HomeMy WebLinkAbout124-S RuffnerIN RE: Edward Ruffner
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
01 -043 -P
Order No. 124 -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 1104 and 1105 of the Public Official and Employee Ethics Act
( "Ethics Act "), 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 waived. The record is complete. A Consent Agreement was submitted by
the parties to the Commission for consideration which was subsequently approved.
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).
Ruffner, 01 -043 —P
November 30, 2001
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
P.O. Box 275, Indiana, PA 15701.
2. At all times relevant to these proceedings, Respondent has been a Member of the
Indiana County Board of Assistance 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 Pa.C.S. §1102.
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) 1999 with the State Ethics Commission, which Statements of Financial
Interests were to be filed by May 1 of 2000, and Respondent has therefore
transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated October 25, 2000, 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) 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)
1999 so as to comply with the specific requirements of the Ethics Law.
6. By Notice letter dated March 30, 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) 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)
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 Pa.C.S. §1109(f).
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 9(f) of the Ethics Law, 65 Pa. C.S. §1109(f) at a rate of not
more than $25.00 per day for each day the Statement of Financial Interests remains
Ruffner, 01 -043 —P
November 30, 2001
Page 3
delinquent or deficient, for a maximum civil penalty of $250.00 per violation.
Because Respondent has committed one (1) violation alleged herein, Respondent
is subject to total maximum civil penalty liability of $250.00 for said violation.
9. The mitigating circumstances in this matter are that Respondent did not understand
that he had to complete forms as he is not compensated for his service, and
therefore, Respondent should not be assessed the maximum civil penalty of
$250.00 for the violation, but rather instructed to file the deficient Statement of
Financial Interests and be assessed a penalty of $50.00.
II. DISCUSSION:
As a member of the Indiana County Board of Assistance, Edward Ruffner 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 Pa.C.S. §1101, et seq.
Pursuant to Section 1104(a) of the Ethics Act, Respondent was specifically required
to file a Statement of Financial Interests for calendar year 1999 with Indiana County on or
before May 1, 2000. Section 1104(a) provides:
§1104. 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 Pa.C.S. §1104(a).
The complete financial disclosure which Respondent, as a member of the Indiana
County Board of Assistance, was required to provide in the Statement of Financial
Interests form is statutorily mandated in detail at Section 1105 of the Ethics Act, 65 Pa.C.S.
§1105.
Section 1109(f) of the Ethics Act provides as follows:
§1109. 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
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
Ruffner, 01 -043 —P
November 30, 2001
Page 4
statement remains delinquent or deficient. The maximum penalty payable
under this paragraph is $250.
65 Pa.C.S. §1109(f).
An application of Section 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 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.
The parties propose that this case be resolved by this Commission: (1) finding that
Respondent, as a member of the Indiana County Board of Assistance, failed to comply with
Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file a Statement of
Financial Interests for calendar year 1999; (2) levying a civil penalty against Respondent in
the amount of $50.00, payable to the Commonwealth of Pennsylvania through this
Commission; and (3) directing Respondent to file a Statement of Financial Interests for
calendar year 1999 with the State Ethics Commission.
We take administrative notice that Ruffner has made payment of a civil penalty in
the amount of $50.00 and has filed a Statement of Financial Interests for calendar year
1999 on November 13, 2001.
We believe that the Consent Agreement is the proper disposition for this case,
based upon our review of the totality of the facts and circumstances. Accordingly, we
approve the Consent Agreement that has been submitted by the parties.
We hereby find that Edward Ruffner, as a member of the Indiana County Board of
Assistance, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when
he failed to file a Statement of Financial Interests for calendar year 1999 as a member of
the Indiana County Board of Assistance. In that Respondent has made payment of a civil
penalty in the amount of $50.00 in accordance with the Consent Agreement of the parties,
and has filed a Statement of Financial Interests for calendar year 1999 on November 13,
2001, this case is closed.
III. CONCLUSIONS OF LAW:
1. As a member of the Indiana County Board of Assistance, Respondent was at all
times relevant to these proceedings a "public official" subject to the provisions of
the Ethics Act, 65 Pa.C.S. §1101 et seq.
2. Respondent, as a member of the Indiana County Board of Assistance, failed to
comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file
a Statement of Financial Interests for calendar year 1999 as a member of the
Indiana County Board of Assistance.
3. Notice of the delinquency of Respondent's Statement of Financial Interests for
calendar year 1999 was previously served upon Respondent in accordance with
Section 1107(5) of the Ethics Act, 65 Pa.C.S. §1107(5).
Ruffner, 01 -043 —P
November 30, 2001
Page 5
4. Based upon the totality of the circumstances in this case, a civil penalty in the
amount of $50.00 is warranted.
IN RE: Edward Ruffner
Respondent
ORDER NO. 124 -S
File Docket: 01 -043 -P
Date Decided: 11/15/01
Date Mailed: 11/30/01
1 Edward Ruffner, as a member of the Indiana County Board of Assistance, failed to
comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file
a Statement of Financial Interests for calendar year 1999 as a member of the
Indiana County Board of Assistance.
2. In that Respondent filed a Statement of Financial Interests for calendar year 1999
on November 13, 2001 and paid a civil penalty in the amount of $50.00 through this
Commission to the Commonwealth of Pennsylvania, no further action is required in
this case and this case is closed.
BY THE COMMISSION,
Daneen E. Reese, Chair