HomeMy WebLinkAbout050-S FigueroaIN RE: JUAN E. FIGUEROA
Respondent
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
Before: James M. Howley, Chair
Daneen E. Reese, Vice Chair
Dennis C. Harrington
Roy W. Wilt
Austin M. Lee
Allan M. Kluger
Joseph W. Marshall, III
File Docket: 92 -075 -P
Date Decided: February 16, 1993
Date Mailed: February 19, 1993
The State Ethics Commission received information regarding
possible violation(s) of Section 4 and /or Section 5 of the Public
Official and Employee Ethics Law ( "Ethics Law "), Act 9 of 1989, 65
P.S. S401 et seq. Written Notice was mailed to Respondent in
accordance with Section (7)(5) of the Ethics Law, as to which there
was no response. A Notice and Order to Show Cause was issued and
served upon Respondent. An Answer was not filed and a hearing was
deemed waived. The record is complete. This adjudication of the
Commission is hereby issued, which sets forth Findings of Fact,
Discussion, Conclusions of Law and Order.
This Adjudication is final and is a public document.
Reconsideration may be requested. A request for reconsideration,
however, does not affect the finality of this adjudication. A
reconsideration request must be received at this Commission within
fifteen days of issuance and must include a detailed explanation of
the reasons as to why reconsideration should be granted in
conformity with 51 Pa. Code § §2.38(b),(c).
Juan E. Figueroa
February 19, 1993
Page 2
I. FINDINGS:
1. Respondent Juan E. Figueroa is an
or maintains a mailing address at
Pennsylvania 18103.
2. Respondent is now and at all
proceedings has been a Member of
Assistance.
II. DISCUSSION
adult individual who resides
1030 Manor Drive, Allentown,
times relevant to these
the Lehigh County Board of
(a) Respondent specifically held the aforesaid position in
1992.
3. Respondent did not file a Statement of Financial Interests for
calendar year 1991 with the State Ethics Commission and the
Governor's Office of Administration on or before May 1, 1992.
4. A Notice letter dated June 16 or June 17, 1992, and a final
Notice letter dated July 20, 1992, were served upon Respondent
by this Commission. The said Notice letters stated in detail
the specific allegations against Respondent concerning the
delinquency of Respondent's Statement of Financial Interests
for calendar year 1991 and the penalties for failure to file
or for filing a deficient Statement of Financial Interests.
Each of the said Notice letters 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 1991 within twenty (20)
days of the date of the Notice letter.
5. Respondent did not file a Statement of Financial Interests
with the State Ethics Commission and the Governor's Office of
Administration for calendar year 1991 within twenty days of
the date of the said final Notice letter.
6. The public records of the State Ethics Commission reflect that
Respondent has previously been served with Notices of the
delinquency of his Statements of Financial Interests for
calendar years 1988, 1989 and 1990.
(a) After Notice was issued, Respondent filed a Statement of
Financial Interests for calendar year 1990, but
Respondent never filed for calendar year 1989.
7. As a matter of public record, Respondent filed a Statement of
Financial Interests after issuance of the Order to Show Cause,
which Statement of Financial Interests is dated January 5,
1993, and was received by this Commission on January 8, 1993.
Juan E. Figueroa
February 19, 1993
Page 3
Respondent is now and at all times relevant to these
proceedings has been a Member of the Lehigh County Board of
Assistance. Respondent specifically held the aforesaid position in
1992.
As a Member of the Lehigh County Board of Assistance,
Respondent is a "public official" as that term is defined under the
Public Official and Employee Ethics Law ( "Ethics Law "), 65 P.S.
S401, et seq., and as such, Respondent is subject to the provisions
of the Ethics Law.
Factually, Respondent failed to timely file a Statement of
Financial Interests for calendar year 1991 with the State Ethics
Commission and the Governor's Office of Administration, which
constitutes a failure to comply with Sections 4 and 5 of the Ethics
Lai'. 65 P.S. § 5404,405.
Section 9(f) of the Ethics Law provides as follows:
(f) In addition to any other civil remedy or
criminal penalty provided for in this act, the commission
may, after notice has been served in accordance with
section 7(5) and upon a majority vote of its members,
levy a civil penalty upon any person subject to this act
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 P.S. 5409(f).
An application of Section 9(f) to this case establishes that
this Commission has the discretion to levy a maximum civil penalty
against the Respondent for the delinquent Statement of Financial
Interests for calendar year 1991. The prerequisite service of a
Notice letter in accordance with Section 7(5) was satisfied.
Respondent did not remedy the failure to file a Statement of
Financial Interests for calendar year 1991 although given twenty
days from the date of the aforesaid final Notice letter in which to
do so. This Commission then instituted formal proceedings against
Respondent by issuing an Order to Show Cause, ordering Respondent
to show cause why a civil penalty should not be levied against
Respondent. Respondent did not file an answer to the Order to Show
Cause. There is nothing of record which would constitute a defense
or excuse for Respondent's failure to comply with the Ethics Law.
Respondent has failed to show cause why a civil penalty should not
be levied against Respondent in this matter.
We would further note that the public records of the State
Juan E. Figueroa
February 19, 1993
Page 4
Ethics Commission reflect that Respondent has previously been
served with Notices of the delinquency of his Statements of
Financial Interests for calendar years 1988, 1989, and 1990.
Although Respondent ultimately filed a Statement of Financial
Interests for calendar year 1990, Respondent never filed for
calendar year 1989.
It is clear that as a Member of the Lehigh County Board of
Assistance, Respondent knows that he is a public official required
to file Statements of Financial Interests pursuant to Sections 4
and 5 of the Ethics Law.
Based upon the totality of circumstances in this case, we
hereby levy one civil penalty against Respondent Juan E. Figueroa
at the rate of Twenty -Five Dollars ($25.00) per day, for each day
Respondent's Statement of Financial Interests for calendar year
1991 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 Respondent is Two- Hundred
and Fifty Dollars ($250.00).
It is noted that following the issuance of the Order to Show
Cause, Respondent filed a Statement of Financial Interests dated
January 5, 1993, and received by this Commission on January 8,
1993. Said Statement of Financial Interests shall be treated as a
filing for calendar year 1991.
III. CONCLUSIONS OF LAW:
1. Respondent Juan E. Figueroa is now and at all times relevant
to these proceedings has been a Member of the Lehigh County
Board of Assistance, and as such Respondent is now and at all
times relevant to these proceedings has been a "public
official" subject to the provisions of the Ethics Law, Act 9
of 1989.
2. Respondent failed to comply with the requirements of Sections
4 and 5 of the Ethics Law when Respondent failed to timely
file a Statement of Financial Interests for calendar year 1991
with the State Ethics Commission and the Governor's Office of
Administration.
3. Notice of the delinquency of Respondent's Statement of
Financial Interests for calendar year 1991 was previously
served upon Respondent in accordance with Section 7(5) of the
Ethics Law, 65 P.S. 5407(5).
4. Based upon the totality of the circumstances in this case, a
maximum civil penalty is warranted.
IN RE: JUAN E. FIGUEROA
Respondent
: File Docket: 92 -075 -P
Date Decided: February 16, 1993
: Date Mailed: February 19, 1993
ORDER NO. 050 -S
1. Juan E. Figueroa, as a Member of the Lehigh County Board of
Assistance, failed to comply with Sections 4 and 5 of the
Ethics Law, 65 P.S. §S404, 405, by failing to timely file a
Statement of Financial Interests for calendar year 1991 with
the State Ethics Commission and the Governor's Office of
Administration.
2. Based upon the circumstances of this case, this Commission
hereby levies one civil penalty against Respondent Juan E.
Figueroa at the rate of Twenty -Five Dollars ($25.00) per day
for each day Respondent's Statement of Financial Interests for
calendar year 1991 has remained delinquent, for the total
civil penalty of Two- Hundred and Fifty Dollars ($250.00).
Respondent is ordered to pay the above civil penalty in the
total amount of Two- Hundred and Fifty Dollars ($250.00) within
thirty days of the issuance of this Order, by forwarding a
check to this Commission payable to the Commonwealth of
Pennsylvania for deposit in the State Treasury.
3. Failure to comply with any provision of this Order will result
in the initiation of an appropriate enforcement action.
BY THE COMMISSION,
James M. Howl