HomeMy WebLinkAbout037-S JordanSTATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
IN RE: ARTHUR J. JORDAN : File Docket: 92 -027 -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. §401 et Aga. 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 §S2.38(b),(c).
Arthur J. Jordan
September 18, 1992
Page 2
I. FINDINGS:
1. Respondent Arthur J. Jordan is an adult individual who resides
or maintains a mailing address at 2230 North Washington
Avenue, Scranton, Pennsylvania 18503.
2. Respondent is now and at all times relevant to these
proceedings has been a Member of the State Board of Optometry.
(a) 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. Respondent did not file an Answer to the Order to Show Cause,
but submitted an untimely letter response.
(a) Respondent's untimely letter response consists of a
letter from Respondent dated April 27, 1992 and a letter
from Respondent's accountant /personal financial
representative, dated April 28, 1992, both of which
documents were forwarded to this Commission by Attorney
Frank J. McDonnell by cover letter dated May 18, 1992,
and were received by this Commission on May 21, 1992.
(b) The untimely letter response avers:
(1) That to Respondent's knowledge, he has submitted
all required information to this Commission;
(2) That Respondent asked his accountant to complete
Arthur J. Jordan
September 18, 1992
Page 3
the required Statement of Financial Interests and
it was Respondent's understanding that these forms
were completed and delivered to this Commission;
(3) That Respondent's accountant has over the last 16
years handled many complex financial matters for
Respondent without any difficulties;
(4) That Respondent has relied upon the accountant's
office for the last 16 years to handle the filings
of tax returns and Statements of Financial
Interests, as well as other financial matters;
(5) That the accountant has previously filed
Respondent's required Statements of Financial
Interests with the Commonwealth, and that the
reports for 1991 were completed;
(6) That Respondent submitted the aforesaid forms to
the accountant so that they could be completed in
an accurate and timely manner;
(7) That it is possible that the accountant's office
never completed the project due to the fact that he
works from January through April 15 primarily on
tax returns;
(8) That upon review of Respondent's file, the required
reports were completed timely although never
mailed;
(9)
That the aforesaid error was the accountant's error
because Respondent submitted the required forms to
the accountant's office a number of times;
(10) That the accountant's office has never had a
problem of this nature; and
(11) That Respondent is an "innocent bystander."
7. As a matter of public record, Respondent filed a Statement of
Financial Interests for calendar year 1990 after issuance of
the Order to Show Cause which Statement of Financial Interests
is dated April 27, 1992 and was received by this Commission on
May - 21, 1992.
(a) Block 3 of said Statement of Financial Interests is not
completed and is left blank.
(b) Blocks 4 and 5 of said Statement have been completed to
Arthur J. Jordan
September 18, 1992
Page 4
indicate that Respondent is seeking public office as a
Board Member of the State Board of Optometry when in fact
Respondent is an incumbent public official.
(c) Blocks 6 and 7 of said Statement of Financial Interests
fail to disclose Respondent's current position as a Board
Member on the State Board of Optometry.
(d) Block 16 of said Statement of Financial Interests is not
completed and is left blank.
II. DISCUSSION:
Respondent is now and at all times relevant to these
proceedings has been a Member of the State Board of Optometry.
Respondent specifically held the aforesaid position in 1991.
As a Member of the State Board of Optometry, Respondent is a
"public official" as that term is defined under the Public Official
and Employee Ethics Law ( " Ethics Law "), 65 P.S. §401, et s_,g., and
as such, Respondent is 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. §S404,405.
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).
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
Arthur J. Jordan
September 18, 1992
Page 5
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. Respondent did not file an Answer to
the Order to Show Cause, and so the facts alleged therein are
deemed admitted.
However, it must be observed that the Commission did receive
an untimely letter response consisting of a letter from Respondent
and a letter from Respondent's accountant /personal financial
representative, which documents were forwarded by Attorney Frank J.
McDonnell under a cover letter dated May 18, 1992, and were
received by this Commission on May 21, 1992. It appears from Dr.
Jordan's letter and the letter of his accountant that the
delinquent filing for calendar year 1990 was an inadvertent error,
and there is no evidence which would indicate any intention on the
part of Dr. Jordan to fail to comply with the filing requirements
of the Ethics Law. We would further note that following the
issuance of the Order to Show Cause, the Commission also received
Respondent's Statement of Financial Interests dated April 27, 1992
for calendar year 1990. The said Statement of Financial Interests
was received by this Commission on May 21, 1992.
The Statement of Financial Interests is technically deficient
in that blocks 3 and 16 are not completed and the information set
forth in blocks 4 -5 and blocks 6 -7 appears to have been reversed,
failing to disclose that Respondent is currently holding this Board
position.
Although we are constrained to levy a civil penalty against
the Respondent given the uncontested delinquency of his Statement
of Financial Interests for calendar year 1990, in so doing we note
the inadvertence of his error and the apparent lack of any
intention to fall short of the Ethics Law's filing requirements.
We hereby levy one civil penalty against Respondent Arthur J.
Jordan 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 Arthur J. Jordan is now and at all times relevant
to these proceedings has been a Member of the State Board of
Optometry and as such Respondent is a "public official"
Arthur J. Jordan
September 18, 1992
Page 6
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.
5. Respondent's Statement of Financial Interests for calendar
year 1990, dated April 27, 1992, and received by the State
Ethics Commission on May 21, 1992, is technically deficient.
IN RE: ARTHUR J. JORDAN
Respondent
File Docket: 92 -027 -P
Date Decided: September 15. 1992
Date Mailed: September 18. 199;
ORDER NO. 037 -S
1. Arthur J. Jordan, as a Member of the State Board of Optometry,
failed to comply with Sections 4 and 5 of the Ethics Law, 65
P.S. 65404, 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 Arthur J.
Jordan 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 Arthur J. Jordan 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, correcting all technical
deficiencies noted above and 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,
0A02-4/ u) �J _
Daneen E. Reese, Vice Chair
Commissioner James M. Howley, Chair, abstained.