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HomeMy WebLinkAbout054-S LingIN RE: MOSES LING Respondent STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 Before: 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 : File Docket: 92 -080 -P Date Decided: February 16, 1993 Date Mailed: February 19, 1993 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 formal Answer was not filed but a letter response was received. 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 SS2.38(b),(c). Moses Ling February 19, 1993 Page 2 I. FINDINGS: 1. Respondent Moses Ling is an adult individual who resides or maintains a mailing address at 101 South Fraser Street, State College, Pennsylvania 16801. a. The public records of the State Ethics Commission reflect that the above is a business address for Respondent, and that 4 Respondent resides hadow Lane, State College, Pennsylvania address at 16803. 2. Respondent is has now been and a at Member of times the relevant to Building Energy proceedings Conservation Committee. (a) Respondent specifically held the aforesaid position in 1992. 3. Respondent did not file a Statement of Financial Interests for calendar Administration Of of Adm is at n or before May 1,n 1992. Governor's . G 4. A Notice letter dated June 16 or June 17, 1992, and a final Notice letter dated July 20, 1992, were served upon Respondent by this Commission. The said Notice letters stated in detail the specific allegations against Respondent concerning the delinquency of Respondent's Statement of Financial Interests for calendar year 1991 and the penalties for failure to file or filing a deficient Statement of Financial Interests. Each of the said Notice letters 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 1991 within twenty (20) 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 1991 within twenty days of the date of the said final Notice letter. 6. On October 15, 1992, the State Ethics Commission issued a Notice and Order to Show Cause to Respondent, ordering Respondent to show cause why a civil penalty should not be levied against him. 7. After issuance of the Order to Show Cause, Respondent submitted a letter enclosing a Statement of .Financial Interests dated November 12, 1992 for calendar year 1991, which documents were received by this Commission on November Moses Ling February 19, 1993 Page 3 16, 1992. a. Blocks 9 and 15 of said Statement of Financial Interests are not completed in any way whatsoever but are left blank. b. Respondent's letter states as follows: II. DISCUSSION: (1) That Respondent apologizes for allowing this matter to reach "this state "; (2) That Respondent is embarrassed he has been so delinquent; (3) That given the 1992 economic climate, Respondent has devoted all his attention to maintaining the viability of his consulting practice; and (4) That all other matters have been relegated to the "back burner," including his voluntary involvement in the Building Energy Conservation Committee and all matters associated with that appointment. 8. The records of the State Ethics Commission reflect that this is not the first instance Respondent has been delinquent in filing a Statement of Financial Interests. a. Respondent's form for calendar year 1989 was not received until May 29, 1990. b. The Commission issued two Notice letters to Respondent notifying Respondent of the delinquency of his Statement of Financial Interests for calendar year 1990, before that form was received on August 5, 1991. Respondent is now and at all times relevant to these proceedings has been a Member of the Building Energy Conservation Committee. Respondent specifically held the aforesaid position in 1992. As a Member of the Building Energy Conservation Committee, Respondent is a "public official" as that term is defined under the Public Official and Employee Ethics Law ( "Ethics Law "), 65 P.S. 5401, et sec., 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 1991 with the State Ethics Moses Ling February 19, 1993 Page 4 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 1991. 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 1991 although given twenty days from the date of the aforesaid final 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. Following the issuance of the Order to Show Cause, Respondent submitted a letter enclosing a Statement of Financial Interests dated November 12, 1992 for calendar year 1991. In his letter, Respondent apologizes to this Commission for allowing this matter to reach this state. Respondent indicates his embarrassment that he has been so delinquent. Respondent further states that given the 1992 economic climate, he has devoted all of his attention to maintaining the viability of his consulting practice, with other matters -- including his involvement in the Building Energy Conservation Committee and all matters associated with that appointment -- having been relegated to the "back burner." Respondent has failed to show cause why a civil penalty should not be levied against him in this matter. Respondent apparently believed that the filing of the Statement of Financial Interests could be relegated to a "back burner." This Commission views the filing requirement differently. Furthermore, even if we were to Moses Ling February 19, 1993 Page 5 view Respondent's proffered excuse as a mitigating circumstance, it would be nullified by the aggravating circumstance of Respondent's prior delinquencies. The records of the State Ethics Commission reveal that this is not the first instance Respondent has been delinquent in filing his Statement of Financial Interests. Respondent's form for calendar year 1989 was untimely, and this Commission issued two Notice letters to Respondent notifying him of the delinquency of his Statement of Financial Interests for calendar year 1990 before that form was ultimately received on August 5, 1991. It is noted that following the issuance of the Order to Show Cause, Respondent filed a Statement of Financial Interests dated November 12, 1992 for calendar year 1991. The Statement of Financial Interests is technically deficient in that Blocks 9 and 15 were not completed. Based upon the totality of circumstances in this case, we hereby levy one civil penalty against Respondent Moses Ling at the rate of $25.00 per day, for each day Respondent's Statement of Financial Interests for calendar year 1991 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 Two- Hundred and Fifty Dollars ($250.00). Respondent shall be ordered to file an amended, complete and accurate Statement of Financial Interests for calendar year 1991. III. CONCLUSIONS OF LAW: 1. Respondent Moses Ling is now and at all times relevant to these proceedings has been a Member of the Building Energy Conservation Committee and as such Respondent is 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 1991 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 1991 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 Moses Ling February 19, 1993 Page 6 maximum civil penalty is warranted. 5. Respondent's Statement of Financial Interests for calendar year 1991, dated November 12, 1992, and received by this Commission on November 16, 1992, is technically deficient. IN RE: MOSES LING Respondent File Docket: 92 -080 -P Date Decided: February 16, 1993 Date Mailed: February 19, 1993 ORDER NO. 054 -S 1. Moses Ling, as a Member of the Building Energy Conservation Committee, failed to comply with Sections 4 and 5 of the Ethics Law, 65 P.S. §S404, 405, by failing to timely file a Statement of Financial Interests for calendar year 1991 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 Moses Ling at the rate of $25.00 per day for each day Respondent's Statement of Financial Interests for calendar year 1991 has remained delinquent, for the total civil penalty of Two - Hundred and Fifty Dollars ($250.00). Respondent is ordered to pay the above civil penalty in the total amount of Two- Hundred and Fifty Dollars ($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 Moses Ling is directed within 30 days of issuance of this Order to file an amended, complete and accurate Statement of Financial Interests for calendar year 1991 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, James M. Howley,r-