HomeMy WebLinkAbout541-S GarciaSTATE ETHICS COMMISSION
309 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
In Re: Jose Garcia, File Docket: 17 -019 -P
Respondent X -ref: Order No. 541 -S
Date Decided: 618117
Date Mailed: 6129117
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Maria Feeley
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 1 104 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 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 a
Constable/Deputy Constable, and as such, Respondent has at all times relevant to
these proceed' n s 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 2015, which Statement of Financial Interests was to be filed b May 1 of 2016,
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 July 18, 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
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 2015 within twenty (20) days of the date of the Notice letter. Respondent failed
and refused to file a Statement of Financial Interests for calendar year 2015 so as to
comply with the specific requirements of the Ethics Act.
6. By Notice letter dated September 19, 2016, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
P.O. BOX 1 1470, HARRISBURG, PA 17 108-1470 a 717- 783 -1610 • [-800- 932 -0936 • www.ethics.state.pa.us
Garcia, 17 -019 -P
ala get
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 2015 within twenty (20) days of the date of the Notice letter. Respondent failed
and refused to file a Statement of Financial Interests for calendar year 2015 so as to
comply with the specific requirements of the Ethics Act.
By Notice letter dated November 3, 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
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 2015 within twenty (20) days of the date of the Notice letter. Respondent failed
and refused to file a Statement of Financial Interests for calendar year 2015 so as to
comply with the specific requirements of the Ethics Act.
On March 30, 2017 —after the Investigative Division instituted formal proceedings
against Respondent by filing with the State Ethics Commission and serving upon
Respondent a Petition for Civil Penalties— Respondent filed a Statement of
Financial Interests for calendar year 2015 with the State Ethics Commission.
9. 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).
10. 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. § 1109(f), at a rate of not
more than $25.00 per day for each day the Statement of Financial Ilnterests 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.
11. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00.
II. DISCUSSION:
As a Constable /Deputy Constable, Jose Garcia ( "Garcia ") 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 seg.
Pursuant to Section 1104(a) of the Ethics Act, Garcia was specifically required to file
a Statement of Financial Interests for calendar year 2015 with the State Ethics Commission
on or before May 1, 2016. Section 1104(a) provides:
Garcia, 17 -019 -P
a� ge 3
§ 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 Garcia as a Constable /Deputy Constable
was required to provide in the Statement of Financial Interests form is statutorily mandated
in detail at Section 1 105 of the Ethics Act, 65 Pa.C.S. § 1 105.
Section 1109(f) of the Ethics Act provides as follows:
§ 1109. Penalties
(fj 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 Garcia for the delinquent Statement
of Financial Interests for calendar year 2015.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Garcia 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 Garcia by filing with the State Ethics
Commission and serving upon Garcia a Petition for Civil Penalties. On March 30, 2017 —
after the Investigative Division instituted formal proceedings against Garcia —
Garcia filed a Statement of Financial Interests for calendar year 2015 with this
Commission. The Commission Chair subsequently issued an Order to Show Cause,
ordering Garcia to show cause why a civil penalty should not be levied against him. Garcia
did not file an answer to the Order to Show Cause. There is nothing of record that would
constitute a defense or excuse for Garcia's failure to comply with the Ethics Act. Garcia
has failed to show cause why a civil penalty should not be levied against him in this matter.
Garcia, 17 -019 -P
Page
4
We find that Garcia, as a Constable/Deputy Constable, failed to comply with Section
1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of
Financial Interests for calendar year 2015 with this Commission.
We hereby levy one maximum civil penalty against Garcia at the rate of Twenty -Five
Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar year
2015 remained delinquent. Given the number of days during which the Statement of
Financial Interests remained delinquent, the resultant amount to be levied against Garcia is
Two Hundred and Fifty Dollars ($250.00).
Garcia shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (301') 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.
111. CONCLUSIONS OF LAW:
1. Jose Garcia ( "Garcia "), as a Constable/Deputy 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. Garcia, as a Constable /Deputy Constable, failed to comply with Section 1104(a) of
the Ethics Act, 65 Pa.C.S. § i 104(a), when he failed to timely file a Statement of
Financial Interests for calendar year 2015 with the State Ethics Commission.
3. Notice of the delinquency of Garcia's Statement of Financial Interests for calendar
year 2015 was ppreviouslyy 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: Jose Garcia, File Docket: 17 -019 -P
Respondent : Date Decided: 618117
Date Mailed: 6129117
ORDER NO. 541-5
Jose Garcia ( "Garcia "), as a Constable /Deputy Constable, 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 timely file a Statement of Financial Interests for
calendar year 2015 with the State Ethics Commission.
This Commission hereby levies one maximum civil penalty against Garcia at the
rate of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2015 remained delinquent, for a total civil penalty of Two
Hundred and Fifty Dollars ($250.00). Garcia is ordered to pay said civil penalty in
the total amount of $250.00 by no later than the thirtieth (30t.h) 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.
Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,