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Home My WebLink About422-S Kawa In Re: Erin Kawa, : File Docket: 13-008-P Respondent : X-ref: Order No. 422-S : Date Decided: 2/7/14 : Date Mailed: 2/10/14 Before: John J. Bolger, Chair Nicholas A. Colafella, Vice Chair Raquel K. Bergen Mark R. Corrigan Roger Nick Kathryn Streeter Lewis 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. I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 105 Calder Street, Harrisburg, PA 17102. 2. At all times relevant to these proceedings, Respondent has been an Attorney II with the Pennsylvania Liquor Control Board, and as such, Respondent has at all times relevant to these proceedings been a "public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102. 3. Respondent as a public employee is 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. Respondent has failed to file a Statement of Financial Interests for calendar year 2012, which Statement of Financial Interests was to be filed by May 1 of 2013, and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. 5. By Notice letter dated May 16, 2013, 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 2012 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 2012 so as to comply with the specific requirements of the Ethics Act. Kawa, 13-008-P Page 2 6. By Notice letter dated June 17, 2013, 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 2012 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 2012 so as to comply with the specific requirements of the Ethics Act. 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 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 one violation alleged herein, Respondent is subject to total maximum civil penalty liability of $250.00. 9. There are no mitigating circumstances and Respondent should be assessed the maximum civil penalty of $250.00, in that the twenty-day deadline set forth in the said final Notice letter to Respondent has expired and the Respondent has not complied. II. DISCUSSION: As an Attorney II for the Pennsylvania Liquor Control Board (“PLCB”), Erin Kawa (“Kawa”) was at all times relevant to these proceedings 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, Kawa was specifically required to file a Statement of Financial Interests for calendar year 2012 with the PLCB on or before May 1, 2013. See, Maunus v. Pennsylvania State Ethics Commission, 518 Pa. 592, 544 A.2d 1324 (1988). 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 Kawa, 13-008-P Page 3 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 Kawa as an Attorney II for the PLCB 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 Kawa for the delinquent Statement of Financial Interests for calendar year 2012. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Kawa 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 Kawa by filing with the State Ethics Commission and serving upon Kawa a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Kawa to show cause why a civil penalty should not be levied against her. Kawa did not file an answer to the Order to Show Cause. There is nothing of record that would constitute a defense or excuse for Kawa’s failure to comply with the Ethics Act. Kawa has failed to show cause why a civil penalty should not be levied against her in this matter. We find that Kawa, as an Attorney II for the PLCB, 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 2012 with the PLCB. We hereby levy one maximum civil penalty against Kawa at the rate of Twenty-Five Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar Kawa, 13-008-P Page 4 year 2012 has remained delinquent. Given the number of days during which the Statement of Financial Interests has remained delinquent, the resultant amount to be levied against Kawa is Two-Hundred and Fifty Dollars ($250.00). Kawa shall be ordered to make payment of the above civil penalty in the amount of th $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. Kawa shall be ordered to file a complete and accurate Statement of Financial th Interests for calendar year 2012 with the PLCB 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. Erin Kawa (“Kawa”), as an Attorney II for the Pennsylvania Liquor Control Board (“PLCB”), was at all times relevant to these proceedings 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. Kawa, as an Attorney II for the PLCB, 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 2012 with the PLCB. 3. Notice of the delinquency of Kawa's Statement of Financial Interests for calendar year 2012 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: Erin Kawa, : File Docket: 13-008-P Respondent : Date Decided: 2/7/14 : Date Mailed: 2/10/14 ORDER NO. 422-S 1. Erin Kawa (“Kawa”), as an Attorney II for the Pennsylvania Liquor Control Board, 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 2012 with the Pennsylvania Liquor Control Board. 2. This Commission hereby levies one maximum civil penalty against Kawa at the rate of Twenty-Five Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar year 2012 has remained delinquent, for a total civil penalty of Two-Hundred and Fifty Dollars ($250.00). Kawa is ordered to pay said civil penalty th 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 the State Ethics Commission made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. 3. Kawa is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2012 with the Pennsylvania Liquor Control Board by no later than the th thirtieth (30) day after the mailing date of this Order, with one copy filed with the State Ethics 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, John J. Bolger, Chair