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HomeMy WebLinkAbout520 AllenMs. Lelia Allen 6842 McPherson Boulevard Pittsburgh, PA 15208 Re: 86 -103 -C Dear Ms. Allen: a. b. STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17L2Q ORDER OF THE COMMISSION Order No. 520 UECIDEDAW 2 MAILED An 213 ••• ' 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 areas follows: I. Allegation: That you, a member of the State Board of Vehicle Manufacturers, Dealers and Salespersons, 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 are a compensated member of the board of Motor Vehicles Manufacturers, Dealers and Salesmen and were a member of that board in 1984. 2. The powers and duties of this board include the following: License Motor Vehicle Salesmen, Motor Vehicle Dealers and • - s ri •u ors, e c. Investigate on its own initiative or upon verified complaint on any person, any allegation of the wrongful acts of any licensee or person required to be licensed by the Act known as the Motor Vehicles Manufacturers, Dealers and Salesmen License Act, 63 P.S. 801 et. seq. c. Adopt promulgate and enforce rules and regulations necessary to carry out powers and duties of the board; d. Issue subpoenas for materials, documents, or testimony relating to any hearings conducted by the board. Ms. Lelia Allen Page 2 3. You are a public official and subject to the requirements of the State Ethics Act. 4. You were notified that a Statement of Financial Interests for calendar year 1984 was not on file. a. A letter dated November 19, 1985 was mailed by certified mail to you at 6842 McPherson Boulevard, Pittsburgh, Pennsylvania 15208. On December 9, 1985, the letter was returned marked "Unclaimed ". b. On December 9, 1985, an identical letter was mailed by first class mail. 5. On April 30, 1986, you were notified that we were investigating your failure to file. a. On May 5, 1986, you telephoned the State Ethics Commission office and stated the following: (1) You had handcarried a copy of your Statement of Financial Interests to the board's office when you received our letter of December 9, 1985. (2) Your failure to file was unintentional. 6. On May 9, 1986, the State Ethics Commission received your Statement of Financial Interests for calendar year 1984. 7. There is no evidence that you realized financial gain or that the information on your Statement of Financial Interests disclosed a conflict of interest with your official responsibilities. B. Discussion: Section 4. Statement of financial interests required to he 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). Ms. Lelia Allen Page 3 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. 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 for each year they hold office. 51 Pa. Code 4.4(a). 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 shall 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.Incumbent 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. Ms. Lelia Allen Page 4 While you failed to respond to our initial letters informing you of your obligation to file a Statement of Financial Interests, you apparently tried to resolve this issue by filing a Statement of Financial Interests with your board. Section 4(d), quoted above, prohibits a public official from continuing in office and receiving compensation trom 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 fa•ilurd 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. These 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. 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 — Urder, may violate this confidentiality by releasing, discussing or circulating this Order. Any person who violates the confidenti 1ity 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, 141441-L. cinwrDocat G. Sieber Pancoast Chairman