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HomeMy WebLinkAbout769-S RowlesPHONE: 71'1-783-1610 TOLL F`RL E 1 -800-932-0930 In Re: Vernon Rowles, Respondent STATE ETHICS COMMISSION FINANCE BUH-DING 613 NORTIA STREET, ROOM 309 HARRISBURG, PA 17120-0400 File Dock& Order No. Date Decided: Date Mailed: 23-016-P 769-S 6/29/23 6/30/23 Before: Shelley Y, Simms, Chair Michael A. Schwartz, Vice Chair Rhonda Hill Wilson Paul E. Parsells David L. Reddecliff Robert P. Caruso FACSWILE: 717-787-0806 WEBSITE: www.othi. p 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& § 1101 et eq. 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. 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. 1. FINDINGS: I Respondent Vernon Rowles ("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 Product and Supply Analyst with the Pennsylvania Liquor Control Board, and as, such, Respondent was at all times relevant to these proceedings a "public official/public employee" as defined in Section 1102 of the Ethics Act, 65 PaC,S, § 1102. 3. Respondent, as a public official/public employee, is subject to 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 timely file a Statement of Financial Interests for calendar year 2021, which was due by May 1, 2022. Respondent has therefore violated Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S1 §§l 104 and 1105. Rowles, 23-016-P Page 2 5. By Notice Letter dated October 3, 2022, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegation 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 2021 within twenty (20) days of the date of the Notice Letter. Respondent has failed and/or otherwise refused to file Statement of Financial Interests for calendar year 2021 so as to comply with the specific requirements of the Ethics Act. 6. By Notice Letter dated October 28, 2022, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegation against Respondent concerning the above transgression. Said Notice Letter provided Respondent an opportunity to avoid the institution of civil penalty proceedings by filing accurate and complete Statement of Financial Interests for calendar year 2021 so as to comply with the specific requirements of the Ethics Act. 7. Respondent failed to file a Statements of Financial Interests for calendar year 2021 with the State Ethics Commission by the deadlines imposed in the Notice Letters. 11. DISCUSSION: As a Product and Supply Analyst with the Pennsylvania Liquor Control Board ("Liquor Control Board"), Vernon Rowles ("Rowles") 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, Rowles was specifically required to file a Statement of Financial Interests for calendar year 2021 with the Liquor Control Board on or before May 1, 2022. Section I I04(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 I 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. Rowles, 23-016-P Page 3 65 Pa.C.S. § 1104(a). The complete financial disclosure which Rowles as a Product and Supply Analyst with the Liquor Control Board 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 (1) 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 Rowles for each delinquent Statement of Financial Interests for calendar year 2021. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Rowles 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 Rowles by filing with this Commission and serving upon Respondent an Order to Show Cause and a Petition for Civil Penalties, ordering Rowles to show cause why civil penalties 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 Rowles failed to timely file a Statement of Financial Interests for the 2021 calendar year in compliance with Section 1104(a) of the Ethics Act; and (2) Rowles making payment of the civil penalty in the amount of $150,00 in settlement of this matter by certified check or money order payable to the Commonwealth of Pennsylvania and forwarded to this Commission within thirty days of the issuance of the final adjudication in this matter. 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 Rowles, as a Product and Supply Analyst with the Pennsylvania Liquor Rowles, 23-016-P Page 4 Control Board, failed to timely file a Statement of Financial Interests for the 2021 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § I I04(a). Per the Consent Agreement of the parties, we hereby levy civil penalties against Rowles in the total amount of $150.00 for Rowles' delinquent Statement of Financial Interests for calendar year 2021. To the extent Respondent has not already done so, Rowles shall be ordered to make payment of the aforesaid civil penalties in the total amount of $150.00 by no later than the thirtieth (301h) day after the mailing date of this adjudication and Order, by forwarding to this Commission a certified check or money order in the amount of $150.00 made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. To the extent Respondent has not already done so, Rowles shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 2021 with the Liquor Control Board by no later than the thirtieth (30"') day after the mailing date of this adjudication and Order, with one copy forwarded to the Pennsylvania State Ethics Commission for compliance verification purposes. III. CONCLUSIONS OF LAW: As a Product and Supply Analyst with the Pennsylvania Liquor Control Board ("Department of Liquor Control Board"), Vernon Rowles ("Rowles") 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 M. 2. Rowles, as a Product and Supply Analyst with the Liquor Control Board, failed to timely file a Statement of Financial Interests for the 2021 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a). 3. Notice of the delinquency of Rowles' Statement of Financial Interests for calendar year 2021 was previously served upon Respondent 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 $150.00 is warranted. In Re: Vernon Rowles, File Docket: 23-002 P Respondent Date Decided: 6/29/23 Date Mailed: 6/30/23 ORDER NO. 769-S Vernon Rowles ("Rowles"), as a Product and Supply Analyst with the Pennsylvania Liquor Control Board ("Liquor Control Board"), failed to timely file a Statement of Financial Interests for the 2021 calendar year in compliance with Section 1104(a) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa. C.S. § I I04(a). 2. Per the Consent Agreement of the parties, we hereby levy a civil penalty against Rowles in the total amount of $150.00 for Rowles' delinquent Statement of Financial Interests for calendar year 2021. To the extent Respondent has not already done so, Rowles is ordered to make payment of the aforesaid civil penalties in the total amount of $150.00 by no later than the thirtieth (30th) day after the mailing date of this Order, by forwarding to this Commission a certified check or money order in the amount of $150.00 made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. 4. To the extent Respondent has not already done so, Rowles is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2021 with the Liquor Control Board by no later than the thirtieth (30th) day after the mailing date of this adjudication and Order, with one copy forwarded to the Pennsylvania State Ethics Commission for compliance verification purposes. 5. Failure to comply with Paragraphs 3 or 4 of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, t M Shelley Y. Sim hair