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In Re: Melanie R. Brown, : File Docket: 11-014-P
Respondent : X-ref: Order No. 385-S
: Date Decided: 9/27/11
: Date Mailed: 9/30/11
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. 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.
I. FINDINGS:
1. Melanie R. Brown (“Brown”) has been a Member of the Pennsylvania Workforce
Investment Board at all times relevant to these civil penalty proceedings, and as
such Brown 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. Brown, as a public official, is subject to the Statement of Financial Interests filing
provisions of the Ethics Act.
3. Brown has failed to provide full financial disclosure as required by the Ethics Act.
Brown has failed to file a Statement of Financial Interests for calendar year 2009
with the State Ethics Commission, which Statement of Financial Interests was to be
filed by May 1 of 2010. Brown has therefore transgressed Section 1104 of the
Ethics Act, 65 Pa.C.S. § 1104.
4. By Notice letters dated November 12, 2010, and March 14, 2011, Brown was
served with Notice in accordance with Section 1107(5) of the Ethics Act, 65 Pa.C.S.
§ 1107(5), of the specific allegation against Brown concerning the above
transgression.
5. Said Notice letters provided Brown an opportunity to avoid the institution of these
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civil penalty proceedings by filing an accurate and complete Statement of Financial
Interests for calendar year 2009 within twenty (20) days of the date of the Notice
letters.
a. Brown failed to file an accurate and complete Statement of Financial
Interests for calendar year 2009 within twenty (20) days pursuant to the
Notice letters.
6. On June 29, 2011, the Investigative Division of the State Ethics Commission filed a
Petition for Civil Penalties against Brown.
a. Said Petition for Civil Penalties was served upon Brown via certified mail on
July 1, 2011.
7. On July 7, 2011, the Chair of the State Ethics Commission issued an Order to Show
Cause, ordering Brown to show cause why the State Ethics Commission should not
levy a civil penalty against her.
8. Brown asserts that her failure to file a Statement of Financial Interests for calendar
year 2009 was inadvertent and that she has no history of similar acts or
omissions. Brown has not been the subject of any other prior investigations or
findings by the Pennsylvania State Ethics Commission. Brown's acknowledgments
contained herein are a good faith attempt to remedy this matter. Brown has fully
cooperated with the Pennsylvania State Ethics Commission regarding this matter.
II. DISCUSSION:
As a Member of the Pennsylvania Workforce Investment Board, Melanie R. Brown
(“Brown”) 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, Brown was specifically required to file
a Statement of Financial Interests for calendar year 2009 with the State Ethics Commission
on or before May 1, 2010. 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 Brown as a Member of the Pennsylvania
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Workforce Investment Boardwas 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 Brown for the delinquent Statement
of Financial Interests for calendar year 2009.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Brown 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 Brown by filing
with this Commission and serving upon her a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Brown 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
Brown failed to file a Statement of Financial Interests for calendar year 2009 with the State
Ethics Commission pursuant to Section 1104(a) of the Ethics Act; (2) Brown making
payment of a civil penalty in the amount of $100.00 in settlement of this matter, payable to
the Commonwealth of Pennsylvania and forwarded to this Commission immediately upon
execution of the Consent Agreement; and (3) Brown filing a complete and accurate
Statement of Financial Interests for calendar year 2009 with this Commission immediately
upon execution of the Consent Agreement.
We believe that the Consent Agreement sets forth a 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 Brown made payment of a civil penalty in the
amount of $100.00 through this Commission to the Commonwealth of Pennsylvania, as per
the Consent Agreement of the parties, and has filed her Statement of Financial Interests
for calendar year 2009 with this Commission.
We hereby find that Brown, as a Member of the Pennsylvania Workforce Investment
Board, failed to file a Statement of Financial Interests for calendar year 2009 with the State
Ethics Commission pursuant to Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
In that Brown has made payment of a civil penalty in the amount of $100.00 in
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accordance with the Consent Agreement of the parties, and has now filed a Statement of
Financial Interests for calendar year 2009, this case is closed.
III. CONCLUSIONS OF LAW:
1. Melanie R. Brown (“Brown”), as a Member of the Pennsylvania Workforce
Investment Board, 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. Brown, as a Member of the Pennsylvania Workforce Investment Board, failed to file
a Statement of Financial Interests for calendar year 2009 with the State Ethics
Commission pursuant to Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
3. Notice of the delinquency of Brown’s Statement of Financial Interests for calendar
year 2009 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 $100.00 is warranted.
In Re: Melanie R. Brown, : File Docket: 11-014-P
Respondent : Date Decided: 9/27/11
: Date Mailed: 9/30/11
ORDER NO. 385-S
1. Melanie R. Brown (“Brown”), as a Member of the Pennsylvania Workforce
Investment Board, failed to file a Statement of Financial Interests for calendar year
2009 with the State Ethics Commission pursuant to Section 1104(a) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a).
2. In that Brown has paid a civil penalty in the amount of $100.00 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
2009, no further action is required in this case and this case is closed.
BY THE COMMISSION,
Louis W. Fryman, Chair