HomeMy WebLinkAbout068-S TracyIN RE: DewVaul W. Tracy, Jr. .
Respondent
Before:
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
Daneen E. Reese, Chair
Austin M. Lee, Vice Chair
Roy W. Wilt
Allan M. Kluger
John R. Showers
Rev. Joseph G. Quinn
Boyd E. Wolff
File Docket: 94 -008 -P
Date Decided: 08/03/95
Date Mailed: 08/14/95
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. 5401 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
thirty 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) .
Tracy, 94 -008 -P
Page 2
I. FINDINGS:
1. Respondent DewVaul W. Tracy, Jr. is an adult individual who
resides or maintains a mailing address at P.O. Box 102, Lake
Lynn, PA 15451.
2. At all times relevant to these proceedings Respondent has been
a Member of the Fayette County Board of Assistance.
(a) Respondent specifically held the aforesaid position in
1992 and 1993.
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 on or before May
1, 1993 and May 1, 1994 respectively.
4. A Notice letter dated January 6, 1995, and a final Notice
letter dated February 23, 1995, 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. Respondent knows that as a Member of the Fayette County Board
of Assistance he is a public official required to file a
Statement of Financial Interests each year Respondent holds
this position and the year after leaving the position.
a. 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 1987 and 1988.
b. The public records of the State Ethics Commission reflect
that in Tracy, Order No. 018 -S this Commission levied a
civil penalty in the amount of $250.00 against Respondent
for failure to file a Statement of Financial Interests
for calendar year 1990.
Tracy, 94 -008 -P
Page 3
II. DISCUSSION:
Respondent has been a Member of the Fayette County Board of
Assistance at all times relevant to these proceedings. Respondent
specifically held the aforesaid position in 1992 and 1993.
As a Member of the Fayette County Board of Assistance,
Respondent has at all times relevant to these proceedings been 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 has at all times relevant to these proceedings
been 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) Iri 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).
An application of Section 9(f) to this case establishes that
this Commission has the 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 Notice 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. 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
Tracy, 94 -008 -P
Page 4
why civil penalties should not be levied against Respondent in this
matter.
We would further note that the public records of the State
Ethics Commission reflect that this particular Respondent has been
notified of the filing requirement repeatedly by this Commission,
for various calendar years, and has in fact been the subject of a
prior civil penalty proceeding before this Commission. The result
of that proceeding was an Order levying a civil penalty against
Respondent for his failure to file a Statement of Financial
Interests for calendar year 1990. Tracy, Order No. 018 -S. It is
clear that as a Member of the Fayette 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 two civil penalties against Respondent DewVaul W.
Tracy, Jr., each at the rate of Twenty -Five Dollars ($25.00) per
day, for each day Respondent's Statements of Financial Interests
for calendar years 1992 and 1993 have remained delinquent. Given
the number of days during which the Statements of Financial
Interests have remained delinquent, the resultant amount to be
levied against Respondent is Five Hundred Dollars ($500.00).
Respondent shall be ordered to file complete and accurate
Statements of Financial Interests for calendar years 1992 and 1993.
III. CONCLUSIONS OF LAW:
1. Respondent DewVaul W. Tracy, Jr. has at all times relevant to
these proceedings been a Member of the Fayette County Board of
Assistance, and as such Respondent has at all times relevant
to these proceedings 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, two
maximum civil penalties are warranted.
IN RE: DewVaul W. Tracy, Jr. : File Docket: 94 -008 -P
Date Decided: 08/03/95
Respondent Date Mailed: 08/14/95
ORDER NO. 068 -S
1. DewVaul W. Tracy, Jr., as a Member of the Fayette County Board
of Assistance, failed to comply with Sections 4 and 5 of the
Ethics Law, 65 P.S. § §404, 405, by failing 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.
2. Based upon the circumstances of this case, this Commission
hereby levies two civil penalties against Respondent DewVaul
W. Tracy, Jr., each at the rate of Twenty -Five Dollars
($25.00) per day, for each day Respondent's Statements of
Financial Interests for calendar years 1992 and 1993 have
remained delinquent, for total civil penalty liability of Five
Hundred Dollars ($500.00). Respondent is ordered to pay the
above civil penalties in the total amount of Five Hundred
Dollars ($500.00) 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. Respondent DewVaul W. Tracy, Jr. is directed within 30 days of
issuance of this Order to file complete and accurate
Statements of Financial Interests for calendar years 1992 and
1993 with the State Ethics Commission and the Governor's
Office of Administration, providing full financial disclosure
as required by the Ethics Law.
4. Failure to comply with any provision of this Order will result
in the initiation of an appropriate enforcement action.
BY THE COMMISSION,
ca eu.d.,}
Daneen E. Reese, Chair