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HomeMy WebLinkAbout087-S BrooksIN RE: Daniel Brooks, Respondent STATE ETHICS COMMISSION 308 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 Before: Daneen E. Reese, Chair Louis W. Fryman, Vice Chair Julius Uehlein John J. Bolger Frank M. Brown Susan Mosites Bicket File Docket: 00 -009 -P X -ref: Order 087 -S Date Decided: 06/20/00 Date Mailed: 07/07/00 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 pursuant to Sections 1 104 and 1105 of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1 101 et seq. The Investigative Division-initiated-these proceedings by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalty(ies). An Order to Show Cause was issued to Respondent. An Answer was not filed by the Respondent, and a hearing was waived. The record is complete. A Consent Agreement was submitted by the parties to the Commission for consideration which was subsequently approved. This is a final Order, and it is publicly available upon issuance. Reconsideration may be requested, but a request for reconsideration will not affect the finality of this adjudication or its availability as a public document. Any reconsideration request must be received at this Commission within thirty days of the mailing date noted above and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §21.29(b). Brooks, 00 -009 -P J uly T, 2000 Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 1326 Paulson Avenue, Pittsburgh, PA 15206. 2. At all times relevant to these proceedings, Respondent has been a Constable and /or Deputy Constable in Allegheny County and as such Respondent has at all times relevant to these proceedings been a "public official" as that term is defined in Section 1102 of the Ethics Act, 65 Pa.C.S. §1 102. a. Respondent specifically held the aforesaid position in 1998. 3. Respondent as a public official is subject to the Statement of Financial Interests filing provisions of the Ethics Act. 4. Respondent has failed to file Statements of Financial Interests for calendar year 1 998 with the State Ethics Commission, which Statements of Financial Interests were to be filed by May 1, 1999. 5. By Notice letter dated November 5, 1999, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegations against Respondent concerning the failure to file the Statement of Financial Interests. 6. Said Notice letter provided Respondent an opportunity to avoid the institution of civil penalty proceedings by filing accurate and complete Statements of Financial Interests for calendar year 1998 within twenty (20) days of the date of the Notice letter. 7. Respondent has failed to file Statements of Financial Interests for calendar year 1998 so as to comply with the specific requirements of the Ethics Act. 8. By Notice letter dated December [13], 1999, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegations against Respondent concerning his failure to file the Statement of Financial Interests. 9. Said Notice letter provided Respondent an opportunity to avoid the institution of civil penalty proceedings by filing accurate and complete Statements of Financial Interests for calendar year 1998 within twenty (20) days of the date of the Notice letter. 10. Respondent has failed to file Statements of Financial Interests for calendar year 1998 so as to comply with the specific requirements of the Ethics Act. 11. On February 11, 2000, the Commission instituted civil penalty proceedings regarding Respondent's failure to file the Statement of Financial Interests, as heretofore noted. 12. On May 11, 2000, Respondent filed a Statement of Financial Interests with the State Ethics Commission for calendar year 1998 and made payment of $100.00 through this Commission to the Commonwealth of Pennsylvania in accordance Brooks, 00 -009 -P 31117772000 Page 3 with a Consent Agreement entered into by the parties. II. DISCUSSION: As a Constable and /or Deputy Constable in Allegheny County, Respondent Daniel 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. §1 101, et seq. Pursuant to Section 1 104(a) of the Ethics Act, Respondent was specifically required to file a Statement of Financial Interests for calendar year 1998 with the State Ethics Commission on or before May 1, 1999. 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. §1 104(a). The complete financial disclosure which Respondent as a Constable and /or 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 1 109(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 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. Brooks,00 -009 -P July 7, 2000 Page 4 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 the Respondent for each delinquent or deficient Statement of Financial Interests. The prerequisite service of a Notice letter in accordance with Section 1 107(5) was satisfied. Respondent 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 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. The parties propose that this case be resolved by this Commission: (1) finding that Respondent, as a Constable in Allegheny County, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file a Statement of Financial Interests for calendar year 1998; (2) levying a civil penalty against Respondent in the amount of $ 100.00, payable to the Commonwealth of Pennsylvania through this Commission; and (3) acknowledging that Respondent filed a Statement of Financial Interests for calendar year 1998 with the State Ethics Commission on May 11, 2000, and made payment of $100.00 to the Commonwealth of Pennsylvania on that date. We believe that the Consent Agreement is the 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 Respondent Daniel Brooks, as a Constable in Allegheny County, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file a Statement of Financial Interests for calendar year 1998 as a Constable in Allegheny County. In that Respondent has made payment of a civil penalty in the amount of $100.00 in accordance with the Consent Agreement of the parties, and filed the Statement of Financial Interests for calendar year 1998, this case is closed. III. CONCLUSIONS OF LAW: 1. As a Constable in Allegheny County, Respondent was a "public official" subject to the provisions of the Ethics Act, 65 Pa.C.S. §1101 et seq. 2. Respondent, as a Constable in Allegheny County, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to file a Statement of Financial Interests for calendar year 1998 as a Constable in Allegheny County. 3. Notice of the delinquency of Respondent's Statement of Financial Interests for calendar year 1998 was previously served upon Respondent in accordance with Section 1107(5) of the Ethics Act, 65 Pa.C.S. §1107(5). Brooks,00 -009 -P July 7, 2000 Page 5 4. Based upon the totality of the circumstances in this case, a civil penalty in the amount of $1 00.00 is warranted. IN RE: Daniel Brooks, Respondent ORDER NO. 087 -S File Docket: 00 -009 -P Date Decided: 06/20/00 Date Mailed: 07/07/00 1. Daniel Brooks ( "Brooks "), as a Constable in Allegheny County, failed to comply with Section 1 104 of the Ethics Act, 65 Pa.C.S. §1 104, when he failed to file a Statement of Financial Interests for calendar year 1998 as a Constable in Allegheny County. 2. As per the Consent Agreement of the parties, Brooks filed a Statement of Financial Interests for calendar year 1998 on May 11, 2000, and paid a civil penalty in the amount of $100.00 through this Commission to the Commonwealth of Pennsylvania. BY THE COMMISSION, A'aikti. Daneen E. Reese, Chair