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HomeMy WebLinkAbout372-S HAMMOND In Re: Rudolph Hammond, : File Docket: 10-006-P Respondent : X-ref: Order No. 372-S : Date Decided: 10/19/10 : Date Mailed: 10/22/10 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). Hammond, 10-006-P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 1911 Paul Street, Farrell, PA 16121. 2. At all times relevant to these proceedings, Respondent has been a Member of the Mercer County Board of Assistance 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. 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 2008 with the State Ethics Commission, which Statement of Financial Interests was to be filed by May 1, 2009, and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. 5. By Notice letter dated November 16, 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 2008 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 2008 so as to comply with the specific requirements of the Ethics Act. 6. By Notice letter dated January 8, 2010, 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 2008 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 2008 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 Hammond, 10-006-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. On June 8, 2010, the Investigative Division filed a Position Statement averring, in pertinent part, as follows: a. On May 13, 2010--after the May 3, 2010, deadline for filing an Answer to the Order to Show Cause issued to Hammond--Hammond verbally indicated to the Investigative Division that he would be willing to enter into a Consent Agreement with the Investigative Division pursuant to which he would pay a civil penalty in the amount of $100.00 and file an accurate and complete Statement of Financial Interests for calendar year 2008. b. On May 20, 2010, the Investigative Division received a check from Hammond in the amount of $100.00, payable to the Commonwealth of Pennsylvania, and a Statement of Financial Interests for calendar year 2008 that was deficient in numerous respects. (1) Hammond did not return to the Investigative Division a Consent Agreement that had been mailed to him. c. In a subsequent telephone conversation with Hammond, the Investigative Division informed Hammond that it needed to receive the signed Consent Agreement and an accurate and complete Statement of Financial Interests for calendar year 2008, and Hammond indicated that he would complete the required paperwork and return it immediately to the State Ethics Commission. (1) As a result of said telephone conversation, another Consent Agreement was mailed to Hammond. d. On May 27, 2010, the Investigative Division received accurate and complete Statements of Financial Interests for calendar years 2008 and 2009 from Hammond. (1) Hammond did not return to the Investigative Division the Consent Agreement that had been mailed to him. e. The Investigative Division has not been successful in its attempts to contact Hammond to resolve this matter. 10. In its Position Statement, the Investigative Division seeks an Order finding Hammond in violation of Section 1104(a) of the Ethics Act and imposing a civil penalty in the amount of $100.00. II. DISCUSSION: As a Member of the Mercer County Board of Assistance, Rudolph Hammond (“Hammond”) 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, Hammond was specifically required to file a Statement of Financial Interests for calendar year 2008 with the State Ethics Hammond, 10-006-P Page 4 Commission on or before May 1, 2009. 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 Hammond as a Member of the Mercer County Board of Assistancewas 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). An application of Section 1109(f) to this case establishes that this Commission has the discretion to levy a maximum civil penalty against Hammond for the delinquent Statement of Financial Interests for calendar year 2008. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Hammond 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 Hammond by filing with the State Ethics Commission and serving upon Hammond a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Hammond to show cause why a civil penalty should not be levied against him. Hammond did not file an answer to the Order to Show Cause. The Investigative Division avers that on May 13, 2010, after the May 3, 2010, deadline for filing an answer to the Order to Show Cause issued to Hammond, Hammond Hammond, 10-006-P Page 5 verbally indicated that he would be willing to enter into a Consent Agreement with the Investigative Division pursuant to which he would pay a civil penalty in the amount of $100.00 and file an accurate and complete Statement of Financial Interests for calendar year 2008, but Hammond failed to return the Consent Agreement to the Investigative Division. On May 20, 2010, the Investigative Division received a check from Hammond in the amount of $100.00, payable to the Commonwealth of Pennsylvania. On May 27, 2010, Hammond filed accurate and complete Statements of Financial Interests for calendar years 2008 and 2009 with the State Ethics Commission. There is nothing of record that would constitute a defense or excuse for Hammond’s failure to comply with the Ethics Act. Hammond has failed to show cause why a civil penalty should not be levied against him in this matter. We find that Hammond, as a Member of the Mercer County Board of Assistance, 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 2008 with the State Ethics Commission. Upon review of the circumstances in this case, we accept the recommendation of the Investigative Division that a civil penalty in the total amount of $100.00 be imposed. This Commission hereby levies one civil penalty against Hammond in the total amount of One-Hundred Dollars ($100.00) for his failure to timely file his Statement of Financial Interests for calendar year 2008 with the State Ethics Commission. In that Hammond has made payment of a civil penalty in the amount of $100.00 and has now filed a Statement of Financial Interests for calendar year 2008, this case is closed. III. CONCLUSIONS OF LAW: 1. Rudolph Hammond (“Hammond”), as a Member of the Mercer County Board of Assistance, 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. 2. Hammond, as a Member of the Mercer County Board of Assistance, 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 2008 with the State Ethics Commission. 3. Notice of the delinquency of Hammond’s Statement of Financial Interests for calendar year 2008 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 $100.00 is warranted. In Re: Rudolph Hammond, : File Docket: 10-006-P Respondent : Date Decided: 10/19/10 : Date Mailed: 10/22/10 ORDER NO. 372-S 1. Rudolph Hammond (“Hammond”), as a Member of the Mercer County Board of Assistance, 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 timely file a Statement of Financial Interests for calendar year 2008 with the State Ethics Commission. 2. This Commission hereby levies one civil penalty against Hammond in the total amount of One-Hundred Dollars ($100.00) for his failure to timely file his Statement of Financial Interests for calendar year 2008 with the State Ethics Commission. 3. In that Hammond has paid a civil penalty in the amount of $100.00 through this Commission to the Commonwealth of Pennsylvania and has now filed a Statement of Financial Interests for calendar year 2008 with the State Ethics Commission, no further action is required in this case and this case is closed. BY THE COMMISSION, Louis W. Fryman, Chair