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In Re: John. Johnson,
Respondent
sTArE UHIGS COMMISSION
FINANCE BUILDING
613 NOR- I-i STREET, ROOtM w309
HARRISBURG, PA 17120-0400
File Docket:
Order No.
Date Decided:
Date Mailed:
22-047-P
757-S
4/12/23
4/14/23
Before: Shelley Y. Simms, Chair
Michael A. Schwartz, Vice Chair
Rhonda Hill Wilson
Paul E. Parsells
David L, Reddecliff
Robert P. Caruso
FACSIMILE: 717-787-080( 6
WEBSITE: .a v
This is a final a4judication of the Pennsylvania 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 11.05 of the Public Official and Employee Ethics Act ("Ethics Act"), 65
Pa.C.S. § 1101 et 5eq.
The Investigative Division initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent an Order to Show Cause and a Petition for Civil
Penalties. An Answer was not filed by the Respondent, and a hearing was deemed waived, A
Motion to Deem Facts Admitted and Enter Default was filed. The Motion was granted, The record
is complete. The Findings in this Order are derived from the Order to Show Cause and Petition
for Civil Penalties filed by the Investigative Division.
1. FINDINGS:
Respondent is an adult individual who resides or maintains a mailing address at [address
redacted].
2. Respondent is a Nurse Manager I with the Pennsylvania Department of Military and
Veterans Affairs, and as such, Respondent has at all times relevant to these proceedings
been a "public official" or "public employee" as defined in Section 1102 of the Ethics Act,
65 Pa.C.S. § 1102.
3. Respondent as a public official or public employee is subject to the Statement of Financial
Interests filing provisions of the Ethics Act.
Johnson,22-047-P
Page 2
COUNT ONE
4. Paragraphs 1 through 3 are incorporated by reference.
5. Section 1104 of the Ethics Act requires all public officials and public employees to file a
Statement of Financial Interests by no later than May 1 of each year that the public official
or public employee holds such position and the year after they leave such position. 65
Pa.C.S. § 1104.
6. Section 1105 of the Ethics Act lists the information required to be included on the
Statement of Financial Interests. 65 Pa.C.S. § 1105.
7. Respondent has failed to provide full financial disclosure as required by the Ethics Act.
Specifically, Respondent has failed to file a Statement of Financial Interests for calendar
year 2021, which Statement of Financial Interests was to be filed by May 1 of 2022, and
Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65
Pa.C.S. §§ 1104, 1105.
8. By Notice letter dated August 12, 2022, Respondent was served with Notice in accordance
with Section 1107(5) of the Ethics Act of the specific allegations against Respondent
concerning the above transgression. 65 Pa.C.S. § 1107.
9. Said Notice letter provided Respondent an opportunity to avoid the institution of these civil
penalty proceedings by filing an accurate and complete Statement of Financial Interests for
calendar year 2021 within twenty (20) days of the date of the Notice letter.
10. Respondent failed to file a Statement of Financial Interests for calendar year 2021 within
twenty (20) days of the date of the Notice letter so as to comply with the specific
requirements of the Ethics Act.
11. By letter dated September 2, 2022, Respondent was served with a second correspondence
titled "Final Notice" of the specific allegations against Respondent concerning the above
transgression.
12. Said second correspondence titled "Final Notice" again provided Respondent an
opportunity to avoid the institution of these civil penalty proceedings by filing an accurate
and complete Statement of Financial Interests for calendar year 2021 within twenty (20)
days of the date of the second correspondence titled "Final Notice."
13. Respondent has failed and refused to file a Statement of Financial Interests for calendar
year 2021 so as to comply with the specific requirements of the Ethics Act.
PENALTIES
14, Section 1109(f) of the Ethics Act provides:
Johnson, 22-047-P
Page 3
§ 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
statement remains delinquent or deficient. The maximum
penalty payable under this paragraph is $250.
65 Pa.C.S. § 1109(f).
15. For each violation the Commission finds, Respondent is subject to civil penalty liability
under Section 1109(f) of the Ethics Act, 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 delinquent or
deficient, for a maximum civil penalty of $250.00 per violation.
16. Because Respondent has committed one violation alleged herein, Respondent is subject to
total maximum civil penalty liability of $250.00.
17. There are no mitigating circumstances and Respondent should be assessed the maximum
civil penalty of $250.00, in that the twenty -day deadline set forth in the second
correspondence titled "Final Notice" to Respondent has expired and the Respondent has
not complied.
II. DISCUSSION:
As a Nurse Manager 1 with the Pennsylvania Department of Military and Veterans Affairs
("Department of Military and Veterans Affairs"), John Johnson ("Johnson") was at all times
relevant to these proceedings a "public employee" subject to the provisions of the Public Official
and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et 5eMc .
Pursuant to Section 1104(a) of the Ethics Act, Johnson was specifically required to file a
Statement of Financial Interests for calendar year 2021 with the Department of Military and
Veterans Affairs or before May 1, 2022. 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
Johnson,22-047-P
Page 4
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 Johnson as a Nurse Manager 1 with the
Department of Military and Veterans Affairs 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 I I09(f) of the Ethics Act provides as follows:
§ 1109. Penalties
(£) 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 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 Johnson for the delinquent Statement of
Financial Interests for calendar year 2021.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied.
Johnson 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 Johnson by filing with the State Ethics Commission and serving upon
Johnson an Order to Show Cause and Petition for Civil Penalties, ordering Johnson to show cause
why a civil penalty should not be levied against him. Johnson did not file an answer to the Order
to Show Cause. A default judgment was entered against Johnson. There is nothing of record that
would constitute a defense or excuse for Johnson's failure to comply with the Ethics Act. Johnson
Johnson,22-047-P
Page 5
has failed to show cause why a civil penalty should not be levied against him in this matter.
We find that Johnson, as a Nurse Manager I with the Department of Military and Veterans
Affairs, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he
failed to file a Statement of Financial Interests for calendar year 2021 with the Department of
Military and Veterans Affairs.
We hereby levy one maximum civil penalty against Johnson at the rate of Twenty -Five
Dollars ($25.00) per day for each day the Statement of Financial Interests for calendar year 2021
has remained delinquent. Given the number of days during which the Statement of Financial
Interests has remained delinquent, the resultant amount to be levied against Johnson is Two
Hundred and Fifty Dollars ($250.00).
Johnson shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (301h) day after the mailing date 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.
Johnson shall be ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2021 with the Department of Military and Veterans Affairs by no later than the
thirtieth (30"') day after the mailing date of this adjudication and Order, with one copy forwarded
to this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. John Johnson ("Johnson"), as an Nurse Manager 1 with the Pennsylvania Department of
Military and Veterans Affairs ("Department of Military and Veterans Affairs"), was at all
times relevant to these proceedings a "public employee" subject to the provisions of the
Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seq.
2. Johnson, as a Nurse Manager 1 with the Department of Military and Veterans Affairs,
failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he
failed to file a Statement of Financial interests for calendar year 2021 with the Department
of Military and Veterans Affairs.
3. Notice of the delinquency of Johnson's Statement of Financial Interests for calendar year
2021 was previously served upon him in accordance with Section 1107(5) of the Ethics
Act, 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 $250.00 is warranted.
In Re: John Johnson, File Docket: 22-047-P
Respondent Date Decided: 4/12/23
Date Mailed: 4/14/23
ORDER NO. 757-S
John Johnson ("Johnson"), as a Nurse Manager 1 with the Pennsylvania Department of
Military and Veterans Affairs ("Department of Military and Veterans Affairs"), failed to
comply with Section 1104(a) of the Public Official and Employee Ethics Act ("Ethics
Act"), 65 Pa.C.S. § 1104(a), when he failed to file a Statement of Financial Interests for
calendar year 2021 with the Department of Military and Veterans Affairs.
2. This Commission hereby levies one maximum civil penalty against Johnson at the rate of
Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial Interests for
calendar year 2021 has remained delinquent, for a total civil penalty of Two Hundred and
Fifty Dollars ($250.00), Johnson is ordered to pay said civil penalty in the total amount of
$250.00 by no later than the thirtieth (30th) day after the mailing date of this Order, by
forwarding a check to the Pennsylvania State Ethics Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Johnson is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2021 with the Department of Military and Veterans Affairs by no later than
the thirtieth (30th) day after the mailing date of this Order, with one copy forwarded to the
Pennsylvania State Ethics Commission for compliance verification put -poses.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
8
Shelley Y. S s, Chair