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HomeMy WebLinkAbout521-R WeinerMr. Richard N. Weiner 344 Thorpe Road Jenkintown, PA 19046 Re: 86-104 -C near Mr. Weiner: ft ,Jh STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 ORDER OF THE roMMISSInN Order No. 521 -R DECIDEDNOV 19 1966 MAILEDNUV 25 1S86 The State Ethics Commission has received a complaint regarding you and a possihle 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 Roard of Accountancy until your term expired on March 19, 1985, violated Section 4(a) and 4(d) of the State Ethics Act and Section 4.4(h) of the State Ethics Commission regulations which require that puhlic officials file a Statement of Financial Interests for the preceeding 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 served as a memher of the State Roard of Examiners of Puhlic Accountants in November of 1984. Your term ended in May, 1084, hut the code allows a member whose term expired to serve an additional six months without heing reappointed. ?. Your Statement of Financial Interests was not on file and the following actions were taken: a. November 19, 1985, a certified letter notifying you of your obligations was sent to you at 344 Thorpe Road, Jenkintown, Pennsylvania, 19046. h. on November 26, 1985, the State Ethics Commission received a card acknowledging receipt of this letter. Mr. Richard N. meiner Page 2 3. There was no response to that certified letter and the State Ethics Commission recommended an investigation of your failure to file. The following actions took place: a. You were contacted by our . nt'estigator or i°ay 7 and June 25, 1986. You stated the following: (1) You admitted having served heard until November of 1984. (2) You acknowledged that you had to file the Statement of Financial Interests and was unaware of the filing requirement for former hoard members. (3) You thought our ':ertified letter was a'. error since your term of office had expired. You stated that you would file the Statement of Financial Interests. 4. You assert that you forwarded your Statement of Financial Interests to the State Ethics Commission on or about June 28, 1986, after, you were contacted hy the State Ethics Commission investigator. 5. That Statement was not received until September 19, 1986. R. Discussion: Section 4. Statement of financial interests required to he filed. (a) Each puhlic employee employed hy 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 puhlic employee shall file a statement of financial interests with the governing authority of the political subdivision hy 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). The above provision is equally applicahle to all "puhlic officials." See Kremer v. State Ethics Commission, 56 Pa. Commw. Ct. 160, 424 A.21 968, (1981), fa`rter, 70-(166 Also, the regulations of the State Ethics Commission Mr. Richard N. Weiner Page 3 which have the force and effect of law specify that "puhlic officials" shall file Statements of Financial Interests for each year they hold office. 51 Pa. Code 4.4(a). The regulations further provide: 54 .3.Appointed officials. (h) 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 hy May 1 of the year appointed or within 15 days if appointed after May 1. 51 Pa. Code 4.3(h). 54.4.Incumhent and former puhlic officials. (d) Former puhlic officials shall file a Statement of Financial Interests for their last year of sevice by may 1 of the succeeding year. This statement shall he filed at the same offices they filed when they were incumhent officials. 51 Pa. Code 4.4(d). You are clearly a puhlic official as that term is defined in the State Ethics Act. AS P.S. W4f)2. This is especially true in that the powers and duties of this hoard 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 he filed. (d) No puhlic official shall he allowed to take the oath of office or enter or continue upon his duties, nor shall he receive compensation from puhlic funds, unless he has filed a statement of financial interests with the commission as required hy this act. 65 P.S. 404(d). Pursuant to the Act, accurate and complete Statements of Financial Interests must he availahle to the puhlic served hy the puhlic official or puhlic 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. mr. Richard N. Weiner Page 4 Section 4(d), quoted ahove, prohihits a puhlic official from continuing in office and receiving compensation from puhlic funds unless he files a Statement of Financial Interests as required hy the Ethics Act. These are serious penalties and judicious application of the aw requires its use only where there is suhstant i al reason to helieve that the failure to file was willful.. C.F. Metzler, 389 -9; Huhn, 431. You have stated that once you were advised of the filing requi : , you forwarded the statement as required hy law. This statement, however, was never received Finally, on Septemher 19, 1986, the statement was filed with the Commission, That statement was dated June %'R, 1986. Wile you have now filed in accordance with the law, we cannot alleviate the acs; that the f i l i n g was to 'nave heen in May 1985. Thus, even with your current compliance you nevertheless were in violation of the State Ethics Act. We helieve that this matter should he forwarded to the appropriate authority for their review and consideration in accordance with their discretion. C. Conclusion: Your failure to file a Statement of Financial Interests in accordance with the State Ethics Act was a violation of that provision of law. While you are now in compliance with the law, we are referring this matter to an appropriate law enforcement authority for their review. our files in this case will remain confidential in accordance with Section 8(a) of the ithics Act, 65 P.S. 4n8(a). However, this Order is final and will he male avai `i ahl a as a puhlic document 15 days after service (defined as mailing) sinless you file documentation with the Commission which justifies reconsideration .and /or challenges pertinent factual findings. See 51 Pa. Code P.3R. n;iri ng this 15 -day period, no one, including the Respondent unless he waives his right t- challenge this frder, may violate this confidentiality hy releasing, niscussi .q o. c'rculating this order. Any person who violates the confidentiality of a Commission proceeding is guilty of a misdemeanor and shall he fined not more than R1,nnn or imprisoned for not more than one year or hoth, see 55 P.S. 4fQ(e), Ry the Commission, 2 r . 1 2 7 4" , -ar G. Sieber Pancoast i;hai rman