HomeMy WebLinkAbout345-S LyleIn Re: Richard Lyle,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
07 -027 -P
Order No. 345 -S
7/21/08
8/5/08
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency and /or deficiency of Statement(s) of Financial Interests required to be filed
pursuant to Sections 1104 and 1105 of the Public Official and Employee Ethics Act
( "Ethics Act "), 65 Pa.C.S. § 1101 et seq.
The Investigative Division initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent a Petition for Civil Penalties. An Order to
Show Cause was issued to Respondent. An Answer was not filed by the Respondent, and
a hearing was deemed waived. The record is complete. The Findings in this Order are
derived from the Petition for Civil Penalties filed by the Investigative Division.
This is a final Order, and it is publicly available upon issuance. Reconsideration
may be requested, but a request for reconsideration will not affect the finality of this
adjudication or its availability as a public document. Any reconsideration request must be
received at this Commission within thirty days of the mailing date noted above and must
include a detailed explanation of the reasons as to why reconsideration should be granted
in conformity with 51 Pa. Code § 21.29(b).
Lyle, 07 -027 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at RR
4, Box 226, Sugar Grove, PA 16350.
2. At all times relevant to these proceedings, Respondent has been a Board Member
of the Warren County School District and as such Respondent has at all times
relevant to these proceedings been a "public official" as that term is defined in
Section 1102 of the Ethics Act, 65 Pa.C.S. §1102.
3. Respondent as a public official is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
Act. Respondent has failed to file sufficient Statements of Financial Interests for
calendar year(s) 2003, 2004, 2005, and 2006 with the Warren County School
District, which sufficient Statements of Financial Interests were to be filed by May 1,
2004, May 1, 2005, May 1, 2006, and May 1, 2007, and Respondent has therefore
transgressed Sections1104 and 1105 of the Ethics Act, 65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated August 8, 2007, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression(s). Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar
year(s) 2003, 2004, 2005, and 2006 within twenty (20) days of the date of the
Notice letter. Respondent has failed and refused to file sufficient Statements of
Financial Interests for calendar year(s) 2003, 2004, 2005, and 2006 so as to comply
with the specific requirements of the Ethics Act.
6. By Notice letter dated October 5, 2007, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression(s). Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar
year(s) 2003, 2004, 2005, and 2006 within twenty (20) days of the date of the
Notice letter. Respondent has failed and refused to file sufficient Statements of
Financial Interests for calendar year(s) 2003, 2004, 2005, and 2006 so as to comply
with the specific requirements of the Ethics Act.
7 Section 1109(f) of the Ethics Act provides as follows:
§1109. Penalties
(f) Civil Penalty. -- In addition to any other civil remedy or
criminal penalty provided for in this chapter, the commission may,
after notice has been served in accordance with section 1107(5)
(relating to powers and duties of commission) and upon a majority
vote of its members, levy a civil penalty upon any person subject to
this chapter who fails to file a statement of financial interests in a
timely manner or who files a deficient statement of financial interests,
at a rate of not more than $25 for each day such statement remains
delinquent or deficient. The maximum penalty payable under this
paragraph is $250.
65 Pa.C.S. §1109(f).
Lyle, 07 -027 -P
Page 3
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 1109(f) of the Ethics Act, 65 Pa. C.S. §1109(f), at a rate of not
more than $25.00 per day for each day the Statement of Financial Interests remains
delinquent or deficient, for a maximum civil penalty of $250.00 per violation.
Because Respondent has committed four violations alleged herein, Respondent is
subject to total maximum civil penalty liability of $1000.00 for said violations.
9. The specific delinquency and deficiencies were set forth in the Notice letters
attached to the Petition for Civil Penalties.
a. Both Notice letters specifically notified Respondent that he had failed to file
a Statement of Financial Interests for calendar year 2006.
b. Both Notice letters specifically notified Respondent of the following
deficiencies in his Statements of Financial Interests for calendar years 2003,
2004, and 2005:
Pursuant to Section 1107(5) of the Ethics Act,
you are hereby notified in detail of the deficiencies of
the document(s) which you filed, purporting to be
filing(s) for calendar year(s) 2003, 2004 and 2005
including but not limited to:
"POLITICAL SUBDIVISION /AGENCY SERVED"
(BLOCK 5 A -B): Pursuant to Section 1105(b)(1) of the
Ethics Act and 51 Pa. Code § 17.1(3), you are required
to disclose the political subdivision /agency (Township,
Borough, Board, Commission, Agency, Authority, etc.)
in which you are /were a public official or public
employee. For calendar year(s) 2003, 2004 and 2005,
you failed to disclose each such political
subdivision /agency.
Notice letter from Contino to Lyle, dated August 8, 2007, at 1 -2; see also, Final Notice
letter from Contino to Lyle, dated October 5, 2007, at 2.
II. DISCUSSION:
As a Board Member for the Warren County School District, Richard Lyle ( "Lyle ")
was at all times relevant to these proceedings a "public official" subject to the provisions of
the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101, et seq.
Pursuant to Section 1104(a) of the Ethics Act, Lyle was specifically required to file
Statements of Financial Interests for calendar years 2003, 2004, 2005, and 2006 with the
Warren County School District on or before May 1, 2004, May 1, 2005, May 1, 2006, and
May 1, 2007. Section 1104(a) provides:
§ 1104. Statement of financial interests required to be filed
(a) Public official or public employee. - -Each public official of the
Commonwealth shall file a statement of financial interests for the preceding
calendar year with the commission no later than May 1 of each year that he
holds such a position and of the year after he leaves such a position. Each
public employee and public official of the Commonwealth shall file a
statement of financial interests for the preceding calendar year with the
department, agency, body or bureau in which he is employed or to which he
is appointed or elected no later than May 1 of each year that he holds such a
Lyle, 07 -027 -P
Page 4
position and of the year after he leaves such a position. Any other public
employee or public official shall file a statement of financial interests with the
governing authority of the political subdivision by which he is employed or
within which he is appointed or elected no later than May 1 of each year that
he holds such a position and of the year after he leaves such a position.
Persons who are full -time or part -time solicitors for political subdivisions are
required to file under this section.
65 Pa.C.S. § 1104(a).
The Statement of Financial Interests is to be filed on the form prescribed by this
Commission. All information requested on the form must be provided to the best of the
knowledge, information and belief of the person required to file and must be signed under
oath or equivalent affirmation. 65 Pa.C.S. § 1105(a).
The complete financial disclosure which Lyle as a Board Member for the Warren
County School District was required to provide in the Statement of Financial Interests
forms is statutorily mandated in detail at Section 1105 of the Ethics Act, 65 Pa.C.S. § 1105.
The information required to be disclosed on the form includes, inter alia, the public position
held. 65 Pa.C.S. § 1105(b)(1). Pursuant to this Commission's Regulations, the filer is
specifically required to list the name of the governmental body associated with the position
sought or held. 51 Pa. Code. § 17.1(3).
Section 1109(f) of the Ethics Act provides as follows:
§ 1109. Penalties
(f) Civil penalty. -- In addition to any other civil remedy or criminal
penalty provided for in this chapter, the commission may, after notice has
been served in accordance with section 1107(5) (relating to powers and
duties of commission) and upon a majority vote of its members, levy a civil
penalty upon any person subject to this chapter who fails to file a statement
of financial interests in a timely manner or who files a deficient statement of
financial interests, at a rate of not more than $25 for each day such
statement remains delinquent or deficient. The maximum penalty payable
under this paragraph is $250.
65 Pa.C.S. § 1109(f).
An application of Section 1109(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penalty against Lyle for each delinquent or deficient
Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Lyle did not remedy the failure to comply with the Ethics Act although given more
than the usual grace period following Notice in which to do so. The Investigative Division
then instituted formal proceedings against Lyle by filing with the State Ethics Commission
and serving upon Lyle a Petition for Civil Penalties. The Commission Chair issued an
Order to Show Cause, ordering Lyle to show cause why a civil penalty should not be levied
against him. Lyle did not file an answer to the Order to Show Cause. There is nothing of
record that would constitute a defense or excuse for Lyle's failure to comply with the Ethics
Act. Lyle has failed to show cause why civil penalties should not be levied against him in
this matter.
We find that Lyle, as a Board Member for the Warren County School District, failed
to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to
file a Statement of Financial Interests for calendar year 2006 with the Warren County
Lyle, 07 -027 -P
Page 5
School District, and when he filed deficient Statements of Financial Interests for calendar
years 2003, 2004, and 2005 with the Warren County School District.
We hereby levy four maximum civil penalties against Lyle, each at the rate of
Twenty -Five Dollars ($25.00) per day, one for each day his Statement of Financial
Interests for calendar year 2006 has remained delinquent, and three for each day his
Statements of Financial Interests for calendar years 2003, 2004, and 2005 have remained
deficient. Given the number of days during which the Statements of Financial Interests
have remained delinquent or deficient, the resultant total amount to be levied against Lyle
is One - Thousand Dollars ($1,000.00).
Lyle shall be ordered to make payment of the above civil penalties in the total
amount of $1,000.00 by no later than the thirtieth (30 day after the mailing date of this
Order, by forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
Lyle shall be ordered to file complete and accurate Statements of Financial Interests
for calendar years 2003, 2004, 2005, and 2006 with the Warren County School District
within 30 days of the issuance of this adjudication and Order, with one copy of each such
filing forwarded to this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. Richard Lyle ( "Lyle "), as a Board Member of the Warren County School District,
was at all times relevant to these proceedings a "public official" subject to the
provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S.
§ 1101 et seq.
2. Lyle, as a Board Member of the Warren County School District, failed to comply
with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to file a
Statement of Financial Interests for calendar year 2006 with the Warren County
School District and when he filed deficient Statements of Financial Interests for
calendar years 2003, 2004, and 2005 with the Warren County School District.
3. Notice of the delinquency of Lyle's Statement of Financial Interests for calendar
year 2006 and the deficiencies of Lyle's Statements of Financial Interests for
calendar years 2003, 2004, and 2005 was previously served upon Lyle in
accordance with Section 1107(5) of the Ethics Act, 65 Pa.C.S. § 1107(5).
4. Based upon the totality of the circumstances in this case, four (4) maximum civil
penalties are warranted.
IN RE: Richard Lyle,
Respondent
File Docket: 07 -027 -P
Date Decided: 7/21/08
Date Mailed: 8/5/08
ORDER NO. 345 -S
1 Richard Lyle ( "Lyle "), as a Board Member of the Warren County School District,
failed to comply with Section 1104(a) of the Public Official and Employee Ethics Act
( "Ethics Act "), 65 Pa.C.S. § 1104(a), when he failed to file a Statement of Financial
Interests for calendar year 2006 with the Warren County School District, and when
he filed deficient Statements of Financial Interests for calendar years 2003, 2004,
and 2005 with the Warren County School District.
2. This Commission hereby levies four maximum civil penalties against Lyle, each at
the rate of Twenty -Five Dollars ($25.00) per day, one for each day his Statement of
Financial Interests for calendar year 2006 has remained delinquent, and three for
each day his Statements of Financial Interests for calendar years 2003, 2004, and
2005 have remained deficient, for total civil penalty liability of One - Thousand
Dollars ($1,000.00). Lyle is ordered to pay the aforesaid civil penalties in the total
amount of $1,000.00 by no later than the thirtieth (30 day after the mailing date of
this Order, by forwarding a check to this Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Lyle is ordered to file complete and accurate Statements of Financial Interests for
calendar years 2003, 2004, 2005, and 2006 with the Warren County School District
within 30 days of issuance of this Order with one copy of each such filing forwarded
to this Commission for compliance verification purposes.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair