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In Re: Susan McLaughlin, : File Docket: 14-008-P
Respondent : X-ref: Order No. 435-S
: Date Decided: 1/28/15
: Date Mailed: 1/30/15
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan
Roger Nick
Kathryn Streeter Lewis
Maria Feeley
Melanie DePalma
Brian Westmoreland
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
445 Gum Springs Road, Fairfield, PA 17320.
2. At all times relevant to these proceedings, Respondent has been an Agricultural
Commodity Technician with the Pennsylvania Department of Agriculture, 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 November 8, 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
McLaughlin, 14-008-P
Page 2
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.
6. By Notice letter dated December 13, 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 Agricultural Commodity Technician for the Pennsylvania Department of
Agriculture (“Department of Agriculture”), Susan McLaughlin (“McLaughlin”) 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, McLaughlin was specifically required
to file a Statement of Financial Interests for calendar year 2012 with the Department of
Agriculture on or before May 1, 2013. Section 1104(a) provides:
§ 1104. Statement of financial interests required to be filed
(a) Public official or public employee.
--Each public official of the
McLaughlin, 14-008-P
Page 3
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 McLaughlin as an Agricultural Commodity
Technician for the Department of Agriculture 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 McLaughlin 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. McLaughlin 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 McLaughlin by filing with
the State Ethics Commission and serving upon McLaughlin a Petition for Civil Penalties.
The Commission Chair issued an Order to Show Cause, ordering McLaughlin to show
cause why a civil penalty should not be levied against her. McLaughlin did not file an
answer to the Order to Show Cause. There is nothing of record that would constitute a
defense or excuse for McLaughlin’s failure to comply with the Ethics Act. McLaughlin has
failed to show cause why a civil penalty should not be levied against her in this matter.
We find that McLaughlin, as an Agricultural Commodity Technician for the
Department of Agriculture, 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 Department of Agriculture.
McLaughlin, 14-008-P
Page 4
We hereby levy one maximum civil penalty against McLaughlin 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. Given the number of days during which the
Statement of Financial Interests has remained delinquent, the resultant amount to be
levied against McLaughlin is Two-Hundred and Fifty Dollars ($250.00).
McLaughlin shall be ordered to make payment of the above civil penalty in the
th
amount 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.
McLaughlin shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2012 with the Department of Agriculture by no later than the
th
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. Susan McLaughlin (“McLaughlin”), as an Agricultural Commodity Technician for the
Pennsylvania Department of Agriculture, 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. McLaughlin, as an Agricultural Commodity Technician for the Pennsylvania
Department of Agriculture, 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 Pennsylvania Department of Agriculture.
3. Notice of the delinquency of McLaughlin’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: Susan McLaughlin, : File Docket: 14-008-P
Respondent : Date Decided: 1/28/15
: Date Mailed: 1/30/15
ORDER NO. 435-S
1. Susan McLaughlin (“McLaughlin”), as an Agricultural Commodity Technician for the
Pennsylvania Department of Agriculture, 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 Department of Agriculture.
2. This Commission hereby levies one maximum civil penalty against McLaughlin 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). McLaughlin is ordered to pay
th
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 the State Ethics
Commission made payable to the Commonwealth of Pennsylvania, for deposit in
the State Treasury.
3. McLaughlin is ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2012 with the Pennsylvania Department of Agriculture by
th
no later than the thirtieth (30) day after the mailing date of this Order, with one
copy forwarded to 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,
Nicholas A. Colafella, Chair