HomeMy WebLinkAbout521-R WeinerMr. Richard N. Weiner
344 Thorpe Road
Jenkintown, PA 19046
Re: 86-104 -C
near Mr. Weiner:
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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