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In Re: James Kelly,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120 -0400
File Docket:
X -ref:
Date Decided
Date Mailed:
FACSIMILE: 717- 787 -0806
WEBSITE: www. ethics. nmoy
18 -050 -P
Order No. 630 -S
517119
5114119
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
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 1 104 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 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 filed by the Respondent, and a hearing
was deemed waived. The record is complete.
FINDINGS:
A. Pleadings
1. 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
Constable/Deputy Constable, 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 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 2017, which Statement of Financial Interests was to be filed by May 1 of 2018,
and Respondent has therefore transgressed Sections 1'104 and 1'i 05 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated June 12, 2018, 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 2017 within twenty (20) days of the date of the Notice letter. Respondent failed
and refused to file a Statement of Financial Interests for calendar year 2017 within
twenty (20) days of the date of the Notice letter.
Kelly, 18 -050 -P
Page 2
By Notice letter dated July 26, 2018, 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 2G17 within twenty (20) days of the date of the Notice letter. Respondent failed
and refused to file a Statement of Financial Interests for calendar year 2017 within
twenty (20) days of the date of the Notice letter.
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 1 107(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).
For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 1109(f) of the Ethics Act, 65 Pa.C.S. § 1109(f), at rate of not
more than $25.00 per day for each day the Statement of Financial Interests remains
delinquent or deficient, for a maximum avil 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. The Investigative Division asserts that there are no mitigating circumstances in this
case and that 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 expired with Respondent not in compliance.
B. Other Fact Findings
10. On October 9, 2018, the Investigative Division filed with the State Ethics
Commission a Petition for Civil Penalties against Respondent, alleging that
Respondent failed to file a Statement of Financial Interests for calendar year 2017,
which Statement of Financial Interests was to be filed by May 1 of 2018.
11. On January 23, 2019, the Chair of the State Ethics Commission issued an Order to
Show Cause, ordering Respondent to show cause why a civil penalty should not be
levied against him.
12. On February 11, 2019, Respondent filed an Answer to the Order to Show Cause, in
which Respondent stated that: (1) he takes full responsibility for not filing his
Statement of Financial Interests on time; (2) at the time, he was dealing with a lot of
family matters, but he is not making excuses; (3) he had the Statement of Financial
Interests filled out but must have forgotten to mail it; and (4) he will accept any
penalty that the State Ethics Commission feels is necessary. (Answer to Order to
Kelly, 18 -050 -P
Page 3
Show Cause).
13. On February 11, 2019, Respondent filed a Statement of Financial Interests for
calendar year 2017 with the State Ethics Commission.
14. Neither party requested a hearing in this matter, and a hearing was deemed waived.
II. DISCUSSION:
As a Constable /Deputy Constable, James Kelly ( "Kelly ") 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 11Za) of the Ethics Act, Kelly was specifically required to file a
Statement of Financial Interesor calendar year 2017 with the State Ethics Commission
on or before May 1, 2018. 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 ear 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 Kelly as a Constable/Deputy Constable 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
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).
Procedurally, in accordance with Section 1107(5) of the Ethics Act, the Investigative
Kelly, 18 -050 -P
Page 4
Division of the State Ethics Commission sent a Notice of Intent to Commence Civil Penalty
Proceedings (Notice letter) dated June 12, 2018, to Kelly, stating that Kelly had failed to file
a Statement of Financial Interests for calendar year 2017. The Notice letter provided Kelly
an op ortunity to avoid the institution of civil penalty proceedings by filing an accurate and
complete Statement of Financial Interests for calendar year 2017 within twenty (20 days of
the date of the Notice letter. Kelly did not file a Statement of Financial Interests within such
20 -day grace period.
A Final Notice letter dated July 26, 2018, containing the same substantive
information as the first Notice letter, and providing another 20 -day grace period for filing the
delinquent Statement of Financial Interests, was sent to Kelly. Once again, Kelly did not
file a Statement of Financial Interests within the 20 -day grace period.
On October 9, 2018, the Investigative Division instituted formal proceedings against
Kelly by filing with the State Ethics Commission a Petition for Civil Penalties, which was
subsequently served upon Kelly. On January 23, 2019, the Commission Chair issued an
Order to Show Cause, ordering Kelly to show cause why a civil penalty should not be
levied against him.
On February 11, 2019, Kelly filed a Statement of Financial Interests for calendar
year 2017 with the State Ethics Commission. Kelly also filed an Answer to the Order to
Show Cause, in which Kelly stated that: (1) he takes full responsibility for not filing his
Statement of Financial Interests on time; (2) at the time, he was dealing with a lot of family
matters, but he is not making excuses; (3) he had the Statement of Financial Interests filled
out but must have forgotten to mail it; and (4) he will accept any penalty that the State
Ethics Commission feels is necessary.
Pursuant to Section 1109(f) of the Ethics Act, this Commission may levy a maximum
civil penalty against Kelly far the delinquent Statement of Financial Interests for calendar
year 2017. Although we may consider mitigating factors when exercising our discretion to
levy civil penaltyy(ies), see, State Ethics Commission Resolution No. 91 -002, Kelly has not
asserted that tf�ere are any mEtigating circumstances m t is case. ere is nothing of
record that would constitute a defense or excuse for Kelly's failure to comply with the
Ethics Act.
We find that Kelly, as a Constable /De uty Constable, 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 2017 with the State Ethics Commission.
We hereby levy one maximum civil penalty against Kelly at the rate of Twenty -Five
Dollars ($25.00 per day for each day the Statement of Financial Interests for calendar year
2017 remained) delinquent. Given the number of days during which the Statement of
Financial Interests remained delinquent, the resultant amount to be levied against Kelly is
Two Hundred and Fifty Dollars ($250.00).
Kelly shall be ordered to make ayment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30 ") day after the mailing date of his adjudication
and Order, by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
III, CONCLUSIONS OF LAW:
James Kelly ( "Kelly "), as a Constable /Deputy Constable, 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 sec-.
of
2 helEth Ethics Act, 65 Pa.C.S. §y1104(a) bwhenllhe failed to timely file a� Statement of
Financial Interests for calendar year 2017 with the State Ethics Commission.
KKe�e__llyy, 18 -050 -P
Page 5
Notice of the delinquency of Kelly's Statement of Financial Interests for calendar
year 2017 was previously served upon him in accordance with Section 1107(5) of
the Ethics Act, 65 Pa. C.S. § 1107(5).
Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250.00 is warranted.
In Re: James Kelly, ; File Docket: 18 -050 -P
Respondent Date Decided: 517119
Date Mailed: 5114119
ORDER NO. 630 -S
James Kelly ( "Kelly "), as a Constable /Deputy Constable, 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 2017 with the Pennsylvania State Ethics Commission.
This Commission hereby levies one maximum civil penalty against Kelly at the rate
of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2017 remained delinquent, for a total civil penalty of Two
Hundred and Fifty Dollars ($250.00). Kelly is ordered to pa said civil penalty 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 the Pennsylvania State Ethics Commission
made payable to the Commonwealth of Pennsylvania, for deposit in the State
Treasury.
3. Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,