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In Re: Maria Rosario,
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
WESSITE: www.ethics.12a.gov
17073 -P
Order No.574 -S
211118
2123118
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
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 bv 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.
I. FINDINGS:
1. Respondent Maria Rosario ( "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 failed to timely provide full financial disclosure as required by the Ethics
Act. Respondent failed to timely 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.
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
year 2015 within twenty (20) days of the date of the Notice Letter. Respondent has
failed 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.
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By Notice Letter dated November 7, 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 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.
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.
IL DISCUSSION:
As an Income Maintenance Caseworker for the Pennsylvania Department of Human
Services, Maria Rosario ( "Rosario ") was at all times relevant to these proceedings a "public
employyee" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics
Act'), 65 Pa.C.S. § 1101 et she See, Qua lia v. State Ethics Commission, 986 A.2d 974
(Pa. Cmwlth. 2010), amended by, 2010 Pa. ommw. a, mwlth. January 5,
2010), allocatur denied 607 Pa. 708, 4 A.3d 1056 (2010).
Pursuant to Section 1104(a) of the Ethics Act, Rosario was specifically 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 Rosario 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
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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 penalt against Rosario for the delinquent Statement
of Financial Interests for calendar year 20'15.
The prerequisite service of a Notice letter in accordance with Section 11 07 5) was
satisfied. Rosario did not remedy the failure to comply with the Ethics Act althoug given
more than the usual grace period following Notice in which to do so.
The Investigative Division then instituted formal proceedings against Rosario by
filing with this Commission and serving upon her a Petition for Civi( Penalties. The
Commission Chair issued an Order to Show Cause, ordering Rosario to show cause why a
civil penalty should not be levied against her. 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
Rosario 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) Rosario making payment of a civil
penalty in the amount of $250.00 byway of ten consecutive monthly payments of $25.00
each, with each such payment made by forwarding to this Commission a certified check or
money order in the amount of $25.00 payable to the Commonwealth of Pennsylvania, and
with the first such payment due within thirty days of the issuance of the final adjudication in
this matter; and (3) Rosario 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 Rosario, 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 parties, we hereby levy one civil penalty against
Rosario in the total amount of $250.00 for Rosario's delinquent Statement of Financial
Interests for calendar year 2015.
Per the Consent Agreement of the parties, Rosario shall be ordered to make
payment of the aforesaid civil penalty in the total amount of $250.00 by way of ten
consecutive monthly payments of $25.00 each, with each such payment to be made by
forwarding to this Commission a certified check or money order in the amount of $25.00
payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury, and with
the first such payment to be due by no later than the thirtieth (30th) day after the mailing
date of this adjudication and Order.
To the extent she has not already done so, Rosario 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.
Rosario, 17 -073 -P
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III. CONCLUSIONS OF LAW:
1. As an Income Maintenance Caseworker for the Pennsylvania Department of Human
Services, Maria Rosario ( "Rosario ") was at all times relevantto 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. Rosario, as an Income Maintenance Caseworker for the Pennsylvania Department
of Human Services: failed to timely file a Statement of Financial lnterests for the
2015 calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S.
§ 1104(a).
3. Notice of the delinquency of Rosario's Statement of Financial Interests for calendar
year 2015 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: Maria Rosario, File Docket: 17- 073- -P
Respondent Date Decided: 211118
Date Mailed: 2123118
ORDER. NO. 574 -S
1. Maria Rosario ( "Rosario "), 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
Rosario in the total amount of $250.00 for Rosario's delinquent Statement of
Financial Interests for calendar year 2015.
Per the Consent Agreement of the parties, Rosario is ordered to make payment of
the aforesaid civil penalty in the total amount of $250.00 byway of ten consecutive
monthly payments of $25.00 each as follows: (a) each such payment shall be made
by forwarding to this Commission a certified check or money order in the amount of
$25.00 payable to the Commonwealth of Pennsylvania, for deposit in the State
Treasury, and (b) the first such payment shall be due by no later than the thirtieth
(30th) day after the mailing date of this Order.
4. To the extent she has not already done so, Rosario 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 this Commission for
compliance verification purposes.
Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
. Colafella,