HomeMy WebLinkAbout517-S SerfassSTATE ETHICS COMMISSION
309 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
In Re: Johnathan Serfass, File Docket:
Respondent X -ref:
Date Decided
Date Mailed:
16 -055 -P
Order No. 517 -S
10/20/16
1113116
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
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 Penalties. 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
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 an Automotive
Mechanic Supervisor with the Pennsylvania Department of Transportation, and as
such, Respondent has at all times relevant to these proceedings been a "public
employee' as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent as a 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 2014, which Statement of Financial Interests was to be filed by May 1 of 2015,
and Respondent has therefore transgressed Sections 1104 and 1 105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated September 14, 2015, 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
by filing an accurate and complete Statement of Financial Interests for calendar
year 2014 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 2014
so as to comply with the specific requirements of the Ethics Act.
By Notice letter dated March 4, 2016, 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
P.O. BOX 11470, HARRISBURG, PA 17108 -1470 • 717- 783 -1610 • 1 -800- 932 -0936 • www.ethics.state.pa.us
Serfass, 16 -055 -P
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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 2014 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 2014
so as to comply with the specific requirements of the Ethics Act.
Section 1109(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. § 1109(f).
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 1109(f) of the Ethics Act, 65 Pa.C.S. § 11091f), 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 violation alleged herein, Respondent is
subject to total maximum civil penalty liability of $250.00.
9. 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 an Automotive Mechanic Supervisor for the Pennsylvania Department of
Transportation ( "PennDOT "), Johnathan Serfass ( "Serfass ") was at all times relevant to
these proceedings a " ublic employee" subject to the provisions of the Public Official and
Employee Ethics Act 'Ethics Act"), 65 Pa.C.S. § 1 101 et seq.
Pursuant to Section 1104(a) of the Ethics Act, Serfass was specifically required to
file a Statement of Financial Interests for calendar year 2014 with PennDOT on or before
May 1, 2015. 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
Serfass, 16 -055 -P
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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 Serfass as an Automotive Mechanic
Supervisor for PennDOT 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
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 Serfass for the delinquent Statement
of Financial Interests for calendar year 2014.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Serfass 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 Serfass by filing with the State Ethics
Commission and serving upon Serfass a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Serfass to show cause why a civil penalty
should not be levied against him. Serfass did not file an answer to the Order to Show
Cause. There is nothing of record that would constitute a defense or excuse for Serfass's
failure to comply with the Ethics Act. Serfass has failed to show cause why a civil penalty
should not be levied against him in this matter.
We find that Serfass, as an Automotive Mechanic Supervisor for PennDOT, 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 2014 with PennDOT.
We hereby levy one maximum civil penalty against Serfass at the rate of Twenty -
Five Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar
year 2014 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
Serfass is Two Hundred and Fifty Dollars ($250.00).
Serfass shall be ordered to make p men t 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 adjudication
and Order by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
Serfass, 16 -055 -P
a4
Serfass shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2014 with PennDOT by no later than the thirtieth (30t) 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:
1. Johnathan Serfass ( "Serfass "), as an Automotive Mechanic Supervisor for the
Pennsylvania Department of Transportation, 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 seg.
Serfass, as an Automotive Mechanic Supervisorfor the Pennsylvania Department of
Transportation, 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
2014 with the Pennsylvania Department of Transportation.
Notice of the delinquency of Serfass's Statement of Financial Interests for calendar
year 2014 was 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 total
amount of $250.00 is warranted.
In Re: Johnathan Serfass,
Respondent
File Docket: 16 -055 -P
Date Decided: 10/20/16
Date Mailed: 1113116
ORDER NO. 517 -S
1. Johnathan Serfass ( "Serfass "), as an Automotive Mechanic Supervisor for the
Pennsylvania Department of Transportation, 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 2014 with
the Pennsylvania Department of Transportation.
This Commission hereby levies one maximum civil penalty against Serfass at the
rate of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2014 has remained delinquent, for a total civil penalty.of
Two Hundred and Fifty Dollars ($250.00). Serfass is ordered to pjy 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 the State Ethics
Commission made payable to the Commonwealth of Pennsylvania, for deposit in
the State Treasury.
3. Serfass is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2014 with the Pennsylvania Department of Transportation by no
later than the thirtieth (30t ) day after the mailing date of this Order, with one copy
forwarded to the State Ethics Commission for compliance verification purposes.
Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
a
Nicholas A. ola a Ila, Chair ,,