HomeMy WebLinkAbout1667 Johnson
In Re: Loretta Johnson, : File Docket: 14-045
Respondent : X-ref: Order No. 1667
: Date Decided: 6/8/15
: Date Mailed: 6/11/15
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Kathryn Streeter Lewis
Maria Feeley
Melanie DePalma
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission conducted
an investigation regarding possible violation(s) of the Public Official and Employee Ethics
Act (“Ethics Act”), 65 Pa.C.S. § 1101 et seq., by the above-named Respondent. At the
commencement of its investigation, the Investigative Division served upon Respondent
written notice of the specific allegations. Upon completion of its investigation, the
Investigative Division issued and served upon Respondent a Findings Report identified as
an “Investigative Complaint.” An Answer was not filed and a hearing was deemed waived.
The factual averments in the Investigative Complaint are admitted and are set forth as the
following Findings. The record is complete.
I.ALLEGATION:
That Loretta Johnson, a public official/public employee in her capacity as an Income
1
Maintenance Caseworker for the Pennsylvania Department of Public Welfare, violated
Section 1104(a) of the State Ethics Act (Act 93 of 1998) when she failed to file a Statement
of Financial Interests for the 2013 calendar year by May 1, 2014.
II.FINDINGS:
1. The Investigative Division of the State Ethics Commission (“Commission”) received
information alleging that Loretta Johnson (“Johnson”) violated provisions of the
State Ethics Act (Act 93 of 1998).
2. Upon review of the information the Investigative Division initiated a preliminary
inquiry on September 2, 2014.
3. The preliminary inquiry was completed within sixty days.
4. On October 21, 2014, a letter was forwarded to Johnson by the Investigative
Division of the Commission informing her that information against her was received
by the Investigative Division and that a full investigation was being commenced.
1 On or about November 24, 2014, the Pennsylvania Department of Public Welfare was renamed the
Pennsylvania Department of Human Services. See, 62 P.S. § 103. For ease of reference, this adjudication and
Order shall utilize the name “Pennsylvania Department of Public Welfare.”
Johnson, 14-045
Page 2
a. Said letter was forwarded by certified mail, no. 7010 1060 0000 3361 6723.
b. On or about November 25, 2014, the October 21, 2014, letter was returned
to the Investigative Division of the Commission as unclaimed.
c. On December 18, 2014, said letter was personally served upon Johnson at
5201 Old York Road, Philadelphia, Pennsylvania 19141.
5. Periodic notice letters were forwarded to Johnson in accordance with the provisions
of the Ethics Act advising her of the general status of the investigation.
6. The Investigative Complaint/Findings Report was mailed to Johnson on April 14,
2015.
7. Johnson has been employed by the Pennsylvania Department of Public Welfare
(hereafter “DPW”) as an Income Maintenance Caseworker (hereafter “IMC”) since
about October 11, 2011.
a. Johnson is assigned to the Philadelphia County Assistance Office.
8. On or by November 24, 2014, DPW became the Department of Human Services.
a. At all times relevant to the investigation, Johnson was employed by DPW.
9. Historically, the determination that IMCs were considered public employees and
annually required to file Statement of Financial Interests forms was initially made by
the Commission and subsequently upheld by the Commonwealth Court of
Pennsylvania.
a. The most recent determination by the Commission regarding the requirement
that IMCs file Statements of Financial Interests resulted from a September
22, 2008, request by James Honchar, Deputy Secretary for Human
Resources and Management, Governor’s Office of Administration \[for an
advisory\].
10. By way of correspondence dated September 22, 2008, addressed to the
Commission, Honchar sought to have an Advice of Counsel issued by the
Commission’s Chief Counsel addressing whether individuals employed by DPW as
IMCs under job code 44720 are “public employees” as defined by the Ethics Act
and are thus required to file Statement of Financial Interests forms pursuant to the
Ethics Act.
a. Honchar’s correspondence was in response to Makar, Order 1383, in which
the Commission determined that Robert W. Makar violated Section 1104(a)
of the Ethics Act when he failed to file Statement of Financial Interests forms
in his capacity as an IMC with DPW.
1. Honchar noted in his correspondence that in 1979 a prior Chief
Counsel for the Commission determined that an individual employed
as an IMC with DPW was not a public employee under a prior version
of the Ethics Act, Act 170 of 1978 (see, Preloh, Advice 79-563).
2. Honchar argued that historically the Governor’s Office of
Administration had not required IMCs to file Statement of Financial
Interests forms, and if filing was required, same would increase
DPW’s efforts in coordinating employee Statement of Financial
Interests filings.
Johnson, 14-045
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3. Honchar included a copy of the job classification specifications (for
job code 44720) for individuals serving as IMCs with his
correspondence.
a. The job classification specifications were dated June 1, 1989.
11. The Advice of Counsel issued to Honchar on October 28, 2008 (Honchar, Advice of
Counsel 08-591), stated that the Preloh Advice was issued prior to the promulgation
of regulations under the Ethics Act (currently 51 Pa. Code § 11.1 et seq.) and that
the Preloh Advice specifically stated that the Advice was subject to change upon
the adoption of said regulations.
a. Of significance is that the Preloh Advice was not based upon the job
classification specifications submitted by Honchar; the Preloh Advice was
issued approximately ten years prior to the IMC job classification
specifications that Honchar provided, which were dated June 1, 1989.
12. Honchar, Advice of Counsel 08-591, provided that one’s status as a “public
employee” subject to the Ethics Act is determined by an objective test. The objective
test applies the Ethics Act’s definition of the term “public employee” and the related
regulatory criteria to the powers and duties of the position itself.
a. Typically, the powers and duties of the position are established by objective
sources that define the position such as the job description, job classification
specifications, and organizational chart.
b. The objective test considers what authority an individual possesses in a
given position, based upon these objective sources, rather than the variable
functions that the individual may actually perform in the position (see,
Phillips v. State Ethics Commission, 470 A.2d 659 (Pa. Cmwlth. 1984);
Eiben, Opinion 04-002; Shienvold, Opinion 04-001; and Shearer, Opinion
03-011).
c. It is noted in Honchar, Advice of Counsel 08-591, that the Commonwealth
Court of Pennsylvania has specifically considered and approved the
Commission’s objective test and has directed that coverage under the Ethics
Act be construed broadly and that exclusions under the Ethics Act be
construed narrowly (see, Phillips v. State Ethics Commission, 470 A.2d 659
(Pa. Cmwlth. 1984)).
13. Honchar, Advice of Counsel 08-591, concluded that individuals employed by DPW
as IMCs under job code 44720 are “public employees” subject to the Ethics Act and
the Regulations of the Commission and are therefore required to file annual
Statement of Financial Interests forms.
a. The conclusion that IMCs under job code 44720 are “public employees” is
based on the fact that they have the ability to take or recommend official
action with respect to subparagraphs (2) and (5) within the definition of
“public employee” as set forth in Section 1102 of the Ethics Act.
b. It was determined by Chief Counsel for the Commission that the following
duties, as set forth in the job classification specifications, would be sufficient
to establish the IMCs’ status as “public employees” subject to the Ethics Act:
1. Determining eligibility for financial assistance and related income
maintenance programs such as Cash Assistance, Medical
Assistance, Food Stamps, Nursing Home Care, and Employment
Referrals;
Johnson, 14-045
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2. Making appropriate referrals for services;
3. Assisting clients in locating employment through the Pennsylvania
Employables Programs, monitoring clients in the Community Work
Experience Program, and imposing sanctions as necessary;
4. Authorizing grants that conform to agency requirements;
5. Re-determining eligibility through periodic review of client situations;
6. Determining occurrence and circumstances of overpayments and
referring information to the Office of Fraud and Abuse Investigation
and Restitution for resolution; and
7. Representing one or more clients in the process of obtaining SSI
benefits.
14. On November 25, 2008, Bruce M. Ludwig, the legal representative of SEIU Local
668 of the Pennsylvania Social Services Union, the certified collective bargaining
representative for IMCs employed by DPW, forwarded correspondence to the
Commission seeking an appeal of Honchar, Advice of Counsel 08-591, on behalf of
Eugene Quaglia, IMC, DPW.
15. On March 12, 2009, Ludwig, Opinion 09-001, was issued in response to Ludwig’s
appeal of Honchar, Advice of Counsel 08-591.
a. The Opinion concluded that the Advice of Counsel correctly found that the
ruling in Metrick, Order 1037, superseded Preloh, Advice of Counsel 79-563,
as to the applicability of the Ethics Act to IMCs under job code 44720.
16. The Commission, in rendering Opinion 09-001, further declared that “we reject \[the\]
contention that our decision in this matter should be guided by a repealed
Regulation of this Commission or historical actions of the Governor’s Office of
Administration.”
a. In applying the objective test, the Commission concluded that Quaglia, in his
capacity as an IMC with DPW under job code 44720, is a “public employee”
subject to the Ethics Act and the Regulations of the Commission.
b. It was concluded that the aforementioned duties are nonministerial in nature
and that Quaglia’s official job duties and responsibilities would have a
significant economic impact upon the interests of individuals applying for or
receiving benefits as well as the interests of Pennsylvania taxpayers with
regard to the expenditure of public funds relative to the programs
responsible for issuing benefits. The assertion that the duties of IMCs are
ministerial in nature was rejected.
17. Ludwig appealed Ludwig, Opinion 09-001, to the Commonwealth Court of
Pennsylvania.
a. Ludwig petitioned for a review of the Opinion issued by the Commission as
to whether or not the Advice issued by the Commission’s Chief Counsel
should be affirmed.
b. The matter was captioned as Eugene Quaglia and the Pennsylvania Social
Services Union, Local 688 of the Service Employees International Union,
Petitioners v. State Ethics Commission, Respondent, 555 C.D. 2009.
Johnson, 14-045
Page 5
c. The matter was briefed and oral arguments were held on November 9, 2009,
before the Honorable Bonnie Brigance Leadbetter (President Judge), the
Honorable Joseph McCloskey (Senior Judge), and the Honorable Keith
Quigley (Senior Judge).
18. On January 5, 2010, the Commonwealth Court issued its Opinion in Quaglia and
ruled that the Commission correctly interpreted the relevant provisions of the Ethics
Act in determining that IMCs are public employees subject to the Ethics Act.
a. The Court held that IMCs’ duties and responsibilities in the job specifications
supported the Commission’s conclusion that IMCs take nonministerial action,
and therefore meet the definition of “public employee.”
b. The Court’s Order reads:
th
AND NOW, this 5 day of January 2010, the Opinion issued by the State
Ethics Commission in the above-captioned matter is hereby AFFIRMED.
Bonnie Brigance Leadbetter, President Judge.
See, Quaglia v. State Ethics Commission, 986 A.2d 974 (Pa. Cmwlth. 2010).
19. Ludwig (Quaglia) sought appeal of the Commonwealth Court ruling to the
Pennsylvania Supreme Court.
a. On August 12, 2010, the Petition for Allowance of Appeal was denied.
b. As a result of the Pennsylvania Supreme Court’s denial of the Petition for
Allowance of Appeal, the Order and Opinion of the Commonwealth Court are
the final determination on this matter.
20. As a direct result of the Quaglia ruling, IMCs were included within the Office of
Administration’s database, which identifies those current Commonwealth employees
who are required to file a Statement of Financial Interests form.
a. Lori Garvin is a Human Relations Analyst within the Office of
Administration’s Human Relations Service Center.
b. Garvin is responsible for overseeing the Statement of Financial Interests
notification process for Commonwealth employees under the jurisdiction of
the Office of Administration.
21. For Statement of Financial Interests filings due by May 1, 2013 (for the 2012
calendar year), Garvin implemented the following six (6) step notification process
for all current and/or former employees, including IMCs, identified by the Office of
Administration as being required to file a Statement of Financial Interests:
a. Notification Process:
1. Original Notification – April.
a. April 1, 2013 Email notifications were/are sent to active
employees.
2. April 24, 2013 – a five (5) day reminder email sent to active
employees.
3. May 10, 2013 – Delinquent Notice email sent to active employees.
Johnson, 14-045
Page 6
4. May 31, 2013 - Non-compliance letter from HR Service Center to all
current and former employees.
5. July 1, 2013 - Letter from Deputy Secretary for Human Resources
Management in the Office of Administration, Jim Honchar, to all
current and former non-compliant employees.
6. August – List of non-filers forwarded to the Commission.
22. For Statement of Financial Interests filings due by May 1, 2014 (for the 2013
calendar year), Garvin implemented the same six (6) step notification process for all
current and/or former employees, including IMCs, identified by the Office of
Administration as being required to file a Statement of Financial Interests.
a. Notification Process:
1. Original Notification – January.
a. January 7 – 13, 2014 (approximate) - Email notifications
were/are sent to active employees.
b. January 20, 2014 (approximate) - Notification letters were/are
mailed to all former employees and current employees without
Commonwealth email access.
2. April 24, 2014 – a five (5) day reminder email sent to active
employees.
3. May 10, 2014 – Delinquent Notice email sent to active employees.
4. June 1, 2014 (approximate) - Non-compliance letter from HR Service
Center to all current and former employees.
5. July 1, 2014 (approximate) - Letter from Deputy Secretary for Human
Resources Management in the Office of Administration, Jim Honchar,
to all current and former non-compliant employees.
6. August – List of non-filers forwarded to the Commission.
23. As part of her duties, Garvin maintains data on the date emails and/or notification
letters were sent out to current and/or former employees in the Office of
Administration’s database.
a. Based on the notification process detailed in the previous finding, a current
employee typically will receive up to three (3) emails and two (2) regular mail
notifications as to the employee’s requirement to file a Statement of
Financial Interests form.
b. Former employees are sent three (3) regular mail notifications.
24. Public records maintained by Garvin include copies of the bulk email and written
notifications provided to both current and former employees.
a. The records provided by Garvin reflect that the following general information
was included as part of the notification/reminder emails and letters for filings
due in both 2013 and 2014, as was outlined above:
Johnson, 14-045
Page 7
1. Original Notification – April 2013 and January 2014.
a. The April 1, 2013, and January 7– 13, 2014 (approximate)
email notifications sent to active employees.
Excerpts:
“The \[C\]ommonwealth has determined that your position meets
the definition of a "public official" or "public employee" under
the State Ethics Act and/or Governor’s Code of Conduct.
Therefore, you are required to file financial disclosure
statements for the \[2012 or 2013\] calendar year. Please visit
the filing website, https://www.fd.state.pa.us, to submit your
disclosure. Employees with commonwealth computer access
are required to use the online filing website. Once submitted
online, your statements are automatically routed to your
agency human resources office and legal office to ensure
completeness. Because these statements require review by
your human resources office and legal office, we request that
you complete your filing now. This will ensure your forms are
reviewed and processed by the May 1 deadline set by the
State Ethics Act and/or Governor’s Code of Conduct.”
b. January 20,2014 (approximate) Notification letters are mailed
to all former employees and current employees without
Commonwealth email access.
Excerpts:
“A commonwealth position that you held in calendar year 2013
meets the definition of a "public official" or "public employee"
under the State Ethics Act and/or the Governor’s Code of
Conduct. Therefore, you are required to file financial
disclosure statements for the period from January 1, 2013
You must visit the filing
through December 31, 2013.
website, https://www.fd.state.pa.us, by May 1 to submit
your statements.
Current employees with commonwealth
computer access are required to use the online filing website.
If you are a current employee without a CWOPA user name
and password, you must create a PALogin account to use the
filing website. Former employees who have access to a
computer are encouraged to use the online filing website by
creating a PALogin account.” \[emphasis in original\]
2. April 24,2013, and April 24, 2014 – five (5) day reminder email sent
to active employees.
Excerpt:
“The following message is being sent from an unmonitored account.
Please do not reply. This is a reminder that you only have 5 work
days remaining to complete the required financial disclosure
information by the filing deadline. You should visit the filing website,
https://www.fd.state.pa.us, to submit your statements by \[May 1, 2013
or May 1, 2014.\] Employees with commonwealth computer access
are required to use the online filing application to complete the
required financial interest statements. The commonwealth has
determined that your position meets the definition of a "public official"
Johnson, 14-045
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or "public employee" under the State Ethics Act and/or Governor’s
Code of Conduct. Therefore, you must file annual financial disclosure
statements. If you believe your position does not meet the above
requirement, you must submit a Financial Disclosure Appeal Form
(STD-314) to your human resources office. This form is available
after you log into the filing website. Failure to complete the financial
disclosure forms or file an appeal by \[May 1, 2013 or May 1, 2014\] is
considered non-compliance and a referral of your non-filing status will
be sent to the Office of Administration and/or State Ethics
Commission for appropriate action. For detailed instructions on using
the filing website, go to https://www.fd.state.pa.us and select the
“Filing Instructions” link on the left. If you have any questions, please
contact the HR Service Center at 866.377.2672.”
3. May 10, 2013, and May 10, 2014 – Delinquent Notice email sent to
active employees.
Excerpt:
“The following message is being sent from an unmonitored account.
Please do not reply. You have failed to complete your financial
disclosure filing requirement by the \[May 1, 2013 or May 1, 2014\]
deadline. Please visit the filing website, https://www.fd.state.pa.us, to
complete your financial disclosure statements within 10 days of this
notice. Employees with commonwealth computer access are required
to use the online filing website to complete the required financial
statements. This is the last email notification you will receive. A
commonwealth position that you held in calendar year \[2012 or 2013\]
meets the definition of a "public official" or "public employee" under
the State Ethics Act and/or Governor’s Code of Conduct. Therefore,
you are required to file annual financial disclosure statements for the
period from \[January 1, 2012 through December 31, 2012 or January
1, 2013 through December 31, 2013\]. If you believe your position
does not meet the above definition, you must submit a Financial
Disclosure Appeal Form (STD-314) to your human resources office
within 10 days of this message. This form is available after you log
into the filing website. Failure to complete the financial disclosure
forms or file an appeal within 10 days is considered non-compliance
and a referral of your non-filing status will be sent to the Office of
Administration and/or State Ethics Commission for appropriate
action.”
4. May 31, 2013, and June 1, 2014 (approximate) Non-compliance letter
from HR Service Center to all current and former employees.
Excerpt:
“You have failed to complete your financial disclosure filing
requirement by the \[May 1, 2013 or May 1, 2014\] deadline. Please
visit the filing website, https://www.fd.state.pa.us, to complete your
financial disclosure statements within 10 days of this letter. Current
employees with commonwealth computer access are required to use
the online filing website to complete the required financial statements.
If you are a current employee without a CWOPA user name and
password, you must create a PALogin account to use the filing
website. Former employees who have access to a computer are
encouraged to use the online filing website by creating a PALogin
account (see instructions at top of page 2). If you have recently
Johnson, 14-045
Page 9
complied by submitting your online statement or providing your
agency with financial disclosure form(s), please disregard this letter.
A commonwealth position that you currently hold or that you held in
calendar year \[2012 or 2013\] meets the definition of a "public official"
or "public employee" under the State Ethics Act and/or Governor’s
Code of Conduct. Therefore, you are required to file financial
disclosure statements for the period from \[January 1, 2012 through
December 31, 2012 or January 1, 2013 through December 31, 2013.\]
If you believe your position does not meet the above definition, you
must submit a Financial Disclosure Appeal Form (STD-314) to your
human resources office within 10 days of this notice. This form is
available after you log into the filing website.”
st
5. July 1 (approximate) Letter from Deputy Secretary for Human
Resources Management in the Office of Administration, Jim Honchar,
to all current and former non-compliant employees.
Excerpt:
“We have been notified by your agency that you have failed to submit
the required financial disclosures. We also understand that you have
not appealed your requirement to file or that your appeal has been
denied. The financial disclosure requirements have been put in place
to identify and prevent conflicts of interest. By virtue of the work you
performed in calendar year \[2012 or 2013\] for the commonwealth, you
are required to disclose certain financial information. Failure to
comply places you in violation of the Governor’s Code of Conduct
and/or the State Ethics Act. You must submit your completed financial
disclosures within 10 working days of the date of this letter. If you fail
to comply and you are a current commonwealth employee, we will
have no alternative but to apply disciplinary action up to and including
possible termination of your services as a commonwealth employee.
In addition, current and former employees are subject to fines and
possible incarceration for not complying. To avoid further action,
please visit https://www.fd.state.pa.us within 10 working days to
submit your statements of financial interest for the \[2012 or 2013\]
calendar year. There is a link to Filing Instructions on this website that
can assist you with completing your statements.”
25. As an IMC, Johnson was required to file Statements of Financial Interests for the
2012 and 2013 calendar years.
a. Johnson was required to file a Statement of Financial Interests for the 2012
calendar year by May 1, 2013.
b. Johnson was required to file a Statement of Financial Interests for the 2013
calendar year by May 1, 2014.
26. Between April 1, 2013, and May 10, 2013, Johnson was forwarded email
notifications from the Office of Administration of her requirement to file a Statement
of Financial Interests for the 2012 calendar year. (See, Finding No. 21).
a. Office of Administration records maintained by Lori Garvin indicate emails
were sent to Johnson on April 1, 2013, April 24, 2013, and May 10, 2013;
with two (2) letters mailed to her home address on May 31, 2013, and July 1,
2013.
Johnson, 14-045
Page 10
b. The emails and letters advised Johnson of her requirement to file a
Statement of Financial Interests for the 2012 calendar year.
27. Johnson did not file a Statement of Financial Interests for the 2012 calendar year by
May 1, 2013.
a. Johnson’s failure to file a Statement of Financial Interests for the 2012
calendar year was forwarded to the Commission by the Office of
Administration.
28. On September 23, 2013, Johnson was provided with a Warning Notice by the
Administrative Division of the Commission of her requirement to file a 2012
calendar year Statement of Financial Interests in relation to her public employment
as an IMC for DPW.
a. The Warning Notice afforded Johnson twenty (20) days to file the delinquent
Statement of Financial Interests without penalty.
b. Johnson failed to file a Statement of Financial Interests within twenty (20)
days as directed by the Warning Letter.
29. The Commission forwarded a Second, Final Notice to Johnson regarding her failure
to file a 2012 calendar year Statement of Financial Interests in connection with her
public employment as an IMC for DPW.
a. The Second/Final Notice provided Johnson twenty (20) days to file her
outstanding 2012 Statement of Financial Interests without penalty.
b. On November 21, 2013, the Second/Final Notice was hand-delivered to
Johnson at her place of employment, 5201 Old York Road, Philadelphia,
Pennsylvania 19141.
c. Johnson filed her 2012 calendar year Statement of Financial Interests on
November 21, 2013, after receiving seven (7) separate notices of her
requirement to file a Statement of Financial Interests for the 2012 calendar
year.
30. Johnson was employed as an IMC during the 2013 calendar year, and as such, was
required to file a Statement of Financial Interests for the 2013 calendar year by May
1, 2014.
31. On January 12, 2014, Johnson was forwarded an email notification from the Office
of Administration of her requirement to file a Statement of Financial Interests for the
2013 calendar year. (See, Finding No. 22).
32. Office of Administration records maintained by Lori Garvin confirm subsequent
emails were sent to Johnson on April 24, 2014, and May 10, 2014; with two (2)
letters mailed to her home address on June 9, 2014, and July 1, 2014.
a. The emails and letters advised Johnson of her requirement to file a
Statement of Financial Interests for the 2013 calendar year.
b. Johnson did not file a Statement of Financial Interests for the 2013 calendar
year despite receiving five (5) separate notices of her requirement to file a
Statement of Financial Interests.
33. In or about July 2014, Johnson’s failure to file a Statement of Financial Interests for
the 2013 calendar year was subsequently forwarded to the Commission by the
Johnson, 14-045
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Office of Administration.
34. On December 18, 2014, Johnson was served with a Notice of Investigation at her
employment address by a Commission Investigator at which point Johnson provided
the following information:
a. Johnson confirmed her employment as an IMC for DPW;
b. Johnson confirmed her home address of \[home address redacted\];
c. Johnson confirmed receipt of notices from the Office of Administration via
email and letter regarding her requirement to file a Statement of Financial
Interests;
d. Johnson claimed to have completed and filed a Statement of Financial
Interests in 2014 and 2013; and
e. Johnson was not certain if she ever received any notice via certified mail
from the Commission.
35. Johnson filed a Statement of Financial Interests form for the 2013 calendar year on
December 18, 2014.
a. This Statement of Financial Interests was filed approximately seven months,
two weeks, and five days after the May 1, 2014, filing deadline.
b. This Statement of Financial Interests was filed by Johnson after she ignored
five (5) notifications from the Office of Administration concerning the May 1,
2014, filing deadline.
36. Johnson, in her capacity as an IMC for DPW, failed to timely file a 2013 calendar
year Statement of Financial Interests by May 1, 2014.
a. Johnson ignored and otherwise refused to comply with multiple written
notices reminding her of the need to timely file a Statement of Financial
Interests.
b. Johnson had clear notice of her need to file a 2013 calendar year Statement
of Financial Interests, as she was the subject of the initiation of a civil
penalty proceeding by the Commission for failing to timely file a 2012
calendar year Statement of Financial Interests.
III.DISCUSSION:
As an Income Maintenance Caseworker for the Pennsylvania Department of Public
Welfare (“Department of Public Welfare”) since about October 11, 2011, Respondent
Loretta Johnson, also referred to herein as “Respondent,” has been 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).
The allegation is that Respondent violated Section 1104(a) of the Ethics Act when
she failed to file a Statement of Financial Interests for the 2013 calendar year by May 1,
2014.
Johnson, 14-045
Page 12
Section 1104(a) of the Ethics Act provides that each public official/public employee
must file a Statement of Financial Interests for the preceding calendar year, by May 1 of
each year that he holds the position and the year after he leaves it:
§ 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).
We shall now summarize the relevant facts.
As an Income Maintenance Caseworker for the Department of Public Welfare,
Respondent was required to file a Statement of Financial Interests for the 2012 calendar
year by May 1, 2013. Although the Governor’s Office of Administration sent Respondent
three emails and two letters between April 1, 2013, and July 1, 2013, advising Respondent
of her requirement to file a Statement of Financial Interests for the 2012 calendar year,
Respondent did not file such Statement of Financial Interests.
The Governor’s Office of Administration subsequently forwarded Respondent’s
failure to file a Statement of Financial Interests for the 2012 calendar year to this
Commission. On September 23, 2013, the Administrative Division of this Commission
provided Respondent with a Warning Notice that afforded Respondent twenty days to file
the delinquent Statement of Financial Interests without penalty. Respondent did not file a
Statement of Financial Interests during such twenty-day grace period.
On November 21, 2013, the Administrative Division provided Respondent with a
Second/Final Notice that afforded Respondent twenty days to file the delinquent Statement
of Financial Interests for the 2012 calendar year without penalty. On November 21, 2013,
Respondent filed a Statement of Financial Interests for the 2012 calendar year.
Respondent was required to file a Statement of Financial Interests for the 2013
calendar year with the Department of Public Welfare by May 1, 2014. Although the
Governor’s Office of Administration sent Respondent three emails and two letters between
January 12, 2014, and July 1, 2014, advising Respondent of her requirement to file a
Statement of Financial Interests for the 2013 calendar year, Respondent did not file such
Statement of Financial Interests.
The Governor’s Office of Administration subsequently forwarded Respondent’s
failure to file a Statement of Financial Interests for the 2013 calendar year to this
Commission. On December 18, 2014, Respondent filed a Statement of Financial Interests
Johnson, 14-045
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for the 2013 calendar year. Respondent’s Statement of Financial Interests for the 2013
calendar year was filed approximately seven months and nineteen days after the May 1,
2014, filing deadline.
We must now determine, based upon the record, whether the actions of
Respondent violated the Ethics Act. As we apply the facts to the allegations, due process
requires that we not depart from the allegations. Pennsy v. Department of State, 594 A.2d
845 (Pa. Commw. Ct. 1991). A violation of the Ethics Act must be based upon clear and
convincing proof. 65 Pa.C.S. § 1108(g). Clear and convincing proof is “so ‘clear, direct,
weighty, and convincing as to enable the trier of fact to come to a clear conviction, without
hesitance, of the truth of the precise facts in issue.’” In Re: Charles E.D.M., 550 Pa. 595,
601, 708 A.2d 88, 91 (1998) (Citation omitted).
It is clear, and therefore we hold, that Respondent violated Section 1104(a) of the
Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file a Statement of Financial Interests
for the 2013 calendar year by May 1, 2014.
The Investigative Division has filed a Position Statement seeking the imposition of a
civil penalty in the amount of $250.00.
We hereby levy one maximum civil penalty against Respondent at the rate of
Twenty-Five Dollars ($25.00) per day for each day her Statement of Financial Interests for
calendar year 2013 remained delinquent. Given the number of days during which the
Statement of Financial Interests remained delinquent, the resultant amount to be levied
against Respondent is Two-Hundred and Fifty Dollars ($250.00).
Respondent shall be ordered to make payment of the above civil penalty in the
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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.
Noncompliance will result in the institution of an order enforcement action.
IV.CONCLUSIONS OF LAW:
1. As an Income Maintenance Caseworker for the Pennsylvania Department of Public
Welfare since about October 11, 2011, Respondent Loretta Johnson (“Johnson”)
has been 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. Johnson violated Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she
failed to file a Statement of Financial Interests for the 2013 calendar year by May 1,
2014.
3. Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250.00 is warranted.
In Re: Loretta Johnson, : File Docket: 14-045
Respondent : Date Decided: 6/8/15
: Date Mailed: 6/11/15
ORDER NO. 1667
1. Loretta Johnson (“Johnson”), as an Income Maintenance Caseworker for the
Pennsylvania Department of Public Welfare, violated Section 1104(a) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file a
Statement of Financial Interests for the 2013 calendar year by May 1, 2014.
2. This Commission hereby levies one maximum civil penalty against Johnson at the
rate of Twenty-Five Dollars ($25.00) per day for each day her Statement of
Financial Interests for calendar year 2013 remained delinquent, for a total civil
penalty of Two-Hundred and Fifty Dollars ($250.00). Johnson is ordered to pay
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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. Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
___________________________
Nicholas A. Colafella, Chair