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In Re: Jeffrey Curtis, : File Docket: 09-021-P
Respondent : X-ref: Order No. 361-S
: Date Decided: 12/15/09
: Date Mailed: 12/29/09
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Raquel K. Bergen
Nicholas A. Colafella
Mark Volk
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 seq.
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 not filed by the Respondent, and
a hearing was deemed waived. The record is complete. The Findings in this Order are
derived from the Petition for Civil Penalties filed by the Investigative Division.
This is a final Order, and it is publicly available upon issuance. Reconsideration
may be requested, but a request for reconsideration will not affect the finality of this
adjudication or its availability as a public document. Any reconsideration request must be
received at this Commission within thirty days of the mailing date noted above and must
include a detailed explanation of the reasons as to why reconsideration should be granted
in conformity with 51 Pa. Code § 21.29(b).
Curtis, 09-021-P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
15870 Route 322, Suite #2, Clarion, PA 16214.
2. At all times relevant to these proceedings, Respondent has been a Financial
Manager for the State System of Higher Education and as such Respondent has at
all times relevant to these proceedings been a "public employee" as that term is
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 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 2007 with the State System of Higher Education, which Statement of Financial
Interests was to be filed by May 1 of 2008, and Respondent has therefore
transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated December 8, 2008, 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 2007 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2007
so as to comply with the specific requirements of the Ethics Act.
6. By Notice letter dated June 12, 2009, 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 2007 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2007
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
Curtis, 09-021-P
Page 3
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. There are no mitigating circumstances and 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 has expired and the Respondent has not
complied.
II. DISCUSSION:
As a Financial Manager for the State System of Higher Education, Jeffrey Curtis
(“Curtis”) 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.
Pursuant to Section 1104(a) of the Ethics Act, Curtis was specifically required to file
a Statement of Financial Interests for calendar year 2007 with the State System of Higher
Educationon or before May 1, 2008. 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 Curtis as a Financial Manager for the State
System of Higher Educationwas 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
Curtis, 09-021-P
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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 Curtis for the delinquent Statement
of Financial Interests for calendar year 2007.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Curtis 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 Curtis by filing with the State Ethics
Commission and serving upon Curtis a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Curtis to show cause why a civil penalty should
not be levied against him. Curtis did not file an answer to the Order to Show Cause.
There is nothing of record that would constitute a defense or excuse for Curtis’s failure to
comply with the Ethics Act. Curtis has failed to show cause why a civil penalty should not
be levied against him in this matter.
We find that Curtis, as a Financial Manager for the State System of Higher
Education, 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 2007 with the
State System of Higher Education.
We hereby levy one civil penalty against Curtis at the rate of Twenty-Five Dollars
($25.00) per day for each day hisStatement of Financial Interests for calendar year 2007
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
Curtis is Two-Hundred and Fifty Dollars ($250.00).
Curtis shall be ordered to make payment of the above civil penalty in the amount of
th
$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.
Curtis shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2007 with the State System of Higher Educationby no later
th
than the thirtieth (30) 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. Jeffrey Curtis (“Curtis”), as a Financial Manager for the State System of Higher
Education, 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. Curtis, as a Financial Manager for the State System of Higher Education, 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 2007 with the State
System of Higher Education.
3. Notice of the delinquency of Curtis’s Statement of Financial Interests for calendar
year 2007 was previously served upon him in accordance with Section 1107(5) of
the Ethics Act, 65 Pa.C.S. § 1107(5).
Curtis, 09-021-P
Page 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: Jeffrey Curtis, : File Docket: 09-021-P
Respondent : Date Decided: 12/15/09
: Date Mailed: 12/29/09
ORDER NO. 361-S
1. Jeffrey Curtis (“Curtis”), as a Financial Manager for the State System of Higher
Education, failed to comply with Section 1104(a) of the Public Official and
Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1104(a), when he failed to file a
Statement of Financial Interests for calendar year 2007 with the State System of
Higher Education.
2. This Commission hereby levies one civil penalty against Curtis at the rate of
Twenty-Five Dollars ($25.00) per day for each day hisStatement of Financial
Interests for calendar year 2007 has remained delinquent, for a total civil penalty of
Two-Hundred and Fifty Dollars ($250.00). Curtis is ordered to pay said civil penalty
th
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 this Commission made payable
to the Commonwealth of Pennsylvania, for deposit in the State Treasury.
3. Curtis is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2007 with the State System of Higher Education by no later than the
th
thirtieth (30) day after the mailing date of this Order, with one copy forwarded to
this 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,
Louis W. Fryman, Chair