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In Re: Roxanne Rinier,
Respondent
File Docket:
X-ref:
Date Decided:
Date Mailed:
FACSiMILE: 717-787-0806
WEBSITE: www.glbigs_,ga.gov
20-012-P
Order No. 670-S
9/23/20
10/7/20
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Ro er Nick
Melanieyanie DePa ma
Michael A, Schwartz
Shelley Y. Simms
This is a final adjudication of the Pennsylveania State Ethics Commission as to the
alleged delinquency and/or deficiency of Statemnt(s) of Financial Interests required to
JI
be d 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.
I. FINDINGS:
1, Res ondent is an adult individual who resides or maintains a mailing address at
[adTress redacted].
2. At all times relevant to these proceedings, Respondent has been a Fiscal
Management Specialist 4 with the Pennsylvania Department of Transportation,
and as such, Respondent has at all times relevant to these proceedinW3 been a
"'public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C. , §1 10Z
3. Respondent as a of the
employee is subject to the Statement of Financial Interests
filing provisions o the Ethics Act.
4. Respondent has failed to provide full financial disclosure as required b� the Ethics
C
Act, Respondent has failed to file a Statement of Financial Interests or calendar
year 2018, which Statement of Financial Interests was to be filed b May 1of2019,
and Respondent has therefore transgressed Sections 1104 and 1 T05 of the Ethics
Act, 65 K.C.S. §§ 1104, 1105.
5. By Notice letter dated September 24, 2019, Respondent was served with Notice
in accordance with Section 1107(5) of the Ethics Act of the specific allegations
against Respondent concerning above transgression. Taid 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 2018 within twenty (20) days of the date of the Notice letter.
Respondent Kas failed and refused to file a Ztatement of Financial Interests for
calendar year 2018 so as to comply with the specific requirements of the Ethics
Act.
Punier, 20-012-P
P—age 2
By Notice letter dated October 30, 2019, 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 2018 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 2018 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).
For each violation the Commission finds, Respondent is subject 09to civil penalty
liability under Section 1109(f) of the Ethics Act, 65 Pa.C.S. § 1 (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.
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
said final Notice letter to Respondent has expired and the Respondent has not
complied.
DISCUSSION:
As a Fiscal Management Specialist 4 for the Pennsylvania De artment of
Transportation ("Department of Transportation"), Roxanne Rinier {"Rinier"� was at all
times relevant to these proceedings a 'public empplo ee" 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, Rinier was specifically required to
file a Statement of Financial Interests for calendar yyear 2018 with the Department of
Transportation on or before May 1, 2019. 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
Rinier, 20-012-P
P-a—g e_3
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 Rinier as a Fiscal Management Specialist
4 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
(q 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 Rinier for the delinquent Statement
of Financial Interests for calendar year 2018.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Rinier 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 Rinier by filing with the State Ethics
Commission and serving upon Rinier a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Rinier to show cause why a civil penalty should
not be levied against her. Rinier did not file an answer to the Order to Show Cause.
There is nothing of record that would constitute a defense or excuse for Rinier's failure to
comply with the Ethics Act. Rinier has failed to show cause why a civil penalty should not
be levied against her in this matter.
We find that Rinier, as a Fiscal Management Specialist 4 for the Department of
Transportation, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S.
1104(a), when she failed to file a Statement of Financial Interests for calendar year 201;
with the Department of Transportation.
We herebyy levy one maximum civil penalty against Rinier at the rate of Twenty -
Five Dollars ($25.00) per day for each day her Statement of Financial Interests for
Rinier, 20-012-P
age 4
calendar year 2018 has remained delinquent. Given the number of days during which
the Statement of Financial Interests has remained delin uent, the resultant amount to be
levied against Rinier is Two Hundred and Fifty Dollars ($250.00).
Rinier 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 afterthe 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.
Rinier shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2018 with the Department of Transportation by no later than
the thirtieth (30th) 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. Roxanne Rinier ("Rinier"), as a Fiscal Management Specialist 4 for the
Pennsylvania Department of Transportation, was at all times relevant to these
proceedings a "public employee" subiect to the provisions of the Public Official and
Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seg.
2. Rinier, as a Fiscal Management Specialist 4 for the Pennsylvania Department of
Transportation, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S.
§ 1104(a), when she failed to file a Statement of FFinancial Interests for calendar
year 2018 with the Pennsylvania Department of Transportation.
3. Notice of the delinquency of Rinier's Statement of Financial Interests for calendar
year 2018 was ppreviouslyy served upon her 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: Roxanne Rinier, File Docket: 20-012-P
Respondent Date Decided: 9123/20
Date Mailed: 1017/20
ORDER NO. 670-S
1. Roxanne Rinier ("Rinier"), as a Fiscal Management Specialist 4 for the
Pennsylvania Department of Transportation, failed to comply with Section 1104(a)
of the Public Official and Employee Ethics Act ("Ethics Act`), 65 Pa.C.S. § 1104(a),
when she failed to file a Statement of Financial Interests for calendar year 2018
with the Pennsylvania Department of Transportation.
2. This Commission hereby levies one maximum civil penalty against Rinier at the
rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of
Financial Interests for calendar year 2018 has remained delinquent, for a total civil
penalty of Two Hundred and Fifty Dollars ($250.00). Rinier is ordered to pay 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. Rinier is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2018 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 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,
J
a
icholas A. Colafella, Chair