HomeMy WebLinkAbout487-S PageIn Re: Carol Page, File Docket: 16 -014 -P
Respondent X -ref: Order No. 487 -S
Date Decided: 4/7/16
Date Mailed: 4/28/16
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 an Income
Maintenance Caseworker with the Pennsylvania Department of Public
Welfare /Pennsylvania Department of Human Services , 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 a Statement of Financial Interests for calendar
year 2014, which Statement of Financial Interests was to be filed by May 1 of 2015,
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 21, 2015], 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
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.
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by filing an accurate and complete Statement of Financial Interests for calendar
year 2014 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 2014
so as to comply with the specific requirements of the Ethics Act.
By Notice letter dated December 1, 2015, 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 2014 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 2014
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 an Income Maintenance Caseworker for the Pennsylvania Department of Public
Welfare /Pennsylvania Department of Human Services ( "Department of Public
Welfare /Department of Human Services "), Carol Page ( "Page ") 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. See, Qua lia v. State Ethics
Commission, 986 A.2d 974 (Pa. Cmwlth. 2010), amended by, 2010 Pa. Gommw. LEXIS 8
(Pa. Cmwlth. January 5, 2010), allocatur denied, 607 Pa. 708, 4 A.3d 1056 (2010).
Pursuant to Section 1104(a) of the Ethics Act, Page was specifically required to file
Statement of Financial Interests for calendar year 2014 with the Department of Public
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Welfare /Department of Human Services on or before May 1, 2015. See, Qua lia, supra.
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 Page as an Income Maintenance
Caseworker for the Department of Public Welfare /Department of Human Services 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 Page for the delinquent Statement of
Financial Interests for calendar year 2014.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Page 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 Page by filing with the State Ethics
Commission and serving upon Page a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Page to show cause why a civil penalty should
not be levied against her. Page did not file an answer to the Order to Show Cause. There
is nothing of record that would constitute a defense or excuse for Page's failure to comply
with the Ethics Act. Page has failed to show cause why a civil penalty should not be levied
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against her in this matter.
We find that Page, as an Income Maintenance Caseworker for the Department of
Public Welfare /Department of Human Services, failed to comply with Section 1104(a) of
the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file a Statement of Financial
Interests for calendar year 2014 with the Department of Public Welfare /Department of
Human Services.
We hereby levy one maximum civil penalty against Page at the rate of Twenty -Five
Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar
year 2014 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 Page is Two - Hundred and Fifty Dollars ($250.00).
Page 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.
Page shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2014 with the Departmnt of Public Welfare /Department of
Human Services 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. Carol Page ( "Page "), as an Income Maintenance Caseworker for the Pennsylvania
Department of Public Welfare /Pennsylvania Department of Human Services, 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. Page, as an Income Maintenance Caseworker for the Pennsylvania Department of
Public Welfare /Pennsylvania Department of Human Services, failed to comply with
Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file a
Statement of Financial Interests for calendar year 2014 with the Pennsylvania
Department of Public Welfare /Pennsylvania Department of Human Services.
3. Notice of the delinquency of Page's Statement of Financial Interests for calendar
year 2014 was previously served upon her 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: Carol Page, File Docket: 16 -014 -P
Respondent Date Decided: 4/7/16
Date Mailed: 4/28/16
ORDER NO. 487 -S
Carol Page ( "Page "), as an Income Maintenance Caseworker for the Pennsylvania
Department of Public Welfare /Pennsylvania Department of Human Services, failed
to comply with Section 1104(a) of the Public Official and Employee Ethics Act
( "Ethics Act "), 65 Pa.C.S. § 1104(a), when she failed to file a Statement of Financial
Interests for calendar year 2014 with the Pennsylvania Department of Public
Welfare /Pennsylvania Department of Human Services.
This Commission hereby levies one maximum civil penalty against Page atthe rate
of Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial
Interests for calendar year 2014 has remained delinquent, for a total civil penalty of
Two - Hundred and Fifty Dollars ($250.00). Page is ordered to pay laid 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.
Page is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2014 with the Pennsylvania Department of Public
WeVre /Pennsylvania Department of Human Services by no later than the thirtieth
(30t ) 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