HomeMy WebLinkAbout741-S, RoccograndiM
PHONE: 717-783-1:1610 TAI'THICS COMMISSION
TOLL FREE: 1-800-932-0936 FINANCE BUILDING
613 NORTH STREE"I', ROOM 309
HARRISBURG, PA 17120-0400
In Re: Thomas J. Roccograndi, File Docket:
Respondent
Order No.
Date Decided
Date Mailed:
21-037-P
741-S
9/14/22
9/19/22
FACSMLE� 717-787-0806
WEBSR-E� -wAwqE�q;Lpg (My
Before: Mark R, Corrigan, Acting Chair
Shelley Y. Simms, Acting Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Rhonda Hill Wilson
Paul Parsells
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 1 105 of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101
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 filed, and a hearing was held. The record is complete.
1. FINDINGS:
I Respondent is an adult individual who resides or maintains a mailing address at 152
Lathrop Street, Kingston, PA 18704, hereinafter referred to as "152 Lathrop Street,"
2. At all times relevant to these proceedings, Respondent has been a Constable, and as such,
Respondent has at all times relevant to these proceedings been a "public official" as defined
in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
Respondent, as a public official, is 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 2019 with the
State Ethics Commission by May I of 2020.
Jessica Wenger ("Ms. Wenger") is currently employed as an Administrative Officer for the
State Ethics Commission, and she was previously employed as the Statement of Financial
Interests Compliance Manager for the State Ethics Commission.
Roccograndi, 21-037-P
Page 2
a. As the Statement of Financial Interests Compliance Manager, Ms. Wenger was
responsible for sending Notice letters to individuals who were required to file
Statements of Financial Interests but failed to do so by the May 1 filing deadline.
b. The State Ethics Commission issued a Notice of Intent to Commence Civil Penalty
Proceedings ("Notice letter") dated November 24, 2020, to Respondent, notifying
him of his failure to file a Statement of Financial Interests for calendar year 2019.
(ID-1).
The November 24, 2020, Notice letter was forwarded to Respondent at 152
Lathrop Street by First Class Mail and was not returned to the State Ethics
Commission by the U.S. Postal Service.
c. The State Ethics Commission issued a Final Notice letter dated December 14, 2020,
to Respondent, notifying him of his failure to file a Statement of Financial Interests
for calendar year 2019. (ID-2).
The December 14, 2020, Final Notice letter was forwarded to Respondent
at IS2 Lathrop Street by Certified Mail, Return Receipt Requested.
2. The Certified Mail receipt was marked "C19 Waiver" in lieu of a signature
pursuant to a temporary alteration of postal procedures by the U.S. Post
Office in response to the COVID-19 pandemic.
3. When the State Ethics Commission received the Certified Mail receipt
marked "C19 Waiver," the State Ethics Commission verified with the U.S.
Post Office that 152 Lathrop Street was a good address for Respondent.
(ID-3, ID-4).
6. ID-1 consists of the Notice letter dated November 24, 2020, 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 2019 and provided Respondent an
opportunity to avoid the institution of civil penalty proceedings by filing a complete and
accurate Statement of Financial Interests for calendar year 2019 within twenty (20) days
of the date of the Notice letter. Respondent did not file a Statement of Financial Interests
for calendar 2019 within the 20-day grace period provided by the November 24, 2020,
Notice letter.
7. ID-2 consists of the Final Notice letter dated December 14, 2020, 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 2019 and provided
Respondent an opportunity to avoid the institution of civil penalty proceedings by filing a
complete and accurate Statement of Financial Interests for calendar year 2019 within
twenty (20) days of the date of the Final Notice letter. Respondent did not file a Statement
of Financial Interests for calendar 2019 within the 20-day grace period provided by the
December 14, 2020, Final Notice letter.
Roccograndi, 21-037-P
Page 3
On June 28, 2021, 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 2019, which Statement of Financial
Interests was to be filed by May I of 2020.
9. On July 22, 2021, 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 152 Lathrop Street.
10. On August 23, 2021, Respondent filed an Answer to the Order to Show Cause, in which
Respondent asserts that: (1) it is his intention to deny the allegations in the Petition for
Civil Penalties; (2) on February 16, 2020, he sent a Statement of Financial Interests for
calendar year 2019 to the State Ethics Commission; (3) he also sent a letter to the State
Ethics Commission that indicated he would no longer be doing Constable work; (4) he
thought that everything was okay since he did not receive anything from the State Ethics
Commission until he received the Petition for Civil Penalties; (5) his address is 152 Lathrop
Court, Kingston, Pennsylvania; (6) there are two streets in Kingston named "Lathrop,"
specifically, Lathrop Court and Lathrop Street; (7) the State Ethics Commission used the
wrong address of 152 Lathrop Street to send mail to him; and (8) sometimes he receives
mail that is addressed to him at 152 Lathrop Street, and sometimes he does not.
Respondent did not request a hearing.
11. Included with Respondent's Answer to the Order to Show Cause was a Statement of
Financial Interests for calendar year 20t9, which Respondent asserts is a copy of a
Statement of Financial Interests that he sent to the State Ethics Commission on February
16, 2020.
12. On August 30, 2021, the Investigative Division filed a request that a hearing be scheduled
in this matter.
13. An Amended Notice of Hearing was issued on January 24, 2022, notifying Respondent and
the Investigative Division that the State Ethics Commission would conduct a hearing in
this matter on February 28, 2022, at which time the parties would be provided an
opportunity to be heard and to present evidence.
14. Respondent did not attend the hearing that was held in this matter on February 28, 2022.
15. Section t 109(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
Roccograndi, 21-037-P
Page 4
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).
16. 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. § I I09(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 could be subject to total maximum
civil penalty liability of $250.00.
17. The Investigative Division asserts that there are no mitigating circumstances in this case
and that Respondent should be assessed the maximum civil penalty of $250.00, in that the
twenty -day deadline set forth in the said final Notice letter to Respondent expired without
Respondent complying.
II. DISCUSSION:
As a Constable, Thomas J. Roccograndi ("Roccograndi") 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 sec .
Pursuant to Section 1104(a) of the Ethics Act, Roccograndi was specifically required to
file a Statement of Financial Interests for calendar year 2019 with the State Ethics Commission on
or before May 1, 2020. 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
Rocco r� andi, 21-037-P
Page 5
subdivision by which he is employed or within 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. Persons who are full-time or part -tune solicitors for political
subdivisions are required to file under this section.
65 Pa.C.S. § 1104(a).
The complete financial disclosure which Roccograndi as a Constable 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 to file or for filing a deficient statement of financial interests.
65 Pa.C.S. § 1107(5).
Section i 109(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).
Procedurally, in accordance with Section 1107(5) of the Ethics Act, the Investigative
Roccograndi, 21-037-P
Page 6
Division of the State Ethics Commission sent a Notice of Intent to Commence Civil Penalty
Proceedings ("Notice letter") dated November 24, 2020, to Roccograndi, stating that Roccograndi
had failed to file a Statement of Financial Interests for calendar year 2019. The Notice letter
provided Roccograndi an opportunity to avoid the institution of civil penalty proceedings by filing
an accurate and complete Statement of Financial Interests for calendar year 2019 within twenty
(20) days of the date of the Notice letter. Roccograndi did not file a Statement of Financial
Interests within such 20-day grace period.
A Final Notice letter dated December 14, 2020, 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 Roccograndi. Once again, Roccograndi
did not file a Statement of Financial Interests within the 20-day grace period.
On June 28, 2021, the Investigative Division instituted formal proceedings against
Roccograndi by filing with the State Ethics Commission a Petition for Civil Penalties, which was
subsequently served upon Roccograndi. On July 22, 2021, the Commission Chair issued an Order
to Show Cause, ordering Roccograndi to show cause why a civil penalty should not be levied
against him.
On August 23, 2021, Roccograndi filed an Answer to the Order to Show Cause, asserting
that: (1) it is his intention to deny the allegations in the Petition for Civil Penalties; (2) on February
16, 2020, he sent a Statement of Financial Interests for calendar year 2019 to the State Ethics
Commission; (3) he also sent a letter to the State Ethics Commission that indicated he would no
longer be doing Constable work; (4) he thought that everything was okay since he did not receive
anything from the State Ethics Commission until he received the Petition for Civil Penalties; (5)
his address is 152 Lathrop Court, Kingston, Pennsylvania; (6) there are two streets in Kingston
named "Lathrop," specifically, Lathrop Court and Lathrop Street; (7) the Commission used the
wrong address of 152 Lathrop Street to send mail to him; and (8) sometimes he receives mail that
is addressed to him at 152 Lathrop Street, and sometimes he does not. Included with
Roccograndi's Answer to the Order to Show Cause was a Statement of Financial Interests for
calendar year 2019, which Roccograndi asserts is a copy of a Statement of Financial Interests that
he sent to the State Ethics Commission on February 16, 2020. Roccograndi did not request a
hearing.
At the request of the Investigative Division, a hearing was held in this matter on February
28, 2022. Roccograndi did not attend the hearing. There is no evidence of record to support
Roccograndi's assertion that he did not receive the Notice letter or the Final Notice letter, each of
which informed him of the delinquency of his Statement of Financial Interests for calendar year
2019.
The Investigative Division has filed a Brief and Closing Statement arguing that there are
no mitigating circumstances in this case and that Roccograndi should be assessed a maximum civil
penalty in the amount of $250.00 for failing to timely file a Statement of Financial Interests for
calendar year 2019 with the State Ethics Commission.
Pursuant to Section 1109(f) of the Ethics Act, this Commission may levy a maximum civil
Roccojuandi, 21-037-P
Page 7
penalty against Roccograndi for the delinquent Statement of Financial Interests for calendar year
2019. 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
establishing mitigating circumstances in this case. Roccograndi's assertion that he did not receive
notice of the delinquency of his Statement of Financial Interests for calendar year 2019 is
unsupported. There is nothing of record that would constitute a defense or excuse for
Roccograndi's failure to comply with the Ethics Act.
We find that Roccograndi, as a Constable, 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 2019 with the State Ethics Commission.
We hereby levy one maximum civil penalty against Roccograndi at the rate of Twenty -
Five Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar year
2019 remained delinquent. Given the number of days during which the Statement of Financial
Interests remained delinquent, the resultant amount to be levied against Roccograndi is Two
Hundred and Fifty Dollars ($250.00).
Roccograndi 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 forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
III. CONCLUSIONS OF LAW:
1. Thomas J. Roccograndi ("Roccograndi"), as a Constable, 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 SeMc .
2. Roccograndi, as a Constable, 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 2019 with the State Ethics Commission.
3. Notice of the delinquency of Roccograndi's Statement of Financial Interests for calendar
year 2019 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: Thomas J. Roccograndi, File Docket: 21-037-P
Respondent Date Decided: 9/14/22
Date Mailed: 9/19/22
ORDER NO. 741-S
Thomas J. Roccograndi ("Roccograndi"), as a Constable, 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 2019 with the State
Ethics Commission.
2. This Commission hereby levies one maximum civil penalty against Roccograndi at the rate
of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial Interests
for calendar year 2019 remained delinquent, for a total civil penalty of Two Hundred and
Fifty Dollars ($250.00). Roccograndi is ordered to pay said civil penalty in the total
amount of $250.00 by no later than the thirtieth (30'h) day after the mailing date of this
Order, by forwarding a check to the State Ethics Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Mark R. Corfigan, Acting Chair