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HomeMy WebLinkAbout836-S, SmithPHONE: 717-783-1610 TOLL FREE: 1-800-932-0936 In Re: Nathan Smith, Respondent .;fly qi- STATE ETHICS COMMISSION FINANCE BUILDING 613 NORTH STREET, ROOM 309 HARRISBURG, PA 17120-0400 File Docket: Order No. Date Decided: Date Mailed: 25-025-P 836-S 1/14/26 1/15/26 Before: Michael A. Schwartz, Chair David L. Reddecliff, Vice Chair Paul E. Parsells Robert P. Caruso FACSIMILE: 717-787-0806 WEBSITE: www.ethics.ga.gov This 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 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 an Order to Show Cause and a Petition for Civil Penalties. An Answer was not filed by the Respondent, and a hearing was deemed waived. A Motion to Deem Facts Admitted and Enter Default was filed. The Motion was granted. The record is complete. The Findings in this Order are derived from the Order to Show Cause and the Petition for Civil Penalties filed by the Investigative Division. I. FINDINGS: Respondent is an adult individual who resides or maintains a mailing address at [address redacted]. 2. Respondent is a Narcotics Agent with the Attorney General, and as such, Respondent has at all times relevant to these proceedings been a "public official" or "public employee" as defined in Section 1102 of the Ethics Act, 65 Pa. C.S. § 1102. 3. Respondent as a public official or public employee is subject to the Statement of Financial Interests filing provisions of the Ethics Act. COUNT ONE 4. Paragraphs 1 through 3 are incorporated by reference. inith, 25-025-P Page 2 5. Section 1104 of the Ethics Act requires all public officials and public employees to file a Statement of Financial Interests by no later than May 1 of each year that the public official or public employee holds such position and the year after they leave such position. 65 Pa.C.S. § 1104. 6. Section 1105 of the Ethics Act lists the information required to be filed on the Statement of Financial Interests. 65 Pa.C.S. § 1105. 7. Respondent has failed to provide Rill financial disclosure as required by the Ethics Act. Specifically, Respondent has failed to file a Statement of Financial Interests for calendar year 2023, which Statement of Financial Interests was to be filed by May 1 of 2024, and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. By Notice letter dated June 12, 2024, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegation against Respondent concerning the above transgression. 65 Pa.C.S. § 1107. 9. 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 2023 within twenty (20) days of the date of the Notice letter. 10. Respondent failed to file a Statement of Financial Interests for calendar year 2023 within twenty (20) days of the date of the Notice letter so as to comply with the specific requirements of the Ethics Act. 11. By letter dated July 3, 2024, Respondent was served with a second correspondence titled "Final Notice" of the specific allegations against Respondent concerning the above transgression. 12. Said second correspondence titled "Final Notice" again 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 2023 within twenty (20) days of the date of the second correspondence titled "Final Notice." 13, Respondent has failed and refused to file a Statement of Financial Interests for calendar year 2023 so as to comply with the specific requirements of the Ethics Act. PENALTIES 14, Section I I09(f) of the Ethics Act provides: § 1109. Penalties (1) Civil penalty. --In addition to any other civil remedy or criminal penalty provided for in this chapter, the Smith, 25-025-P Page 3 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). 15. 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. 16. Because Respondent has committed one violation alleged herein, Respondent is subject to total maximum civil penalty liability of $250.00. 17. 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 second correspondence titled "Final Notice" to Respondent has expired and the Respondent has not complied. II. DISCUSSION: As a Narcotics Agent with the Attorney General, Nathan Smith ("Smith") 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 S�Mf, . Pursuant to Section 1104(a) of the Ethics Act, Smith was specifically required to file a Statement of Financial Interests for calendar year 2023 with the Attorney General on or before May 1, 2024. 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 Iaer 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 Smith, 25-025-P Page 4 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 fiill-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 Smith as a Narcotics Agent with the Attorney General 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. 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 Smith for the delinquent Statement of Financial Interests for calendar year 2023. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Smith 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 Smith by filing with the State Ethics Commission and serving upon Smith an Order to Show Cause and a Petition for Civil Penalties, ordering Smith to show cause why a civil penalty should not be levied against him. Smith did not file an answer to the Order to Show Cause. A default judgment was entered against Smith. There is nothing of record that would constitute a defense or excuse for Smith's failure to comply with the Ethics Act. Smith has failed to show cause why a civil penalty should not be levied against him in this matter. We find that Smith, as a Narcotics Agent with the Attorney General, 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 2023 with the Attorney General. We hereby levy one maximum civil penalty against Smith at the rate of Twenty -Five 5mb, 25-025-P Page 5 Dollars ($25.00) per day for each day the Statement of Financial Interests for calendar year 2023 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 Smith is Two Hundred and Fifty Dollars ($250.00). Smith shall be ordered to make payment of the above civil penalty in the amount of $250.00 by no later than the thirtieth (30'h) day after the mailing date of this adjudication and Order, by utilizing the Commission's electronic payment system or by forwarding to this Convnission a check made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. Smith shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 2023 with the Attorney General by no later than the thirtieth (30t11) day after the mailing date of this adjudication and Order, with one copy forwarded to this Commission for compliance verification purposes. 111. CONCLUSIONS OF LAW: 1. Nathan Smith ("Smith"), as a Narcotics Agent with the Attorney General, 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. Smith, as a Narcotics Agent with the Attorney General, 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 2023 with the Attorney General. 3. Notice of the delinquency of Smith's Statement of Financial Interests for calendar year 2023 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: Nathan Smith, File Docket: 25-025-P Respondent Date Decided: 1/14/26 Date Mailed: 1/15/26 ORDER NO.836-S 1. Nathan Smith ("Smith"), as a Narcotics Agent with the Attorney General, failed to comply with Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa. C.S. § I I04(a), when he failed to file a Statement of Financial Interests for calendar year 2023 with the Pennsylvania Attorney General. 2. This Commission hereby levies one maximum civil penalty against Smith at the rate of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar year 2023 has remained delinquent, for a total civil penalty of Two Hundred and Fifty Dollars ($250.00). Smith is ordered to pay said civil penalty in the total amount of $250.00 by no later than the thirtieth (30t") day after the mailing date of this Order, by utilizing the Commission's electronic payment system or by forwarding to the Pennsylvania State Ethics Commission a check made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. 3. Smith is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2023 with the Pennsylvania Attorney General by no later than the thirtieth (301h) 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, Michael A. Schwartz, Chair