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Home My WebLink About132-S AugustineIn Re: James Augustine File Docket: X -ref: Date Decided: Date Mailed: Before: Daneen E. Reese, Chair Louis W.Fryman, Vice Chair John J. Bolger Frank M. Brown Susan Mosites Bicket Donald M. McCurdy 01 -018 -P Order No. 132 -S 2/4/02 2/15/02 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 Findings of the Investigative Complaint are deemed admitted and are quoted below. 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). Augustine, 01 -018 -P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 3 Brown Street, Richeyville, PA 15358. 2. At all times relevant to these proceedings, Respondent has been the Vice Chairman of Centerville Borough Sanitary Authority 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 Pa.C.S. §1102. a. Respondent specifically held the aforesaid position in 1997 and 1998. 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 1998 with the State Ethics Commission, which Statements of Financial Interests were to be filed by May 1 of 1998 and 1999, and Respondent has therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.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 1998 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 1998 so as to comply with the specific requirements of the Ethics Law... . 6. By Notice letter dated July 26, 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 1998 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 1998 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 Pa.C.S. §1109(f). Augustine, 01 -018 -P 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 Pa. C.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) violation[s] alleged herein, Respondent is subject to total maximum civil penalty liability of $500.00 for said violation[s]. 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 Vice — Chairman of the Centerville Borough Sanitary Authority, Respondent James Augustine 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, James Augustine was specifically required to file Statements of Financial Interests for calendar years 1997 and 1998 with the designated filing office in Centerville Borough /Centerville Borough Sanitary Authority on or before May 1, 1998 and 1999. 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 James Augustine as Vice — Chairman of the Centerville Borough Sanitary Authority 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(f)/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 Augustine, 01 -018 -P Page 4 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 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 James Augustine, as Vice — Chairman of the Centerville Borough Sanitary Authority, 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 1998 with the designated filing office in Centerville Borough /Centerville Borough Sanitary Authority. We hereby levy one civil penalty against Respondent James Augustine 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 1998 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 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 1998 with the designated filing office in Centerville Borough /Centerville Borough Sanitary Authority, and return a time — stamped copy of the same to the State Ethics Commission for verification purposes, within 30 days of the issuance of this adjudication and Order. III. CONCLUSIONS OF LAW: 1. James Augustine, as Vice— Chairman of the Centerville Borough Sanitary Authority, 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. Augustine, 01 -018 -P Page 5 2. Respondent, as Vice— Chairman of the Centerville Borough Sanitary Authority, 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 1998 with the designated filing office in Centerville Borough /Centerville Borough Sanitary Authority. 3. Notice of the delinquency of Respondent's Statements of Financial Interests for calendar years 1997 and 1998 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: James Augustine Respondent File Docket: 01 -018 -P Date Decided: 2/4/02 Date Mailed: 2/15/02 ORDER NO. 132 -S 1 James Augustine, as Vice— Chairman of the Centerville Borough Sanitary Authority, 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 1998 with the designated filing office in Centerville Borough /Centerville Borough Sanitary Authority. 2. This Commission hereby levies one civil penalty against Respondent James Augustine 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 1998 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 James Augustine is ordered to file complete and accurate Statements of Financial Interests for calendar years 1997 and 1998 with the designated filing office in Centerville Borough /Centerville Borough Sanitary Authority, and return a time — stamped copy of the same to the State Ethics Commission for verification purposes, 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