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In Re: Roy Brooks,
Respondent
1
` s
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, RA 17120 -0400
File Docket:
X -ref:
Date Decided
Date Mailed:
FACSIMILE: 717- 787 -0806
WEBSITE: www.ethics.pa.gov
18 -037 -P
Order No. 599 -S
10/24/18
11/19/18
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
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 ons Act ), ritto Sect
C Si § 110 10 et ns 1105 of the Public Official and Employee Ethics Act ( "Ethics
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. A Stipulation of Findings and a Consent Agreement
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 Roy Brooks ( "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 proceedin s been a "public official' as defined in Section 1102 of the Ethics
Act, 65 Pa.C.S. 9 1102.
3. Respondent, as a public official, is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent failed to timely provide full financial disclosure as required by the Ethics
Act. Respondent failed to time/ file a Statement of Financial Interests for calendar
year 2016, which [Statement of Financial Interests was to be filed] by May 1, 2017.
Resppondent has therefore violated Sections 1104 and 1105 of the Ethics Act, 65
Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated June 5, 2017, 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 2016 within twenty (20) days of the date of the Notice Letter. Respondent has
Brooks, 18 -037 -P
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failed and/or otherwise refused to file a Statement of Financial Interests for calendar
year 2016 so as to comply with the specific requirements of the Ethics Act.
6. By Notice Letter dated September 29, 2017, 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
2016 so as to comply with the specific requirements of the Ethics Act.
Respondent failed to file a Statement of Financial Interests for calendar year 2016
with the State Ethics Commission by the deadlines imposed in the Notice Letters.
II. DISCUSSION:
As a Constable /Deputy Constable, Roy Brooks ( "Brooks ") 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 sec,.
Pursuant to Section 1104(a) of the Ethics Act, Brooks was specifically required to
file a Statement of Financial Interests for calendar year 2016 with the State Ethics
Commission on or before May 1, 2017. 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 Brooks as a Constable /Deputy 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
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
Brooks, 18 -037 -P
aF age
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 Brooks for the delinquent Statement
of Financial Interests for calendar year 2016.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Brooks 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 Brooks by filing
with this Commission and serving upon him a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Brooks 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
Brooks failed to timely file a Statement of Financial Interests for the 2016 calendar year to
compliance with Section 1104(a) of the Ethics Act; (2) Brooks making payment of a civil
penalty in the amount of $250.00 in settlement of this matter by certified check or money
order payable to the Commonwealth of Pennsylvania and forwarded to this Commission
within thirty days of the issuance of the final adjudication in this matter; and (3) Brooks filing
a complete and accurate Statement of Financial Interests for calendar year 2016 within
thirty days of the issuance of the final adjudication in this matter.
We believe that the Consent Agreement sets forth a 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 hereby find that Brooks, as a Constable /Deputy Constable, failed to timely file a
Statement of Financial Interests for the 2016 calendar year in compliance with Section
1104 (a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Brooks in the total amount of $250.00 for Brooks's delinquent Statement of Financial
Interests for calendar year 2016.
To the extent he has not already done so, Brooks shall be ordered to make payment
of the aforesaid civil penalty in the total amount of $250.00 by no later than the thirtieth
(30th) day after the mailing date of this adjudication and Order, by forwarding to this
Commission a certified check or money order in the amount of $250.00 made payable to
the Commonwealth of Pennsylvania, for deposit in the State Treasury.
To the extent he has not already done so, Brooks shall be ordered to file a complete
and accurate Statement of Financial Interests for calendar year 2016 with this Commission
by no later than the thirtieth (30th) day after the mailing date of this adjudication and Order.
III. CONCLUSIONS OF LAW.
1. As a Constable/Deputy Constable, Roy Brooks ( "Brooks ") 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.
Brooks, 18 -037 -P
a�'4
2. Brooks, as a Constable /Deputy Constable, failed to timely file a Statement of
Financial Interests for the 2016 calendar year in compliance with Section 1104(a) of
the Ethics Act, 65 Pa.C.S. § 1104(a).
3. Notice of the delinquency of Brooks's Statement of Financial Interests for calendar
year 2016 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: Roy Brooks, File Docket: 18 -037 -P
Respondent Date Decided: 10/24/18
Date Mailed: 11/19/18
ORDER NO. 599 -S
1. Roy Brooks ( "Brooks "), as a Constable /Deputy Constable, failed to timely file a
Statement of Financial Interests for the 2016 calendar year in compliance with
Section 1104(a) of the Public Official and Employee Ethics Act ("Ethics Act"), 65
Pa.C.S. § 1104(a).
2. Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Brooks in the total amount of $250.00 for Brooks's delinquent Statement of
Financial Interests for calendar year 2016.
3. To the extent he has not already done so, Brooks is ordered to make payment of
the aforesaid civil penalty in the total amount of $250.00 by no later than the thirtieth
(301') day after the mailing date of this Order, by forwarding to this Commission a
certified check or money order in the amount of $250.00 made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
4. To the extent he has not already done so, Brooks is ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2016 with this
Commission by no later than the thirtieth (30t") day after the mailing date of this
Order.
5. Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
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is o as A. o a e a, air