HomeMy WebLinkAbout184-S HendersonIn Re: Bryce Henderson
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
02 -019 -P
Order No. 184 -S
9/20/04
10/1/04
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. The Findings in this Order are
quoted from the Petition for Civil Penalty(ies) filed by the Investigative Division.
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).
Henderson, 02 -019 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
216 E. Boundary Avenue, York, PA 17403.
2. At all times relevant to these proceedings, Respondent has been a former [sic]
employee of the Department of Revenue and as such Respondent has at all times
relevant to these proceedings been a "public official" [sic] as that term is defined in
Section 2 of the Ethics Law, 65 Pa.C.S. §1102.
3. Respondent as a public official [sic] 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 a Statement of Financial Interests for calendar
year 2000 with the State Ethics Commission [sic], which Statement of Financial
Interests was to be filed by May 1 of 2001, and Respondent has therefore
transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated September 27, 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 an accurate and complete Statement of Financial Interests for calendar
year 2000 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2000
so as to comply with the specific requirements of the Ethics Law. .. .
6. By Notice letter dated October 25, 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 an accurate and complete Statement of Financial Interests for calendar
year 2000 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2000
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
delinquent or deficient, for a maximum civil penalty of $250.00 per violation.
Because Respondent has committed one (1) violation alleged herein, Respondent
Henderson, 02 -019 -P
Page 3
is subject to total maximum civil penalty liability of $250.00 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 an employee of the Department of Revenue, Bryce Henderson ( "Henderson ")
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.
Pursuant to Section 1104(a) of the Ethics Act, Henderson, as a public employee,
was required to file a Statement of Financial Interests by May 1 of each year that he held
his position. In addition, Henderson, as a former public employee, was specifically
required to file a Statement of Financial Interests by May 1 of the year after he left his
public position. Specifically, Henderson, as a former public employee, was required to file
a Statement of Financial Interests for calendar year 2000 with the Department of Revenue
on or before May 1, 2001. 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 Henderson as a former employee of the
Department of Revenue 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
statement remains delinquent or deficient. The maximum penalty payable
Henderson, 02 -019 -P
Page 4
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 Henderson for each delinquent or
deficient Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Henderson 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 Henderson by
filing with the State Ethics Commission and serving upon him a Petition for Civil Penalties.
The State Ethics Commission issued an Order to Show Cause, ordering Henderson to
show cause why a civil penalty should not be levied against him.
Henderson did not file an answer to the Order to Show Cause. There is nothing of
record which would constitute a defense or excuse for Henderson's failure to comply with
the Ethics Act. Henderson has failed to show cause why a civil penalty should not be
levied against him in this matter.
We find that Henderson, as a former employee of the Department of Revenue,
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 2000 with the Department
of Revenue.
We hereby levy one civil penalty against Henderson at the rate of Twenty -Five
Dollars ($25.00) per day, for each day his Statement of Financial Interests for calendar
year 2000 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 Henderson is Two - Hundred and Fifty Dollars ($250.00).
Henderson shall be ordered to make payment of the above civil penalty in the
amount of $250.00 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.
Henderson shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2000 with the Department of Revenue, and to forward a time -
stamped copy of the same to the State Ethics Commission for verification purposes within
30 days of the issuance of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. As an employee of the Department of Revenue, Bryce Henderson ( "Henderson ")
was a "public employee" subject to the provisions of the Ethics Act, 65 Pa.C.S.
§1101 et seq.
2. Henderson, as a former employee of the Department of Revenue, 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 2000 with the Department of
Revenue.
3. Notice of the delinquency of Henderson's Statement of Financial Interests for
calendar year 2000 was previously served upon him in accordance with Section
1107(5) of the Ethics Act, 65 Pa.C.S. §1107(5).
Henderson, 02 -019 -P
Page 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: Bryce Henderson
Respondent
File Docket: 02 -019 -P
Date Decided: 9/20/04
Date Mailed: 10/1/04
ORDER NO. 184 -S
1 Bryce Henderson ( "Henderson "), as a former employee of the Department of
Revenue, 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 2000 with the Department of Revenue.
2. This Commission hereby levies one civil penalty against Henderson at the rate of
Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2000 has remained delinquent, for a total civil penalty of
Two - Hundred and Fifty Dollars ($250.00). Henderson is ordered to pay the said
civil penalty in the total amount of $250.00 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. Henderson is ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2000 with the Department of Revenue, and to forward a
time - stamped copy of the same to the State Ethics Commission for verification
purposes within 30 days of the issuance of this adjudication and Order.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair
NOTE: Order 184 -S was vacated by the Commission by order of March 1, 2005,
based upon Commission Resolution 03 -001 providing for the deferral of
enforcement procedures as to the filing of Statements of Financial Interests by
persons on active service with a branch of the United States military during
wartime or post -war activities.