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HomeMy WebLinkAbout763-S KennedyPHONE 717-783-1610 TOLL FREE: 1-800-932-0936 In Re: David Kennedy, Respondent STATE UTHICS COMMISSION FINANCE BUILDING 613 NORTH STREET ROOM 309 HARRISBURG, PA 17120-0400 File Docket: Order No. Date Decided: Date Mailed: 23-001-P 763-S 6/29/23 6/3 O/23 Before: Shelley Y, Simms, Chair Michael A. Schwartz, Vice Chair Rhonda Hill Wilson Paul E. Parsells David L. Reddecliff FACSIMILE 717-787-0806 WEBS1TL.www,et.Ncs.pa,gqv This is, a final adjudication of the Pennsylvania 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 an Order to Show Cause and a Petition for Civil Penalties. An Answer was not filed by the Respondent, and a hearing was deemed waived. A Motion to Deem Facts Admitted and Enter Default was filed. The Motion was granted. The, record is complete. The Findings in this Order are derived from the Order to Show Cause and Petition for Civil Penalties filed by the Investigative Division. 1. FINDINGS: I Respondent is an adult individual who resides or maintains a mailing address at [address redacted], 2. From December 17, 2018 to April 3, 2020, Respondent was a Human Relations Representative I with the Pennsylvania Human Relations Commission, and as such, Respondent has at all times relevant to these proceedings been a "public official" or "public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S, § 1102, 3, Respondent as a public official or public employee is subject to the Statement of Financial Interests filing provisions of the Ethics Act. COUNT ONE Kennedy, 23-001-P Page 2 4. Paragraphs I through 3 are incorporated by reference. 5. Section 1104 of the Ethics Act requires all public officials and employees to file a Statement of Financial Interests by no later than May I of each year that the public official or public employee holds such position and the year after they leave such a position. 65 Pa.C.S. § 1104. 6. Section 1105 of the Ethics Act lists the information required to be filed on the Statement of Financial Interests. 65 Pa.C.S. § 1105. 7. Respondent has failed to provide full financial disclosure as required by the Ethics Act. Specifically, 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 of 2021, and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. 8. By Notice letter dated September 8, 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 transgressions. 65 Pa.C.S. § 1107. 9. 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. 10. Respondent failed to file a Statement of Financial Interests for calendar year 2020 within twenty (20) days of the date of the Notice letter so as to comply with the specific requirements of the Ethics Act. 11. By letter dated September 29, 2022, Respondent was served with a second correspondence titled "Final Notice" of the specific allegations against Respondent concerning the above transgressions. 12. Said second correspondence titled "Final Notice" again 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 second correspondence titled "Final Notice". 13. Respondent has failed and refused to file a Statement of Financial Interests for calendar year 2020 so as to comply with the specific requirements of the Ethics Act. PENALTIES 14. Section I I09(f) of the Ethics Act provides: § 1109. Penalties Kennedy, 23-001-P Page 3 (f) Civil penalty.-WIn 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). 15. For each violation the Commission finds, Respondent is subject to civil penalty liability under Section 1 109(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. 16. Because Respondent has committed one violation alleged herein, Respondent is subject to total maximum civil penalty liability of $250,00. 17. 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 second correspondence titled "Final Notice" to Respondent has expired and the Respondent has not complied. 18. Pursuant to Section 1107(15) of the Ethics Act and Section 21.30(4) of the Ethics Act Regulations, the Commission may refer this matter for review by law enforcement officials, with a specific recommendation for criminal prosecution of this matter. See, 65 Pa.C.S. § 1107(15); 51 Pa. Code§ 21.30(4). 11. DISCUSSION: As a Human Relations Representative I with the Pennsylvania Human Relations Commission ("Human Relations Commission"), David Kennedy ("Kennedy") 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 seMC . Pursuant to Section I I04(a) of the Ethics Act, Kennedy was specifically required to file a Statement of Financial Interests for calendar year 2020 with the Human Relations Commission on or before May 1, 2021, Section 1104(a) provides; § 1104. Statement of financial interests required to be filed Kennedy, 23-00 i -P Page 4 (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 I 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 Kennedy as a Human Relations Representative I with the Pennsylvania Human Relations Commission 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 I I09(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 Kennedy for the delinquent Statement of Financial Interests for calendar year 2020. The prerequisite service of a Notice letter in accordance with Section It 07(5) was satisfied. Kennedy 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 Kennedy by filing with the State Ethics Commission and serving upon Kennedy an Order to Show Cause and Petition for Civil Penalties, ordering Kennedy to show cause Kennedy, 23-001-P Page 5 why a civil penalty should not be levied against him. Kennedy did not file an answer to the Order to Show Cause. A default judgment was entered against Kennedy. There is nothing of record that would constitute a defense or excuse for Kennedy's failure to comply with the Ethics Act. Kennedy has failed to show cause why a civil penalty should not be levied against him in this matter. We find that Kennedy, as a Human Relations Representative I with the Human Relations Commission, 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 this Commission. We hereby levy one maximum civil penalty against Kennedy 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 Kennedy is Two Hundred and Fifty Dollars ($250.00). Kennedy 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. Kennedy shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 2020 with the Human Relations Commission by 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: 1. David Kennedy ("Kennedy"), as a Human Relations Representative I with the Human Relations Commission, 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. Kennedy, as a Human Relations Representative I with the Human Relations Commission, 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. 3. Notice of the delinquency of Kennedy's Statement of Financial Interests for calendar year 2020 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: David Kennedy, File Docket: 23-001-P Respondent Date Decided: 6/29/23 Date Mailed: 6/30/23 ORDER NO.763-S David Kennedy ("Kennedy"), as a Human Relations Representative 1 with the Human Relations Commission ("Human Relations Commission"), 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 2020. 2. This Commission hereby levies one maximum civil penalty against Kennedy 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). Kennedy 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 Pennsylvania State Ethics Commission made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. 3. Kennedy is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2020 with the Human Relations Commission by 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, Shelley Y. Si , Chair