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HomeMy WebLinkAbout1675 Parente In Re: Christine Parente, : File Docket: 14-034 Respondent : X-ref: Order No. 1675 : Date Decided: 6/8/15 : Date Mailed: 6/19/15 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.” 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.ALLEGATION: That Christine Parente, a public official/public employee in her capacity as an 1 Income 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. Christine Parente (“Parente”) has been employed by the Pennsylvania Department of Public Welfare (hereafter “DPW”) as an Income Maintenance Caseworker (hereafter “IMC”) from July 21, 1997, to September 21, 2007, and from April 19, 2008, to the present. a. Parente is assigned to the Wilkes-Barre Assistance Office. 2. Historically, the determination that IMCs were considered public employees and annually required to file Statement of Financial Interests forms was initially made by the State Ethics Commission (“Commission”) and subsequently upheld by the Commonwealth Court of Pennsylvania. 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.” Parente, 14-034 Page 2 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 \[for an advisory\]. 3. 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. 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. 4. 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. 5. 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. Parente, 14-034 Page 3 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)). 6. 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; 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. 7. 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. Parente, 14-034 Page 4 8. 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. 9. 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. 10. 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. 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). 11. 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). Parente, 14-034 Page 5 12. 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. 13. 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. 14. 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. 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. 15. 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. Parente, 14-034 Page 6 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. 16. 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. 17. 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: 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 Parente, 14-034 Page 7 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" 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: Parente, 14-034 Page 8 “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 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: Parente, 14-034 Page 9 “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.” 18. As an IMC, Parente was required to file Statements of Financial Interests for the 2012 and 2013 calendar years. a. Parente was required to file a Statement of Financial Interests for the 2012 calendar year by May 1, 2013. b. Parente was required to file a Statement of Financial Interests for the 2013 calendar year by May 1, 2014. 19. Between April 1, 2013, and May 10, 2013, Parente was forwarded email notifications from the Office of Administration of her requirement to file a Statement of Financial Interests for the 2012 calendar year. a. Office of Administration records maintained by Lori Garvin indicate emails were sent to Parente 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. b. The emails and letters advised Parente of her requirement to file a Statement of Financial Interests for the 2012 calendar year. 20. Parente did not file a Statement of Financial Interests for the 2012 calendar year by May 1, 2013. a. Parente’s failure to file a Statement of Financial Interests for the 2012 calendar year was forwarded to the Commission by the Office of Administration. 21. On September 23, 2013, Parente 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 Parente twenty (20) days to file the delinquent Statement of Financial Interests without penalty. Parente, 14-034 Page 10 b. Parente filed her 2012 calendar year Statement of Financial Interests on October 7, 2013, after receiving six (6) separate notices of her requirement to file a Statement of Financial Interests for the 2012 calendar year. 22. Parente 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. 23. On January 12, 2014, Parente 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. a. Office of Administration records maintained by Lori Garvin confirm subsequent emails were sent to Parente 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. b. The emails and letters advised Parente of her requirement to file a Statement of Financial Interests for the 2013 calendar year. c. Parente did not file a Statement of Financial Interests for the 2013 calendar year despite receiving at least five (5) notices of her requirement to do so. 24. In or about July 2014, Parente’s failure to file a Statement of Financial Interests for the 2013 calendar year was subsequently forwarded to the Commission by the Office of Administration. 25. On November 17, 2014, Parente was served with a Five Day Notice of Investigation by Commission Investigators. a. Parente confirmed her residence of \[residence address redacted\]. b. Parente indicated that she recently filed a Statement of Financial Interests. c. Parente offered no explanation as to why she failed to claim the Notice of Investigation initially sent to her by certified mail. 26. Parente filed a Statement of Financial Interests form for the 2013 calendar year on October 22, 2014. a. This Statement of Financial Interests was filed five months and twenty-one days after the May 1, 2014, filing deadline. b. This Statement of Financial Interests was filed by Parente after she ignored five (5) notifications from the Office of Administration concerning the May 1, 2014, filing deadline. 27. Parente, in her capacity as an IMC for DPW, failed to timely file a 2013 calendar year Statement of Financial Interests by May 1, 2014. III.DISCUSSION: As an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare (“Department of Public Welfare”) from July 21, 1997, to September 21, 2007, and from April 19, 2008, to the present, Respondent Christine Parente, 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. Parente, 14-034 Page 11 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. 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). As noted above, the parties have submitted a Consent Agreement and Stipulation of Findings. The parties’ Stipulated Findings are set forth above as the Findings of this Commission. We shall now summarize the relevant facts as contained therein. 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. On October 7, 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 Parente, 14-034 Page 12 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 October 22, 2014, Respondent filed a Statement of Financial Interests for the 2013 calendar year. Respondent’s Statement of Financial Interests for the 2013 calendar year was filed five months and twenty-one days after the May 1, 2014, filing deadline. Having highlighted the Stipulated Findings and issues before us, we shall now apply the Ethics Act to determine the proper disposition of this case. The parties' Consent Agreement sets forth a proposed resolution of the allegation as follows: 3. The Investigative Division will recommend the following in relation to the above allegation: a. That a violation of Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Parente failed to file a Statement of Financial Interests for the 2013 calendar year by May 1, 2014, in her capacity as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare. 4. Parente agrees to make payment in the amount of $250.00 in settlement of this matter payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission within thirty (30) days of the issuance of the final adjudication in this matter. 5. On October 22, 2014, Parente filed a complete and accurate Statement of Financial Interests with the Pennsylvania Department of Public Welfare for the 2013 calendar year. 6. The Investigative Division will recommend that the State Ethics Commission take no further action in this matter; and make no specific recommendations to any law enforcement or other authority to take action in this matter. Such, however, does not prohibit the Commission from initiating appropriate enforcement actions in the event of Respondent's failure to comply with this agreement or the Commission's order or cooperating with any other authority who may so choose to review this matter further. Consent Agreement, at 1-2. In considering the Consent Agreement, we agree with the parties and we hold that a violation of Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), occurred when Respondent, in her capacity as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare, failed to file a Statement of Financial Interests for the 2013 calendar year by May 1, 2014. As part of the Consent Agreement, Respondent has agreed to make payment in the amount of $250.00 in settlement of this matter payable to the Commonwealth of Parente, 14-034 Page 13 Pennsylvania and forwarded to this Commission within thirty (30) days of the issuance of the final adjudication in this matter. Respondent has now filed a complete and accurate Statement of Financial Interests with the Department of Public Welfare for the 2013 calendar year. We determine that the Consent Agreement submitted by the parties sets forth a proper disposition for this case, based upon our review as reflected in the above analysis and the totality of the facts and circumstances. Accordingly, per the Consent Agreement of the parties, Respondent is directed to make payment in the amount of $250.00 payable to the Commonwealth of Pennsylvania th and forwarded to this Commission by no later than the thirtieth (30) day after the mailing date of this adjudication and Order. Compliance with the foregoing will result in the closing of this case with no further action by this Commission. 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 ”) from July 21, 1997, to September 21, 2007, and from April 19, 2008, to the present, Respondent Christine Parente (“Parente) 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. Parente, in her capacity as an Income Maintenance Caseworker for the Pennsylvania Department of Public Welfare, 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. In Re: Christine Parente, : File Docket: 14-034 Respondent : Date Decided: 6/8/15 : Date Mailed: 6/19/15 ORDER NO. 1675 1. Christine Parente (“Parente”), in her capacity 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. Per the Consent Agreement of the parties, Parente is directed to make payment in the amount of $250.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no later than the th thirtieth (30) day after the mailing date of this Order. 3. Compliance with Paragraph 2 of this Order will result in the closing of this case with no further action by this Commission. a. Non-compliance will result in the institution of an order enforcement action. BY THE COMMISSION, ___________________________ Nicholas A. Colafella, Chair