HomeMy WebLinkAbout238-S LeseIn Re: Alexander Lese
File Docket: 05 -006 -P
X -ref: Order No. 238 -S
Date Decided: 12/12/05
Date Mailed: 12/23/05
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
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).
Lese, 05-006
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
5435 Library Road, Bethel Park, PA 15102.
2. At all times relevant to these proceedings, Respondent has been a Member of the
Council of Trustees of California University of Pennsylvania of the State System of
Higher Education 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) 2002 with the State Ethics Commission [and California University of
Pennsylvania], which Statements of Financial Interests were to be filed by May 1 of
2003, and Respondent has therefore transgressed Sections 4 and 5 of the Ethics
Law, 65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated February 6, 2004, 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) 2002 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)
2002 so as to comply with the specific requirements of the Ethics Law. .. .
6. By Notice letter dated April 1, 2004, 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) 2002 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)
2002 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
Lese, 05-006
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. 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 Member of the Council of Trustees of California University of Pennsylvania of
the State System of Higher Education, Alexander Lese ( "Lese ") 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, Lese was specifically required to file
a Statement of Financial Interests for calendar year 2002 with the State Ethics Commission
and California University of Pennsylvania on or before May 1, 2003. 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 Lese 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
Lese, 05-006
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 Lese for each delinquent or deficient
Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Lese 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 Lese by filing
with the State Ethics Commission and serving upon Lese a Petition for Civil Penalties.
The State Ethics Commission issued an Order to Show Cause, ordering Lese to show
cause why a civil penalty should not be levied against him.
Lese did not file an answer to the Order to Show Cause. There is nothing of record
that would constitute a defense or excuse for Lese's failure to comply with the Ethics Act.
Lese has failed to show cause why a civil penalty should not be levied against him in this
matter.
We find that Lese, as a Member of the Council of Trustees of California University
of Pennsylvania of the State System of Higher Education, 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 2002 with the State Ethics Commission and California
University of Pennsylvania.
We hereby levy one civil penalty against Lese at the rate of Twenty -Five Dollars
($25.00) per day, for each day his Statement of Financial Interests for calendar year 2002
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
Lese is Two - Hundred and Fifty Dollars ($250.00).
Lese shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30) day after the mailing date of this Order, by
forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
Lese shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2002 with the State Ethics Commission and California
University of Pennsylvania within 30 days of the issuance of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. Alexander Lese ( "Lese "), as a Member of the Council of Trustees of California
University of Pennsylvania of the State System of Higher Education, 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.
2. Lese 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 2002 with
the State Ethics Commission and California University of Pennsylvania.
3. Notice of the delinquency of Lese's Statement of Financial Interests for calendar
year 2002 was previously served upon him in accordance with Section 1107(5) of
the Ethics Act, 65 Pa.C.S. §1107(5).
Lese, 05-006
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: Alexander Lese
Respondent
File Docket: 05 -006 -P
Date Decided: 12/12/05
Date Mailed: 12/23/05
ORDER NO. 238 -S
1 Alexander Lese ( "Lese "), as a Member of the Council of Trustees of California
University of Pennsylvania of the State System of Higher Education, 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 2002 with the State Ethics Commission and California University
of Pennsylvania.
2. This Commission hereby levies one civil penalty against Lese at the rate of Twenty -
Five Dollars ($25.00) per day for each day his Statement of Financial Interests for
calendar year 2002 has remained delinquent, for a total civil penalty of Two -
Hundred and Fifty Dollars ($250.00). Lese is ordered to pay the said civil penalty in
the total amount of $250.00 by no later than the thirtieth (30 day after the mailing
date of this Order, by forwarding a check to this Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Lese is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2002 with the State Ethics Commission and California University of
Pennsylvania 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