member of the Pennsylvania Commission on Crime and Delinquency during calendar year 1981. a. You currently serve in this office. b. The powers and duties of this Commission as set forth in the laws of the Commonwealth include the power to: 1. administer grants -in -aid, grants of services and property. 2. review applications for financial assistance from state agencies and local government, and to disburse available Federal and State funds to such applicants; 3. develop a comprehensive juvenile and criminal justice plan on behalf of the Commonwealth; Charles H. Norris, Jr. January 6, 1984 Page 2 4. audit the books and records of recipients of financial assistance and monitor and evaluate program effectiveness to insure proper management and disbursement of grant funds; 5. consult with the Governor regarding the appointment of the Commission's Executive Director who shall be paid compensation such as the Executive Board may determine; 6. establish advisory committees needed to assist the Commission to set policy or take other official action. 7. promulgate such rules and regulations as the Commission deems necessary for the proper administraton of the Act; 8. require the installation of recording systems needed for the reporting and compilation of statistics by every constable, sheriff, county police force, district attorney, state police force, etc. to the Commission so they may carry out their duties. 9. operate as and be designated as the State Criminal Justice Council for purposes of the Omnibus Crime Control and Safe Streets Act of 1968 (42 U.S.C.A. 3701 et seq.) and the Juvenile Justice and Delinquency Prevention Act of 1974 (42 U.S.C.A. 5601 et seq) 3. You are or were a public official as that term is used in the Ethics Act. 4. You have not yet filed a Statement of Financial Interest for calendar year 1981. 5. A letter was addressed to you by the Executive Director of the State Ethics Commission, Edward M. Seladones. a. This letter was dated December 20, 1982. b. This letter was addressed to you at 2444 Fidelity Building, Philadelphia, Pennsylvania 19109. c. This letter was mailed certified, return receipt requested, No. 0018435, it was accepted by L. Cunningham on December 28, 1982. Charles H. Norris, Jr. January 6, 1984 Page 3 6. On January 11, 1983, you wrote stating that you were under the impression that any one who chooses not to receive the statutory per diem and does not accept reimbursement expenses could be considered exempt from the Ethics Act. 7. A response to your letter of January 11, 1983 was addressed to you by Executive Director of the State Ethics Commission, Edward M. Seladones. a. This letter was dated January 26, 1983. b. The letter was addressed regular first class mail, to you at 125 Strafford Avenue, Building 3, Wayne, Pennsylvania 19087. c. We received no response to this letter. 8. Another letter was addressed to you by Edward M. Seladones, Executive Director, State Ethics Commission. a. This letter was dated May 11, 1983. b. This letter was addressed to you at 125 Strafford Avenue, Building #3, Wayne, Pennsylvania 19087. c. This letter was mailed certified, return receipt request, No. 5254943. This letter was accepted by L. Cunningham on May 18, 1983. d. We received no response to this letter. B. Discussion: Section 4. Statement of financial interests to be filed. (a) Each public employee employed by the Commonwealth shall file a statement of financial interests for the preceding calendar year with the department, agency or bureau in which he is employed 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 shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed no later than May 1 of each year that he holds such a position and of the year after he leaves such a position. 65 P.S. 402. Charles H. Norris, Jr. January 6, 1984 Page 4 The State Ethics Commission has ruled that all "public officials" are also "public employees" and thus, subject to Section 4(a)'s requirements. See Carter, 79 -066. Also, the regulations of the State Ethics Commission, which have the force and effect of law specify that "public officials" shall file Financial Interest Statements. 51 Pa. Code 4.4(a). The Commonwealth Court has also agreed that ''public officials" are subject to the filing requirements of Section 4(a) of the Ethics Act. See Kremer v. State Ethics Commission, 56 Pa. Cmwlth. 160, 424 A.2d 968 (1981). Sections 4.3(b) and 4.4(d) of the State Ethics Commission regulations state: (b) Any person appointed as an official in a Commonwealth's executive, legislative, judicial branches and other state -wide offices who is not a candidate shall file his Financial Interest Statement with the Commission and a copy with the agency to which he is appointed by May 1, of the year appointed or within 15 days if appointed after May 1. 51 Pa. Code 4.3(b). (d) A former public official shall file a Statement of Financial Interest for their last year of service by May 1, of the succeeding year. This statement shall be filed at the same office they filed when they were incumbent officials. 51 Pa. Code 4.4(d). The powers and duties of this Board or Commission, as found above, indicate this body has either the authority to expend public funds or to otherwise exercise the power of the State or any political subdivision. In addition, you were compensated for your services. You are subject to the Ethics Act because of the Board's authority and the compensation provided by law. You have failed to file the Statement of Financial Interest required by the law and State Ethics Commission regulations despite being advised of this requirement. In addition, Section 4(d) of the Ethics Act states: (d) No public official shall be allowed to take the oath of office or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed a statement of financial interests with the commission as required by this act. 65 P.S. 404(d). For purposes of the Act, accurate and complete Statements of Financial Interest must be available to the public served by the public official or public employee. We realize that policies to achieve these purposes must consider the possibility that an oversight or misunderstanding of the filing requirements may occur and corrections allowed. Charles H. Norris, Jr. January 6, 1984 Page 5 You received our letters informing you about your obligation to file a Financial Interest Statement, but you ignored them. You hold a responsible position with the Commonwealth and must be presumed to have an understanding of forms and administrative and legal requirements. We believe you understood your filing obligation. Section 4(d), quoted above, prohibits a public official from continuing in office and receiving compensation from public funds unless he files a Statement of Financial Interests as required by the Ethics Act. These are serious penalties and judicious application of the law requires its use only where there is substantial reason to believe that the failure to file was willful. There are no mitigating circumstances apparent in this case. We believe these circumstances raise a serious question about your right to hold office and the legality of the compensation you received during the time you failed to file a Statement of Financial Interest and warrants review by the appropriate law enforcement official. C. Conclusion: You violated the Ethics Act and State Ethics Commission regulations by not filing a Financial Interest Statement with the State Ethics Commission as set forth above despite official notification of your obligations and we will refer this matter to the appropriate law enforcement agency for review. Our files in this case will remain confidential in accordance with Section 8(a) of the Ethics Act, 65 P.S. 408(a). However, this Order is now final and will be made available as a public document in accordance with 51 Pa. Code 2.38(a). Any person who violates the confidentiality of a Commission proceeding is guilty of a misdemeanor and shall be fined not more than $1,000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). By the Commission, EMS /rdp Attachment au 1 J. /$mith Chairm