HomeMy WebLinkAbout468-S SheppardIn Re: Alexander Sheppard, File Docket: 15 -024 -P
Respondent X -ref: Order No. 468 -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 Corrections
Food Service Manager 2 with the Pennsylvania Department of Corrections, and as
such, Respondent has at all times relevant to these proceedinggs been a "public
employee" as defined in Section 1102 of the Ethics Act, 65 Pa S. § 1102.
3. Respondent as a public employee is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
Act. Respondent has failed to file a Statement of Financial Interests for calendar
year 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 September 8, 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.
Sheppard, 15 -024 -P
Page 2
By Notice letter dated November 6, 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.
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 one violation alleged herein, Respondent is
subject to total maximum civil penalty liability of $250.00.
There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00, in that the twenty -day deadline set forth in the
said final Notice letter to Respondent has expired and the Respondent has not
complied.
II. DISCUSSION:
As a Corrections Food Service Manager 2 for the Pennsylvania Department of
Corrections ( "Department of Corrections "), Alexander Sheppard ( "Sheppard ") 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, Sheppard was specifically required to
file a Statement of Financial Interests for calendar year 2013 with the Department of
Corrections 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
Sheppard, 15 -024 -P
Page 3
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 Sheppard as a Corrections Food Service
Manager 2 for the Department of Corrections 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 Sheppard for the delinquent
Statement of Financial Interests for calendar vear 2013.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Sheppard 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 Sheppard by filing with the State Ethics
Commission and serving upon Sheppard a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Sheppard to show cause why a civil
penalty should not be levied against him. Sheppard did not file an answer to the Order to
Show Cause. There is nothing of record that would constitute a defense or excuse for
Sheppard's failure to comply with the Ethics Act. Sheppard has failed to show cause why
a civil penalty should not be levied against him in this matter.
We find that Sheppard, as a Corrections Food Service Manager 2 for the
Department of Corrections, 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 Corrections.
We hereby levy one maximum civil penalty against Sheppard at the rate of Twenty-
Sheppard, 15 -024 -P
Page 4
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 Sheppard is Two - Hundred and Fifty Dollars ($250.00).
Sheppard shall be ordered to make payment of the above civil penalty in the
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.
Sheppard shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2013 with the Department of Corrections by no later than the
thirtieth (30th) 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. Alexander Sheppard ( "Sheppard "), as a Corrections Food Service Manager 2 for
the Pennsylvania Department of Corrections, was at all times relevant to these
proceedings a "public employee" subject to the provisions of the Public Official and
Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1101 et seq.
2. Sheppard, as a Corrections Food Service Manager 2 for the Pennsylvania
Department of Corrections, 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 Corrections.
3. Notice of the delinquency of Sheppard'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: Alexander Sheppard, File Docket: 15 -024 -P
Respondent Date Decided: 4/7/16
Date Mailed: 4/25/16
ORDER NO. 468 -S
Alexander Sheppard ( "Sheppard ") as a Corrections Food Service Manager 2 for
the Pennsylvania Department of Corrections, 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 Corrections.
This Commission hereby levies one maximum civil penalty against Sheppard 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, fora total civil
penalty of Two - Hundred and Fifty Dollars ($250.00). Sheppard is ordered top t
said civil penalty in the total amount of $250.00 by no later than the thirtieth (30t
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.
Sheppard is ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2013 with the Pennsylvania Department of Corrections
by no later than the thirtieth (30th) day after the mailing date of this Order, with one
copy 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