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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