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HomeMy WebLinkAbout158-S PetzIN RE: Verne Petz Respondent File Docket: X -ref: Date Decided: Date Mailed: 02 -025 -P Order 158 -S 9/4/02 9/25/02 Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Daneen E. Reese 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 1104 and 1105 of the Public Official and Employee Ethics Act ( "Ethics Act "), 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 parties filed a Stipulation of Findings, which is quoted as the Findings in this Order. A Consent Agreement was also 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). Petz 02 -025 -P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 716 Roup Avenue, Brackenridge, PA 15014. 2. At all times relevant to these proceedings, Respondent has been a former [sic employee for the Department of Labor and Industry and as such Respondent has at all times relevant to these proceedings been a "public official" [sic] as that term is defined in Section 2 of the Ethics Law, 65 Pa.C.S. §1102. 3. Respondent as a public official [sic] 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) 1998 and 1999 with the State Ethics Commission [sic], which Statements of Financial Interests were to be filed by May 1 of 1999 and 2000, and Respondent has therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. §1104,1105. 5. By Notice letter dated September 15, 2000, 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) 1998 and 1999 within twenty (20) days of the date of the Notice letter. Respondent failed during the grace period to file his Statements of Financial Interests for calendar year(s) 1998 and 1999 so as to comply with the specific requirements of the Ethics Law. 6. By Notice letter dated October 24, 2000, 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) 1998 and 1999 within twenty (20) days of the date of the Notice letter. Respondent failed during the grace period to file his Statements of Financial Interests for calendar year(s) 1998 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 per violation under this paragraph is $250. 65 Pa.C.S. §1109(f). 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 Petz 02 -025 -P Page 3 $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 violations. 9. The mitigating circumstances offered by the Respondent are that he served in the military and retired from the federal government in 1996 -1997. He was only employed by the Commonwealth for a short period of time and was not familiar with its reporting requirements. Additionally, Respondent contends that Commission notices were not received by him and he states he believes that certified mail was signed for by his ex- wife and not forwarded to him at his new residence at 716 Roup Avenue. 10. Accordingly, the parties propose that the assessment of a civil penalty in the amount of $75.00 along with completion and filing of the delinquent 1998 and 1999 calendar year reporting forms by the Respondent, is an appropriate disposition of this matter. II. DISCUSSION: Respondent Verne Petz, as an employee of the Department of Labor and Industry, was a "public employee" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101, et seq. Following termination of public service, Respondent became a former public employee. Pursuant to Section 1104(a) of the Ethics Act, Respondent, as a public employee, was required to file a Statement of Financial Interests by May 1 S of each year that he held his position. In addition, Respondent, as a former public employee, was required to file a Statement of Financial Interests by May 1st of the year after he left his public position. Specifically, Respondent was required to file Statements of Financial Interests for calendar years 1998 and 1999 with the Department of Labor and Industry on or before by May 1, 1999 and May 1, 2000. 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 osition. 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 Petz, as a former public employee, 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 1109(f) of the Ethics Act provides as follows: §1109. Penalties Petz 02 -025 -P Page 4 (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 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. The parties propose that this case be resolved by this Commission: (1) finding that Petz, as a former employee for the Department of Labor and Industry, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to timely file Statements of Financial Interests for calendar years 1998 and 1999; (2) levying a civil penalty against Respondent in the amount of $75.00, payable to the Commonwealth of Pennsylvania through this Commission; and (3) directing Respondent to make payment of a civil penalty in the amount of $75.00 in accordance with Section 1109(f) of the Ethics Act, 65 Pa.C.S. §1109(f), with said amount to be payable to the Commonwealth of Pennsylvania, but forwarded to this Commission within 30 days of the issuance of this Order. 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 Verne Petz, as a former employee for the Department of Labor and Industry, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to timely file Statements of Financial Interests for calendar years 1998 and 1999. We take administrative notice that Respondent has made payment of a civil penalty in the amount of $75.00 and has filed Statements of Financial Interests for calendar years 1998 and 1999 on July 16, 2002. In that Respondent has made payment of a civil penalty in the amount of $75.00 in accordance with the Consent Agreement of the parties, and has filed Statements of Financial Interests for calendar years 1998 and 1999, no further action is required in this case and this case is closed. III. CONCLUSIONS OF LAW: 1. Verne Petz, as an employee of the Department of Labor and Industry, was a "public employee" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101 et seq. and, following termination of public service, became a former public employee. Petz 02 -025 -P Page 5 2. Respondent Verne Petz, as a former public employee, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to timely file Statements of Financial Interests for calendar years 1998 and 1999 with the Department of Labor and Industry. 3. Notice of the delinquenc y of Respondent's Statements of Financial Interests for calendar years 1998 and 1999 was previously served upon Respondent in accordance with Section 1107(5) of the Ethics Act, 65 Pa.C.S. §1107(5). 4. Based upon the totality of the circumstances in this case, a civil penalty in the amount of $75.00 is warranted. IN RE: Verne Petz Respondent ORDER NO. 158 -S File Docket: 02 -025 -P Date Decided: 9/4/02 Date Mailed: 9/25/02 1. Verne Petz, as a former employee for the Department of Labor and Industry, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when he failed to timely file Statements of Financial Interests for calendar years 1998 and 1999. 2. In that Verne Petz filed Statements of Financial Interests for calendar years 1998 and 1999 on July 16, 2002, and paid a civil penalty in the amount of $75.00 through this Commission to the Commonwealth of Pennsylvania as per the Consent Agreement of the parties, no further action is required in this case and this case is closed. BY THE COMMISSION, Louis W. Fryman, Chair