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In Re: Bernard Mingo,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
File Docket:
X-ref-
Date Decided
Date Mailed:
9/23/20
9/30/20
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
FACSIMILE: 717-787-0806
WEBSITE: www,ethigs.pa.gov
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 1104 and 1105 of the Public Official and Employee Ethics Act
(""Ethics Act"), 65 Pa. C. S. § 1101 et §eq.
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 by the Respondent; a
hearing was not requested. A Stipulation of Findings and a Consent Ag reement were
subsequently submitted by the parties to the Commission for consideration. The
Stipulated Findings are set forth as the Findings in this Order. The Consent Agreement
has been approved.
1. FINDINGS:
1 Respondent Bernard Mingo ("Respondent is an adult individual who resides or
maintains a mailing address at [address redacted].
2. At all times relevant to these proceedings, Respondent has been an Insurance
Company Examiner 2 with the Pennsylvania Department of Insurance, 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, is subject to the Statement of Financial
Interests filing provisions of the Ethics Act.
4. Respondent failed to timeliy provide full financial disclosure as required by the
Ethics Act. Respondent failed to timely file a Statement of Financial Interests for
calendar year 2018, which [Statement of Financial Interests was to be filed] by May
1, 2019. Kespondent has therefore violated Sections 1104 and 1105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated September 24, 2019, 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 2018 within twenty (20) days of the date of the Notice Letter.
Respondent failed and/or otherwise refused to file a Statement of Financial
Interests for calendar year 2018 so as to comply with the specific requirements of
MMing_o, 20-009-P
Page 2
the Ethics Act.
By Notice Letter dated October 30, 2019, 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 civil penalty
proceedings by filing an accurate and complete Statement of Financial Interests
for calendar year 2018 so as to comply with the specific requirements of the Ethics
Act.
Respondent failed to file his Statement of Financial Interests for calendar year
2018 with the State Ethics Commission by the deadlines imposed in the Notice
Letters.
Respondent filed his Statement of Financial Interests with the State Ethics
Commission on January 23, 2020.
IL DISCUSSION.
As an Insurance Company Examiner 2 for the Pennsylvania Department of
Insurance ("Department of Insurance"), Bernard Mingo ("Mingo') was at all times relevant
to these proceedings a "public employee 1) 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, Mingo was specifically required to
file a Statement of Financial Interests for calendar year 2018 with the Department of
Insurance on or before May 1, 2019. 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 Mingo as an Insurance Company
Examiner 2 for the Department of Insurance 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
Mingo, 20-009-P
Page 3
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 Mingo for the delinquent Statement
of Financial Interests for calendar year 2018.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Mingo 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 Mingo by
filing with this Commission and serving upon him a Petition for Civif Penalties. The
Commission Chair issued an Order to Show Cause, ordering Mingo to show cause why
a civil penalty should not be levied against him. The parties thereafter filed a Stipulation
of Findings and Consent Agreement.
The parties propose that this case be resolved by: this Commission finding that
Mingo failed to timelyfile a Statement of Financial Interes�1)
s for the 2018 calendar year in
compliance with Section 1104(a) of the Ethics Act; (2) Mingo making payment of a civil
penalty in the amount of $150.00 in settlement of this matter by way of monthly payments
of no less than $25.00 each for a period of six months, with each such paymen# made by
forwarding to this Commission a certified check or money order in the amount of no less
than $25%to payable to the Commonwealth of Pennsylvania, and with the first such
payment due within thirty days of the issuance of the final adjudication in this matter; and
(3) Mingo filing a complete and accurate Statement of Financial Interests for calendar
year 2018 within thirty days of the issuance of the final adjudication in this matter.
We believe that the Consent Agreement sets forth a proper disposition for this
case, based upon our review of the totality of the facts and circumstances. Accordingly,
we approve the Consent Agreement that has been submitted by the parties.
We hereby find that Mingo, as an Insurance Company Examiner 2 for the
Department of Insurance, failed to timely file a Statement of Financial Interests for the
2018 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Mingo in the total amount of $150,00 for Mingo's delinquent Statement of Financial
Interests for calendar year 2018.
Per the Consent Agreement of the parties, Mingo shall be ordered to make
payment of the aforesaid civil penalty in the total amount of $150.00 by way of monthly
payments of no less than $25.00 each for a period of six months, with each such payment
to be made by forwarding to this Commission a certified check or money order in the
amount of no less than $25.00 payable to the Commonwealth of Pennsylvania, for deposit
in the State Treasury, and with the first such payment to be due by no later than the
thirtieth (301h) day after the mailing date of this adjudication and Order.
To the extent he has not already done so, Mingo shall be ordered to file a complete
and accurate Statement of Financial Interests for calendar year 2018 with the Department
of Insurance by no later than the thirtieth (30t") day after the mailing date of this
Mingo, 20-009-P
Page 4
adjudication and Order, with one copy forwarded to this Commission for compliance
verification purposes.
Ill. CONCLUSIONS OF LAW:
1. As an Insurance Company Examiner 2 for the Pennsylvania Department of
Insurance, Bernard Mingo (' Mingo") 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 ,qq.
2. Mingo, as an Insurance Company Examiner 2 for the Pennsylvania Department of
Insurance, failed to timely file a Statement of Financial Interests for the 2018
calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a).
3. Notice of the delinquency of Mingo's Statement of Financial Interests for calendar
year 2018 was previouslyy served uppon 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 $150.00 is warranted.
2.
Bernard Mingo, File Docket: 20-009-P
Respondent Date Decided: 9123/20
Date Mailed: 9/30/20
ORDER NO. 664-S
Bernard Mingo ("Mingo"), as an Insurance Company Examiner 2 for the
Pennsylvania Department of Insurance, failed to timely file a Statement of
Financial Interests for the 2018 calendar year in compliance with Section 1104(a)
of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Mingo in the total amount of $150.00 for Mingo`s delinquent Statement of Financial
Interests for calendar year 2018.
Per the Consent Agreement of the parties, Mingo is ordered to make payment of
the aforesaid civil penalty in the total amount of $150.00--by way of monthl
payments of no less than $25.00 each for a period of six months --as follows:
each such payment shall be made by forwarding to this Commission a certified
check or money order in the amount of no less than $25.00 payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury; and (2) the first
such payment shall be due by no later than the thirtieth (30th) day after the mailing
date of this Order.
To the extent he has not already done so, Mingo is ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2018 with the
Pennsylvania Department of Insurance by no later than the thirtieth (30th) day after
the mailing date of this Order, with one copy forwarded to this Commission for
compliance verification purposes.
Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of
an appropriate enforcement action.
:'T?% E C 01Y i I S S 10R, fI