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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