HomeMy WebLinkAbout291 EmrickMr. Robert L. Emrick
3031 Walton Road
Norristown, PA 19408
RE: No. 83 -120 -C
Dear Mr. Emrick:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
ORDER OF COMMISSION
April 18 ,1984
Order No. 291
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 Statement of
Financial Interests by May 1, 1982, for calendar year 1981, as required by the
State Ethics Act and regulations.
A. Findings:
1. An audit of the Statement of Financial Interests 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 State Apprenticeship and
Training Council during calendar year 1981.
a. The law applicable to this entity specifies that its members are
authorized to receive compensation other than reimbursement for
expenses.
b. You currently serve in this office.
c. The powers and duties of this Council as set forth in the laws of
this Commonwealth include the power to:
1. establish standards for apprenticeship in conformity with the
provisions of this act and applicable statutes and
regulations of the Federal Government;
Mr. Robert L. Emrick
Page 2
April 18, 1984
2. adopt such rules and regulations, subject only to the
approval of the Secretary of Labor and Industry;
3. to terminate or cancel any apprenticeship agreements in
accordance with the provisions of such agreements or order
modifications of such agreements;
4. conduct studies, surveys and investigations of the special
problems of retraining or training unemployed or employed
persons to improve or modernize work skills and make
appropriate recommendations to cooperating agencies;
5. act as a convening agency in local communities to bring
together local representatives of employes, employers,
educational agencies and industrial development agencies in
order to promote closer local cooperation in establishing
better apprenticeship and other training programs;
6. make a report to the Secretary of the Department of Labor and
Industry indicating the extent of apprenticeship, trends in
employment requiring adjustments in apprenticeship training,
needs for expansion of apprenticeship, and other occupational
training programs, activities of the council and such
recommendations as are in accord with the purpose of The
Apprenticeship and,Training Act, 43 P.S. 90.1.
3. You are a public official as that term is used in the Ethics Act.
4. You had not filed a Statement of Financial Interests for calendar
year 1981, according to our records, so steps were undertaken to
secure your filing.
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 14 West Forest Avenue,
Chester, Pennsylvania 19013.
c. This letter was mailed certified, return receipt requested, No.
0018427; it was returned to the Commission marked "forwarding
order expired."
6. Another letter was addressed to you by the Executive Director of the
State Ethics Commission, Edward M. Seladones.
Mr. Robert L. Emrick April 18, 1984
Page 3
a. This letter was dated May 11, 1983.
b. This letter was addressed to you at 3031 Walton Road, Norristown,
Pennsylvania 19408.
c. This letter was mailed certified, return receipt requested, No.
5254948. The letter was accepted by S. Thomas on May 23, 1983.
7. You wrote to this Commission on June 20, 1983, stating you did not
respond to our May 11, 1983 letter pending a response from Murray
Dickman to a letter your co- member wrote.
8. Another letter was addressed to you by the Executive Director of the
State Ethics Commission, Edward M. Seladones.
a. This letter was dated August 5, 1983.
b. This letter was addressed to you at 3031 Walton Road, Norristown,
Pennsylvania 19408.
c. This letter was mailed regular first -class mail.
d. The letter stated that the State Ethics Commission is independent
of Murray Dickman's Office and that the State Ethics Commission
believes you are required to file the Financial Interest
Statement.
e. We received no response to this letter.
9. You filed a Statement of Financial Interests on October 11, 1983.
This statement was for calendar year 1981 and was due by May 1, 1982.
You also filed a statement on September 13, 1983, for calendar year
1982. This statement was due by May 1, 1983.
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. 404(a).
Mr. Robert L. Emrick
Page 4
Section 4(d) of the Ethics Act states:
April 18, 1984
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 Statements of Financial Interests. 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).
Section 4.4(a) of the State Ethics Commission regulations states:
(a) Incumbent officials of the Commonwealth's executive,
legislative, and judicial branches and other statewide
offices who are not candidates shall file their Statement
of Financial Interests with the Commission and a copy with
the agency in which they hold office by May 1 of each year
in which they hold office. 51 Pa. Code 4.4(a).
The powers and duties of this Council 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 authorized to
receive compensation for your services. You are subject to the Ethics Act
because of the Council's authority and the compensation provided by law.
Section 4. Statement of financial interests required to be filed.
(d) No public official shall he 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 that errors caused by oversight or
misunderstanding may need to be corrected.
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.
Mr. Robert L. Emrick
Page 5
In addition, Section 9(b) states:
April 18, 1984
Section 9. Penalties.
(b) Any person who violates the provisions of Section 4 is
guilty of a misdemeanor and shall be fined not more than
$1,000 or imprisoned for not more than one year, or be
both fined and imprisoned. 65 P.S. 409(b).
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.
Although you did not file your Statements of Financial Interests on time,
you did file after you understood your filing obligations. Information is now
available for public inspection. We believe your late filing was caused by a
misunderstanding of your obligations and was not intentional.
C. Conclusion: While you violated the Ethics Act and State Ethics Commission
regulations by not filing a Statement of Financial Interests with the State
Ethics Commission as set forth above, you have now filed the required
Financial Interest Statement. We believe your late filing was the result of
your not understanding your obligations. We will take no further action.
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 (defined as
mailing) unless you file documentation with the Commission which justifies
reconsideration and /or challenges pertinent factual findings. See 51 Pa. Code
2.38. During this 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 $1,000 or imprisoned
for not more than one year or both, see 65 P.S. 409(e).
By the Commission,
auul J (5 ith
Chairma
EMS /rdp
cc: Governor's Office, Bureau of Personnel
Governor's Office of Boards and Commissions