HomeMy WebLinkAbout150-S SegalIn Re: Lawrence Segal
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Daneen E. Reese
Frank M. Brown
Susan Mosites Bicket
Donald M. McCurdy
Michael Healey
File Docket: 02 -015 -P
X -ref: Order No. 150 -S
Date Decided: 5/2/02
Date Mailed: 5/16/02
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 record is complete. The Findings in this Order are quoted
from the Petition for Civil Penalty(ies) filed by the Investigative Division.
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).
Segal, 02 -015 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at 6
Lantern Lane, Wayne, PA 19087.
2. At all times relevant to these proceedings, Respondent has been a former [sic]
employee for the Department of Community and Economic Development 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. §
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 [a] Statements [sic] of Financial Interests for
calendar year(s) 1999 with the State thics Commission [sic], which Statements [sic]
of Financial Interests were [sic] to be filed by May 1 of 2000, 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 [an] accurate and complete Statements [sic] of Financial Interests for calendar
year(s) 1999 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file [a] Statements [sic] of Financial Interests for calendar year(s)
1999 so as to comply with the specific requirements of the Ethics Law. ...
6. By Notice letter dated October 23, 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 [an] accurate and complete Statements [sic] of Financial Interests for calendar
year(s) 1999 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file [a] Statements [sic] of Financial Interests for calendar year(s)
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 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
$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 one (1) violation alleged herein, Respondent is subject to total maximum
civil penalty liability of $250.00 for said violation.
Segal, 02 -015 -P
Page 3
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 an employee of the Department of Community and Economic Development,
Respondent Lawrence Segal was at all times relevant to these proceedings a "public
employee" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics
Act'), 65 Pa.C.S. §1101, et seq.
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 of each year that he held his
position. In addition, Respondent, as a former public employee, was specifically required to file
a Statement of Financial Interests by May 1 of the year after he left his public position.
Specifically, Respondent, as a former public employee, was required to file a Statement of
Financial Interests for calendar year 1999 with the Department of Community and Economic
Development on or before 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 Lawrence Segal as an employee of the
Department of Community and Economic Development 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
(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.
Segal, 02 -015 -P
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 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 Lawrence Segal, as a former public employee, failed to
comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §1104(a), when he failed to file a
Statement of Financial Interests for calendar year 1999 with the Department of Community
and Economic Development.
We hereby levy one civil penalty against Respondent Lawrence Segal at the rate of
Twenty -Five Dollars ($25.00) per day, for each day Respondent's Statement of Financial
Interests for calendar year 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 Two - Hundred and Fifty Dollars ($250.00).
Respondent shall be ordered to make payment of the above civil penalty in the amount
of $250.00 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 a complete and accurate Statement of Financial
Interests for calendar year 1999 with the Department of Community and Economic
Development, and return a time - stamped copy of 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. Lawrence Segal, as an employee of the Department of Community and Economic
Development, was at all times relevant to these proceedings a "public employee"
subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "),
65 Pa.C.S. §1101 et seq
2. Respondent, as a former ublic employee, failed to comply with Section 1104(a) of the
Ethics Act, 65 Pa.C.S. §1104(a), when he failed to file a Statement of Financial
Interests for calendar year 1999 with the Department of Community and Economic
Development.
3. Notice of the delinquency of Respondent's Statement of Financial Interests for
calendar year 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 total
amount of $250.00 is warranted.
IN RE: Lawrence Segal
Respondent
File Docket: 02 -015 -P
Date Decided: 5/2/02
Date Mailed: 5/16/02
ORDER NO. 150 -S
1. Lawrence Segal, as a former public employee, failed to comply with Section 1104(a) of
the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1104(a), when
he failed to file a Statement of Financial Interests for calendar year 1999 with the
Department of Community and Economic Development.
2. This Commission hereby levies one civil penalty against Respondent Lawrence Segal
at the rate of Twenty -Five Dollars ($25.00) per day for each day Respondent's
Statement of Financial Interests for calendar year 1999 has remained delinquent, fora
total civil penalty of Two - Hundred and Fifty Dollars ($250.00). Respondent is ordered
to pay the said civil penalty in the total amount of $250.00 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 Lawrence Segal is ordered to file a complete and accurate Statement of
Financial Interests for calendar year 1999 with the Department of Community and
Economic Development, and return a time- stamped copy of 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,
LOUIS W. FRYMAN, CHAIR