HomeMy WebLinkAbout351-S HallIn Re: Robert Hall,
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
08 -011 -P
Order No. 351 -S
12/4/08
12/19/08
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).
Hall, 08 -011 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
323 24 Street, McKeesport, PA 15132.
2. At all times relevant to these proceedings, Respondent has been a former Licensing
Analyst for the Pennsylvania Liquor Control Board.
3. In his former capacity as a Licensing Analyst for the Pennsylvania Liquor Control
Board, Respondent was a "public official /public employee" 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 a Statement of Financial Interests for calendar
year 2007 with the Board on which he served, the Pennsylvania Liquor Control
Board, which Statement of Financial Interests was to be filed by May 1, 2008, and
Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act,
65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated May 6, 2008, 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. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing an accurate and complete Statement of Financial Interests for calendar
year 2007 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2007
so as to comply with the specific requirements of the Ethics Act.
6. By Notice letter dated June 9, 2008, 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. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing an accurate and complete Statement of Financial Interests for calendar
year 2007 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2007
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).
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
Hall, 08 -011 -P
Page 3
delinquent or deficient, for a maximum civil penalty of $250.00 per violation.
Because Respondent has committed the violation alleged herein, Respondent is
subject to total maximum civil penalty liability of $250.00.
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00, in that the twenty -day deadline set forth in the
said final Notice letter to Respondent has expired and the Respondent has not
complied.
II. DISCUSSION:
In his former capacity as a Licensing Analyst for the Pennsylvania Liquor Control
Board, Robert Hall ( "Hall ") was a "public official /public employee" 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, as a former Licensing Analyst for the
Pennsylvania Liquor Control Board, Hall was specifically required to file a Statement of
Financial Interests for calendar year 2007 with the Pennsylvania Liquor Control Board on
or before May 1, 2008. 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
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 complete financial disclosure which Hall as a former Licensing Analyst for the
Pennsylvania Liquor Control Board was required to provide in the Statement of Financial
Interests form is statutorily mandated in detail at Section 1105 of the Ethics Act, 65 Pa.C.S.
§ 1105.
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
Hall, 08 -011 -P
Page 4
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 Hall for each delinquent or deficient
Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Hall 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 Hall by filing with the State Ethics Commission
and serving upon Hall a Petition for Civil Penalties. The Commission Chair issued an
Order to Show Cause, ordering Hall to show cause why a civil penalty should not be levied
against him. Hall did not file an answer to the Order to Show Cause. There is nothing of
record that would constitute a defense or excuse for Hall's failure to comply with the Ethics
Act. Hall has failed to show cause why a civil penalty should not be levied against him in
this matter.
We find that Hall, as a former Licensing Analyst for the Pennsylvania Liquor Control
Board, 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 2007 with the
Pennsylvania Liquor Control Board.
We hereby levy one civil penalty against Hall at the rate of Twenty -Five Dollars
($25.00) per day, for each day his Statement of Financial Interests for calendar year 2007
has remained delinquent. Given the number of days during which the Statement of
Financial Interests has remained delinquent, the resultant amount to be levied against Hall
is Two - Hundred and Fifty Dollars ($250.00).
Hall shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30 day after the mailing date of this adjudication
and Order, by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
Hall shall be ordered to file a complete and accurate Statement of Financial
Interests for calenda[ year 2007 with the Pennsylvania Liquor Control Board by no later
than the thirtieth (30 day after the mailing date of this adjudication and Order, with one
copy filed with this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. Robert Hall ( "Hall "), in his former capacity as a Licensing Analyst for the
Pennsylvania Liquor Control Board, was a "public official /public employee" subject
to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65
Pa.C.S. § 1101 et seq.
2. Hall, as a former Licensing Analyst for the Pennsylvania Liquor Control Board,
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 2007 with the
Pennsylvania Liquor Control Board.
3. Notice of the delinquency of Hall's Statement of Financial Interests for calendar
year 2007 was previously served upon him 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, a civil penalty in the total
Hall, 08 -011 -P
Page 5
amount of $250.00 is warranted.
IN RE: Robert Hall,
Respondent
File Docket: 08 -011 -P
Date Decided: 12/4/08
Date Mailed: 12/19/08
ORDER NO. 351 -S
1 Robert Hall, ( "Hall ") as a former Licensing Analyst for the Pennsylvania Liquor
Control Board, 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 2007 with the Pennsylvania
Liquor Control Board.
2. This Commission hereby levies one civil penalty against Hall at the rate of Twenty -
Five Dollars ($25.00) per day for each day his Statement of Financial Interests for
calendar year 2007 has remained delinquent, for a total civil penalty of Two -
Hundred and Fifty Dollars ($250.00). Hall is ordered to pay the said civil penalty in
the total amount of $250.00 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. Hall is ordered to file a complete and accurate Statement of Financial Interests for
calendar yegr 2007 with the Pennsylvania Liquor Control Board by no later than the
thirtieth (30 day after the mailing date of this Order with one copy filed with 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