HomeMy WebLinkAbout350-S RotellaIn Re: Deborah K. Rotella,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
08 -010 -P
Order No. 350 -S
12/4/08
12/19/08
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.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.
This is a final Order, and it is publicly available upon issuance. Reconsideration
may be requested, but a request for reconsideration will not affect the finality of this
adjudication or its availability as a public document. Any reconsideration request must be
received at this Commission within thirty days of the mailing date noted above and must
include a detailed explanation of the reasons as to why reconsideration should be granted
in conformity with 51 Pa. Code § 21.29(b).
Rotella, 08 -010 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
Academic Advising Center, 113 Hemlock Manor, Mansfield University, Mansfield,
PA 16933.
2. At all times relevant to these proceedings, Respondent has been a member of the
Tioga County Board of Assistance and as such Respondent has at all times
relevant to these proceedings been a "public official" as that term is 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 has failed to provide full financial disclosure as required by the Ethics
Act. Respondent has failed to file Statements of Financial Interests for calendar
years 2006 and 2007 with the Board on which she served, the Tioga County Board
of Assistance, which Statements of Financial Interests were to be filed by May 1,
2007, and May 1, 2008, respectively, and Respondent has therefore transgressed
Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated April 1, 2008, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning her failure to file a Statement of Financial Interests for
calendar year 2006. 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 2006 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 2006 so as to comply with the specific
requirements of the Ethics Act.
6. By Notice letter sent via certified mail dated August 12, 2008, Respondent was
served with Notice in accordance with Section 1107(5) of the Ethics Act of the
specific allegations against Respondent concerning her failure to file Statements of
Financial Interests for calendar years 2006 and 2007. Said Notice letter provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendar years
2006 and 2007 within twenty (20) days of the date of the Notice letter. Respondent
has failed and refused to file Statements of Financial Interests for calendar years
2006 and 2007 so as to comply with the specific requirements of the Ethics Act.
7 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.
Rotella, 08 -010 -P
Page 3
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 two violations alleged herein, Respondent is
subject to total maximum civil penalty liability of $500.00 for said violations.
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00 for each violation, 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 member of the Tioga County Board of Assistance, Deborah K. Rotella
( "Rotella ") 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 1104(a) of the Ethics Act, Rotella was specifically required to
file Statements of Financial Interests for calendar years 2006 and 2007 with the Tioga
County Board of Assistance on or before May 1, 2007, and May 1, 2008, respectively.
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
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 Rotella as a member of the Tioga County
Board of Assistance was required to provide in the Statement of Financial Interests forms
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
Rotella, 08 -010 -P
Page 4
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 Rotella for each delinquent or
deficient Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Rotella did not remedy the failure to comply with the Ethics Act although given a
grace period following Notice in which to do so. The Investigative Division then instituted
formal proceedings against Rotella by filing with the State Ethics Commission and serving
upon Rotella a Petition for Civil Penalties. The Commission Chair issued an Order to
Show Cause, ordering Rotella to show cause why a civil penalty should not be levied
against her. Rotella did not file an answer to the Order to Show Cause. There is nothing of
record that would constitute a defense or excuse for Rotella's failure to comply with the
Ethics Act. Rotella has failed to show cause why a civil penalty should not be levied
against her in this matter.
We find that Rotella, as a member of the Tioga County Board of Assistance, failed
to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to
file Statements of Financial Interests for calendar years 2006 and 2007 with the Tioga
County Board of Assistance.
We hereby levy two civil penalties against Rotella, each at the rate of Twenty -Five
Dollars ($25.00) per day, for each day her Statements of Financial Interests for calendar
years 2006 and 2007 have remained delinquent. Given the number of days during which
the Statements of Financial Interests have remained delinquent, the resultant total amount
to be levied against Rotella is Five - Hundred Dollars ($500.00).
Rotella shall be ordered to make payment of the above civil penalties in the total
amount of $500.00 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.
Rotella shall be ordered to file complete and accurate Statements of Financial
Interests for calendar years 2006 and 2007 with the Tioga County Board of Assistance by
no later than the thirtieth (30) day after the mailing date of this adjudication and Order,
with a copy of each such filing forwarded to this Commission for compliance verification
purposes.
III. CONCLUSIONS OF LAW:
1. Deborah K. Rotella ( "Rotella "), as a member of the Tioga County Board of
Assistance, 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.
2. Rotella, as a member of the Tioga County Board of Assistance, failed to comply
with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file
Statements of Financial Interests for calendar years 2006 and 2007 with the Tioga
County Board of Assistance.
Rotella, 08 -010 -P
Page 5
3. Notice of the delinquency of Rotella's Statements of Financial Interests for calendar
years 2006 and 2007 was previously served upon her 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, the imposition of two
maximum civil penalties in the total amount of $500.00 is warranted.
IN RE: Deborah K. Rotella,
Respondent
File Docket: 08 -010 -P
Date Decided: 12/4/08
Date Mailed: 12/19/08
ORDER NO. 350 -S
1 Deborah K. Rotella ( "Rotella "), as a member of the Tioga County Board of
Assistance, 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
Statements of Financial Interests for calendar years 2006 and 2007 with the Tioga
County Board of Assistance.
2. This Commission hereby levies two civil penalties against Rotella, each at the rate
of Twenty -Five Dollars ($25.00) per day for each day her Statements of Financial
Interests for calendar years 2006 and 2007 have remained delinquent, for total civil
penalty liability in the amount of Five Hundred Dollars ($500.00). Rotella is ordered
to pay the said civil penalties in the total amount of $500.00 by no later than the
thirtieth (30) day after the mailing date of this Order, by forwarding a check to this
Commission made payable to the Commonwealth of Pennsylvania, for deposit in
the State Treasury.
3. Rotella is ordered to file complete and accurate Statements of Financial Interests
for calendar years 2006 and 2007 with the Tioga County Board of Assistance, by no
later than the thirtieth (30 day after the mailing date of this Order, with a copy of
each such filing forwarded to this Commission for compliance verification purposes.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair