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In Re: Tony Payton,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 171200400
File Docket:
X-ref:
Date Decided,
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: www,ethics.pa.gov
19-025-P
Order No. 645-S
9/26/19
10/18/19
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication 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 1105 of the. Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa.C.S. § 1101 et seg.
The Investigative Division initiated these proceedings bv filing with the State Ethics
Commission and serving upon Respondent a Petition for Civil Penalties. An Order to Show
Cause was issued to Respondent. An Answer was not filed byy the Respondent, and a
hearing was deemed waived. The record is complete. The Findings in this Order are
derived from the Petition for Civil Penalties filed by the Investigative Division.
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
[address redacted],
2. At all times relevant to these proceedings, Respondent has been the Deputy
Secretary of Community Affairs with the Pennsylvania Department of Community
and Economic Development, and as such, Respondent has at all times relevant to
these proceedings been a "public official/public employee" as defined in Section
1102 of the Ethics Act, 65 Pa. C. & § 1102.
3. Respondent as a public official/public employee is subject to the Statement of
Financial Interests filing provisions of the Ethics Act,
4, Respondent has failed to provide full financial disclosure as required by the Ethics
Act, Respondent has failed to file a Statement of Financial Interests for calendar
year 2017, which Statement of Financial Interests was to be filed b May 1 of 2018,
and Res ondent has therefore transgressed Sections 1104 and 1105 of the Ethics
Act, 65 �a,C,S. §§ 1104, 1105,
5. By Notice letter dated December 5, 2018, 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. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
b� filing an accurate and completeStatement of Financial Interests for calendar year
2017 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 2017 so as to
comply with the specific requirements of the Ethics Act.
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By Notice letter dated February 5, 2019, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Tlctof 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
b6 filingan accurate and complete Statement of Financial Interests for calendar year
2017 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 year2017 so as to
comply with the specific requirements of the Ethics Act.
Section 11 09(f) of the Ethics Act provides:
§ 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. § 11 09(f).
For each violation the Commission finds, Respondent is subject to civil penalty
liabilityunder Section 11 09(f) of the Ethics Act, 65 Pa.C.S. § 1109P, at a rate of not
more han $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 violation alleged herein, Respondent is
subject to total maximum civil penalty liability of $250.00.
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
said final Notice letter to Respondent has expired and the Respondent has not
complied.
11. DISCUSSION:
As the Deputy Secretary of CommunityAffairs for the Pennsylvania Department of
Community and Economic Development ('"Department of Community and Economic
Development"')- Tony Payton ("Payton") was at all times relevant to these proceedings a
Iublic employee"" subject to the provisions of the Public Official and
Employee Ethics Act (""Ethics Act"), 65 Pa.C.S.
§ 1101 etgLeg.
Pursuant to Section 1 104(a) of the Ethics Act, Payton was specificallyrequired to file
a Statement of Financial Interests for calendar year 2017 with the epartment of
Community and Economic Development on or before May 1, 2018. 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
Payton, 19-0�25-P
1:375ge 3
calendar year with the commission no later than May I 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 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 Payton as the Deputy Secretary of
Community Affairs for the Department of Community and Economic Development 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 11 09(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 sub ect 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. § 11 09(o.
An application of Section 11 09(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penal against Payton for the delinquent Statement
of Financial Interests for calendar year 20.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Payton 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 Payton by filing with the State Ethics
Commission and serving upon Nyton a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Payton to show cause wh a civilpenalty should
not be levied against him. Payton did not file an answer to the 9rder to Show Cause.
There is nothing of record that would constitute a defense or excuse for Payton's failure to
comply with the Ethics Act. Payton has failed to show cause why a civil penalty should not
be levied against him in this matter.
We find that Payton, as the Deputy Secretary of Community Affairs for the
De
partment of Community and Economic Development, failed to comply with Section
11 4(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to file a Statement of
Financial Interests for calendar year 2017 with the Department of Community and
Economic Development.
Paii ito7n, 19-025-P
P a
We hereby levy one maximum civilpenalty against Payton at the rate of Twenty -Five
Dollars ($25,00) per clay for each day his tatement of Financial Interests for calendar year
2017 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
Payton is Two Hundred and Fifty Dollars ($250.00).
Payton shall be ordered to make pa ment of the above civil enalin the amount of
$250.00 by no later than the thirtieth (301h� day after the mailing Jate 0 this adjudication
and Order, by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
Payton shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar ear 2017 with the Department of Community and Economic
( th
Development by no layer than the thirtieth ( 0 ) day after the mailing date of this
adjudication and Order, with one copy forwarded to this Commission for compliance
verification purposes.
Ill. CONCLUSIONS OF LAW:
Tony Payton Payton"), as the Deputy Secretary of Community Affairs for the
Pennsylvania ("'Payton"),
of Community and Economic Development, was at all
times relevant to these proceedings a "public official/public employee"subecttothe
provisions of the Public Official and Employee Ethics Act ("Ethics ct") , 65 Oa. C. S. §
1101 et seq.
Payton, as the Deputy Secrets of Community Affairs for the Pennsylvania
ry
Department of Community and Economic Development, failed to comply with
Section 1104( of the Ethics Act, 65 Pa.C.S. § 11048N, when he failed to file a
Statement of(Financial Interests for calendar year 2 7 with the Pennsylvania
Department of Community and Economic Development.
Notice of the delinquener of Payton's Statement of Financial Interests for calendar
�year 2017 was previously served upon him in accordance with Section 1107(5) of
Ihe Ethics Act, 65 Pa. C. S. § 1107(5).
Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250.00 is warranted.
In Re: Tony Payton, File Docket, 19-025-P
Respondent Date Decided: 9/26/19
Date Mailed: 10/18/19
Tony Payton Payton"), as the Deputy Secretary of Community Affairs for the
Pennsylvania ("Payton"),
of Community and Economic Development, failed to
compl�with Section 1104(a) of the Public Official and Employee Ethics Act: ("Ethics
Act"), 5 Pa.C.S. § 1104(a), when he failed to file a Statement of Financial Interests
for calendar year 2017 with the Pennsylvania Department of Community and
Economic Development.
This Commission hereby levies one maximum civil penalty aginst Payton at the
rate of Twenty -Five Dollars ($25.00) per day for each day his S atement of Financial
Interests for calendar year 2017 has remained delinquent, for a total civil penalty of
Two Hundred and Fifty Dollars P250.0P ton is ordered to pay said civil penalty
Pa
the thirtieth (301h) day after the
in the total amount of $250.0 by no Eater h
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. Payton is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2017 with he Pennsylvania Department of Community and
Economic Development by no later than the thirtieth (3Oth) day after the mailing date
of this Order, with one copy forwarded to the Pennsylvania State Ethics Commission
for compliance verification purposes.
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, /7
MMIMPNTIVE79 15.0 IF -Well