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HomeMy WebLinkAbout346-S CalderbankIN RE: Susan E. Calderbank, 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 -012 -P Order No. 346 -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. A Stipulation of Findings and a Consent Agreement waiving an evidentiary hearing 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. 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). Calderbank, 08 -012 -P Page 2 I. FINDINGS: 1. Susan E. Calderbank (hereinafter "Calderbank ") has been a member of the State Board of Dentistry and as such Calderbank 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. 2. Calderbank as a public official is subject to the Statement of Financial Interests filing provisions of the Ethics Act. 3. Calderbank has failed to provide full financial disclosure as required by the Ethics Act. Calderbank has failed to file a Statement of Financial Interests for calendar year 2007 with the Board that she served, the State Board of Dentistry, which Statement of Financial Interests was to be filed by May 1, 2008, and Calderbank has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. § §1104, 1105. 4. By Notice letters dated November 5, 2007, and April 1, 2008, Calderbank was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegations against Calderbank concerning the above transgression. 5. Said Notice letters provided Calderbank an opportunity to avoid the institution of the 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 letters. 6. On June 16, 2008, Calderbank filed her 2006 Statement of Financial Interests form and on June 17, 2008, correspondence was mailed to Calderbank informing her that she is also required to file a Statement of Financial Interests form for the 2007 calendar year. Calderbank has failed and refused to file a Statement of Financial Interests for calendar year 2007 so as to comply with the specific requirements of the Ethics Act. 7 By Notice letter sent via certified mail dated August 12, 2008, Calderbank was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegations against Calderbank concerning the above transgression. a. Said Notice letter provided Calderbank an opportunity to avoid the institution of these civil penalty proceedings by filing an accurate and complete Statement of Financial Interests for calendar year 2007 within twenty (20) days of the date of the Notice letter. b. Calderbank has failed and refused to file a Statement of Financial Interests for calendar year 2007 so as to comply with the specific requirements of the Ethics Act. 8. On September 23, 2008, the Investigative Division of the State Ethics Commission filed a Petition for Civil Penalties against Calderbank. a. Said Petition for Civil Penalties was served upon Calderbank via certified mail on September 25, 2008. 9. On October 1, 2008, the Commission issued an Order to Show Cause why the Commission should not levy a civil penalty upon Respondent Calderbank. 10. On October 14, 2008, the Investigative Division received Calderbank's Statement of Financial Interests for calendar year 2007. Calderbank, 08 -012 -P Page 3 II. DISCUSSION: As a member of the State Board of Dentistry, Susan E. Calderbank ( "Calderbank ") 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, Calderbank was specifically required to file a Statement of Financial Interests for calendar year 2007 on or before May 1, 2008, with the State Board of Dentistry. 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 Calderbank as a member of the State Board of Dentistry 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). An application of Section 1109(f) to this case establishes that this Commission has the discretion to levy a maximum civil penalty against the Respondent for each delinquent or deficient Statement of Financial Interests. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Calderbank did not remedy the failure to comply with the Ethics Act although Calderbank, 08 -012 -P Page 4 given more than the usual grace period following Notice in which to do so. The Investigative Division then instituted formal proceedings against Calderbank by filing with this Commission and serving upon Calderbank a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Calderbank to show cause why a civil penalty should not be levied against her. 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 Calderbank failed to timely file her Statement of Financial Interests for the 2007 calendar year in compliance with Section 1104(a) of the Ethics Act; and (2) Calderbank making payment of a civil penalty in the amount of $200.00 in settlement of this matter, payable to the Commonwealth of Pennsylvania. We believe that the Consent Agreement is the 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 take administrative notice that Calderbank has made payment of a civil penalty in the amount of $200.00 through this Commission to the Commonwealth of Pennsylvania, as per the Consent Agreement of the parties, and has filed a Statement of Financial Interests for calendar year 2007 with this Commission on October 14, 2008. We hereby find that Calderbank failed to timely file her Statement of Financial Interests for the 2007 calendar year in compliance with Section 1104(a) of the Ethics Act. In that Calderbank has made payment of a civil penalty in the amount of $200.00 in accordance with the Consent Agreement of the parties, and has filed a Statement of Financial Interests for calendar year 2007, this case is closed. III. CONCLUSIONS OF LAW: 1. As a member of the State Board of Dentistry, Susan E. Calderbank ( "Calderbank ") 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. Calderbank, as a member of the State Board of Dentistry, failed to timely file her Statement of Financial Interests for the 2007 calendar year in compliance with Section 1104(a) of the Ethics Act. 3. Notice of the delinquency of Calderbank's Statement of Financial Interests for calendar year 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, a civil penalty in the amount of $200.00 is warranted. IN RE: Susan E. Calderbank, Respondent File Docket: Date Decided: Date Mailed: ORDER NO. 346 -S 08 -012 -P 12/4/08 12/19/08 1 Susan E. Calderbank ( "Calderbank "), as a member of the State Board of Dentistry, failed to timely file her Statement of Financial Interests for the 2007 calendar year in compliance with Section 1104(a) of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1104(a). 2. In that Calderbank has paid a civil penalty in the amount of $200.00 through this Commission to the Commonwealth of Pennsylvania as per the Consent Agreement of the parties, and has now filed a Statement of Financial Interests for calendar year 2007, no further action is required in this case and this case is closed. BY THE COMMISSION, Louis W. Fryman, Chair