HomeMy WebLinkAbout815 NaylorIN RE: Ernest G. Naylor
Respondent
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
: File Docket: 91 -002 -P
: Date Decided: December 4,1991
: Date Mailed: December 11,1991
Before: Dennis C. Harrington, Chair
James M. Howley
Daneen E. Reese
Roy W. Wilt
Austin M. Lee
James P. Gallagher
Allan M. Kluger
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 seq. Ernest G. Naylor, hereinafter "Respondent,"
was notified in writing of the specific allegation(s) against him
including the details of the delinquency /deficiency of
Statement(s) of Financial Interests and the penalties for failure
to file or for filing a deficient Statement of Financial
Interests. More than twenty days after the initial notice was
issued to Respondent, 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 52.38.
Naylor, 91 -002 -P
Page 2
I. FINDINGS:
1. Respondent Ernest G. Naylor is an individual who
resides or maintains a mailing address at Box #8,
Cammal, PA 17723.
2. As a Member of the Zoning Hearing Board of McHenry
Township in the Commonwealth of Pennsylvania,
Respondent filed a Statement of Financial Interests
with the governing authority of McHenry Township for
calendar year 1990 which was deficient as follows.
Specifically, Respondent timely filed a form with
McHenry Township purporting to be a Statement of
Financial Interests form for calendar year 1990, but
the Township returned the form to Respondent as
incomplete, requesting that the Respondent complete it.
Only the first several blocks of the form had been
completed and the remainder of the form was not
completed in any way whatsoever, nor was the form
signed or dated. Respondent failed to resubmit his
Statement of Financial Interests form to the Township
such that the Township records lack any Statement of
Financial Interests for Respondent for calendar year
1990.
3. Respondent was provided written Notice, by letter dated
June 28, 1991, of the specific allegations against
Respondent concerning the deficiency of the above
Statement of Financial Interests. The said Notice
letter stated in detail the deficiency of Respondent's
Statement of Financial Interests and the penalties for
failure to file or for filing a deficient Statement of
Financial Interests.
4. Respondent failed to remedy the deficiency of his
Statement of Financial Interests for calendar year
1990, in that Respondent failed to subsequently file a
complete and accurate Statement of Financial Interests
with the governing authority of McHenry Township for
calendar year 1990 within twenty days of the date of
the said Notice letter.
II. Discussion:
When Respondent Naylor filed his purported Statement of
Financial Interests for calendar year 1990, he was a Member of
the Zoning Hearing Board of McHenry Township and as such, was a
"public official" as that term is defined under the Public
Official and Employee Ethics Law ( "Ethics Law "), 65 P.S. S401, e
lea. Respondent was therefore subject to the provisions of the
Ethics Law, and specifically the requirements of Sections 4 and 5
Naylor, 91 -002 -P
Page 3
of the Ethics Law regarding Statements of Financial Interests.
Pursuant to Section 4(a) of the Ethics Law, Respondent was
required to file a Statement of Financial Interests for the
preceding calendar year with the governing authority of McHenry
Township each year Respondent held the above position and the
year after leaving said 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. 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. . . .
65 P.S. S404(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. S404(d).
The complete financial disclosure which Respondent as a
"public official" was 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. S405.
The pertinent provisions of Section 5 which set forth the
disclosure requirements applicable to this case are as follows:
(a) The statement of financial interests filed
pursuant to this act shall be on a form prescribed by
the commission. All information requested on the
statement shall be provided to the best of the
knowledge, information and belief of the person
required to file and shall be signed under oath or
equivalent affirmation.
Naylor, 91 -002 -P
Page 4
(b) The statement shall include the following
information for the prior calendar year with regard to
the person required to file the statement.
(1) Name, address and public position.
(2) Occupation or profession.
(3) Any direct or indirect interest in
any real estate which was sold or leased to
the Commonwealth, any of its agencies or
political subdivisions; purchased or leased
from the Commonwealth, any of its agencies
or political subdivisions; or which was the
subject of any condemnation proceedings by
the Commonwealth, any of its agencies or
political subdivisions.
(4) The name and address of each
creditor to whom is owed in excess of $5,000
and the interest rate thereon. However,
loans or credit extended between members of
the immediate family and mortgages securing
real property which is the principal or
secondary residence of the person filing
shall not be included.
(5) The name and address of any direct
or indirect source of income totalling in the
aggregate $1,000 or more. However, this
provision shall not be construed to require
the divulgence of confidential information
protected by statute or existing professional
codes of ethics or common law privileges.
(6) The name and address of the source
and the amount of any gift or gifts valued in
the aggregate of $200 or more and the
circumstances of each gift. This paragraph
shall not apply to a gift or gifts received
from a spouse, parent, parent by marriage,
sibling, child, grandchild, other family
member or friend when the circumstances make
it clear that the motivation for the action
was a personal or family relationship.
However, for the purposes of this
subsection, the term "friend" shall not
include a registered lobbyist or an employee
of a registered lobbyist. This paragraph
shall not be applied retroactively.
Naylor, 91 -002 -P
Page 5
(7)(i) The name and address of the
source and the amount of any payment for or
reimbursement of actual expenses for
transportation and lodging or hospitality
received in connection with public office or
employment where such actual expenses for
transportation and lodging or hospitality
exceed $500 in the course of a single
occurrence. This paragraph shall not apply
to expenses reimbursed by a governmental
body, or to expenses reimbursed by an
organization or association of public
officials or employees of political
subdivisions which the public official or
employee serves in an official capacity.
(ii) This paragraph shall not be
applied retroactively.
(8) Any office, directorship or
employment of any nature whatsoever in any
business entity.
(9) Any financial interest in any legal
entity engaged in business for profit.
(10) The identity of any financial
interest in a business with which the
reporting person is or has been associated in
the preceding calendar year which has been
transferred to a member of the reporting
person's immediate family.
65 P.S. SS405(a),(b).
Factually, Respondent filed a deficient Statement of
Financial Interests for calendar year 1990, which constitutes a
violation of the Ethics Law. Specifically, Respondent timely
filed a form with the Township purporting to be a Statement of
Financial Interests form for calendar year 1990, but the Township
returned the form to Respondent as incomplete, requesting that
the Respondent complete it. Only the first several blocks of the
form had been completed and the remainder of the form was not
completed in any way whatsoever, nor was the form signed or
dated. Respondent failed to submit any further Statement of
Financial Interests form to the governing authority of McHenry
Township, such that the Township records lack any Statement of
Financial Interests for Respondent for calendar year 1990. By
failing to file a complete and accurate Statement of Financial
Interests for calendar year 1990 signed under oath or equivalent
Naylor, 91 -002 -P
Page 6
affirmation, Respondent has failed to provide full financial
disclosure as required by the Ethics Law.
Furthermore, upon being notified of the above
transgression, Respondent did not remedy his failure to comply
with the Ethics Law, although he was given twenty days from the
date of the Notice letter in which to do so. This Commission
then instituted formal proceedings against Mr. Naylor by issuing
an Order to Show Cause, ordering Mr. Naylor to show cause why a
civil penalty should not be levied against him. Mr. Naylor did
not file an Answer to the Order to Show Cause. There is nothing
of record which would constitute a defense or excuse for Mr.
Naylor's violation of the Ethics Law. Mr. Naylor has failed to
show cause why a civil penalty should not be levied against him
in this matter.
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 civil penalty
against the Respondent for each such delinquent or deficient
Statement of Financial Interests. For each violation the
Commission finds, Respondent is subject to civil penalty
liability under Section 9(f) of the Ethics Law, 65 P.S. §409(f)
at a rate of not more than $25.00 per day for each day the
Statement of Financial Interests remains delinquent or deficient,
for a maximum civil penalty of $250.00 per violation. Because
Respondent has committed one violation alleged herein,
Respondent is subject to a civil penalty at the maximum rate of
$25.00 per day for each day the Statement of Financial Interests
for calendar year 1990 has remained deficient, for a maximum
civil penalty of $250.00 for said violation.
We hereby levy one civil penalty against Respondent Ernest
G. Naylor at the maximum rate of $25.00 per day, for Respondent's
deficient Statement of Financial Interests for calendar year
1990. Given the number of days during which the Statement of
Naylor, 91 -002 -P
Page 7
Financial Interests has remained deficient, the resultant amount
to be levied against Respondent is $250.00.
III. CONCLUSIONS OF LAW:
1. At the time of filing his purported Statement of
Financial Interests for calendar year 1990 with McHenry
Township, Respondent Ernest G. Naylor was a Member of
the Zoning Hearing Board of McHenry Township,
Pennsylvania, and as such, he was a "public official"
as that term is defined in the Ethics Law and was
subject to the provisions of the Ethics Law, Act 9 of
1989, 65 P.S. S401, et sec.
2. Pursuant to Sections 4 and 5 of the Ethics Law,
Respondent Ernest G. Naylor was required to file a
Statement of Financial Interests for calendar year 1990
with the governing authority of McHenry Township by
May 1, 1991, signed under oath or equivalent
affirmation and providing full financial disclosure as
required by the Ethics Law.
3. Respondent violated Sections 4 and 5 of the Ethics Law
when Respondent failed to provide full financial
disclosure as required by the Ethics Law but filed an
unsigned and deficient Statement of Financial
Interests for calendar year 1990.
4. Notice was previously duly served upon Respondent in
accordance with Section 7(5) of the Ethics Law, 65 P.S.
S407(5), which Notice specified in detail Respondent's
above transgression(s) and stated in detail the
deficiency and the penalties for failure to file or for
filing a deficient Statement of Financial Interests.
5. Respondent has failed to remedy the deficiency of his
Statement of Financial Interests for calendar year
1990, although he was given twenty (20) days from the
date of the aforesaid Notice letter in which to do so.
6. Respondent is subject to civil penalty liability under
Section 9(f) of the Ethics Law, 65 P.S. 5409(f) at a
maximum rate of $25.00 per day for each day the
Respondent's Statement of Financial Interests for
calendar year 1990 has remained deficient, for a
maximum civil penalty of $250.00.
7. A maximum civil penalty shall be assessed against
Respondent for his deficient Statement of Financial
Interests for calendar year 1990, at the rate of $25.00
per day for each day said Statement of Financial
Naylor, 91 -002 -P
Page 8
Interests has remained deficient, resulting in the
maximum civil penalty of $250.00.
8. Respondent shall further be ordered to file a Statement
of Financial Interests for calendar year 1990 with the
governing authority of McHenry Township, providing full
financial disclosure as required by the Ethics Law and
signed under oath or equivalent affirmation.
IN RE: Ernest G. Naylor
Respondent
: File Docket: 91 -002 -P
: Date Decided: December 4,1991
: Date Mailed: December 11,1991
ORDER NO. 815
1. Ernest G. Naylor, as a Member of the Zoning Hearing
Board of McHenry Township in the Commonwealth of
Pennsylvania, violated the Ethics Law by filing a
deficient Statement of Financial Interests for
calendar year 1990 with McHenry Township.
2. This Commission hereby levies one civil penalty against
Ernest G. Naylor, in the amount of $25.00 per day for
each day Respondent's Statement of Financial Interests
for calendar year 1990 has remained deficient, for the
maximum civil penalty of $250.00.
3. Respondent is ordered to pay the above civil penalty
in the full 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. Ernest G. Naylor is directed within 30 days of issuance
of this Order to file a Statement of Financial
Interests for calendar year 1990 with the governing
authority of McHenry Township providing full financial
disclosure as required by the Ethics Law and signed
under oath or equivalent affirmation, and to forward a
copy to this Commission at the following address to
evidence compliance:
State Ethics Commission
309 Finance Building
P.O. Box 11470
Harrisburg, PA 17108 -1470
Attn: Robin M. Hittie, Assistant Counsel
5. Failure to comply with any provision of this Order will
result in the initiation of appropriate enforcement
action.
BY THE COMMISSION,
g-i.444-(73,
Dennis C. Harrington, Chair