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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