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HomeMy WebLinkAbout527-S Knox2 t t17 STATE ETHICS COMMISSION 309 FINANCE BUILDING HARRISBURG, PENNSYLVANIA 17120 In Re: James Knox, File Docket: 16 -064 -P Respondent X -ref: Order No. 527 -S Date Decided: 3129117 Date Mailed: 4112117 Before: Nicholas A. Colafella, Chair Mark R. Corrigan, Vice Chair Roger Nick Maria Feeley Melanie DePalma 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 seg. The Investigative Division initiated these proceedings b filing with the State Ethics Commission and serving upon Respondent a Petition for Civil penalties. An Order to Show Cause was issued to Respondent. A Stipulation of Findings and a Consent Agreement were subsequently submitted by the parties to the Commission for consideration. The Stipulated Findings are set forth as the Findings in this Order. The Consent Agreement has been approved. I. FINDINGS: 1. Respondent James Knox ( "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 Transportation Construction Inspector with the Pennsylvania Department of Transportation, and as such, Respondent has at all times relevant to these proceedings been a "public employee' as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102. 3. Respondent, as a ublic employee, is subjectto the Statement of Financial Interests filing provisions of the Ethics Act. 4. Respondent failed to timely provide full financial disclosure as required by the Ethics Act. Respondent failed to time) file a Statement of Financial Interests for calendar year 2015, which [Statement of Financial Interests was to be filed] by May 1, 2016. Respondent has therefore violated Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. 5. By Notice Letter dated September 12, 2016, 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 2015 within twenty (20) days of the date of the Notice Letter. Respondent has failed and /or otherwise refused to file a Statement of Financial Interests for calendar year 2015 so as to comply with the specific requirements of the Ethics Act. P.O. BOX 1 1470, HARRISBURG, PA 17108-1470 - 717-783-1610 a 1 -800- 932 -0936 -• www.ethics.state,pa . us Knox, 16 -064 -P Page 2 6. By Notice Letter dated October 24, 2016, 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 civil penalty proceedings by filing an accurate and complete Statement of Financial Interests for calendar year 2015 so as to comply with the specific requirements of the Ethics Act. 7. Respondent failed to file his Statement of Financial Interests for calendar year 2015 by the deadlines imposed in the Notice Letters. II. DISCUSSION: As a Transportation Construction Inspector for the Pennsylvania Department of Transportation ( "Department of Transportation "), James Knox ( "Knox ") was at all times relevant to these proceedings a "public employee 1) subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act"), 65 Pa.C.S. § 1101 et seg. Pursuant to Section 1104(a) of the Ethics Act, Knox was specifically required to file a Statement of Financial Interests for calendar year 2015 with the Department of Transportation on or before May 1, 2016. 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 Knox as a Transportation Construction Inspector for the Department of Transportation 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 Knox 16 -064 -P ' 3 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 Knox for the delinquent Statement of Financial Interests for calendar year 2015. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Knox 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 Knox by filing with this Commission and serving pon him a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Knox to show cause why a civil penalty should not be levied against him. The parties then filed a Stipulation of Findings and Consent Agreement. The parties propose that this case be resolved by: (1) this Commission finding that Knox failed to timely file his Statement of Financial Interests for the 2015 calendar year in compliance with Section 11 04(a) of the Ethics Act; and (2) Knox making payment of a civil penalty in the amount of $150.00 in settlement of this matter, payable to the Commonwealth of Pennsylvania and forwarded to this Commission upon execution of the Consent Agreement. We believe that the Consent Agreement sets forth a proper disposition for this case, based upon our review of the totality of the facts and circumstances. Accordingly, we approve the Consent Agreement that has been submitted by the parties. We hereby find that Knox, as a Transportation Construction Inspector for the Department of Transportation, failed to timely file his Statement of Financial Interests for the 2015 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a). We take administrative notice that Knox has made payment of a civil penalty in the amount of $150.00 through this Commission to the Commonwealth of Pennsylvania, as per the Consent Agreement of the parties. Knox shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 2015 with the Department of Transportation by no later than the thirtieth (301'') day after the mailing date of this adjudication and Order, with one copy forwarded to this Commission for compliance verification purposes. Ill. CONCLUSIONS OF LAW: 1. As a Transportation Construction Inspector for the Pennsylvania Department of Transportation, .lames Knox ( "Knox ") 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. Knox, as a Transportation Construction Inspector for the Pennsylvania Department of Transportation, failed to timely file his Statement of Financial Interests for the 2015 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a). Knox, 16 -064 -P Tyage 4 Notice of the delinquency of Knox's Statement of Financial Interests for calendar year 2015 was previous] yy served upon him in accordance with Section 1107(5) of the Ethics Act, 65 Pa. C.9. § 1107(5). Based upon the totality of the circumstances in this case, a civil penalty in the total amount of $150.00 is warranted. In Re: James Knox, File Docket: 16 -064 -P Respondent Date Decided: 3/29117 Date Mailed: 4/12/17 ORDER NO. 527 -S James Knox ( "Knox "), as a Transportation Construction Inspector for the Pennsylvania Department of Transportation, failed to timely file his Statement of Financial Interests for the 2016 calendar year in comppliance with Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a). Having paid a civil penalty in the amount of $150.00 through this Commission to the Commonwealth of Pennsylvania, as per the Consent Agreement of the parties, Knox is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2015 with the Pennsylvania Department of Transportation by no later than the thirtieth (30th) day after the mailing date of this Order, with one copy forwarded to the State Ethics Commission for compliance verification purposes. Failure to comply with Paragraph 2 of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, ht�� - - Nicholas • Chair