HomeMy WebLinkAbout112-S SprinczIN RE: John Sprincz
Respondent
STATE ETHICS COMMISSION
308 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
Before: Louis W. Fryman, Vice Chair
Julius Uehlein
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
File Docket: 00 -069 -P
X -ref: Order 112 -S
Date Decided: 09/20/00
Date Mailed: 10/05/00
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 4/1104 and 5/1105 of the Public Official
and Employee Ethics Act ( "Ethics Act "), 65 P.S. §401 et seq. /65 Pa.C.S. §1101
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 30 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).
Sprincz, 00 -069 -P
October 5, 2000
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
1342 Maryland Avenue, Johnstown, PA 15906.
2. At all times relevant to these proceedings, Respondent has been a Constable
and/or Deputy Constable in Cambria County and as such Respondent has at all
times relevant to these proceedings been a ublic official" as that term is defined
in Section 2/1102 of the Ethics Act, 65 P.S. §402/65 Pa.C.S. §1102.
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 a Statement of Financial Interests for calendar year
1998 with the State Ethics Commission, which Statement of Financial Interests
was to be filed by May 1 of 1999.
5. By Notice letter dated November 5, 1999, Respondent was served with Notice in
accordance with Section 7(5)/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 an accurate and complete Statement of
Financial Interests for calendar year 1998 within twenty (20) days of the date of
the Notice letter.
7. Respondent has failed to file a Statement 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 7(5)/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 an accurate and complete Statement of
Financial Interests for calendar year 1998 within twenty (20) days of the date of
the Notice letter.
10. Respondent has failed to file a Statement of Financial Interests for calendar year
1998 so as to comply with the specific requirements of the Ethics Act.
11. On June 5, 2000, the Commission instituted civil penalty proceedings regarding
Respondent's failure to file the Statement of Financial Interests, as heretofore
noted.
12. On July 14, 2000, Mr. Sprincz filed Statements of Financial Interests with the
State Ethics Commission for calendar years 1998 and 1999.
II. DISCUSSION:
As a Constable in Cambria County, Respondent John Sprincz 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 P.S. §401 et seq./ 65 Pa.C.S. §1101
et seq.
Sprincz, 00 -069 -P
October 5, 2000
Page 3
Pursuant to Section 4(a)/1104(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. §1104(a).
The complete financial disclosure which Respondent as a Constable was
required to provide in the Statement of Financial Interests form is statutorily mandated
in detail at Section 5/1105 of the Ethics Act, 65 P.S. §405/65 Pa.C.S. §1105.
Section 1109(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.
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
7(5)/1107(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
Sprincz, 00 -069 -P
October 5, 2000
Page 4
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 Cambria County, failed to comply with Section
4/1104 of the Ethics Act, 65 P.S. §404165 Pa.C.S. §1104, when he failed to file a
Statement of Financial Interests for calendar year 1998 as a Constable in Cambria
County; (2) levying civil penalty against Respondent in the total amount of $100.00 in
accordance with Section 9(f)/1109(f) of the Ethics Act, 65 P.S. §409(f)165 Pa.C.S.
§1109(f), with said amount to be made payable to the Commonwealth of Pennsylvania
and forwarded to this Commission within 30 days of the issuance of this Commission's
Order adjudicating this matter, for deposit in the State Treasury; and (3) acknowledging
that Respondent filed Statements of Financial Interests for calendar years 1998 and
1999 with the State Ethics Commission on July 14, 2000.
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 John Sprincz, as a Constable in Cambria
County, failed to comply with Section 4/1104 of the Ethics Act, 65 P.S. §404/65 Pa.C.S.
§1104, when he failed to file a Statement of Financial Interests for calendar year 1998
as a Constable in Cambria County. We direct Respondent to make payment of a civil
penalty in the total amount of $100.00 in accordance with Section 9(f)/1109(f) of the
Ethics Act, 65 P.S. §409(f)165 Pa.C.S. §1109(f), with said amount to be made payable
to the Commonwealth of Pennsylvania and forwarded to this Commission within 30
days of the issuance of this Commission's Order adjudicating this matter, for deposit in
the State Treasury.
Compliance with the foregoing will result in the closing of this case with no
further action. Noncompliance will result in the institution of an order enforcement
action.
III. CONCLUSIONS OF LAW:
1. As a Constable in Cambria County, Respondent John Sprincz 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 P.S. §401 et seq. /65
Pa.C.S. §1101 et seq.
2. Respondent, as a Constable in Cambria County, failed to comply with Section
4/1104 of the Ethics Act, 65 P.S. §404/65 Pa.C.S. §1104, when he failed to file a
Statement of Financial Interests for calendar year 1998 as Constable in Cambria
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 7(5)11107(5) of the Ethics Act, 65 P.S. §407(5)/65 Pa.C.S. §1107(5).
4. Based upon the totality of the circumstances in this case, a civil penalty in the
total amount of $100.00 is warranted.
IN RE: John Sprincz
Respondent
ORDER NO. 112 -S
File Docket: 00 -069 -P
Date Decided: 09/20/00
Date Mailed: 10/05/00
1. John Sprincz, as a Constable in Cambria County, failed to comply with Section
4/1104 of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 P.S.
§404/65 Pa.C.S. §1104, when he failed to file a Statement of Financial Interests
for calendar year 1998 as a Constable in Cambria County.
2. On July 14, 2000, John Sprincz filed Statements of Financial Interests with the
State Ethics Commission for calendar years 1998 and 1999.
3. As per the Consent Agreement of the parties, John Sprincz is directed to make
payment of a civil penalty in the total amount of $100.00 in accordance with
Section 9(f)/1109(f) of the Ethics Act, 65 P.S. §409(f)/65 Pa.C.S. §1109(f), with
said amount to be made payable to the Commonwealth of Pennsylvania and
forwarded to this Commission within 30 days of the issuance of this Order, for
deposit in the State Treasury.
4. Compliance with the foregoing will result in the closing of this case with no further
action. Noncompliance will result in the institution of an order enforcement
action.
BY THE COMMISSION
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