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In Re: Nate Rivera,
Respondent
STAI'El ETI-IICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
FIARRISBURG, IDA'17120 0400
File Docket:
Order No.
Date Decided:
Date Mailed:
22-022-P
746-S
12/14/22
12/16/22
Before: Shelley Y. Simms, Acting Chair
Rhonda Hill Wilson
Paul E, Parsells
David L. Reddecliff
FACSIMILE: 717-787-0806
VVEBSITE:
"Mis is a final adjudication of the Pennsylvania 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 11 O'5 of the Public Official and Employee Ethics Act ("Ethics Act"), 65
Pa. C. S,. § I 10 1 et sue.
The Investigative Division initiated these proceedings by Filing with the State Ethics
Commission and serving upon Respondent a Petition for Civil Penalties. 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 derived from the Petition for Civil
Penalties, filed by the Investigative Division.
"NEENFUN01=1
I Respondent is an adult individual who resides or maintains a mailing address at [address
redacted].
2. During calendar year 2020, Respondent was a Redevelopment Authority Member and
Parking Authority Member for the City of Reading, and as such, Respondent has at all
times relevant to these proceedings been a "public official/public employee" as defined in
Section 1102 of the Ethics Act, 65 Pa,C,S, § 1102,
3. Respondent as a public official/public employee is subject to the Statement of Financial
Interests filing provisions of the Ethics Act.
4. Respondent has failed to provide full financial disclosure as required by the Ethics Act.
Respondent has failed to file a Statement of Financial Interests for Calendar year 2020,
which Statement of Financial Interests was to be filed by May I of 2021, and Respondent
has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa,GS, §§ 1104,
1105.
Rivera, 22-022-P
Page 2
5. By Notice letter dated February 18, 2022, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act 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 Statement of Financial Interests for calendar year 2020 within
twenty (20) days of the date of the Notice letter. Respondent has failed and refused to file
a complete Statement of Financial Interests for calendar year 2020 so as to comply with
the specific requirements of the Ethics Act.
6. By Notice letter dated March 31, 2022, Respondent was served with Notice in accordance
with Section 1107(5) of the Ethics Act 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
Statement of Financial Interests for calendar year 2020 within twenty (20) days of the date
of the Notice letter. Respondent has failed and refused to file a complete Statement of
Financial Interests for calendar year 2020 so as to comply with the specific requirements
of the Ethics Act.
7. Section 1109(f) of the Ethics Act provides:
§ 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.
65 Pa.C.S. § 1109(f).
For each violation the Commission finds, Respondent is subject to civil penalty liability
under Section 1109(f) of the Ethics Act, 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 violation alleged herein, Respondent is subject to total maximum civil
penalty liability of $250.00.
9. There are no mitigating circumstances and Respondent should be assessed the maximum
civil penalty of $250.00, in that the twenty -day deadline set forth in the said final Notice
Rivera, 22-022-P
Page 3
letter to Respondent has expired and the Respondent has not complied.
11. DISCUSSION:
As a Redevelopment Authority Member and Parking Authority Member for the City of
Reading, Nate Rivera ("Rivera") 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 Pa.C.S.
§ 1101 et M .
Pursuant to Section 1104(a) of the Ethics Act, Rivera was specifically required to file a
Statement of Financial Interests for calendar year 2020 with the City of Reading on or before May
1, 2021. 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 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 i 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 Rivera as a Redevelopment Authority Member
and Parking Authority Member for the City of Reading 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
Rivera, 22-022-P
Page 4
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(I) to this case establishes that this Commission has the
discretion to levy a maximum civil penalty against Rivera for the delinquent Statement of Financial
Interests for calendar year 2020.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied.
Rivera 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 Rivera by filing with the State Ethics Commission and serving upon
Rivera a Petition for Civil Penalties, The Commission Chair issued an Order to Show Cause,
ordering Rivera to show cause why a civil penalty should not be levied against him. Rivera did
not file an answer to the Order to Show Cause. There is nothing of record that would constitute a
defense or excuse for Rivera's failure to comply with the Ethics Act. Rivera has failed to show
cause why a civil penalty should not be levied against him in this matter.
We find that Rivera, as a Redevelopment Authority Member and Parking Authority
Member for the City of Reading, failed to comply with Section 1104(a) of the Ethics Act, 65
Pa.C.S. § I I04(a), when he failed to file a Statement of Financial Interests for calendar year 2020
with the City of Reading,
We hereby levy one maximum civil penalty against Rivera at the rate of Twenty -Five
Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar year 2020
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 Rivera is Two Hundred
and Fifty Dollars ($250.00).
Rivera shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30111) day after the mailing date 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.
Rivera shall be ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2020 with the City of Reading by no later than the thirtieth (30`E') day after the mailing
date of this adjudication and Order, with one copy forwarded to this Commission for compliance
verification purposes.
III. CONCLUSIONS OF LAW-
1. Nate Rivera ("Rivera"), as a Redevelopment Authority Member and Parking Authority
Member for the City of Reading, was at all times relevant to these proceedings a "public
official" subject to the provisions of the Public Official and Employee Ethics Act ("Ethics
Rivera, 22-022-P
Page 5
Act"), 65 Pa.C.S. § 1101 et seq.
2. Rivera, as a Redevelopment Authority Member and Parking Authority Member for the City
of Reading, failed to comply with Section I I04(a) of the Ethics Act, 65 Pa.C.S. § 1104(a),
when he failed to file a Statement of Financial Interests for calendar year 2020 with the
City of Reading.
3. Notice of the delinquency of Rivera's Statement of Financial Interests for calendar year
2020 was previously served upon him 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: Nate Rivera, File Docket: 22-022-P
Respondent Date Decided: 12/14/22
Date Mailed: 12/16/22
ORDER NO.746-S
Nate Rivera ("Rivera"), as a Redevelopment Authority Member and Parking Authority
Member for the City of Reading, 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 2020 with the City of Reading.
2. This Commission hereby levies one maximum civil penalty against Rivera at the rate of
Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial Interests for
calendar year 2020 has remained delinquent, for a total civil penalty of Two Hundred and
Fifty Dollars ($250.00). Rivera is ordered to pay said civil penalty in the total amount of
$250.00 by no later than the thirtieth (30"') day after the mailing date of this Order, by
forwarding a check to the Pennsylvania State Ethics Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
Rivera is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2020 with the City of Reading by no later than the thirtieth (30"') day after
the mailing date of this Order, with one copy forwarded to the Pennsylvania State Ethics
Commission for compliance verification purposes.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Shelley Y. Si Acting Chair