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In Re: Goslyn Fleming,
Respondent
STME ETHICS (',OPJIMISSION
FINANCE BUILDING,
613 NOR,rt-i S"T"REE"T, [ROOM 309
HARRISBURG, [,-)A 17120--0400
File Docket:
Order No.
Date Decided
Date Mailed:
22-020-P
742-S
9/14/22
9/19/22
FAA CMILE: 717-787-0806
WEBSITE: Www.eth[cxJ2La.g-qy
Before: Mark R. Corrigan, Acting Chair
Shelley Y, Simms, Acting Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Rhonda Hill Wilson
Paul E. 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 1105 of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101
et M.
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 to the Order to Show Cause was filed by Respondent, and
a hearing was deemed waived. The record is complete.
I. FINDINGS:
A. Pleadings
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 a member of the
Redevelopment Authority of the City of Reading, Pennsylvania, and as such, Respondent
has at all times relevant to these proceedings been a "public official" as defined in Section
1 102 of the Ethics Act, 65 Pa.C.S. § 1101
3. Respondent, as a public official, is subject to the Statement of Financial Interests filing
provisions of the Ethics Act.
4. Respondent has failed to provide full financial disclosure as required by the Ethics Act.
Respondent has failed to file a Statement of Financial Interests for calendar year 2020,
which Statement of Financial Interests was to be filed by May 1, 2021, and Respondent
Flees, 22-020-P
Page 2
has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104,
1105.
5. By Notice letter dated October 27, 2021, 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 2020 within twenty (20) days of the date
of the Notice letter. Respondent has failed to file a Statement of Financial Interests for
calendar year 2020 so as to comply with the specific requirements of the Ethics Act.
6. By Notice letter dated February 22, 2022, 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 2020 within
twenty (20) days of the date of the Notice letter. Respondent has failed to file a Statement
of Financial Interests for calendar year 2020 so as to comply with the specific requirements
of the Ethics Act.
7. 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).
8. 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. Because Respondent has
committed one violation alleged herein, Respondent is subject to total maximum civil
penalty liability of $250.00.
9. 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
Fleming, 22-020-P
Page 3
twenty -day deadline set forth in the said final Notice letter to Respondent has expired and
the Respondent has not complied.
B. Other Fact Findings
10. On June 24, 2022, 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 2020, which Statement of Financial
Interests was to be filed by May 1 of 2021.
11. On June 29, 2022, 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.
12. On August 1, 2022, Respondent filed an Answer to the Order to Show Cause, in which
Respondent stated that: 1) he mailed the Statement of Financial Interests form but did not
keep a copy to prove that it was filed; 2) he was unaware that the Statement of Financial
Interests form was not received; 3) he did not respond to the additional copies of the
Statement of Financial Interests form sent to him because he knew that he had mailed his
submission; 4) his wife contacted an unknown individual and was advised that the 2021
information was not received and that this was the only information that was required; 5)
he completed another copy of the 2021 form and submitted it via facsimile while keeping
a copy for his records; and 6) he requested that the Commission remove the punitive fee
associated with the confusion of his submission of his financial statement. (Answer to
Order to Show Cause).
13. Neither party requested a hearing in this matter, and a hearing was deemed waived.
II. DISCUSSION:
As a member of the Redevelopment Authority of the City of Reading, Pennsylvania,
Goslyn Fleming ("Fleming") 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 seq.
Pursuant to Section 1104(a) of the Ethics Act, Fleming was specifically required to file a
Statement of Financial Interests for calendar year 2020 with the Redevelopment Authority of the
City of Reading, Pennsylvania on or before May 1, 2021. Section I I04(a) provides:
§ 1104. Statement of financial interests required to be fled
(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,
t t in , 22-020-P
Page 4
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 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-time solicitors for political
subdivisions are required to file under this section.
65 Pa.C.S. § 1104(a).
The complete financial disclosure which Fleming as a member of the Redevelopment
Authority of the City of Reading, Pennsylvania 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).
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 letter) dated October 27, 2021, to Fleming, stating that Fleming had failed to
file a Statement of Financial Interests for calendar year 2020. The Notice letter provided Fleming
an opportunity to avoid the institution of civil penalty proceedings by filing an accurate and
complete Statement of Financial Interests for calendar year 2020 within twenty (20) days of the
date of the Notice letter. Fleming did not file a Statement of Financial Interests within such 20-
day grace period.
A Final Notice letter dated February 22, 2022, 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 Fleming. Once again, Fleming did not file a Statement
of Financial Interests within the 20-day grace period.
On June 24, 2022, the Investigative Division instituted formal proceedings against Fleming
by filing with the State Ethics Commission a Petition for Civil Penalties, which was subsequently
Fleming, 22-020-P
Page 5
served upon Fleming. On June 29, 2022, the Commission Chair issued an Order to Show Cause,
ordering Fleming to show cause why a civil penalty should not be levied against him.
On August 1, 2022, Fleming filed an Answer to the Order to Show Cause, in which Fleming
stated that: 1) he mailed the Statement of Financial Interests form but did not keep a copy to prove
that it was filed; 2) he was unaware that the Statement of Financial Interests form was not received;
3) he did not respond to the additional copies of the Statement of Financial Interests form sent to
him because he knew that he had mailed his submission; 4) his wife contacted an unknown
individual and was advised that the 2021 information was not received and that this was the only
information that was required; 5) he completed another copy of the 2021 form and submitted it via
facsimile while keeping a copy for his records; and 6) he requested that the Commission remove
the punitive fee associated with the confusion of his submission of his financial statement.
Pursuant to Section 1109(f) of the Ethics Act, this Commission may levy a maximum civil
penalty against Fleming for the delinquent Statement of Financial Interests for calendar year 2020.
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. The assertions set forth by Fleming in his
Answer to the Order to Show Cause are unsupported. There is nothing of record that would
constitute a defense or excuse for Fleming's failure to comply with the Ethics Act.
We find that Fleming, as a member of the Redevelopment Authority of the City of Reading,
Pennsylvania, failed to comply with Section I I04(a) of the Ethics Act, 65 Pa.C.S. § I I04(a), when
he failed to file a Statement of Financial Interests for calendar year 2020 with the Redevelopment
Authority of the City of Reading, Pennsylvania
We hereby levy one maximum civil penalty against Fleming at the rate of Twenty -Five
Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar year 2020
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 Fleming is Two
Hundred and Fifty Dollars ($250.00).
Fleming 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 adjudication and
Order, by forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
Fleming shall be ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2020 with the Redevelopment Authority of the City of Reading, Pennsylvania
no later than the thirtieth (30'h) 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:
As a member of the Redevelopment Authority of the City of Reading, Pennsylvania,
Goslyn Fleming ("Fleming") was at all times relevant to these proceedings a "public
Fleming, 22-020-P
Page 6
official" subject to the provisions of the Public Official and Employee Ethics Act ("Ethics
Act"), 65 Pa.C.S. § 1101 et sec .
2. Fleming, as a member of the Redevelopment Authority of the City of Reading,
Pennsylvania, 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 2020
with the Redevelopment Authority of the City of Reading, Pennsylvania.
3. Notice of the delinquency of Fleming's Statement of Financial Interests for calendar year
2020 was previously sewed 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: Goslyn Fleming, File Docket: 22-020-P
Respondent Date Decided: 9/14/22
Date Mailed: 9/19/22
ORDER NO. 742-S
Goslyn Fleming ("Fleming"), as a member of the Redevelopment Authority of the City of
Reading, Pennsylvania, 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 file a Statement of Financial
Interests for calendar year 2020 with the Redevelopment Authority of the City of Reading,
Pennsylvania.
2. This Commission hereby levies one maximum civil penalty against Fleming at the rate of
Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial Interests for
calendar year 2020 has remained delinquent, for a total civil penalty of Two Hundred and
Fifty Dollars ($250.00). Fleming is ordered to pay said civil penalty in the total amount of
$250.00 by no later than the thirtieth (30"') day after the mailing date of this Order, by
forwarding a check to the Pennsylvania State Ethics Commission made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Fleming is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2020 with the Redevelopment Authority of the City of Reading,
Pennsylvania 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,
R. Corligan, Acting Chair