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
•••
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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