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STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
IN RE: JOHN L. JOHNSTON File Docket: 92 -065 -P
Date Decided: September 15, 1992
Respondent : Date Mailed: September 18, 1992
Before: James M. Howley, Chair
Daneen E. Reese, Vice Chair
Roy W. Wilt
Austin M. Lee
Allan M. Kluger
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. 5401 et seg. 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. An Answer was not filed and a hearing was
deemed 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 §2.38.
John L. Johnston
September 18, 1992
Page 2
1. FINDINGS:
1. Respondent John L. Johnston is an adult individual who resides
or maintains a mailing address at 228 Ridgewood Drive,
Shippenville, Pennsylvania 16254.
2. At all times relevant to these proceedings, Respondent has
been a Member of the State Board of Osteopathic Medicine.
(a) Although Respondent's term has expired, at all times
relevant to these proceedings, Respondent served on the
aforesaid Board and was not replaced.
(b) Respondent specifically held the aforesaid position in
1991.
3. Respondent did not file a Statement of Financial Interests for
calendar year 1990 with the State Ethics Commission and the
Governor's Office of Administration on or before May 1, 1991.
4. A Notice letter dated June 18, 1991 was served upon 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.
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. The public records of the State Ethics Commission reflect that
Respondent has previously been served with Notices of the
delinquency of his Statement of Financial Interests for
calendar year 1987.
II. pISCUSSION
Respondent has been a Member of the State Board of Osteopathic
Medicine at all times relevant to these proceedings. Respondent
specifically held the aforesaid position in 1991.
As a Member of the State Board of Osteopathic Medicine,
Respondent has at all times relevant to these proceedings been a
John L. Johnston
September 18, 1992
Page 3
"public official" as that term is defined under the Public Official
and Employee Ethics Law ( "Ethics Law "), 65 P.S. §401, et sec., and
as such, subject to the provisions of the Ethics Law.
Factually, 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 Administration, which
constitutes a failure to comply with Sections 4 and 5 of the Ethics
Law. 65 P.S. §5404,405.
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. 5409(f).
An application of Section 9(f) to this case establishes that
this Commission has the discretion to levy a maximum civil penalty
against the Respondent for the delinquent Statement of Financial
Interests for calendar year 1990. The prerequisite service of a
Notice letter in accordance with Section 7(5) was satisfied.
Respondent did not remedy the failure to file a Statement of
Financial Interests for calendar year 1990 although given fourteen
days from the date of the aforesaid Notice letter in which to do
so. This Commission then instituted formal proceedings against
Respondent by issuing an Order to Show Cause, ordering Respondent
to show cause why a civil penalty should not be levied against
Respondent pursuant to Section 9(f) of the Ethics Law. Respondent
did not file an answer to the Order to Show Cause. There is
nothing of record which would constitute a defense or excuse for
Respondent's failure to comply with the Ethics Law. Respondent has
failed to show cause why a civil penalty should not be levied
against Respondent in this matter.
We would further note that the public records of the State
Ethics Commission reflect that Respondent has previously been
served with Notices of the delinquency of his Statement of
Financial Interests for calendar year 1987. It is clear that as a
Member of the State Board of Osteopathic Medicine, Respondent knows
that he is a public official required to file Statements of
Financial Interests pursuant to Sections 4 and 5 of the Ethics Law.
John L. Johnston
September 18, 1992
Page 4
Based upon the totality of circumstances in this case, we
hereby levy one civil penalty against Respondent John L. Johnston
at the rate of $25.00 per day, for each day Respondent's Statement
of Financial Interests for calendar year 1990 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 Respondent is $250.00.
Respondent shall be ordered to file a complete and accurate
Statement of Financial Interests for calendar year 1990.
III. CONCLUSIONS OF LAW:
1. Respondent John L. Johnston was at all times relevant to these
proceedings a Member of the State Board of Osteopathic
Medicine and as such Respondent was a "public official"
subject to the provisions of the Ethics Law, Act 9 of 1989.
2. 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
Administration.
3. Notice of the delinquency of Respondent's Statement of
Financial Interests for calendar year 1990 was previously
served upon Respondent in accordance with Section 7(5) of the
Ethics Law, 65 P.S. 5407(5).
4. Based upon the totality of the circumstances in this case, a
maximum civil penalty is warranted.
IN RE: JOHN L. JOHNSTON : File Docket: 92 -065 -P
Date Decided: Seotembbr 15. 1892
Respondent : Date Mailed: September 18, 192
ORDER NO. 032 -S
1. John L. Johnston, as a Member of the State Board of
Osteopathic Medicine, failed to comply with Sections 4 and 5
of the Ethics Law, 65 P.S. SS404, 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, this Commission
hereby levies one civil penalty against Respondent John L.
Johnston at the rate of $25.00 per day for each day
Respondent's Statement of Financial Interests for calendar
year 1990 has remained delinquent, for the total civil penalty
of $250.00. Respondent is ordered to pay the above civil
penalty in the total amount of $250.00 within thirty days of
the issuance of this Order, by forwarding a check to this
Commission payable to the Commonwealth of Pennsylvania for
deposit in the State Treasury.
3. Respondent John L. Johnston is directed within 30 days of
issuance of this Order to file a 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 an appropriate enforcement action.
BY THE COMMISSION,