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Home My WebLink About061-S BrokansIN RE: Edmunds Brokans Respondent STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 File Docket: 94 -004 -P Date Decided: 12/15/94 Date Mailed: 12/27/94 Before: James M. Howley, Chair Daneen E. Reese, Vice Chair Roy W. Wilt Austin M. Lee Allan M. Kluger John R. Showers The Investigative Division of 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. §401 et seq. Written Notice was mailed to Respondent by the Investigative Division in accordance with Section (7)(5) of the Ethics Law, as to which there was no response. The Investigative Division filed with the State Ethics Commission and served upon Respondent a Petition for Civil Penalties. An 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)/21.29(b). Brokans, 94 -004 -P Page 2 I. FINDINGS: 1. Respondent Edmunds Brokans is an adult individual who resides or maintains a mailing address at 267 Collins Place, Ambler, PA 19002. 2. Respondent is now and at all times relevant to these proceedings has been a Member of the Pennsylvania Heritage Affairs Commission. (a) Respondent specifically held the aforesaid position in 1993 and 1994. 3. Respondent did not file Statements of Financial Interests for calendar years 1992 and 1993 with the State Ethics Commission and the Governor's Office of Administration, which Statements of Financial Interests were due on or before May 1, 1993 and May 1, 1994 respectively. 4. A Notice letter dated June 8, 1994, and a final Notice letter dated June 29, 1994, were served upon Respondent by the Investigative Division of the State Ethics Commission. The said Notice letters stated in detail the specific allegations against Respondent concerning the delinquency of Respondent's Statements of Financial Interests for calendar years 1992 and 1993 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 accurate and complete Statements of Financial Interests for calendar years 1992 and 1993 within twenty (20) days of the date of the Notice letter. 5. Respondent did not file Statements of Financial Interests with the State Ethics Commission and the Governor's Office of Administration for calendar years 1992 and 1993 within twenty days of the date of the said final Notice letter. 6. The Petition for Civil Penalties alleges that Respondent failed to file Statements of Financial Interests for calendar years 1993 and 1994. II. DISCUSSION: Respondent is now and at all times relevant to these proceedings has been a Member of the Pennsylvania Heritage Affairs Commission. Respondent specifically held the aforesaid position in 1993 and 1994. As a Member of the Pennsylvania Heritage Affairs Commission, Brokans, 94 -004 -P Page 3 Respondent is a "public official" as that term is defined under the Public Official and Employee Ethics Law ( "Ethics Law "), 65 P.S. §401, et seq., and as such, Respondent is subject to the provisions of the Ethics Law. Factually, Respondent failed to timely file Statements of Financial Interests for calendar years 1992 and 1993 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 Law. 65 P.S. § §404,405. 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. §409(f). Under ordinary circumstances, an application of Section 9(f) to this case would enable this Commission to exercise its discretion to levy two maximum civil penalties against the Respondent for the delinquent Statements of Financial Interests for calendar years 1992 and 1993. The prerequisite service of a Notice letter in accordance with Section 7(5) was satisfied. Respondent did not remedy the failure to file Statements of Financial Interests for calendar years 1992 and 1993 although given twenty days from the date of the aforesaid final Notice letter in which to do so. The Investigative Division then instituted formal proceedings against Respondent by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalties. The State Ethics Commission issued an Order to Show Cause, ordering Respondent to show cause why civil penalties should not be levied against Respondent. Respondent did not file an answer to the Order to Show Cause. However, in light of the fact that the Petition for Civil Penalties alleged delinquencies for calendar years 1993 and 1994, instead of 1992 and 1993, we shall exercise our discretion to levy only one civil penalty as to calendar year 1993, and to order Respondent to file that particular Statement of Financial Interests. Respondent would do well to also file his delinquent form for calendar year 1992. If Respondent does not do so, the Investigative Division may file, and this Commission will Brokans, 94 -004 -P Page 4 entertain, a subsequent Petition as to calendar year 1992. Based upon the totality of circumstances in this case, we hereby levy one civil penalty against Respondent Edmunds Brokans at the rate of $25.00 per day, for each day Respondent's Statement of Financial Interests for calendar year 1993 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). Respondent shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 1993. III. CONCLUSIONS OF LAW: 1. Respondent Edmunds Brokans is now and at all times relevant to these proceedings has been a Member of the Pennsylvania Heritage Affairs Commission, 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 Statements of Financial Interests for calendar years 1992 and 1993 with the State Ethics Commission and the Governor's Office of Administration. 3. Notice of the delinquency of Respondent's Statements of Financial Interests for calendar years 1992 and 1993 was previously served upon Respondent in accordance with Section 7(5) of the Ethics Law, 65 P.S. §407(5). 4. Based upon the totality of the circumstances in this case, one civil penalty is warranted as to calendar year 1993. 5. The Investigative Division may file, and this Commission will entertain, a subsequent Petition for Civil Penalty in the event Respondent fails to remedy the delinquency of Respondent's Statement of Financial Interests for calendar year 1992. 3. 2. IN RE: Edmunds Brokans 1. Respondent • File Docket: 94- 004 -P Date Decided: 12115/94 Date Mailed: 12127194 ORDER NO. 061 -S Edmunds Brokans, as a Member of the Pennsylvania Heritage Affairs Commission, failed to comply with Sections 4 and 5 of the Ethics Law, 65 P.S. § §404, 405, b y failing Statements of Financial Interests for calendar y o r ime9y fal 1993 with the State Ethics Commission and the Governor's Office of Administration. Based upon the circumstances of this case, this Commission hereby levies one civil penalty against Respondent Edmunds Brokans at the rate of $25.00 Respondent's Statement of Financial p Interests for e calendar day year 1993 has remained delinquent, for the total civil penalty of Two- Hundred and Fifty Dollars ordered a ($250.00). Respondent is rdered 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. Respondent Edmunds Brokans is directed within 30 days of issuance of this Order to file a complete an accurate Statement of Financial Interests for calendar year 1993 with the State Ethics Commission and the Governor's Office of Administration, providing full financial disclosure as required by the Ethics Law. 4 . This Commission will entertain a subsequent Petition for Civil Penalty in the event Respondent fails to remedy delinquency of his Statement of Financial Interests for calendar year 1992. 5. Failure to comply with any provision of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, James M. Howley, air