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In Re: Mark Jeannette,
Respondent
File Docket:
X-ref:
Date Decided
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: Wwwathics,pa.gov
19-020-P
Order No. 663-S
9123120
9,/30/20
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Ro er Nick
Meyanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication of the State Ethics Commission as to the alleped
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 §gq.
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 filed and a hearing
was held. The record is complete.
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
[address redacted], hereinafter referred to as "the Harrisburg Address."
2. At all times relevant to these proceedings, Respondent has been an
Administrative Officer 2 with the Pennsylvania Department of Community and
Economic Development, and as such, Respondent has at all times relevant to
these proceedings been a "public employee" as defined in Section 1102 of the
Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent as a public employee has been subject to the Statement of Financial
Interests filing provisions of the Ethics Act.
4. Respondent failed to file a Statement of Financial Interests for calendar year
2017 by May I of 2018,
5. Lori Garvin ("Ms. Garvin") is employed with the Governor's Office of
Administration.
a. Ms. Garvin administers the financial disclosure program for the Governor's
Office of Administration,
b. The Pennsylvania HR Service Center sent Respondent, a letter dated
February 8, 2018, which advised Respondent of his requirement to file a
Statement of Financial Interests for calendar year 2017 by May 1, 2018.
(ID 2).
1. The February 8, 2018, letter informed Respondent that a Statement
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of Financial Interests could be filed online via the State Ethics
Commission's website at www.ethics. a. ov and that Respondent
could call the State Ethics Commission at 17-783-1610 or 800-
932-0936 if he had any procedural questions.
2. The February 8, 2018, letter was forwarded to Respondent at the
Harrisburg Address.
3. Respondent did not file a Statement of Financial Interests for
calendar year 2017 in response to the February 8, 2018, letter from
the Pennsylvania HR Service Center.
C. The Governor's Office of Administration sent Respondent a letter dated
June 15, 2018, which notified Respondent that by virtue of the work he
performed for the Commonwealth in calendar year 2017, he was required
to disclose certain financial information. (ID 3).
The June 15, 2018, letter informed Respondent that a Statement of
Financial Interests could be filed online via the State Ethics
Commission's website at www.ethics.pa.gov and that Respondent
could call the State Ethics ommission at 17-783-1610 or 800-
932-0936 if he had any procedural questions
2. The June 15, 2018, letter was mailed to Respondent at the
Harrisburg Address.
3. Respondent did not file a Statement of Financial Interests for
calendar year 2017 in response to the June 15, 2018, letter from
the Governor's Office of Administration.
6. Jessica Wenger ("Ms. Wenger") is employed with the State Ethics Commission.
a. Ms. Wenger serves as the Statement of Financial Interests Compliance
Manager for the State Ethics Commission.
b. The Governor's Office of Administration provides the State Ethics
Commission with list(s) of Commonwealth employees who failed to file
Statements of Financial Interests.
C. The State Ethics Commission issued a Notice of Intent to Commence Civil
Penalty Proceedings ("Notice letter") dated November 13, 2018, to
Respondent, notifying him of his failure to file a Statement of Financial
Interests for calendar year 2017. (ID 4-1 — ID 4-2).
1. The November 13, 2018, Notice letter was forwarded to
Respondent at the Harrisburg Address by U.S. mail and was not
returned to the State Ethics Commission by the U.S. Postal
Service.
d. The State Ethics Commission issued a Final Notice letter dated January
22, 2019, to Respondent, notifying him of his failure to file a Statement of
Financial Interests for calendar year 2017. (ID 5-1 -- ID 5-2).
The January 22, 2019, Final Notice letter was forwarded to
Respondent at the Harrisburg Address by Certified Mail, Return
Receipt Requested.
2. The Domestic Return Receipt for the Final Notice letter bore an
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alegible signature with a delivery date of January 25, 2019. (ID 5-
3. Tracking history obtained from the U.S. Postal Service for the
tracking number for the Final Notice letter provides that the Final
Notice letter was delivered to an individual in Harrisburg,
Pennsylvania, at 12:29 p.m. on January 25, 2019. (ID 5-5).
4. On January 28, 2019, the State Ethics Commission received the
Domestic Return Receipt for the Final Notice letter. (ID 5-3 — ID 5-
4).
7. April H. Duncan ("Ms. Duncan") is employed as the Assistant Property Manager
of the apartment building ("Apartment Building") in which Respondent resides at
the Harrisburg Address.
a. Employees who work at the Apartment Building do not sign for certified
mail for residents of the Apartment Building.
8. ID 4-1 — ID 4-2 consists of the Notice letter dated November 13, 2018, from the
Executive Director of the State Ethics Commission to Respondent, which notified
Respondent of his failure to file a Statement of Financial Interests for calendar
year 2017 and provided Respondent an opportunity to avoid the institution of civil
penalty proceedings by filin a complete and accurate Statement of Financial
Interests for calenddar year 2 17 within twenty (20P days of the date of the Notice
letter. Respondent did not file a Statement of inancial Interests for calendar
2017 within the 20-day grace period provided by the November 13, 2018, Notice
letter.
9. ID 5-1 — ID 5-2 consists of the Final Notice letter dated January 22, 2019, from
the Executive Director of the State Ethics Commission to Respondent, which
notified Respondent of his failure to file a Statement of Financial Interests for
calendar year 2017 and provided Respondent an opportunity to avoid the
institution of civil penalty proceedings by filin a complete and accurate
Statement of Financial Interests for calendar year T017 within twenty (20) days of
the date of the Final Notice letter. Respondent did not file a Statement of
Financial Interests for calendar 2017 within the 20-day grace period provided by
the January 22, 2019, Final Notice letter.
10. On May 6, 2019, the Investigative Division filed with the State Ethics Commission
a Petition for Civil Penalties against Respondent, alleging that Respondent failed
to file a Statement of Financial Interests for calendar year 2017, which Statement
of Financial Interests was to be filed by May 1 of 2018.
11. On May 14, 2019, the Chair of the State Ethics Commission issued an Order to
Show Cause, ordering Respondent to show cause why a civil penalty should not
be levied against him.
a. The Order to Show Cause was forwarded to Respondent at the Harrisburg
Address.
12. On June 28, 2019, Respondent filed a Statement of Financial Interests with the
State Ethics Commission. (ID 7-5).
a. The Statement of Financial Interests did not identify the calendar year for
which the Statement of Financial Interests was filed.
13. On June 28, 2019, Respondent filed an Answer in the form of a "Response to
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Rule to Show Cause," in which Respondent asserts that: (1) he had previously
been asked by the Commonwealth to complete a different and inapplicable form,
and he had no objection to completing a Statement of Financial Interests; (2) he
did not receive the November 13, 2018, Notice letter; (3) he did not receive the
January 22, 2019, Final Notice letter; (4) he would not have been at the
Harrisburg Address but would have been at his business when the Final Notice
letter was delivered to the Harrisburg Address; (5) the signature on the Domestic
Return Receipt for the Final Notice letter is illegible and is not his signature; (6)
the Domestic Return Receipt for the Final Notice letter does not contain the
printed name of the recipient and does not indicate whether the signature on the
Domestic Return Receipt is that of the addressee or an aggent; (7) he was not
served with notice of the delinquency of his Statement of Financia he
for
calendar year 2017; and (8) the Statement of Financial Interests for calendar
year 2017 has now been completed, and a penalty is not appropriate.
In his Answer, Respondent stated that "If the matter is not dismissed
without penalty, a hearing is requested." (Answer, at 2).
14. A Notice of Hearing was issued on January 23, 2020, notifying Respondent and
the Investigative Division that the State Ethics Commission would conduct a
hearing in this matter on February 6, 2020, at which time the parties would be
provided an opportunity to be heard and to present evidence.
15. Although Respondent did not attend the hearing that was held in this matter on
February 6, 2020, he was represented by counsel at the hearing.
a. Respondent's counsel presented no witnesses or other evidence at the
hearing.
16. 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).
17. For each violation the State Ethics 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 alleed herein,
Respondent could be subject to total maximum civil penalty liability of 9250.00.
18. The Investigative Division asserts that there are no mitigating circumstances in
this case and that Respondent should be assessed the maximum civil penalty of
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$250.00, in that the twenty -day deadline set forth in the said final Notice letter to
Respondent expired without Respondent complying.
ll. DISCUSSION:
As an Administrative Officer 2 for the Pennsylvania Department of Community
and Economic Development ("Department of Community and Economic Development"),
Mark Jeannette ("Jeannette") 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 seg.
Pursuant to Section 1104(a) of the Ethics Act, Jeannette was specifically
required to file a Statement of Financial Interests for calendar year 2017 with the
Department of Community and Economic Development on or before May 1, 2018.
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 dear 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 Jeannette as an Administrative Officer 2
for 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 1107(5) of the Ethics Act provides, in pertinent part, as follows:
§ 1107. Powers and duties of commission
In addition to other powers and duties prescribed by law, the commission
shall:
(5) Inspect statements of financial interests which have been filed
in order to ascertain whether any reporting person has failed to file such a
statement or has filed a deficient statement. If, upon inspection, it is
determined that a reporting person has failed to file a statement of
financial interests or that any statement which has been filed fails to
conform with the requirements of section 1105 (relating to statement of
financial interests), then the commission shall in writing notify the person.
Such notice shall state in detail the deficiency and the penalties for failure
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to file or for filing a deficient statement of financial interests.
65 Pa. C.S. § 1107(5).
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 ma ority vote of its members, levy a civil
penalty upon any person subject o 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).
Procedurally, in accordance with Section 1107(5) of the Ethics Act, the
Investigative Division of the State Ethics Commission sent a Notice of Intent to
Commence Civil Penalty Proceedings (Notice lettVatement
dated November 13, 2018, to
Jeannette, stating that Jeannette had failed to file a of Financial Interests for
calendar ye2017. The Notice letter provided Jeannette an opportunity to avoid the
institution of ar civil penalty proceedings by filing an accurate and complete Statement of
Financial Interests for calendar year 2017 within twenty (20) days of the date of the
Notice letter. Jeannette did not file a Statement of Financial Interests within such 20-
day grace period.
A Final Notice letter dated January 22, 2019, containing the same substantive
information as the first Notice letter, and providing another 20-day grace period for filing
the delinquent Statement of Financial Interests, was sent to Jeannette. Once again,
Jeannette did not file a Statement of Financial Interests within the 20-day grace period.
On May 6, 2019, the Investigative Division instituted formal proceedings against
Jeannette by filing with the State Ethics Commission a Petition for Civil Penalties, which
was subsequently served upon Jeannette. On May 14, 2019, the Commission Chair
issued an Order to Show Cause, ordering Jeannette to show cause why a civil penalty
should not be levied against him.
On June 28, 2019, Jeannette filed a Statement of Financial Interests with the
State Ethics Commission that did not indicate the calendar year for which the Statement
of Financial Interests was filed. Jeannette also filed an Answer in the form of a
"Response to Rule to Show Cause," asserting that: (1) he had previously been asked by
the Commonwealth to complete a different and inapplicable form, and he had no
objection to completing a Statement of Financial Interests; (2) he did not receive the
November 13, 2018, Notice letter; (3) he did not receive the January 22, 2019, Final
Notice letter; (4) he would not have been at the Harrisburg Address but would have
been at his business when the Final Notice letter was delivered to the Harrisburg
Address; (5) the signature on the Domestic Return Receipt for the Final Notice letter is
illegible and is not his signature; (6) the Domestic Return Receipt for the Final Notice
letter does not contain the printed name of the recipient and does not indicate whether
the signature on the Domestic Return Receipt is that of the addressee or an agent; (7)
he was not served with notice of the delinquency of his Statement of Financial Interests
for calendar year 2017; and (8) the Statement of Financial Interests for calendar year
2017 has now been completed, and a penalty is not appropriate.
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At the request of Jeannette, a hearing was held in this matter on February 6,
2020. Although Jeannette did not attend the hearing, he was re resented by counsel at
the hearing. Jeannette's counsel presented no witnesses or other evidence in support
of Jeannette's assertion that he did not receive the Notice letter and the Final Notice
letter.
The Investigative Division has filed a Brief and Closing Statement arguing that
there are no mitigating circumstances in this case and that Jeannette should be
assessed a civil penalty in the amount of $250.00 for failing to timely file a Statement of
Financial Interests for calendar year 2017 with the Department of Community and
Economic Development.
Jeannette has filed a Brief and Closing Statement, in which he asserts that there
are mitigating circumstances in this case. Specifically, Jeannette asserts that: (1) two
years after his Commonwealth employment ended, the Investigative Division initiated
proceedings to compel him to file a Statement of Financial Interests; (2) there is no
evidence that the Commonwealth ever asked him to file a Statement of Financial
Interests during the course of his Commonwealth employment, and the only form the
Commonwealth ever asked him to file was a different and inapplicable form which would
have wrongful) required financial disclosures regarding his business; (3) he does not
challenge that �e had a duty to file a Statement of Financial Interests once he received
notice that the Ethics Act required him to file the form; (4) he does not dispute that the
Notice letter and the Final Notice letter were mailed to him, but he disputes that the
Notice letter and the Final Notice letter were received by him; (5) he operated a
business and would not have been at his residence when regular or certified mail was
delivered, and someone other than him signed the Domestic Return Recei t for the
Final Notice letter; and (6) he did not receive notice that he was requiretofile a
Statement of Financial Interests for calendar year 2017 until he received the Petition for
Civil Penalties, at which time he promptly filed the form. Jeannette further asserts that a
civil penaltyy is not warranted because his business/proprietorship has been closed due
to the COV1D-19 pandemic and these times are an economic hardship for everyone.
Pursuant to Section 1109(f) of the Ethics Act, this Commission may levy a
maximum civil penalty against Jeannette for the delinquent Statement of Financial
Interests for calendar year 2017. Although we may consider mitigating factors when
exercising our discretion to levy civil penalty(ies), see, State Ethics Commission
Resolution No. 91-002, there is no evidence of record w-h ch would tusti y t e imposition
of a lesser civil pena ty. Jeannette's assertion that he was not properly served with
notice of the delinquency of his Statement of Financial Interests for calendar year 2017
is unsupported. There is nothing of record that would constitute a defense or excuse for
Jeannette's failure to comply with the Ethics Act. To the extent that Jeannette contends
that the levying of a civil penalty against him would constitute an economic hardship, his
contention is unsupported.
We find that Jeannette, as an Administrative Officer 2 for the Department of
Community and Economic Development, failed to comply with Section 1104(a) of the
Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of Financial
Interests for calendar year 2017 with the Department of Community and Economic
Development.
We hereby levy one maximum civil penalty against Jeannette at the rate of
Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial Interests
for calendar year 2017 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 Jeannette is Two Hundred and Fifty Dollars ($250.00).
Jeannette shall be ordered to make payment of the above civil penalty in the
amount of $250.00 by no later than the thirtieth (30{") day after the mailing date of this
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adjudication and Order, by forwarding a check to this Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
Jeannette shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2017 with the Department of Community and Economic
Development by no later than the thirtieth (30th) 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. Mark Jeannette ("Jeannette"), as an Administrative Officer 2 for the Pennsylvania
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. Jeannette, as an Administrative Officer 2 for the Pennsylvania Department of
Community and Economic Development, failed to comply with Section 1104(a) of
the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of
Financial Interests for calendar year 2017 with the Pennsylvania Department of
Community and Economic Development.
3, Notice of the delinquency of Jeannette's Statement of Financial Interests for
calendar year 2017 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: Mark Jeannette, File Docket: 19-020--P
Respondent Date Decided: 9123/20
Date Mailed: 9/30/20
ORDER NO. 663-S
Mark Jeannette "Jeannette"), as an Administrative Officer 2 for the Pennsylvania
Department of ommunity and Economic Development, failed to comply with
Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. §
1104(a), when he failed to timely file a Statement of Financial Interests for
calendar year 2017 with the Pennsylvania Department of Community and
Economic Development.
2. This Commission hereby levies one maximum civil penalty against Jeannette at
the rate of Twenty -Five Dollars ($25.00) pper day for each day his Statement of
Financial Interests for calendar year 2017 has remained delinquent, for a total
civil penalty of Two Hundred and Fifty Dollars ($250.00). Jeannette is ordered to
pay said civil penalty in the total amount of $250.00 by no later than the thirtieth
2hics
0th) day after the mailing date of this Order, by forwarding a check to the State
Commission made payable to the Commonwealth of Pennsylvania, for
deposit in the State Treasury.
3. Jeannette is ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2017 with the Pennsylvania Department of
Community and Economic Development by no later than the thirtieth (30th) 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,