HomeMy WebLinkAbout452-S Merlet
In Re: Jeffrey Merlet, : File Docket: 15-007-P
Respondent : X-ref: Order No. 452-S
: Date Decided: 10/7/15
: Date Mailed: 10/14/15
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 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
\[address redacted\].
2. At all times relevant to these proceedings, Respondent has been a former Auditor 1
for the Pennsylvania Department of the Auditor General.
3. In his former capacity as an Auditor 1 for the Pennsylvania Department of the
Auditor General, Respondent was a public employee 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 2013, which Statement of Financial Interests was to be filed by May 1 of 2014,
and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated July 1, 2014, 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 2013 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 2013
so as to comply with the specific requirements of the Ethics Act.
Merlet, 15-007-P
Page 2
6. A Notice letter dated October 3, 2014, was forwarded to Respondent by U.S. mail,
first-class, certified, postage prepaid in accordance with Section 1107(5) of the
Ethics Act.
a. The October 3, 2014, Notice letter was returned to Petitioner on November
12, 2014 by the U.S. Postal Service and was marked “Return to Sender,
Unclaimed, Unable to Forward.”
7. On January 5, 2015, a Notice letter detailing the specific allegations against
Respondent concerning the above transgression was served upon Respondent by
United States First Class Mail (with a Certificate of Mailing) at \[address redacted\],
and a copy of the same was affixed to his residence, pursuant to State Ethics
Commission Policy 1-2014. 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 2013 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 2013 so as to comply with the
specific requirements of the Ethics Act.
8. 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).
9. 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.
10. 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:
In his former capacity as an Auditor 1 for the Pennsylvania Department of the
Auditor General (“Department of the Auditor General”), Jeffrey Merlet (“Merlet”) was a
“public employee” subject to the provisions of the Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa.C.S. § 1101 et seq.
Merlet, 15-007-P
Page 3
Pursuant to Section 1104(a) of the Ethics Act, as a former Auditor 1 for the
Department of the Auditor General, Merlet was specifically required to file a Statement of
Financial Interests for calendar year 2013 with the Department of the Auditor General on
or before May 1, 2014. 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 Merlet as a former Auditor 1 for the
Department of the Auditor General 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 Merlet for the delinquent Statement
of Financial Interests for calendar year 2013.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Merlet 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 Merlet by filing with the State Ethics
Commission and serving upon Merlet a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Merlet to show cause why a civil penalty should
not be levied against him. Merlet did not file an answer to the Order to Show Cause.
Merlet, 15-007-P
Page 4
There is nothing of record that would constitute a defense or excuse for Merlet’s failure to
comply with the Ethics Act. Merlet has failed to show cause why a civil penalty should not
be levied against him in this matter.
We find that Merlet, as a former Auditor 1 for the Department of the Auditor
General, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a),
when he failed to file a Statement of Financial Interests for calendar year 2013 with the
Department of the Auditor General.
We hereby levy one maximum civil penalty against Merlet at the rate of Twenty-Five
Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar
year 2013 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 Merlet is Two-Hundred and Fifty Dollars ($250.00).
Merlet shall be ordered to make payment of the above civil penalty in the amount of
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$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.
Merlet shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2013 with the Department of the Auditor General by no later
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than the thirtieth (30) day after the mailing date of this adjudication and Order, with one
copy forwarded to this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. Jeffrey Merlet (“Merlet”), in his former capacity as an Auditor 1 for the Pennsylvania
Department of the Auditor General, was 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. Merlet, as a former Auditor 1 for the Pennsylvania Department of the Auditor
General, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a), when he failed to file a Statement of Financial Interests for calendar year
2013 with the Pennsylvania Department of the Auditor General.
3. Notice of the delinquency of Merlet’s Statement of Financial Interests for calendar
year 2013 was previously served upon him 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: Jeffrey Merlet, : File Docket: 15-007-P
Respondent : Date Decided: 10/7/15
: Date Mailed: 10/14/15
ORDER NO. 452-S
1. Jeffrey Merlet (“Merlet”), as a former Auditor 1 for the Pennsylvania Department of
the Auditor General, failed to comply with Section 1104(a) of the Public Official and
Employee Ethics Act (“Ethics Act”), 65 Pa.C.S. § 1104(a), when he failed to file a
Statement of Financial Interests for calendar year 2013 with the Pennsylvania
Department of the Auditor General.
2. This Commission hereby levies one maximum civil penalty against Merlet at the rate
of Twenty-Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2013 has remained delinquent, for a total civil penalty of
Two-Hundred and Fifty Dollars ($250.00). Merlet is ordered to pay said civil penalty
th
in the total amount of $250.00 by no later than the thirtieth (30) day after the
mailing date of this Order, by forwarding a check to the State Ethics Commission
made payable to the Commonwealth of Pennsylvania, for deposit in the State
Treasury.
3. Merlet is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2013 with the Pennsylvania Department of the Auditor General 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