HomeMy WebLinkAbout544-S StephensSTATE ETHICS COMMISSION
349 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17124
In Re: Grixbie Stephens, File Docket:
Respondent X -ref:
Date Decided
Date Mailed:
17 -050 -P
Order No. 544 -S
9128117
10/13/17
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
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. 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.
L FINDINGS:
1. Respondent Grixbie Stephens ( "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 [for the 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 p ublic employee, is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent failed to timely provide full financial disclosure as required by the Ethics
Act. Respondent failed to time) file a Statement of Financial Interests for calendar
year 2015, which [Statement of Financial Interests was to be filed] by May 1, 2016.
Respondent has therefore violated Sections 1104 and 1105 of the Ethics Act, 65
Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated September 26, 2016, 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
ear 2015 within twenty (20) days of the date of the Notice Letter. Respondent has
ailed and/or otherwise refused to file a Statement of Financial Interests for calendar
year 2015 so as to comply with the specific requirements of the Ethics Act.
6. By Notice Letter dated January 24, 2017, Respondent was served with Notice in
P.O. BOX 1 1470, HARRISBURG, PA 17108-1470 ^ 717-783-1610 ® 1-800-932-0936 • www.ethics.state.pa.us
Stephhe,,n_.s_, 17 -050 -P
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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 civil penalty proceedings by
filing an accurate and complete Statement of Financial Interests for calendar year
2015 so as to comply with the specific requirements of the Ethics Act.
7. Respondent failed to file a Statement of Financial Interests for calendar year 2015
with the State Ethics Commission by the deadlines imposed in the Notice Letters.
II. DISCUSSION;
As an Income Maintenance Caseworker for the Pennsylvania Department of Human
Services, Grixbie Stephens ( "Stephens ") 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. G.S. § 1101 et sec..
Pursuant to Section 1104(a) of the Ethics Act, Stephens was s pecifically required to
file a Statement of Financial Interests for calendar year 2015 with the Pennsylvania
Department of Human Services on or before May 1, 2016. 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 Stephens as an Income Maintenance
Caseworker for the Pennsylvania 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.
Stephens, 17 -050 -P
Page 3
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 Stephens for the delinquent
Statement of Financial Interests for calendar year 2015.
The prerequisite service of a Notice letter in accordance with Section 1107 (5) was
satisfied. Stephens 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 Stephens by
filing with this Commission and serving upon him a Petition for Civil Penalties. The
Commission Chair issued an Order to Show Cause, ordering Stephens to show cause why
a civil penalty should not be levied against him. The parties then filed a Stipulation of
Findings and Consent Agreement.
The parties propose that this case be resolved by: (1) this Commission finding that
Stephens failed to timely file a Statement of Financial Interests for the 2015 calendar year
in compliance with Section 1104(a ) of the Ethics Act; (2) Stephens making payment of a
civil penalty in the amount of $250.00 in settlement of this matter, payable to the
Commonwealth of Pennsylvania and forwarded to this Commission within thirty days of the
issuance of the final adjudication in this matter; and (3) Stephens filing a complete and
accurate Statement of Financial Interests for calendar year 2015 within thirty days of the
issuance of the final adjudication in this matter.
We believe that the Consent Agreement sets forth a proper disposition for this case,
based upon our review of the totality of the facts and circumstances. Accordingly, we
approve the Consent Agreement that has been submitted by the parties.
We hereby find that Stephens, as an Income Maintenance Caseworker for the
Pennsylvania Department of Human Services, failed to timely file a Statement of Financial
Interests for the 2015 calendar year in compliance with Section 1104(a) of the Ethics Act,
65 Pa.C.S. § 1104(a).
Per the Consent Agreement of the arties, we hereby levy one civil penaltyy against
Stephens in the total amount of $250.00 for Stephens' delinquent Statement of Financial
Interests for calendar year 2015.
To the extent he has not already done so, Stephens shall be ordered to make
payment of the aforesaid civil penalty in the total amount of $250.00 by no later than the
thirtieth (30th) day after the mailing date of this adjudication and Order, b forwarding to this
Commission a check in the amount of $250.00 made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
To the extent he has not already done so, Stephens shall be ordered to file a
complete and accurate Statement of Financial Interests for calendar year 2015 with the
Pennsylvania 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:
As an Income Maintenance Caseworker for the Pennsylvania Department of Human
Services, Grixbie Stephens ( "Stephens ") 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.
Stephens, as an Income Maintenance Caseworker for the Pennsylvania Department
Stephens, 17 -050 -P
agP e 4
of Human Services, failed to timely file a Statement of Financial Interests for the
2015 calendar year in compliance with Section 1104(x) of the Ethics Act, 65 Pa.C.S.
§ 1104(a).
3. Notice of the delinquency of Stephens' Statement of Financial Interests for calendar
year 2015 was previous) 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: Grixbie Stephens, File Docket: 17 -050 -P
Respondent Date Decided: 9128117
Date Mailed: 10/13/17
ORDER NO. 544 -S
1. Grixbie Stephens ( "Stephens "), as an Income Maintenance Caseworker for the
Pennsylvania Department of Human Services, failed to timely file a Statement of
Financial Interests for the 2015 calendar year in compliance with Section 1104(a) of
the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. § 1104(a).
2. Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Stephens in the total amount of $250.00 for Stephens' delinquent Statement of
Financial Interests for calendar year 2015.
3. To the extent he has not already done so, Stephens is ordered to make payment of
the aforesaid civil penalty in the total amount of $250.00 by no later than the thirtieth
(30th) day after the maltingg date of this Order, by forwarding to this Commission a
check in the amount of $250.00 made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
4. To the extent he has not already done so, Stephens is ordered to file a complete
and accurate Statement of Financial Interests for calendar year 2015 with the
Pennsylvania Department of Human Services by no later than the thirtieth (30th) day
after the mailing date of this Order, with one copy forwarded to the Sta e Ethics
Commission for compliance verification purposes.
5. Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION
Nicholas A. o a e a, air