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In Re: Rachel Louis,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120 -0400
File Docket:
X -ref:
Date Decided:
Date Mailed:
FACSIMILE: 717- 787 -0806
WEBSITE: www.ethics.pa.gov
17 -054 -P
Order No. 565 -S
11/28/17
1211/17
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Maria Feeley
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
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
Act' ), 65 to Sections
§ 1100 e and 1105 of the Public Official and Employee Ethics Act ( "Ethics
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.
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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 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 2015, which Statement of Financial Interests was to be filed by May 1 of 2016,
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 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 enalty proceedings
by filing an accurate and complete Statement of Financial Interests for calendar
year 2015 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 2015
so as to comply with the specific requirements of the Ethics Act.
Louis, 17 -054 -P
'2
By Notice letter dated February 1, 2017, 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 2015 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 2015
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. § 11090, 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.
ll. DISCUSSION:
As an Income Maintenance Caseworker for the Pennsylvania Department of Human
Services ( "Department of Human Services "), Rachel Louis ("Louis') 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 �sse . See, Qua�liay.v.
State Ethics Cmission 986 �2d 974 Pa. Cmwlth. 2010 , amended_U, 2010 Pa.
ommw. 8 Pa. Commission, January 5,(2010), allocatur denier, 6�a. 708, 4 A. 3d
1056(201 0) .
Pursuant to Section 1104(a) of the Ethics Act, Louis was specifically required to file
a Statement of Financial Interests for calendar year 2015 with the Department of Human
Services on or before May 1, 2016. See, Quaglia, 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
Louis, 17 -054 -P
age 3
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 Louis as an Income Maintenance
Caseworker for the 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 suHect 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 Louis 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. Louis 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 Louis b filing with the State Ethics
Commission and serving upon Louis a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Louis to show cause why a civil penalty should
not be levied against her. Louis did not file an answer to the Order to Show Cause. There
is nothing of record that would constitute a defense or excuse for Louis's failure to comply
with the Ethics Act. Louis has failed to show cause why a civil penalty should not be levied
against her in this matter.
We find that Louis, as an Income Maintenance Caseworker for the Department of
Human Services, failed to comply with Section 11 04 a) of the Ethics Act, 65 Pa.C.S.
1104(a), when she failed to file a Statement of Financial Interests for calendar year 201
with the Department of Human Services.
Louis, 17-054 -P
'age 4
We hereby lev y maximum civli penalty against Louis at the rate of Twenty -Five
Dollars ($25.00) per dy for each day her Statement of Financial Interests for calendar year
2015 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
Louis is Two Hundred and Fifty Dollars ($250.00).
Louis shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30 10) 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.
Louis shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2015 with the 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.
Ill. CONCLUSIONS OF LAW:
1. Rachel Louis ( "Louis "), as an Income Maintenance Caseworker for the
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 seq.
2. Louis, as an Income Maintenance Caseworker for the 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 20155 with the Pennsylvania Department of Human Services.
3. Notice of the delinquency of Louis's Statement of Financial Interests for calendar
year 2015 was pre viouslyy 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: Rachel Louis, File Docket: 17-054 -P
Respondent : Date Decided: 11/28/17
Date Mailed: 12/1117
ORDER NO. 565 -S
1. Rachel Louis ( "Louis "), as an Income Maintenance Caseworker for the
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 2015 with
the Pennsylvania Department of Human Services.
2. This Commission hereby evies one maximum civil penalty against Louis at the rate
of Twenty -Five Dollars (y$25.00 per day for each day her Statement of Financial
Interests for calendar year 2015 has remained delinquent, for a total civil penalty of
Two Hundred and Fifty Dollars ($250.00). Louis is ordered to pay said civil penalty
in the total amount of $250.00 by no later than the thirtieth 30th) 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. Louis 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 (30'x') 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 COMMISSIO1111,
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