HomeMy WebLinkAbout132-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).
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
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$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:
§ 411104. 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 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:
§ 911109. 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
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Page 4
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 Authorit , 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 199 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.
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
Augustine 01 -018 -P
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Borough Sanitary Authority.
3. Notice of the delinquenc y 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 ears 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