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
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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
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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
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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
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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
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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