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In Re: Patrick Lee,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILUNG
613 NORTI-1 STREET, ROOM 309
HARRISBURG,IAA 17120-0400
File Docket:
Order No.
Date Decided
Date Mailed:
22-018-P
738-S
9/14/22
9/19/22
FACSIMILE: 717-787-0806
WEBSITE: wwmethimila—M
Before: Mark. R. Corrigan, Acting Chair
Shelley Y. Simms, Acting Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Rhonda Hill Wilson
Paul E. Parsells
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 cts-.
The Investigative Division initiated these proceedings by filing with the State Ethics
Corninission 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.
1. FINDINGS:
I Respondent is an adult individual who resides or maintains a mailing address at [address
redacted],
2. During calendar, year 2020, Respondent was a Transportation Construction Inspector with
the Department of Tran sportation, and as such, Respondent has at all times relevant to these
proceedings been a "public official/public employee" as defined in Section 1102 of the
Ethics Act, 65 Pa.C.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 has failed to provide full financial disclosure as required by the Ethics Act,
Respondent has failed to file a Statement of Financial Interests for calendar year 2020,
Lee, 22-018-P
Page 2
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.
5. By Notice letter dated September 10, 2021, 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 2020 within
twenty (20) days of the date of the Notice letter. Respondent has failed and refused to file
a complete Statement of Financial Interests for calendar year 2020 so as to comply with
the specific requirements of the Ethics Act.
6. By Notice letter dated September 30, 2021, 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 2020 within
twenty (20) days of the date of the Notice letter. Respondent has failed and refused to file
a complete Statement of Financial Interests for calendar year 2020 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).
8. 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 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.
Lee, 22-018-P
Page 3
9. 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.
II. DISCUSSION:
As a Transportation Construction Inspector with the Pennsylvania Department of
Transportation ("Department of Transportation") Patrick Lee ("Lee") 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, Lee was specifically required to file a
Statement of Financial Interests for calendar year 2020 with the Department of Transportation or
before May 1, 2021. 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 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 Lee as a Transportation Construction Inspector
with 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 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
Lee, 22-018-P
Page 4
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(t) to this case establishes that this Commission has the
discretion to levy a maximum civil penalty against Lee for the delinquent Statement of Financial
Interests for calendar year 2020.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied.
Lee 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 Lee by filing with the State Ethics Commission and serving upon Lee a
Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Lee
to show cause why a civil penalty should not be levied against him. Lee did not file an answer to
the Order to Show Cause. There is nothing of record that would constitute a defense or excuse for
Lee's failure to comply with the Ethics Act. Lee has failed to show cause why a civil penalty
should not be levied against him in this matter.
We find that Lee, as a Transportation Construction Inspector with the Department of
Transportation, 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 the Department
of Transportation.
We hereby levy one maximum civil penalty against Lee 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 Lee is Two Hundred and Fifty
Dollars ($250.00).
Lee shall be ordered to make payment of the above civil penalty in the amount of $250.00
by no later than the thirtieth (30th) 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.
Lee shall be ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2020 with the Department of Transportation by no later than the thirtieth (30') day
after the mailing date of this adjudication and Order, with one copy forwarded to this Commission
for compliance verification purposes.
Lee, 22-018-P
Page 5
III. CONCLUSIONS OF LAW:
i , Patrick Lee ("Lee"), as a Transportation Construction Inspector with the Pennsylvania
Department of Transportation, 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. Lee, as a Transportation Construction Inspector with the Pennsylvania Department of
Transportation, 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 the Pennsylvania Department of Transportation.
3. Notice of the delinquency of Lee'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: Patrick Lee, File Docket: 22-018-P
Respondent Date Decided: 9/14/22
Date Mailed: 9/19/22
ORDER NO.738-S
Patrick Lee ("Lee"), as a Transportation Construction Inspector with the Pennsylvania
Department of Transportation ("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 he failed to file a Statement of Financial Interests for calendar year 2020
with the Pennsylvania Department of Transportation.
2. This Commission hereby levies one maximum civil penalty against Lee 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). Lee is ordered to pay said civil penalty in the total amount of
$250.00 by no later than the thirtieth (301h) 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. Lee is ordered to file a complete and accurate Statement of Financial Interests for calendar
year 2020 with the Pennsylvania Department of Transportation 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 COM SSION,
z ,
Mark R. Corrigan, Acting Chair