HomeMy WebLinkAbout118-S OakleyIN RE: Wayne Oakley,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
01 -012 -P
Order No. 118 -S
11/15/01
11/30/01
Before: Daneen E. Reese, Chair
Louis W. Fryman, Vice Chair
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
Donald M. McCurdy
Michael Healey
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency and /or deficiency of Statement(s) of Financial Interests required to be filed
pursuant to Sections 4/1104 and 5/1105 of the Public Official and Employee Ethics Act
( "Ethics Act "), 65 P.S. §401 et seq. /65 Pa.C.S. §1101 et seq.
The Investigative Division initiated these proceedings by filing with the State
Ethics Commission and serving upon Respondent a Petition for Civil Penalty(ies). 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 §21.29(b).
Oakley, 01 -012 -P
November 30, 2001
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at RR
#3, Box 3496, Nicholson, PA 18446.
2. At all times relevant to these proceedings, Respondent has been a Middletown
Township Sewage Enforcement Officer and as such Respondent has at all times
relevant to these proceedings been a "public official" as that term is defined in
Section 2 of the Ethics Law, 65 P.S. §1102.
a. Respondent specifically held the aforesaid position in 1997, 1998 and 1999.
3. Respondent as a public official is subject to the Statement of Financial Interests
filing provisions of the Ethics Law.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
Law. Respondent has failed to file Statements of Financial Interests for calendar
year(s) 1997, 1998 and 1999 with the State Ethics Commission, which Statements
of Financial Interests were to be filed by May 1 of 1998, 1999 and 2000, and
Respondent has therefore transgressed Sections 4 and 5 of the Ethics Law, 65 P.S.
§ §1104, 1105.
5. By Notice letter dated February 12, 2001, Respondent was served with Notice in
accordance with Section 7(5) of the Ethics Law of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar
year(s) 1997, 1998 and 1999 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file Statements of Financial Interests for
calendar year(s) 1997, 1998 and 1999 so as to comply with the specific
requirements of the Ethics Law. - - -
6. By Notice letter dated June 8, 2001, Respondent was served with Notice in
accordance with Section 7(5) of the Ethics Law of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar
year(s) 1997, 1998 and 1999 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file Statements of Financial Interests for
calendar year(s) 1997, 1998 and 1999 so as to comply with the specific
requirements of the Ethics Law. - - -
7 Section 9(f) of the Ethics Law provides:
Section 9. Penalties
(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. §1109(f).
Oakley, 01 -012 -P
November 30, 2001
Page 3
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 9(f) of the Ethics Law, 65 P.S. §1109(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 three (3) violations alleged herein,
Respondent is subject to total maximum civil penalty liability of $750.00 for said
violation.
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00 for each violation, in that the twenty -day deadline
set forth in the said final Notice letter to Respondent has expired and the
Respondent has not complied.
II. DISCUSSION:
As a Middletown Township Sewage Enforcement Officer, Respondent Wayne
Oakley was at all times relevant to these proceedings a "public official" subject to the
provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 P.S. §401 et
seq. /65 Pa.C.S. §1101, et seq.
Pursuant to Section 4(a)/1104(a) of the Ethics Act, Respondent was specifically
required to file Statements of Financial Interests for calendar years 1997, 1998 and 1999
with Middletown Township on or before May 1 of 1998, 1999 and 2000. Section
4(a)/1104(a) provides:
§411104. Statement of financial interests required to be filed
(a) Public official or public employee. - -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. 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)/65 Pa.C.S. §1104(a).
The complete financial disclosure which Respondent, as a Middletown Township
Sewage Enforcement Officer, was required to provide in the Statement of Financial
Interests form is statutorily mandated in detail at Section 5/1105 of the Ethics Act, 65 P.S.
§ 405/65 Pa.C.S. §1105.
Section 9(f)/1109(f) of the Ethics Act provides as follows:
§911109. Penalties
(f) Civil Penalty. -- In addition to any other civil remedy or criminal
penalty provided for in this chapter, the commission may, after notice has
been served in accordance with section 1107(5) (relating to powers and
duties of commission) and upon a majority vote of its members, levy a civil
penalty upon any person subject to this chapter who fails to file a statement
Oakley, 01 -012 -P
November 30, 2001
Page 4
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)/65 Pa.C.S. §1109(f).
An application of Section 9(f)/1109(f) to this case establishes that this Commission
has the discretion to levy a maximum civil penalty against the Respondent for each
delinquent or deficient Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 7(5)/1107(5)
was satisfied. Respondent did not remedy the failure to comply with the Ethics Act
although given more than the usual grace period following Notice 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
Respondent to show cause why a civil penalty 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 Act. Respondent has failed to show cause why a civil penalty should not be
levied against Respondent in this matter.
We find that Respondent Wayne Oakley, as a Middletown Township Sewage
Enforcement Officer, failed to comply with Section 4(a)/1104(a) of the Ethics Act, 65 P.S. §
404(a)/65 Pa.C.S. §1104(a), when he failed to file Statements of Financial Interests for
calendar years 1997, 1998 and 1999 with the State Ethics Commission.
We hereby levy one civil penalty against Respondent Wayne Oakley at the rate of
Twenty -Five Dollars ($25.00) per day, for each day Respondent's Statements of Financial
Interests for calendar years 1997, 1998 and 1999 have remained delinquent. Given the
number of days during which the Statements of Financial Interests have remained
delinquent, the resultant amount to be levied against Respondent is Seven - Hundred and
Fifty Dollars ($750.00).
Respondent shall be ordered to make payment of the above civil penalty in the
amount of $750.00 within 30 days of the issuance of this adjudication and Order, by
forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
Respondent shall be ordered to file complete and accurate Statements of Financial
Interests for calendar years 1997, 1998 and 1999 with this Commission within 30 days of
the issuance of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. As a Middletown Township Sewage Enforcement Officer, Respondent Wayne
Oakley was at all times relevant to these proceedings a "public official" subject to
the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 P.S.
§ 401 et seq. /65 Pa.C.S. §1101 et seq.
2. Respondent, as a Middletown Township Sewage Enforcement Officer, failed to
comply with Section 4(a)/1104(a) of the Ethics Act, 65 P.S. § 404(a)/65 Pa.C.S.
§1104(a), when he failed to file Statements of Financial Interests for calendar years
1997, 1998 and 1999 with the State Ethics Commission.
Oakley, 01 -012 -P
November 30, 2001
Page 5
3. Notice of the delinquency of Respondent's Statements of Financial Interests for
calendar years 1997, 1998 and 1999 was previously served upon Respondent in
accordance with Section 7(5)/1107(5) of the Ethics Act, 65 P.S. § 407(5)/65 Pa.C.S.
§1107(5).
4. Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $750.00 is warranted.
IN RE: Wayne Oakley
Respondent
ORDER NO. 118 -S
File Docket: 01 -012 -P
Date Decided: 11/15/01
Date Mailed: 11/30/01
1 Wayne Oakley, as a Middletown Township Sewage Enforcement Officer, failed to
comply with Section 4(a)/1104 (a) of the Public Official and Employee Ethics Act
( "Ethics Act "), 65 P.S. § 404(a)/65 P.S. 65 Pa.C.S. §1104(a), when he failed to
file Statements of Financial Interests for calendar years 1997, 1998 and 1999
with the State Ethics Commission.
2. This Commission hereby levies one civil penalty against Respondent Wayne
Oakley at the rate of Twenty -Five Dollars ($25.00) per day for each day
Respondent's Statements of Financial Interests for calendar years 1997, 1998
and 1999 have remained delinquent, for a total civil penalty of Seven - Hundred
and Fifty Dollars ($750.00). Respondent is ordered to pay the said civil penalty
in the total amount of $750.00 within 30 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.
3. Respondent Wayne Oakley is ordered to file complete and accurate Statements
of Financial Interests for calendar years 1997, 1998 and 1999 with the State
Ethics Commission within 30 days of issuance of this Order.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
DANEEN E. REESE, CHAIR