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HomeMy WebLinkAbout425-S Chriswell In Re: Gloria Chriswell, : File Docket: 14-003-P Respondent : X-ref: Order No. 425-S : Date Decided: 6/17/14 : Date Mailed: 6/26/14 Before: John J. Bolger, Chair Nicholas A. Colafella, Vice Chair Raquel K. Bergen Mark R. Corrigan Roger Nick Kathryn Streeter Lewis Maria Feeley 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 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. Gloria Chriswell (“Respondent”) is an adult individual who resides or maintains a mailing address at 1613 W. Louden Street, Philadelphia, PA 19141. 2. At all times relevant to these proceedings, Respondent has been an Income Maintenance Caseworker with the Pennsylvania Department of Public Welfare, 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 September 23, 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 Chriswell, 14-003-P Page 2 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/or otherwise refused to file a Statement of Financial Interests for calendar year 2012 so as to comply with the specific requirements of the Ethics Act. 6. By Notice Letter dated November 4, 2013 (sent via Certified Mail), 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 civil penalty proceedings by filing an accurate and complete Statement of Financial Interests for calendar year 2012 so as to comply with the specific requirements of the Ethics Act. 7. Respondent did not file her Statement of Financial Interests for calendar year 2012 within the twenty (20) day time allotment afforded by the Notice Letters of September 23, 2013, and/or November 4, 2013. 8. As of May 30, 2014, Respondent had not filed a complete and accurate Statement of Financial Interests for calendar year 2012. II. DISCUSSION: As an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare (“Department of Public Welfare”), Gloria Chriswell (“Chriswell”) 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. See, Quaglia v. State Ethics Commission, 986 A.2d 974 (Pa. Cmwlth. 2010), amended by, 2010 Pa. Commw. LEXIS 8 (Pa. Cmwlth. January 5, 2010), allocatur denied, 607 Pa. 708, 4 A.3d 1056 (2010). Pursuant to Section 1104(a) of the Ethics Act, Chriswell was specifically required to file a Statement of Financial Interests for calendar year 2012 with the Department of Public Welfare on or before May 1, 2013. See, Quaglia, supra. 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 Chriswellas an Income Maintenance Chriswell, 14-003-P Page 3 Caseworker for the Department of Public Welfare 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 Chriswell 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. Chriswell 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 Chriswell by filing with this Commission and serving upon her a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Chriswell 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 Chriswell failed to timely file her Statement of Financial Interests for the 2012 calendar year in compliance with Section 1104(a) of the Ethics Act; and (2) Chriswell making payment of a civil penalty in the amount of $250.00 in settlement of this matter, payable to the Commonwealth of Pennsylvania and forwarded to this Commission 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 hereby find that Chriswell, as an Income Maintenance Caseworkerfor the Department of Public Welfare, failed to timely file her Statement of Financial Interests for the 2012 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a). Per the Consent Agreement of the parties, we hereby levy one civil penalty against Chriswell in the total amount of $250.00 for Chriswell’s delinquent Statement of Financial Interests for calendar year 2012. We take administrative notice that Chriswell has filed her Statement of Financial Interests for calendar year 2012 with this Commission but has failed to make payment of a civil penalty in the amount of $250.00 as per the Consent Agreement of the parties. Chriswell, 14-003-P Page 4 In that Chriswell has failed to make payment of a civil penalty in the amount of $250.00 as per the Consent Agreement of the parties, Chriswell shall be ordered to make payment of the aforesaid civil penalty in the amount of $250.00 by no later than the th 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. III. CONCLUSIONS OF LAW: 1. As an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare, Gloria Chriswell (“Chriswell”) 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. Chriswell, as an Income Maintenance Caseworkerforthe Pennsylvania Department of Public Welfare, failed to timely file her Statement of Financial Interests for the 2012 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a). 3. Notice of the delinquency of Chriswell's Statement of Financial Interests for calendar year 2012 was previously served upon herin 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 $250.00is warranted. In Re: Gloria Chriswell, : File Docket: 14-003-P Respondent : Date Decided: 6/17/14 : Date Mailed: 6/26/14 ORDER NO. 425-S 1. Gloria Chriswell (“Chriswell”), as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare, failed to timely file her Statement of Financial Interests for the 2012 calendar year in compliance with Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a). 2. Per the Consent Agreement of the parties, we hereby levy one civil penalty against Chriswell in the total amount of $250.00 for Chriswell’s delinquent Statement of Financial Interests for calendar year 2012. 3. In that Chriswell has failed to make payment of a civil penalty in the amount of $250.00 as per the Consent Agreement of the parties, Chriswell is ordered to make payment of the aforesaid civil penalty in the amount of $250.00 by no later than the th 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. 4. Failure to comply with Paragraph 3 of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, ______________________ John J. Bolger, Chair