HomeMy WebLinkAbout045-S FerrettiBefore:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
IN RE: JOHN M. FERRETTI, II : File Docket: 92 -022 -P
: Date Decided: February 16, 1993
Respondent : Date Mailed: February 19, 1993
James M. Howley, Chair
Daneen E. Reese, Vice Chair
Dennis C. Harrington
Roy W. Wilt
Austin M. Lee
Allan M. Kluger
Joseph W. Marshall, III
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 sea. 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 filed and a hearing was
requested. A hearing was held on November 5, 1992. 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).
John M. Ferretti, II
February 19, 1993
Page 2
I. FINDINGS:
A. PLEADINGS:
1. Respondent John M. Ferretti, II is an adult individual who
resides or maintains a mailing address at 1237 St. Marys
Drive, Erie, Pennsylvania 16509.
2. At all times relevant to these proceedings, Respondent has
been a Member of the State Board of Podiatry.
(a) Respondent specifically held the aforesaid position in
1991.
(b) Respondent resigned from the State Board of Podiatry by
letter dated July 11, 1991 to the Honorable Robert P.
Casey, Governor of the Commonwealth of Pennsylvania.
3. The public records of the State Ethics Commission reflect that
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.
(a) Respondent states that he provided full financial
disclosure as required by the Ethics Law in each year
that he was furnished with the Statement of Financial
Interests form.
(b) Respondent alleges that the Statement of Financial
Interests for calendar year 1990 was filed in the event
it was provided to Respondent by the State Board of
Podiatry and /or this Commission for filing at the
appropriate times.
(c) Respondent alleges that the State Board of Podiatry and/
or the State Ethics Commission failed to send the
appropriate Statement of Financial Interests at the
appropriate time for completion and filing by the
Respondent.
4. The records of the State Ethics Commission indicate that a
letter dated June 18, 1991, was issued to the Respondent as
service of Notice in accordance with Section 7(5) of the
Ethics Law of the specific allegations against Respondent
concerning this matter. The said Notice letter provided
Respondent an opportunity to avoid the institution of these
civil penalty proceedings by filing a completed Statement of
Financial Interests for calendar year 1990 within fourteen
(14) days of the date of the Notice letter.
John M. Ferretti, II
February 19, 1993
Page 3
(a) Respondent did not receive the Notice letter dated June
18, 1991.
(b) Respondent alleges that the State Board of Podiatry
and /or the State Ethics Commission failed to send the
appropriate Notice letter.
5. Respondent alleges that he should not be subject to any
penalty for the alleged failure to file a Statement of
Financial Interests for calendar year 1990 in that there is no
violation of the State Ethics Law by him.
6. Respondent alleges the following as mitigating circumstances:
(a) That Respondent was never served with the June 18, 1991
Notice letter;
(b) That Respondent was never provided with a Statement of
Financial Interests for filing in 1990, either by the
State Board of Podiatry or the State Ethics Commission;
(c) That Respondent's 8 -1/2 years of service on the State
Board of Podiatry was without monetary compensation, only
reimbursement for expenses up to $60.00 per day;
(d) That Respondent resigned from the State Board of Podiatry
on July 11, 1991, and is no longer subject to the
provisions of the State Ethics Law or the State Ethics
Commission;
(e) That throughout his service with the State Board of
Podiatry, the Respondent had no conflicts of interest and
reported that accordingly on the Statement of Financial
Interests as supplied to him by the State Board of
Podiatry and /or the State Ethics Commission; and
(f) Any violation would be a technical violation of the
statute only and should be cured not by the imposition of
any civil penalty, but by the authorization to file the
appropriate Statement of Financial Interests.
B. TESTIMONY:
7. Laura L. Myers is employed by the State Ethics Commission in
the capacity of Administrative Officer.
(a) Myers' duties include general oversight of the filing and
issuance of Notices as to non - filing of Statements of
Financial Interests.
John M. Ferretti, II
February 19, 1993
Page 4
(b) Respondent is on the State Ethics Commission's list of
non - filers for calendar year 1990.
8. Respondent is a physician who serves as the Chief Executive
Officer, Professional Director and Director of Medical
Education of Mill Creek Community Hospital and is involved in
numerous professional and community activities.
(a) Respondent was appointed to two consecutive four -year
terms of service on the State Board of Podiatry prior to
his resignation on July 11, 1991.
(b) Respondent states that to the best of his knowledge, all
Statements of Financial Interests prior to the Statement
in question for calendar year 1990 were submitted to the
State Ethics Commission as required.
(c) Following his receipt of the Order to Show Cause in this
matter, Respondent filed a Statement of Financial
Interests with the State Ethics Commission for calendar
year 1990.
(d) Respondent states that there was no change in his
Statement of Financial Interests between his filing for
calendar year 1989, dated July 24, 1990, and his filing
dated April 27, 1992 (for calendar year 1990).
(e) Respondent states that during his service on the State
Board of Podiatry:
(f)
(1) He did not realize any personal financial gain by
serving on the Board;
(2) He did not permit any personal financial . interest
to influence his decisions;
(3) He administered his duties impartially and
honestly;
(4) He did not use that office for private pecuniary
benefit for himself or any member of his family;
(5) He did not use any information gained as a Member
of the Board for any commercial purpose; and
(6) He did not receive any honorarium as a result of
said service.
Respondent did not receive a letter from the Governor's
Office of Administration with a blank Statement of
John M. Ferretti, II
February 19, 1993
Page 5
Financial Interests for calendar year 1990 on or about or
shortly after March 15, 1991.
(1) Respondent states that had he received such a
letter from the Governor's Office of
Administration, he would have followed his usual
procedure for filing the Statement of Financial
Interests.
(g) Respondent did not receive the June 18, 1991 Notice
letter signed by John Contino, Executive Director of the
State Ethics Commission.
(1) Respondent states that if he had received such a
Notice letter, he would have followed his usual
procedure for filing the Statement of Financial
Interests.
(h) Respondent states that he has nothing to gain by not
filing the disclosure of financial interest.
(i) Respondent has experienced deficiencies in mail delivery
at his home address.
(1) Respondent has often experienced such mail delivery
deficiencies for mail from Harrisburg.
(2) While serving on the Board, it was not unusual for
Respondent to not receive packets that were sent to
him.
(3) During the last two years of his service on the
Board, all packets from the Board were forwarded by
overnight express to insure that Respondent was
receiving them at his home.
(4) Respondent personally opens all of his mail
received at his home address.
(5) Respondent states that he knows that he received
the forms in prior years because they were filled
out and his secretary retains copies of them.
C. EXHIBITS:
9. Based upon a thorough examination of the official records of
the State Ethics Commission, no Statement of Financial
Interests for calendar year 1990 was received from Respondent
for service as a Member of the State Board of Podiatry on or
before the close of office hours on May 1, 1991, nor was any
John M. Ferretti, II
February 19, 1993
Page 6
such Statement of Financial Interests for calendar year 1990
subsequently received from Respondent bearing an official
United States postmark of on or before May 1, 1991.
10. A Statement of Financial Interests for calendar year 1990,
dated April 27, 1992, was received from Respondent under cover
letter of his counsel dated May 1, 1992, on May 4, 1992.
11. By letter dated July 11, 1991, from Respondent to the
Honorable Robert P. Casey, Governor, Respondent resigned as a
Member of the State Board of Podiatry effective immediately.
II. DISCUSSION:
Respondent has been a Member of the State Board of Podiatry at
all times relevant to these proceedings. Respondent specifically
held the aforesaid position in 1991, having served on the Board for
8 -1/2 years continuously before his resignation of July 11, 1991.
As a Member of the State Board of Podiatry, Respondent has at
all times relevant to these proceedings been a "public official" as
that term is defined under the Public Official and Employee Ethics
Law ( "Ethics Law "), 65 P.S. S401, et sea., and as such, Respondent
has at all times relevant to these proceedings been subject to the
provisions of the Ethics Law.
Factually, the records of the State Ethics Commission reflect
that 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, as required by
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. S409(f).
In this case, we are not satisfied that the prerequisite
requirement for service of a Notice letter in accordance with
Section 7(5) was met. Although the records of the State Ethics
John M. Ferretti, 1I
February 19, 1993
Page 7
Commission confirm that the Notice letter was mailed to Respondent,
we conclude that Respondent did not receive the said Notice letter.
We find Respondent to be quite credible in his testimony: that he
did not receive the form to file from the Governor's Office of
Administration; that he did not receive the Notice letter from this
Commission; that he has experienced frequent mail delivery problems
at his home address; that had he received the form and /or Notice
letter, he would have followed his usual process for filing the
Statement of Financial Interests form; and that there would have
been no reason for him to not file the form for calendar year 1990
had the form and /or Notice letter been received.
Having determined that the prerequisite service of Notice was
not accomplished, no further issues need be addressed in this case.
We would further note that following the issuance of the Order
to Show Cause, Respondent has filed a Statement of Financial
Interests dated April 27, 1992, for calendar year 1990.
Based upon the totality of circumstances in this case, no
civil penalty shall be levied in this case.
III. CONCLUSIONS OF LAW:
1. Respondent John M. Ferretti was at all times relevant to these
proceedings a Member of the State Board of Podiatry and as
such Respondent was a "public official" subject to the
provisions of the Ethics Law, Act 9 of 1989.
2. Respondent was not served with notice of the delinquency of
Respondent's 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.
3. Based upon the totality of the circumstances in this case, a
civil penalty is not warranted.
IN RE: JOHN M. FERRETTI, II File Docket: 92 -022 -P
• Date Decided: February 16, 1993
Respondent : Date Mailed: February 19, 1993
ORDER NO. 045 -S
1. John M. Ferretti, II, as a Member of the State Board of
Podiatry, was not 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.
2. Based upon the circumstances of this case no civil penalty
shall be levied against Respondent in this matter.
BY THE COMMISSION,
James M. Howley,
Commissioner Austin M. Lee did not participate in the final
decision of this case because he presided at the hearing as one
Commissioner and recused himself.