HomeMy WebLinkAbout071-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
Rev. Joseph G. Quinn
Boyd E. Wolff
File Docket: 95 -008 -P
Date Decided: 2/15/96
Date Mailed: 3/1/96
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 gt sea. 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, 95 -008 -P
February 16, 1996
Page 2
I. FINDINGS:
1. Respondent DewVaul W. Tracy, Jr. is an adult individual who
resides or maintains a mailing address at PO Box 102, Lake
Lynn, Pennsylvania 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
1994.
3. Respondent did not file a Statement of Financial Interests for
calendar year 1994 with the Fayette County Board of Assistance
on or before May 1, 1995.
4. A Notice letter dated June 30, 1995, and a final Notice letter
dated July 31, 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
Statement of Financial Interests for calendar year 1994 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 1994 within twenty (20) days of the date of the
Notice letter.
5. Respondent did not file a Statement of Financial Interests for
calendar year 1994 within twenty days of the date of the said
final Notice letter.
6. Respondent has previously received Notice letters for failure
to file Statements of Financial Interests for calendar years
1992 and 1993. Respondent failed to respond to those letters
and Order No. 068 -S was issued in August, 1995. To date,
Respondent has not complied with that Order. Respondent also
received a Notice letter for failure to file a Statement of
Financial Interests for calendar year 1990. Respondent failed
to respond, and Order No. 018 -S was issued in June, 1992.
Respondent did comply with that Order without an enforcement
action being instituted.
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 1994.
Tracy, 95 -008 -P
February 16, 1996
Page 3
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, ,lea., 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 a Statement of
Financial Interests for calendar year 1994 with the Fayette County
Board of Assistance, which constitutes a failure to comply with
Sections 4 and 5 of the Ethics Law. 65 P.S. § 5404,405.
Section 4(a) of the Ethics Law provides as follows:
Section 4. Statement of financial interests
required to be filed
(a) 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 P.S. §404(a).
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,
Tracy, 95 -008 -P
February 16, 1996
Page 4
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 a maximum civil penalty
against the Respondent for the delinquent Statement of Financial
Interests for calendar year 1994. 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 1994 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 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
Ethics Commission reflect that Respondent has previously received
notices from the State Ethics Commission regarding delinquent
Statements of Financial Interests for prior calendar years.
Indeed, Respondent has previously been the subject of proceedings
before this Commission and has had civil penalties levied against
him. 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 one civil penalty against Respondent DewVaul W. Tracy,
Jr. at the rate of Twenty -Five Dollars ($25.00) per day, for each
day Respondent's Statement of Financial Interests for calendar year
1994 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 1994. Pursuant
Tracy, 95 -008 -P
February 16, 1996
Page 5
to Section 4(a), Respondent must file the Statement of Financial
Interests with the Fayette County Board of Assistance and this
Commission.
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 a Statement of Financial Interests for calendar year 1994
with the Fayette County Board of Assistance.
3. Notice of the delinquency of Respondent's Statement of
Financial Interests for calendar year 1994 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, a
maximum civil penalty is warranted.
IN RE: DewVaul W. Tracy, Jr., : File Docket: 95 -008 -P
Date Decided: 2/15/96
Respondent Date Mailed: 3/1/96
ORDER NO. 071 -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 a
Statement of Financial Interests for calendar year 1994 with
the Fayette County Board of Assistance.
2. Based upon the circumstances of this case, this Commission
hereby levies one civil penalty against Respondent DewVaul W.
Tracy, Jr. at the rate of Twenty -Five Dollars ($25.00) per day
for each day Respondent's Statement of Financial Interests for
calendar year 1994 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. Respondent DewVaul W. Tracy, Jr. is directed within 30 days of
issuance of this Order to file a complete and accurate
Statement of Financial Interests for calendar year 1994 with
the Fayette County Board of Assistance and the State Ethics
Commission, 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,
4 ua4u& Pm,
Daneen E. Reese, Chair