HomeMy WebLinkAbout169-S CavicchiaIn Re: Anthony Cavicchia
File Docket: 03 -020 -P
X -ref: Order No. 169 -S
Date Decided: 9/15/03
Date Mailed: 9/29/03
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Daneen E. Reese
Frank M. Brown
Donald M. McCurdy
Michael Healey
Paul M. Henry
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).
Cavicchia 03 -020 -P
Page 2
I. FINDINGS:
1. Respondept is an adult individual who resides or maintains a mailing address at 12
South 23 Street, Philadelphia, PA 19103.
2. At all times relevant to these proceedings, Respondent has been a Construction
Manager for the Philadelphia Housing 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.
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) 2001 with the State Ethics Commission, which Statements [sic] of
Financial Interests were [sic] to be filed by May 1 of 2002. Also, Respondent filed a
deficient Statement of Financial Interests for calendar year 2000. Respondent has
therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. §1104,1105.
5. By Notice letter dated December 18, 2002, 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)
2000 and 2001 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)
2000 and 2001 so as to comply with the specific requirements of the Ethics Law... .
6. By Notice letter dated February 4, 2003, 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)
2000 and 2001 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)
2000 and 2001 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
Cavicchia 03 -020 -P
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deficient, for a maximum civil penalty of $250.00 per violation. Because Respondent
has committed two (2) violations alleged herein, Respondent is subject to [a] 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 $500.00 for two violations, 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 a Construction Manager for Philadelphia Housing Authority, Anthony Cavicchia 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, Anthony Cavicchia was specifically
required to file accurate and complete Statements of Financial Interests for calendar years
2000 and 2001 with the State Ethics Commission on or before May 1, 2001 and May 1, 2002.
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 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 Anthony Cavicchia, as Construction Manager
for the Philadelphia Housing Authority, 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.
Cavicchia 03 -020 -P
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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 Anthony Cavicchia, as Construction Manager for the Philadelphia
Housing Authority, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S.
§1104(a), when he failed to file accurate and complete Statements of Financial Interests for
calendar years 2000 and 2001, that is, failed to file for the calendar year 2001 and filed a
deficient SFI for the calendar year 2000.
We hereby levy one civil penalty against Anthony Cavicchia at the rate of Twenty -Five
Dollars ($25.00) per day, for each day Respondent's Statement of Financial Interests for
calendar years 2000 and 2001 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 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 2000 and 2001 with this Commission within 30 days of the
issuance of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. Anthony Cavicchia as Construction Manager for the Philadelphia Housing Authority,
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. Anthony Cavicchia, as Construction Manager for the Philadelphia Housing Authority,
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 years 2001 and filed a
deficient Statement of Financial Interests for the calendar year 2000.
3. Notice of the delinquency of Respondent's Statements of Financial Interests for
calendar years 2000 and 2001 was previously served upon Respondent in accordance
with Section 1107(5) of the Ethics Act, 65 Pa.C.S. §1107(5).
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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: Anthony Cavicchia
Respondent
File Docket: 03 -020 -P
Date Decided: 9/15/03
Date Mailed: 9/29/03
ORDER NO. 169 -S
1. Anthony Cavicchia, as Construction Manager for the Philadelphia Housing Authority,
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 the calendar year 2001 and filed a deficient Statement of Financial
Interests for the calendar year 2000.
2. This Commission hereby levies one civil penalty against Respondent Anthony
Cavicchia at the rate of Twenty -Five Dollars ($25.00) per day for each day
Respondent's Statements of Financial Interests for calendar years 2000 and 2001
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 Anthony Cavicchia is ordered to file a complete and accurate Statement of
Financial Interests for calendar year 2001 and an amended Statement of Financial
Interests for calendar year 2000 correcting such filing deficiencies within 30 days of
issuance of this Order. The originals are to be filed with the Philadelphia Housing
Authority with copies filed with the State Ethics Commission for compliance verification
purposes.
4. Failure to comply with paragraphs 2 and 3 of this Order will result in the initiation of an
order enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair