Decision  In the Matter of Patrick Ryan

Date:	01/12/1983
Organization:	State Ethics Commission
Docket Number:	174

• Appearance for Petitioner: Stephen P. Fauteux, Esq.
• Appearance for Respondent: Patrick Ryan, Esq.: pro se
• Commissioners: Vorenberg, Ch.; Brickman, McLaughlin, Mulligan.

I. Procedural History

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The Petitioner filed an Order to Show Cause on September 30,1982 alleging that the Respondent, Patrick Ryan, had violated M.G.L. c. 268B, s.5[1] by failing to file his Statement of Financial Interests for 1981 (Statement) within ten days of receiving from the Commission a Formal Notice of Delinquency. 

Pursuant to notice, an adjudicatory hearing was conducted on November 23, 1982 before Commissioner David Brickman, a duly designated presiding officer. See, M.G.L. c. 268B, s.4(c). The parties waived the filing of post-hearing briefs and oral argument before the full Commission. In rendering this Decision and Order, each participating member of the Commission has considered the evidence and arguments presented by the parties.

II. Findings of Fact

1. The Respondent, Patrick Ryan, served as the executive assistant to the Suffolk County Sheriff until August, 1981.

2. In December, 1981 the Respondent was designated by the Suffolk County Sheriff as a person in a "major policy-making position" for the year 1981 and was required to file a Statement for 1981 on or before May 1, 1982.

3. The Respondent failed to file his 1981 Statement by May 1, 1982.

4. On or about May 25, 1982, the Respondent received from the Commission a Formal Notice of Delinquency (Notice) requiring him to file his Statement within ten days of receipt of the Notice.

5. The Respondent failed to file his 1981 Statement within ten days of receipt of the Notice.

6. The Commission initiated a preliminary inquiry on June 16, 1982 and thereafter authorized the initiation of adjudicatory proceedings.

7. The Respondent filed his 1981 Statement on August 3, 1982, approximately seven weeks after the expiration of the ten- day period contained in the Notice.

8. The Respondent explained to the Commission that his failure to file a timely Statement was due to negligence and inattentiveness and his preoccupation in setting up a law practice.

III. Decision

The failure of a reporting person to file a Statement within ten days after receiving a notice of delinquency constitutes a violation of M.G.L. c. 268B, s.5. The elements necessary to establish a G.L. c. 268B, s.5 violation are that: (1) the subject was a public employee (as defined by the statute) during the year in question; (2) the subject was notified in writing of his delinquency and the possible penalties for failure to file a statement; (3) the subject did not file a statement within ten days of receiving notice. Inasmuch as the Respondent conceded at the adjudicatory hearing that he had violated M.G.L. c. 268B, the Commission concludes that the Respondent violated M.G.L. c. 268B, s.5 by failing to file his 1981 Statement within ten days of receiving a Notice from the Commission. 

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IV. Sanction

Under G.L. c. 268B, s.4(d), the Commission may order an individual who violates G.L. c. 268B to pay a civil penalty of not more than $1,000 for each violation.[2] The Commission has customarily assessed a civil fine of $250 in cases where an individual files a Statement following the initiation of a preliminary inquiry but prior to the conclusion of the inquiry.[3] While the Commission does retain the discretion to adjust a civil penalty in recognition of mitigating circumstances, none of the factors warranting mitigation are present in this case. In particular, the Respondent did not demonstrate a serious, good faith effort to comply as expeditiously and fully as possible after being put on notice of the filing requirement. Compare, In the Matter of David Kopelman, Commission Adjudicatory Docket No. 173 Decision and Order January 12,1983).

V. Order

On the basis of the foregoing, the Commission concludes that Patrick Ryan violated M.G.L. c. 268B, s.5. Pursuant to the authority granted it by M.G.L. c. 268B, s.4(d), the Commission here-by orders Mr. Ryan to pay a civil penalty of $250.

[1] G.L. c. 268B. s.5 states in relevant part: (c) Every public employee shall file a statement of financial interests for the preceding calendar year with the commission within ten days after becoming a public employee, on or before May first of each year thereafter that such person is a public employee and on or before May first of the year after such person ceases to be a public employee...  Failure of a reporting person to file a statement of financial interests within ten days after receiving notice as provided in clause of section 1 of this chapter, or of the filing of an incomplete statement of financial interests after receipt of such a notice, is a violation of this chapter and the commission may initiate appropriate proceedings pursuant to the provisions of section 4 of this chapter. 

[2] The maximum civil penalty has recently been increased to $2,000. See, St. 1982. c. 612. s.16. effective March 29, 1983. 

[3] See, Minutes of Commission Meeting. April 7,1980.