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HomeMy WebLinkAbout075-S PaxsonIN RE: John Paxson, Respondent STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 Before: Daneen E. Reese, Chair Austin M. Lee, Vice Chair Roy W. Wilt Allan M. Kluger Rev. Joseph G. Quinn Julius Uehlein File Docket: 97 -003 -P X -ref: Order No. 075 -S Date Decided: 5/29/97 Date Mailed: 6/11/97 This is a final adjudication of the State Ethics Commission as to the alleged delinquency of Statements of Financial Interests required to be filed pursuant to Sections 4 and 5 of the Public Official and Employee Ethics Law ( "Ethics Law "), Act 9 of 1989, P.L. 26, 65 P.S. §401 et seq. The Investigative Division initiated these proceedings by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalties. An Order to Show Cause was issued to Respondent. An Answer was not filed by the Respondent, and a hearing was deemed waived. The record is complete. This is a final Order, and it is publicly available upon issuance. Reconsideration may be requested, but a request for reconsideration will not affect the finality of this adjudication or its availability as a public document. Any reconsideration request must be received at this Commission within thirty days of the mailing date noted above and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code § §2.38(b),(c)/21.29(b). Paxson, 97 -003 -P June 11, 1997 Page 2 I. FINDINGS: 1. Respondent John Paxson is an adult individual who resides or maintains a mailing address at 1759 School Road, Jamison, Pennsylvania 18929. 2. At all times relevant to these proceedings, Respondent has been an Alternate Member of the Warwick Township Zoning Hearing Board. 3. Respondent did not file Statements of Financial Interests for calendar years 1993, 1994, and 1995 with Warwick Township which Statements of Financial Interests were required to be filed on or before May 1 of 1994, 1995, and 1996. 4. A first Notice letter dated July 16, 1996 and a final Notice letter dated September 17, 1996 were served upon Respondent by the Investigative Division of the State Ethics Commission. The said Notice letters stated in detail the specific allegations against Respondent concerning the delinquency of Respondent's Statements of Financial Interests for calendar years 1993, 1994, and 1995 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 accurate and complete Statements of Financial Interests for calendar years 1993, 1994, and 1995 within twenty (20) days of the dates of the respective Notice letters. 5. Respondent did not file Statements of Financial Interests with Warwick Township for calendar years 1993, 1994, and 1995 on or before the expiration of twenty days from the date of the said final Notice letter. II. DISCUSSION: Respondent has been an Alternate Member of the Warwick Township Zoning Hearing Board at all times relevant to these proceedings. As an Alternate Member of the Warwick Township Zoning Hearing Board, Respondent has at all times relevant to these proceedings been a "public official" subject to the provisions of the Public Official and Employee Ethics Law ( "Ethics Law "), 65 P.S. §401, gt eg. 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 Warwick 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 Paxson, 97 -003 -P June 11, 1997 Page 3 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. Any other public employee or public official shall file a statement of financial interests with the governing authority of the political subdivision by which he is employed or within 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. Persons who are full -time or part-time solicitors for political subdivisions are required to file under this section. 65 P.S. §404(a). Section 4(d) of the Ethics Law provides: (d) No public official shall be allowed to take the oath of office or enter or continue upon his duties, nor shall he receive compensation from public funds, unless he has filed a statement of financial interests as required by this act. 65 P.S. §404(d). The complete financial disclosure which Respondent as an Alternate Member of the Warwick Township Zoning Hearing Board is required to provide in the Statement of Financial Interests form is statutorily mandated in detail at Section 5 of the Ethics Law, 65 P.S. §405. Factually, Respondent failed to timely file a Statement of Financial Interests for calendar years 1993, 1994, and 1995 with Warwick Township, which constitutes a failure to comply with Sections 4 and 5 of the Ethics Law. 65 P.S. §§404, 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 each such delinquent or deficient Statement of Financial Interests. The prerequisite service of a Notice letter in accordance with Section 7(5) was satisfied. Respondent did not remedy the failure to comply with the Ethics Law although given twenty days from the date of the final Notice letter in which to do so. The Investigative Division then instituted formal proceedings against Respondent by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalties. The State Ethics Commission issued an Order to Show Cause, ordering Paxson, 97 -003 -P June 11, 1997 Page 4 Respondent to show cause why civil penalties should not be levied against Respondent. 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 civil penalties should not be levied against him in this matter. We note that the Petition for Civil Penalties does not reference any prior proceedings involving this individual's failure to comply with Sections 4 and 5 of the Ethics Law. Under such circumstances, we have, in the past, exercised our discretion to impose only one maximum civil penalty despite the multiple years involved, based upon the Respondent having no prior history of civil penalty proceedings. See, Sipos, Order No. 063 -S; Port, Order No. 042 -S. Based upon the totality of circumstances in this case, we hereby levy one maximum civil penalty against Respondent John Paxson in the amount of $250. In levying the aforesaid civil penalty, we are cognizant that we could assess a per diem civil penalty against Respondent for each violation up to the total maximum amount of Two Hundred Fifty Dollars ($250.00) per violation allowed by the Ethics Law, but have determined that an appropriate exercise of our discretion in this case would be to assess only one maximum civil penalty. Respondent shall be ordered to file complete and accurate Statements of Financial Interests for calendar years 1993, 1994, and 1995. III. CONCLUSIONS OF LAW: 1. As an Alternate Member of the Warwick Township Zoning Hearing Board, Respondent has at all times relevant to these proceedings been a "public official" subject to the provisions of the Ethics Law, Act 9 of 1989, 65 P.S. §401 et 2. Respondent failed to comply with Sections 4 and 5 of the Ethics Law when Respondent failed to timely file Statements of Financial Interests for calendar years 1993, 1994, and 1995 with Warwick Township. 3. Notice of the delinquency of Respondent's Statements of Financial Interests for calendar years 1993, 1994, and 1995 was previously served upon Respondent in accordance with Section 7(5) of the Ethics Law, 65 P.S. §407(5). 4. Based upon the totality of the circumstances in this case, a civil penalty is warranted. IN RE: John Paxson, Respondent ORDER NO. 075 -S File Docket: 97 -003 -P Date Decided: 5/29/97 Date Mailed: 6/11/97 1. Respondent John Paxson, as an Alternate Member of the Warwick Township Zoning Hearing Board, failed to comply with Sections 4 and 5 of the Ethics Law, 65 P.S. § §404, 405, by failing to timely file Statements of Financial Interests for calendar years 1993, 1994, and 1995 with Warwick Township. 2. Based upon the circumstances of this case, one civil penalty is hereby levied against Respondent John Paxson in the total amount of $250. 3. Respondent John Paxson is ordered to pay the above civil penalty in the amount of $250 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 John Paxson is directed within 30 days of issuance of this Order to file complete and accurate Statements of Financial Interests for calendar years 1993, 1994; and 1995 with Warwick Township, providing full financial disclosure as required by the Ethics Law, and to forward copies of same to this Commission at the following address to evidence compliance: State Ethics Commission 309 Finance Building P.O. Box 11470 Harrisburg, PA 1 71 08 -1 470 Attention: Investigative Division 5. Failure to comply with any provision of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, oYciAtifkai euse.d Daneen E. Reese, Chair