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HomeMy WebLinkAbout512 ThomasMs. Barbara N. Thomas 4806 Edgefield Road Bethesda, MD 20814 Re: 86 -094 -C Dear Ms. Thomas: r)N .:I STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE COMMISSION Order No. 512 DECIDEDAUG 2 0 1986 MAILED = The State Ethics Commission has received a complaint regarding you and a possible violation of Act 170 of 1978. The Commission has now completed its investigation. The individual .allegations, conclusions, and findings on which those conclusions are based are As follows: I. Allegation: That you, a member of the State Board of Private Business Schools, violated Section 4(a) and 4(d) of the State Ethics Act and Section 4.4(b) of the State Ethics Commission regulations which require that public officials file a Statement of Financial Interests for the preceding calendar year by May 1 of each year they hold office by failing to file a Statement of Financial Interests for calendar year 1984 by May 1, 1985. A. Findings: 1. You have served on the State Board of Private Business Schools since April 8, 1983 and as a member of the board, are subject to the provisions of the State Ethics Act. 2. Your Statement of Financial Interests was not on file and the following actinns orcurred: a. A certified letter notifying you of your filing obligation was sent to you at the Katherine Gibbs School, Philadelphia, Pennsylvania. This letter was sent on November 19, 1985 and on November 25, a receipt was returned to the State Ethics Commission signed by L. Swingle. b. On April 30, 1986, a letter was mailed to you at the same address advising you that the State Ethics Commission was investigating your failure to file. On May 1, 1986, an official of the Katherine Gibbs School told us that you had not been at the school since December of 1983. Ms. Barbara N. Thomas Page 2 3. A new address was secured and a letter was sent to you in care of Barbara N. Thomas Associates, 4865 Edgefield Road, Bethesda, Maryland 20814. 4. On July 21, 1986, ycu ifrr.emed our investigator of the following: a. You have served Gn the board since 1983 end have never filed a Statement of Fin.<ncial Interests nor !.cen a..sked to file the Statement. b. 7on first becar am 'e o the filing requii rem nt at a recent board mc, i ng when e marraccment rii rectivr w-s ci r cul / by Mr. Warren Evan C o f of of Nstsecon ':. Services in the Pennsylvania Department of Education. c. You statec; you would file: for all years that you had served on the board. 5. On July 31, 1986, the State4Eth'cs Commission received your Statements of Financial Interests for .alendar,years 1982, 1983, 1984 and 1985. a. The statements show that you did receive income from the Katherine Gibbs School and rental properties for calendar years 1982 and 1983. B. Discussion: Section 4. Statement of financial i n erests requi ed to be filed. (a) Each public emp.oyee emp1oyc by the bommonwealth shall file u 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 o` the political subdivision by which he is employed no later than Mat: 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). The above provisions are equally applicable to all "public officials ". See Kremer v, State Ethics Commission, 56 Pa. Commw. Ct. 160, 424 A.2d 968, (1981), Carter, 79 -066. A1ise, 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 for each year they hold office. 51 Pa. Code 4.4(a). Ms. Barbara N. Thomas Page 3 The regulations further provide: §4.3.Appointed officials. (b) Any person appointed as an official in the Commonwealth's executive, legislative, judicial branches and other statewide offices who is not a candidate shat' file his Statement of Financial Interests 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). 4.4.In and former public officials. (d) Former public officials shall file a Statement of Financial Interests for their last year of sevice by May 1 of the succeeding year. This statement shall be filed at the same offices they filed when they were incumbent officials. '51 Pa. Code 4.4(d). You are clearly a public official as that term is defined in the State Ethics Act. 65 P.S. §402. This is especially true in that the powers and duties of this board or commission, as set forth above, indicate that this body has either the authority to expend public funds or to otherwise exercise the power of, the State or any political subdivision. The Ethics Act provides that: Section 4. Statement of financial interests required to be filed. (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). Pursuant to 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 policies to achieve these purposes must consider the possibility that an oversight or misunderstanding of the filing requirements may occur and corrections allowed. While you failed to respond to our initial letters informing you of your obligation to file a Statement of Financial Interests, it is apparent that these letters did not reach you and you were not aware of your filing requi rernents. Ms. Barbara N. Thomas Page 4 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. C.F. Metzler, No. 389 -R; Huhn, No. 431. However, we have now reviewed this matter and reconsidered same and find that there are mitigating circumstances apparent in this case. You did not intend to violate the Ethics Act and we have now received the required Statement of Financial Interests. Mese facts lead us to conclude we should not pursue this matter further. 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 Statement of Financial Interests. There is no evidence that you realized financial gain by your disclosure failure. 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. 438 ;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, inc1u ing 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 ..rd shall be fined rot more than $1,000 or imprisoned for not more than one year or both, see 65 P.S. 409(e). By the Commission, C. Sieber Pancoast Chairman JJC /na