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Home My WebLink About005-S AndrioleIN RE: GERALD L. ANDRIOLE Respondent STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG. PA 17108 -1470 TELEPHONE (717) 783 -1610 Before: Dennis C. Harrington, Chair James M. Howley, Vice Chair Daneen E. Reese Roy W. Wilt Austin M. Lee Allan M. Kluger File Docket: 92 -004 -P Date Decided: April 23,_ 1992 Date Mailed: April Z7, 1992 The State Ethics Commission received information regarding possible violation(s) of Section 4 and /or Section 5 of the Public Official and Employee Ethics Law ( "Ethics Law "), Act 9 of 1989, 65 P.S. §401 et seq. Written Notice was mailed to Respondent in accordance with Section (7)(5) of the Ethics Law, as to which there was no response. A Notice and Order to Show Cause was issued and served upon Respondent. A letter Answer was filed and a hearing was waived. The record is complete. This adjudication of the Commission is hereby issued, which sets forth Findings of Fact, Discussion, Conclusions of Law and Order. This Adjudication is final and is a public document. Reconsideration may be requested. A request for reconsideration, however, does not affect the finality of this adjudication. A reconsideration request must be received at this Commission within fifteen days of issuance and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code 52.38. Gerald L. Andriole April 27, 1992 Page 2 I. FINDINGS: 1. Respondent Gerald L. Andriole is an adult individual who resides or maintains a mailing address at 219 West Diamond Avenue, Hazleton, Pennsylvania 18201. 2. At all times relevant to these proceedings, Respondent has been a Member of the Pennsylvania Health Care Cost Containment Council. (a) Respondent specifically held the aforesaid position in 1990. (b) Respondent resigned from the Pennsylvania Health Care Cost Containment Council effective February 7, 1992. 3. Respondent did not file a Statement of Financial Interests with the State Ethics Commission and the Governor's Office of Administration for calendar year 1990, on or before May 1, 1991. 4. A Notice letter dated June 18, 1991, was issued to Respondent by this Commission. The said Notice letter stated in detail the specific allegations against Respondent concerning the delinquency of Respondent's Statement of Financial Interests for calendar year 1990 and the penalties for failure to file or for filing a deficient Statement of Financial Interests. The 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 1990 within fourteen (14) days of the date of the Notice letter. (a) Respondent states that he does not recall and did not receive the Notice letter on June 18, 1991. (b) Respondent states that he frequently travels and is away from his home 50% of the time, such that his mail accumulates and the Notice was inadvertantly discarded. (c) The Notice letter was incorrectly addressed to 291 West Diamond Avenue, Hazleton, Pennsylvania 18201. 5. Respondent did not file a Statement of Financial Interests with the State Ethics Commission and the Governor's Office of Administration for calendar year 1990 within fourteen days of the date of the said Notice letter. 6. An Order to Show Cause was issued to Respondent in this matter on March 16, 1992. Gerald L. Andriole April 27, 1992 Page 3 (a) The Order to Show Cause was incorrectly addressed to 291 West Diamond Avenue, Hazleton, Pennsylvania 18201. (b) Respondent received the Order to Show Cause having timely filed a letter Answer responding to same. 7. Respondent filed a Statement of Financial Interests for calendar year 1990 after receiving the Order to Show Cause. II. DISCUSSION: Respondent has been a Member of the Pennsylvania Health Care Cost Containment Council at all times relevant to these proceedings. Respondent specifically held the aforesaid position in 1990 and resigned from the Pennsylvania Health Care Cost Containment Council effective February 7, 1992. As a Member of the Pennsylvania Health Care Cost Containment Council, Respondent was a "public official" as that term is defined under the Public Official and Employee Ethics Law ( "Ethics Law "), 65 P.S. 5401, et seg., and as such was subject to the provisions of the Ethics Law. Morris, Opinion 89 -026. Pursuant to Sections 4 and 5 of the Ethics Law, Respondent was required to file a Statement of Financial Interests providing complete financial disclosure for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration by May 1, 1991. 65 P.S. SS404,405. Section 9(f) of the Ethics Law provides as follows: (f) In addition to any other civil remedy or criminal penalty provided for in this act, the commission may, after notice has been served in accordance with section 7(5) and upon a majority vote of its members, levy a civil penalty upon any person subject to this act 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 P.S. §409(f). Factually, Respondent has admittedly failed to timely file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, which constitutes a violation of Sections 4 and 5 of the Ethics Law. However, Respondent has denied that the June 18, 1991 Notice letter was served upon him. The service of a Gerald L. Andriole April 27, 1992 Page 4 Notice letter in accordance with Section 7(5) is a prerequisite to the levying of a civil penalty under Section 9(f) of the Ethics Law. 65 P.S. §409(f). Respondent asserts that he does not recall and did not receive the Notice letter on June 18, 1991. Respondent states that he frequently travels and is away from his home 50% of the time, resulting in the accumulation of his mail, so that the Notice was inadvertently discarded. These allegations alone, even if true, would not invalidate service of the Notice letter upon the Respondent. However, it has come to the Commission's attention that both the said Notice letter and the Order to Show Cause were issued to Respondent at a technically incorrect street address, specifically 291 West Diamond Avenue instead of 219 West Diamond Avenue. Despite this error, Respondent undoubtedly received the Order to Show Cause, as evidenced by his timely filing of a response to same. Nevertheless, under the circumstances of this case, it is likely that Respondent may not have received the required Notice letter. We would further note that Respondent has filed a Statement of Financial Interests dated March 23, 1992 for calendar year 1990 after receiving the Order to Show Cause, although his filing is technically deficient because blocks 6, 7, and 13 are not completed. Based upon the totality of circumstances in this case, no civil penalty shall be levied in this case. Respondent shall be ordered to file an amended, complete and accurate Statement of Financial Interests for calendar year 1990. III. CONCLUSIONS OF LAW: 1. Respondent Gerald L. Andriole was at all times relevant to these proceedings a Member of the Pennsylvania Health Care Cost Containment Council, and as such was a "public official" as that term is defined in the Ethics Law. 2. Respondent was required by the Ethics Law to file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, which Statement of Financial Interests was due no later than May 1, 1991. 3. Respondent failed to comply with the requirements of Sections 4 and 5 of the Ethics Law when Respondent failed to timely file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Gerald L. Andriol• April 27, 1992 Page 5 Administration. 4. Respondent was not properly served with Notice of the delinquency of his Statement of Financial Interests for calendar year 1990, which is a prerequisite to levying a civil penalty under Section 9(f) of the Ethics Law. 5. Following the issuance of the Order to Show Cause, Respondent filed a Statement of Financial Interests for calendar year 1990 dated March 23, 1992, which is technically deficient in that blocks 6, 7, and 13 are not completed. 6 . Based upon the totality of the circumstances in this case, no civil penalty shall be levied against Respondent in this matter. 7. Respondent shall be ordered to file an amended, accurate and complete Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, providing full financial disclosure as required by the Ethics Law and signed under oath or equivalent affirmation. IN RE: GERALD L. ANDRIOLE : File Docket: 92 -004 -P : Date Decided: April 23, 1992 Respondent : Date Mailed: April 27, 1992 ooS- S ORDER NO. -$38- 1. Gerald L. Andriole, as a Member of the Pennsylvania Health Care Cost Containment Council, violated Sections 4 and 5 of the Ethics Law, 65 P.S. S §404, 405, by failing to timely file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration. 2. Based upon the circumstances of this case, no civil penalty shall be levied against Gerald L. Andriole. 3. Gerald L. Andriole is directed within 30 days of issuance of this Order to file an amended, complete and accurate Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, providing full financial disclosure as required by the Ethics Law. 4. Failure to comply with any provision of this Order will result in the initiation of appropriate enforcement action. BY THE COMMISSION, 444g4 Dennis C. Harrington, Chair