HomeMy WebLinkAbout467-S BaumanIn Re: David Bauman, File Docket: 15 -023 -P
Respondent X -ref: Order No. 467 -S
Date Decided: 4/7/16
Date Mailed: 4/25/16
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 seg.
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 Science
Education Advisor 2 with the Pennsylvania Department of Education, 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 Statements of Financial Interests for calendar
years 2012 and 2013, which Statements of Financial Interests were to be filed by
May 1 of 2013, and May 1 of 2014, respectively, and Respondent has therefore
transgressed Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letters dated November 8, 2013, and August 25, 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 transgressions. Said
Notice letters provided Respondent an opportunity to avoid the institution of these
civil penalty proceedings by filing accurate and complete Statements of Financial
Interests for calendar years 2012 and 2013 within twenty (20) days of the date of
the Notice letters. Respondent has failed and refused to file Statements of
Financial Interests for calendar years 2012 and 2013 so as to comply with the
Bauman, 15 -023 -P
Page 2
specific requirements of the Ethics Act.
Notice letters dated December 13, 2013, and November 3, 2014, were forwarded to
Respondent by U.S. mail, first - class, certified, postage prepaid in accordance with
Section 1107(5) of the Ethics Act.
The December 13, 2013, and November 3, 2014, Notice letters were
returned to Petitioner on January 31, 2014, and December 8, 2014,
respectively, by the U.S. Postal Service and were marked "Return to Sender,
Unclaimed, Unable to Forward."
On September 3, 2014, and January 15, 2015, Notice letters detailing the specific
allegations against Respondent concerning the above transgressions were served
upon Respondent by United States First Class Mail (with a Certificate of Mailing) at
[address redacted], and copies of the same were affixed to his residence pursuant
to State Ethics Commission Policy 1 -2014. Said Notice letters provided
Respondent an opportunity to avoid the institution of these civil penalty proceedings
by filing accurate and complete Statements of Financial Interests for calendaryears
2012 and 2013 within twenty (20) days of the dates of the Notice letters.
Respondent has failed and refused to file Statements of Financial Interests for
calendar years 2012 and 2013 so as to comply with the specific requirements of the
Ethics Act.
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).
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 two violations alleged herein, Respondent is
subject to total maximum civil penalty liability of $500.00.
10. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $500.00, in that the twenty -day deadlines set forth in the
said final Notice letters to Respondent have expired and the Respondent has not
complied.
II. DISCUSSION:
As a Science Education Advisor 2 for the Pennsylvania Department of Education
Bauman, 15 -023 -P
Page 3
( "Department of Education "), David Bauman ( "Bauman ") 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 seg.
Pursuant to Section 1104(a) of the Ethics Act, Bauman was specifically required to
file Statements of Financial Interests for calendar years 2012 and 2013 with the
Department of Education on or before May 1, 2013, and May 1, 2014, respectively.
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 Bauman as a Science Education Advisor2
for the Department of Education 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 Bauman for each delinquent
Statement of Financial Interests for calendar years 2012 and 2013.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Bauman 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
Bauman, 15 -023 -P
Page 4
Division then instituted formal proceedings against Bauman by filing with the State Ethics
Commission and serving upon Bauman a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Bauman to show cause why civil penalties
should not be levied against him. Bauman did not file an answer to the Order to Show
Cause. There is nothing of record that would constitute a defense or excuse for Bauman's
failure to comply with the Ethics Act. Bauman has failed to show cause why civil penalties
should not be levied against him in this matter.
We find that Bauman, as a Science Education Advisor 2 for the Department of
Education, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a),
when he failed to file Statements of Financial Interests for calendar years 2012 and 2013
with the Department of Education.
We hereby levy two maximum civil penalties against Bauman, each at the rate of
Twenty -Five Dollars ($25.00) per day, for each day his Statements of Financial Interests
for calendar years 2012 and 2013 have remained delinquent. Given the number of days
during which the Statements of Financial Interests have remained delinquent, the resultant
amount to be levied against Bauman totals Five - Hundred Dollars ($500.00).
Bauman shall be ordered to make payment of the above civil penalties in the total
amount of $500.00 by no later than the thirtieth (30 t ) 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.
Bauman shall be ordered to file complete and accurate Statements of Financial
Interests for calendT years 2012 and 2013 with the Department of Education by no later
than the thirtieth (30 ) day after the mailing date of this adjudication and Order, with a copy
of each such filing forwarded to this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. David Bauman ( "Bauman "), as a Science Education Advisor 2 for the Pennsylvania
Department of Education, 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 seg.
2. Bauman, as a Science Education Advisor 2 for the Pennsylvania Department of
Education, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a), when he failed to file Statements of Financial Interests for calendar years
2012 and 2013 with the Pennsylvania Department of Education.
3. Notice of the delinquency of Bauman's Statements of Financial Interests for
calendar years 2012 and 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, the imposition of two
maximum civil penalties in the total amount of $500.00 is warranted.
In Re: David Bauman, File Docket: 15 -023 -P
Respondent Date Decided: 4/7/16
Date Mailed: 4/25/16
ORDER NO. 467 -S
David Bauman ( "Bauman "), as a Science Education Advisor 2 for the Pennsylvania
Department of Education, 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
Statements of Financial Interests for calendar years 2012 and 2013 with the
Pennsylvania Department of Education.
This Commission hereby levies two maximum civil penalties against Bauman, each
at the rate of Twenty -Five Dollars ($25.00) per day, for each day his Statements of
Financial Interests for calendar years 2012 and 2013 have remained delinquent, for
total civil penalty liability of Five - Hundred Dollars ($500.00). Bauman is ordered to
pay said civil penalties in the total amount of $500.00 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.
Bauman is ordered to file complete and accurate Statements of Financial Interests
for calendar years 2012 and 201 � with the Pennsylvania Department of Education
by no later than the thirtieth (30t ) day after the mailing date of this Order, with a
copy of each such filing forwarded to the State Ethics Commission for compliance
verification purposes.
Failure to comply with Paragraph 2 or 3 of this Orderwill result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Nicholas A. Colafella, Chair