HomeMy WebLinkAbout058-S DipaoloIN RE: JAMES D. DIPAOLO,
Respondent
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
File Docket: 93 -002 -P
Date Decided: May 6, 1993
'Date Mailed: May 11, 1993
Before: James M. Howley, Chair
Daneen E. Reese, Vice Chair
Roy W. Wilt
Austin M. Lee
Allan M. Rluger
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 luta. 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 SS2.38(b),(c).
James D. DiPaolo
May 7, 1993 .
Page 2
I. FINDINGS:
adult individual who resides
at R.D. 1, Box 1355, Mt.
1. Respondent James D. DiPaolo is an
or maintains a mailing address
Bethel, Pennsylvania 18343.
2. At all times relevant to these
been a Township Supervisor for
Pennsylvania.
(a) Respondent resigned the aforesaid position on or about
January 6, 1992.
3. Respondent did not file a Statement of Financial Interests for
calendar year 1991 with Upper Mt. Bethel Township on or before
May 1, 1992.
4. A first Notice letter dated October 21, 1992, and a final
Notice letter dated December 1, 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 for filing a deficient Statement of
Financial Interests. 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 dates of the respective Notice
letters.
5. Respondent did not file a Statement of Financial Interests
with Upper Mt. Bethel Township for calendar year 1991 on or
before the expiration of twenty days from the date of the said
final Notice letter.
proceedings, Respondent has
Upper Mt. Bethel Township,
II. DISCUSSION:
Respondent has been a Township Supervisor for Upper Mt. Bethel
Township, Pennsylvania at all times relevant to these proceedings.
Respondent resigned the aforesaid position on or about January 6,
1992.
As a Township Supervisor for Upper Mt. Bethel Township,
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. §401, et sect., and
as such, Respondent has at all times relevant to these proceedings
been subject to the provisions of the Ethics Law.
James D. DiPaolo
May 7, 1993
Page 3
Pursuant to Section 4(a) of the Ethics Law, Respondent is
required to file a Statement of Financial Interests for the
preceding calendar year with Upper Mt. Bethel Township each year
Respondent holds the above position and the year after Respondent
leaves said position:
(a) Each public official of the Commonwealth shall
file a statement of financial interests for the preceding
calendar year with the commission no later than May 1 of
each year that he holds such a position and of the year
after he leaves such a position. Each public employee
and public official of the Commonwealth shall file a
statement of financial interests for the preceding
calendar year with the department, agency, body or bureau
in which he is employed or to which he is appointed or
elected no later than May 1 of each year that he holds
such a position and of the year after he leaves such a
position. Anv other public employee or public official
shall file a statement of financial interests with the
aoverninct authority of the political subdivision by which
he is employed or within which he is appointed or elected
no later than Mav 1 of each year that he holds such a
position and of the _year after he leaves such a position.
Persons who are full -time or part -time solicitors for
political subdivisions are required to file under this
section.
65 P.S. 5404(a) (Emphasis added).
Factually, Respondent failed to timely file a Statement of
Financial Interests for calendar year 1991 with Upper Mt. Bethel
Township, which constitutes a failure to comply with Sections 4 and
5 of the Ethics Law. 65 P.S. 55404, 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
James D. DiPaolo
May 7, 1993
Page 4
this Commission has the discretion to levy a maximum civil penalty
against the Respondent for each such delinquent or deficient
Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with
Section 7(5) was satisfied. Furthermore, upon being notified of
the above transgression, Respondent did not remedy Respondent's
failure to comply with the Ethics Law, although he was given until
the expiration of twenty days from the date of the final Notice
letter in which to comply so as to avoid the institution of these
formal proceedings. 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 him. Respondent did not file an answer to the Order
to Show Cause. There is nothing of record which could 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 him in this matter.
Based upon the totality of circumstances in this case, we
hereby levy one civil penalty against Respondent James D. DiPaolo,
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 said
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 1991.
III. CONCLUSIONS OF LAW:
1. Respondent James D. DiPaolo was at all times relevant to these
proceedings a Township Supervisor for Upper Mt. Bethel
Township, Pennsylvania and as such Respondent was at all times
relevant to these proceedings a "public official" subject to
the provisions of the Ethics Law, Act 9 of 1989.
2. Respondent failed to comply with Sections 4 and 5 of the
Ethics Law when Respondent failed to timely file a Statement
of Financial Interests for calendar year 1991 with Upper Mt.
Bethel Township.
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
maximum civil penalty is warranted.
IN RE: JAMES D. DIPAOLO,
Respondent
ORDER NO. 058 -
State Ethics Commission
309 Finance Building
P.O. Box 11470
Harrisburg, PA 17108 -1470
Attention: Legal Division
File Docket: 93 -002 -P
Date Decided: May 6, 1993
Date Mailed: Mav 11, 1993
1. James D. DiPaolo, a former Township Supervisor for Upper Mt.
Bethel Township, Pennsylvania failed to comply with Sections
4 and 5 of the Ethics Law, 65 P.S. § §404, 405, by failing to
timely file a Statement of Financial Interests for calendar
year 1991 with Upper Mt. Bethel Township.
2. Based upon the circumstances of this case, this Commission
hereby levies one civil penalty against Respondent James D.
DiPaolo, each 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 a total civil penalty
of $250.00.
3. Respondent James D. DiPaolo 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.
4. Respondent James D. DiPaolo is directed within 30 days of
issuance of this Order to file a complete and accurate
Statement of Financial Interests for calendar year 1991 with
Upper Mt. Bethel Township providing full financial disclosure
as required by the Ethics Law, and to forward a copy of same
to this Commission at the following address to evidence
compliance:
5. Failure to comply with any provision of this Order will result
in the initiation of an appropriate enforcement action.
BY THE COMMISSION,
wle C
James M. Hoy,