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HomeMy WebLinkAbout373-S MAYNARD In Re: Diane Maynard, : File Docket: 10-014-P Respondent : X-ref: Order No. 373-S : Date Decided: 10/19/10 : Date Mailed: 10/22/10 Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Donald M. McCurdy Raquel K. Bergen Nicholas A. Colafella Mark Volk 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). Maynard, 10-014-P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains mailing addresses at 2734 Colonial Road, Harrisburg, PA 17112; and P.O. Box 61152, Harrisburg, PA 17106. 2. At all times relevant to these proceedings, Respondent has been a former Conservations Services Policy Analyst 2 for the Commonwealth of Pennsylvania Public Utility Commission (“PUC”). 3. In her former capacity as a Conservations Services Policy Analyst 2 for the PUC, Respondent was a public employee 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, as Respondent failed to file a Statement of Financial Interests for calendar year 2008 with the PUC. 5. By Notice letter dated October 19, 2009, 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 2008 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 2008 so as to comply with the specific requirements of the Ethics Act. 6. On December 2, 2009, a Notice letter dated December 2, 2009, was mailed to Respondent by certified mail, return receipt requested, in accordance with Section 1107(5) of the Ethics Act, but said Notice letter was not claimed by Respondent. 7. On February 20, 2010, Assistant Counsel Brian Jacisin and Special Investigator Jonathan Millinder attempted to serve Respondent with a copy of the December 2, 2009, Notice letter at Respondent’s residence of 2734 Colonial Road, Harrisburg, PA 17112, but no one was present at the residence. Assistant Counsel Jacisin and Special Investigator Millinder then attempted to serve Respondent with a copy of the December 2, 2009, Notice letter at Respondent’s business, Profiles in Hair th Limited, 68 N. 13 Street, Harrisburg, PA 17103. Assistant Counsel Jacisin and Special Investigator Millinder approached a woman at the business whom they believed to be Respondent and, after identifying themselves as representatives of the State Ethics Commission, asked the woman if she was Diane Maynard. The woman indicated that she was not Diane Maynard. Assistant Counsel Jacisin and Special Investigator Millinder later obtained a driver’s license photograph of Diane Maynard from the Commonwealth of Pennsylvania Department of Transportation and verified that the woman they had spoken with was, in fact, Diane Maynard, and that she had deceived them as to her identity. 8. On April 2, 2010, Respondent was personally served with the December 2, 2009, Notice letter, which letter served Respondent 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 2008 within twenty (20) days of receipt of the Notice letter. Respondent has failed and refused to file a Statement of Financial Interests for calendar year 2008 so as to comply with the specific requirements of the Ethics Act. Maynard, 10-014-P Page 3 9. On April 6, 2010, Respondent filed a Statement of Financial Interests with the State Ethics Commission. This Statement of Financial Interests is entirely devoid of any of the information that is required to be disclosed pursuant to Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. The only notations on the Statement of Financial Interests form are the handwritten words, “kiss my ass!!! + wait for a harassment suit!” 10. In failing to disclose any of the information on the Statement of Financial Interests form as required by the Ethics Act, Respondent has intentionally transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. 11. 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). 12. 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. 13. There are aggravating circumstances in this case, and therefore Respondent should be assessed the maximum civil penalty of $250.00, in that Respondent has intentionally flouted the requirements of Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. II. DISCUSSION: In her former capacity as a Conservations Services Policy Analyst 2 for the Commonwealth of Pennsylvania Public Utility Commission (“PUC”), Diane Maynard was 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, as a former Conservations Services Policy Analyst 2 for the PUC, Maynard was specifically required to file a Statement of Financial Interests for calendar year 2008 with the PUC on or before May 1, 2009. Section 1104(a) provides: § 1104. Statement of financial interests required to be filed Maynard, 10-014-P Page 4 (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 Maynard as a former Conservations Services Policy Analyst 2 for the PUC 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 Maynard for each delinquent or deficient Statement of Financial Interests. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Maynard 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 Maynard by filing with the State Ethics Commission and serving upon Maynard a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Maynard to show cause why a civil penalty should not be levied against her. Maynard did not file an answer to the Order to Show Cause. There is nothing of record that would constitute a defense or excuse for Maynard’s failure to comply with the Ethics Act. Maynard has failed to show cause why a civil penalty should not be levied against her in this matter. We find that Maynard, as a former Conservations Services Policy Analyst 2 for the PUC, 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 2008 with the PUC. Maynard, 10-014-P Page 5 We hereby levy one civil penalty against Maynard at the rate of Twenty-Five Dollars ($25.00) per day for each day herStatement of Financial Interests for calendar year 2008 has remained delinquent/deficient. Given the number of days during which the Statement of Financial Interests has remained delinquent/deficient, the resultant amount to be levied against Maynard is Two-Hundred and Fifty Dollars ($250.00). Maynard shall be ordered to make payment of the above civil penalty in the amount th of $250.00 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. Maynard shall be ordered to file a complete and accurate Statement of Financial th Interests for calendar year 2008 with the PUC 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. III. CONCLUSIONS OF LAW: 1. Diane Maynard (“Maynard”), in her former capacity as a Conservations Services Policy Analyst 2 for the Commonwealth of Pennsylvania Public Utility Commission (“PUC”), was a “public employee” subject to the provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq. 2. Maynard, as a former Conservations Services Policy Analyst 2 for the PUC, 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 2008 with the PUC. 3. Notice of the delinquency of Maynard’s Statement of Financial Interests for calendar year 2008 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 total amount of $250.00 is warranted. In Re: Diane Maynard, : File Docket: 10-014-P Respondent : Date Decided: 10/19/10 : Date Mailed: 10/22/10 ORDER NO. 373-S 1. Diane Maynard (“Maynard”), as a former Conservations Services Policy Analyst 2 for the Commonwealth of Pennsylvania Public Utility Commission (“PUC”), 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 2008 with the PUC. 2. This Commission hereby levies one civil penalty against Maynard at the rate of Twenty-Five Dollars ($25.00) per day for each day herStatement of Financial Interests for calendar year 2008 has remained delinquent/deficient, for a total civil penalty of Two-Hundred and Fifty Dollars ($250.00). Maynard is ordered to pay th 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 this Commission made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. 3. Maynard is ordered to file a complete and accurate Statement of Financial Interests th for calendar year 2008 with the PUC by no later than the thirtieth (30) day after the mailing date of this Order, with one copy filed with this 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, Louis W. Fryman, Chair