HomeMy WebLinkAbout121-S UrbanIN RE: Jeffrey Urban,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
01 -017 -P
Order No. 121 -S
11/15/01
11/30/01
Before: Daneen E. Reese, Chair
Louis W. Fryman, Vice Chair
John J. Bolger
Frank M. Brown
Susan Mosites Bicket
Donald M. McCurdy
Michael Healey
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 deemed waived. The record is complete.
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).
Urban, 01 -017 -P
November 30, 2001
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at 202
Jane Street, Box 54, Richeyville, PA 15358.
2. At all times relevant to these proceedings, Respondent has been a Centerville
Borough Constable and as such Respondent has at all times relevant to these
proceedings been a "public official" as that term is defined in Section 2 of the Ethics
Law, 65 P.S. §1102.
a. Respondent specifically held the aforesaid position in 1997 and 1999.
3. Respondent as a public official is subject to the Statement of Financial Interests
filing provisions of the Ethics Law.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
Law. Respondent has failed to file Statements of Financial Interests for calendar
year(s) 1997 and 1999 with the State Ethics Commission, which Statements of
Financial Interests were to be filed by May 1 of 1998 and 2000, and Respondent
has therefore transgressed Sections 4 and 5 of the Ethics Law, 65 P.S. § §1104,
1105.
5. By Notice letter dated February 13, 2001, Respondent was served with Notice in
accordance with Section 7(5) of the Ethics Law of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar
year(s) 1997 and 1999 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file Statements of Financial Interests for
calendar year(s) 1997 and 1999 so as to comply with the specific requirements of
the Ethics Law. - - -
6. By Notice letter dated June 7, 2001, Respondent was served with Notice in
accordance with Section 7(5) of the Ethics Law of the specific allegations against
Respondent concerning the above transgression. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar
year(s) 1997 and 1999 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file Statements of Financial Interests for
calendar year(s) 1997 and 1999 so as to comply with the specific requirements of
the Ethics Law. - - -
7 Section 9(f) of the Ethics Law provides:
Section 9. Penalties
(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. §1109(f).
Urban, 01 -017 -P
November 30, 2001
Page 3
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 9(f) of the Ethics Law, 65 P.S. §1109(f) at a rate of not more
than $25.00 per day for each day the Statement of Financial Interests remains
delinquent or deficient, for a maximum civil penalty of $250.00 per violation.
Because Respondent has committed two (2) violations alleged herein, Respondent
is subject to total maximum civil penalty liability of $500.00 for said violation.
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00 for each violation, in that the twenty -day deadline
set forth in the said final Notice letter to Respondent has expired and the
Respondent has not complied.
II. DISCUSSION:
As a Constable for Centerville Borough, Respondent Jeffrey Urban 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.
Pursuant to Section 4(a)/1104(a) of the Ethics Act, Jeffrey Urban was specifically
required to file Statements of Financial Interests for calendar years 1997 and 1999 with the
State Ethics Commission on or before May 1 of 1998 and 2000. Section 4(a)/1104(a)
provides:
§ 4/1104. 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 P.S. § 404(a)/65 Pa.C.S. §1104(a).
The complete financial disclosure which Jeffrey Urban as a Principal 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 9/1109(f) of the Ethics Act provides as follows:
§ 9/1109. 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
Urban, 01 -017 -P
November 30, 2001
Page 4
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)/65 Pa.C.S. §1109(f).
An application of Section 9(f)/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
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 Act. Respondent has failed to show cause why a civil penalty should not be
levied against Respondent in this matter.
We find that Respondent Jeffrey Urban, as a Constable in Centerville Borough,
failed to comply with Section 4(a)/1104(a) of the Ethics Act, 65 P.S. § 404(a)/65 Pa.C.S.
§1104(a), when he failed to file Statements of Financial Interests for calendar years 1997
and 1999 with the State Ethics Commission.
We hereby levy two civil penalties against Respondent Jeffrey Urban at the rate of
Twenty -Five Dollars $25.00 per day, for each day Respondent's Statement of Financial
Interests for calendar years 1997 and 1999 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 Five - Hundred Dollars ($500.00).
Respondent shall be ordered to make payment of the above civil penalty in the
amount of $500.00 within 30 days of the issuance of this adjudication and Order, by
forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
Respondent shall be ordered to file complete and accurate Statements of Financial
Interests for calendar years 1997 and 1999 with this Commission within 30 days of the
issuance of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. As a Constable in Centerville Borough, Respondent Jeffrey Urban 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 Centerville Borough, failed to comply with Section
4(a)/1104(a) of the Ethics Act, 65 P.S. § 404(a)/65 Pa.C.S. §1104(a), when he
failed to file Statements of Financial Interests for calendar years 1997 and 1999 with
the State Ethics Commission.
Urban, 01 -017 -P
November 30, 2001
Page 5
3. Notice of the delinquency of Respondent's Statements of Financial Interests for
calendar years 1997 and 1999 was previously served upon Respondent in
accordance with Section 7(5)/1107(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 $500.00 is warranted.
IN RE: Jeffrey Urban
Respondent
ORDER NO. 121 -S
File Docket: 01 -017 -P
Date Decided: 11/15/01
Date Mailed: 11/30/01
1. Jeffrey Urban, as a Constable in Centerville Borough, failed to comply with Section
4(a)/1104(a) of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 P.S. §
404(a)/65 Pa.C.S. §1104(a), when he failed to file Statements of Financial Interests
for calendar years 1997 and 1999 with the State Ethics Commission.
2. This Commission hereby levies two civil penalties against Respondent Jeffrey
Urban at the rate of Twenty -Five Dollars ($25.00) per day for each day
Respondent's Statements of Financial Interests for calendar years 1997 and 1999
have remained delinquent, for a total civil penalty of Five- Hundred Dollars
($500.00). Respondent is ordered to pay the said civil penalty in the total amount of
$500.00 within 30 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 Jeffrey Urban is ordered to file complete and accurate Statements of
Financial Interests for calendar years 1997 and 1999 with the State Ethics
Commission within 30 days of issuance of this Order.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
DANEEN E. REESE, CHAIR