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HomeMy WebLinkAbout234 GraceMr. Thomas R. Grace Mill Grove Apartments 422 Mill Grove Drive Audobon, PA 19401 RE: No. 83- 122 -C: Dear Mr. Grace: STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 September 8, 1983 ORDER OF COMMISSION Order No. 234 Note: Letter dated 9/26/83 to Grace is part of this Order. 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 Elevator Advisory Board during calendar year 1981. a. You resigned or left this office in December, 1981. b. The powers and duties of this Board as set forth in the 1916 Resolution establishing same include the power to: 1. Establish criteria under which persons may be examined and certified as inspectors of elevators operated in public buildings and other facilities within the Commonwealth; 2. Issue to such persons, after examination, a license or authorization which empowers said persons to make inspections and recommendations with respect to the installation, repair, operation, ec. of elevators Mr. Thomas R. Grace September 8, 1983 Page 2 in ouildings open to the public whose recommendations shall have equal force as the recommendations of an inspector of the Department of Labor and Industry. 3. You were a public official as that term is used in the Ethics Act and upon leaving office, as set forth above, became a former public official. 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 b. This letter Building C, c. This letter No. 0018432 1982. was dated December 20, 1982. was addressed to you at Mill Grove Apartments, 422 Mill Grove Drive, Audobon, Pennsylvania, 19401. was mailed certified, return receipt requested, , it was accepted by Thomas R. Grace on December 23, d. We received no response to this letter. 6. 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 Mill Grove Apartments, Building C, 422 Mill Grove Drive, Audobon, Pennsylvania, 19401. c. This letter was mailed certified, return receipt requested, No. 5254958. This letter was accepted by Thomas Grace on May 13, 1983. d. We received no response to this letter. B. Discussion: Section 4(a) of the State Ethics Act states: (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 Mr. Thomas R. Grace September 8, 1983 Page 3 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. 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 ah ve the force and effect of law specify that "public officials" shall file Financial Interest Statements for each year they hold office, 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). Although the title or description of the entity on which you serve contains or refers to the term "advisory ", the powers and duties of this Board, 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. Mr. Thomas R. Grace September 8, 1983 Page 4 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 Interests must be available to the public served by the public official or public employee. We realize the policies to achieve these purposes must consider the possibility that an oversight or misunderstanding of the filing requirements may occur and corrections allowed. You received our letters informing you about your obligation to file a Financial Interest Statement, but you ignored them. You held 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 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 final and will be made available as a public document 15 days after service unless you file documentation with the Commission which justifies reconsideration and /or challenges pertinent factual findings. See 51 Pa. Code 2.38. During this Mr. Thomas R. Grace September 8, 1983 Page 5 15 -day period, no one, including the Respondent unless he waives his right to challenge this Order, may violate this confidentiality by releasing, discussing or circulating this Order. Any person who violates the confidentiality of a Commission proceeding is guilty of a misdemeanor and shall be fined not more than $1000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). SSC /na cc: Robert Parsons By the Commission, i 6 aul J.; mith Chairman