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