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HomeMy WebLinkAbout393-S Greene In Re: Carl R. Greene, : File Docket: 11-018-P Respondent : X-ref: Order No. 393-S : Date Decided: 1/31/12 : Date Mailed: 2/13/12 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 Penalty. 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 Penalty filed by the Investigative Division. I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 2107 N. Decatur Road, #107, PMB 107, Decatur, Georgia, 30033-5305. 2. At all times relevant to these proceedings, Respondent has been employed as the Executive Director of the Philadelphia Housing Authority, and as such Respondent has at all times relevant to these proceedings been a "public official/public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102. a. Greene was hired as the Executive Director of the Philadelphia Housing Authority on or about March 9, 1998. b. Greene’s service with the Philadelphia Housing Authority terminated on or about September 24, 2010. 3. Respondent, as a public official/public employee, is subject to the Statement of Financial Interests filing provisions of the Ethics Act. 4. Respondent, in his public position as the Executive Director of the Philadelphia Housing Authority, has failed to provide full financial disclosure as required by the Ethics Act. a. Respondent has filed Statements of Financial Interests for calendar years Greene, 11-018-P Page 2 2004, 2005 and 2006, which are legally insufficient and fail to comply with the Ethics Act, namely in that Respondent failed to list all sources of income and/or all creditors and corresponding interest rates on Statements of Financial Interests that were filed with the Philadelphia Housing Authority. Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. b. Respondent has failed to file Statements of Financial Interests for calendar years 2007, 2008, and 2009 with the Philadelphia Housing Authority, thereby transgressing Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. 5. By Notice letter dated November 16, 2010, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegations against Respondent concerning the above transgressions. 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 2004, 2005, 2006, 2007, 2008, and 2009 within twenty (20) days of the date of the Notice letter. Respondent has failed and otherwise refused to file Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 so as to comply with the specific requirements of the Ethics Act. 6. By Notice letter dated June 30, 2011, Respondent was served with Notice in accordance with Section 1107(5) of the Ethics Act of the specific allegations against Respondent concerning the above transgressions. 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 2004, 2005, 2006, 2007, 2008, and 2009 within twenty (20) days of the date of the Notice letter. Respondent has failed and otherwise refused to file Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 so as to comply with the specific requirements of the Ethics Act. a. Between the mailing of the First Notice letter (November 16, 2010) and June 30, 2011 (date of Second/Final Notice letter), the Investigative Division engaged in an exhaustive effort to serve and locate Respondent. Only through continued efforts was the Investigative Division able to locate a mailing address for Respondent in Decatur, Georgia. b. On July 7, 2011, Respondent was served via First Class United States Mail, Postage Pre-Paid, Return Receipt Requested, with the Second/Final Notice referenced above. i. The Second/Final Notice was accepted by “Corey Hurst,” who was specifically designated “Agent” upon the PS Form 3811, Domestic Return Receipt form. 7. 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 Greene, 11-018-P Page 3 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). 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 six violations alleged herein, Respondent is subject to total maximum civil penalty liability of $1,500.00 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 Respondent has not complied. II. DISCUSSION: As the Executive Director of the Philadelphia Housing Authority, Carl R. Greene (“Greene”) was at all times relevant to these proceedings a “public official/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, Greene was specifically required to file accurate and complete Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 with the Philadelphia Housing Authority on or before May 1, 2005, May 1, 2006, May 1, 2007, May 1, 2008, May 1, 2009, and May 1, 2010, 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 Greene as the Executive Director of the Philadelphia Housing Authority 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. Greene, 11-018-P Page 4 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 Greene for each delinquent or deficient Statement of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Greene 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 Greene by filing with the State Ethics Commission and serving upon Greene a Petition for Civil Penalty. The Commission Chair issued an Order to Show Cause, ordering Greene to show cause why civil penalties should not be levied against him. Greene did not file an answer to the Order to Show Cause. There is nothing of record that would constitute a defense or excuse for Greene’s failure to comply with the Ethics Act. Greene has failed to show cause why civil penalties should not be levied against him in this matter. We find that Greene, as the Executive Director of the Philadelphia Housing Authority, failed to comply with Sections 1104(a) and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104(a), 1105, when he filed deficient Statements of Financial Interests for calendar years 2004, 2005, and 2006 with the Philadelphia Housing Authority and when he failed to file Statements of Financial Interests for calendar years 2007, 2008, and 2009 with the Philadelphia Housing Authority. We hereby levy six maximum civil penalties against Greene, each at the rate of Twenty-Five Dollars ($25.00) per day, for each day his Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 have remained deficient or delinquent. Given the number of days during which the Statements of Financial Interests have remained deficient or delinquent, the resultant amount to be levied against Greene totals One-Thousand and Five-Hundred Dollars ($1,500.00). Greene shall be ordered to make payment of the above civil penalties in the total th amount of $1,500.00 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. Greene shall be ordered to file complete and accurate Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 with the Philadelphia th Housing Authority 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. Greene, 11-018-P Page 5 III. CONCLUSIONS OF LAW: 1. Carl R. Greene (“Greene”), as the Executive Director of the Philadelphia Housing Authority, was at all times relevant to these proceedings a “public official/public employee” subject to the provisions of the Public Official and Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq. 2. Greene, as the Executive Director of the Philadelphia Housing Authority, failed to comply with Sections 1104(a) and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104(a), 1105, when he filed deficient Statements of Financial Interests for calendar years 2004, 2005, and 2006 with the Philadelphia Housing Authority and when he failed to file Statements of Financial Interests for calendar years 2007, 2008, and 2009 with the Philadelphia Housing Authority. 3. Notice of the deficiency or delinquency of Greene's Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 was previously served upon him 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 six maximum civil penalties in the total amount of $1,500.00 is warranted. In Re: Carl R. Greene, : File Docket: 11-018-P Respondent : Date Decided: 1/31/12 : Date Mailed: 2/13/12 ORDER NO. 393-S 1. Carl R. Greene (“Greene”), as the Executive Director of the Philadelphia Housing Authority, failed to comply with Sections 1104(a) and 1105 of the Public Official and Employee Ethics Act, 65 Pa.C.S. §§ 1104(a), 1105, when he filed deficient Statements of Financial Interests for calendar years 2004, 2005, and 2006 with the Philadelphia Housing Authority and when he failed to file Statements of Financial Interests for calendar years 2007, 2008, and 2009 with the Philadelphia Housing Authority. 2. This Commission hereby levies six maximum civil penalties against Greene, each at the rate of Twenty-Five Dollars ($25.00) per day, for each day his Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 have remained deficient or delinquent, for total civil penalty liability of One- Thousand and Five-Hundred Dollars. Greene is ordered to pay said civil penalties th in the total amount of $1,500.00 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. Greene is ordered to file complete and accurate Statements of Financial Interests for calendar years 2004, 2005, 2006, 2007, 2008, and 2009 with the Philadelphia th Housing Authority 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 Paragraph 2 or 3 of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, Louis W. Fryman, Chair