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In Re: Louis Scarfo, Jr., : File Docket: 11-006-P
Respondent : X-ref: Order No. 382-S
: Date Decided: 6/23/11
: Date Mailed: 6/27/11
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Raquel K. Bergen
Nicholas A. Colafella
Mark Volk
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 1104 and 1105 of the Public Official and Employee Ethics Act
("Ethics Act"), 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. An Order to Show
Cause was issued to Respondent. A Stipulation of Findings and a Consent Agreement
waiving an evidentiary hearing were subsequently submitted by the parties to the
Commission for consideration. The Stipulated Findings are set forth as the Findings in this
Order. The Consent Agreement has been approved.
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
P.O. Box 5204, West Chester, Pennsylvania 19380.
2. At all times relevant to these proceedings, Respondent has been a State Constable
and as such, Respondent has at all times relevant to these proceedings been a
“public official” as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent, as a public official, 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 2009 with the State Ethics Commission, which Statement of Financial Interests
was to be filed by May 1 of 2010, and Respondent has therefore transgressed
Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated December 23, 2010, 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
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by filing an accurate and complete Statement of Financial Interests for calendar
year 2009 within twenty (20) days of the date of the Notice Letter. Respondent has
failed and/or otherwise refused to file a Statement of Financial Interests for calendar
year 2009 so as to comply with the specific requirements of the Ethics Act.
6. By Notice Letter dated February 25, 2011, 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 civil penalty proceedings by
filing an accurate and complete Statement of Financial Interests for calendar year
2009 so as to comply with the specific requirements of the Ethics Act.
7. Respondent was previously the subject of a Petition for Civil Penalties, regarding a
failure to file his 2008 Statement of Financial Interests, which was subsequently
withdrawn prior to the Commission issuing an Order.
II. DISCUSSION:
As a Constable, Louis Scarfo, Jr., (“Scarfo”) 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, Scarfo was specifically required to file
a Statement of Financial Interests for calendar year 2009 with the State Ethics Commission
on or before May 1, 2010. 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 Scarfo as a Constable 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
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Page 3
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 Scarfo for the delinquent Statement
of Financial Interests for calendar year 2009.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Scarfo 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 Scarfo by filing
with the State Ethics Commission and serving upon Scarfo a Petition for Civil Penalty. The
Commission Chair issued an Order to Show Cause, ordering Scarfo to show cause why a
civil penalty should not be levied against him. The parties then filed a Stipulation of
Findings and Consent Agreement.
The parties propose that this case be resolved by: (1) this Commission finding that
Scarfo failed to timely file his Statement of Financial Interests for the 2009 calendar year in
compliance with Section 1104(a) of the Ethics Act; and (2) Scarfo making payment of a
civil penalty in the amount of $250.00 in settlement of this matter, payable to the
Commonwealth of Pennsylvania and forwarded to this Commission upon execution of the
Consent Agreement.
We believe that the Consent Agreement is the proper disposition for this case,
based upon our review of the totality of the facts and circumstances. Accordingly, we
approve the Consent Agreement that has been submitted by the parties.
We take administrative notice that Scarfo has made payment of a civil penalty in the
amount of $250.00 through this Commission to the Commonwealth of Pennsylvania, as per
the Consent Agreement of the parties.
We hereby find that Scarfo, as a Constable, failed to timely file his Statement of
Financial Interests for the 2009 calendar year in compliance with Section 1104(a) of the
Ethics Act.
Scarfo shall be ordered to file a complete and accurate Statement of Financial
th
Interests for calendar year 2009 with this Commission by no later than the thirtieth (30)
day after the mailing date of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. Louis Scarfo, Jr., (“Scarfo”), as a Constable, 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. Scarfo, as a Constable, failed to timely file his Statement of Financial Interests for
the 2009 calendar year in compliance with Section 1104(a) of the Ethics Act, 65
Pa.C.S. § 1104(a).
3. Notice of the delinquency of Scarfo’s Statement of Financial Interests for calendar
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Page 4
year 2009was 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
amount of $250.00 is warranted.
In Re: Louis Scarfo, Jr., : File Docket: 11-006-P
Respondent : Date Decided: 6/23/11
: Date Mailed: 6/27/11
ORDER NO. 382-S
1. Louis Scarfo, Jr., (“Scarfo”), as a Constable, failed to timely file his Statement of
Financial Interests for the 2009 calendar year in compliance with Section 1104(a) of
the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a).
2. Scarfo is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2009 with the Pennsylvania State Ethics Commission by no later
th
than the thirtieth (30) day after the mailing date of this Order.
3. Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
______________________
Louis W. Fryman, Chair