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STAFF ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120 -0400
In Re: Courtney Richardson, File Docket:
Respondent X -ref:
Date Decided
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: www.ethics.i)a.aov
18 -004 -P
Order No. 589 -S
6128118
712118
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 1 104 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 byy 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.
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 Attorney 1 with
the Pennsylvania Office of General Counsel, serving at the Pennsylvania
Department of Revenue, 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 b the Ethics
Act. Respondent has failed to file a Statement of Financial lnterests for calendar
year 2016, which Statement of Financial Interests was to be filed by May 1 of 2017,
and Respondent has therefore transgressed Sections 1104 and 1 105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105,
5. By Notice letter dated October 16, 2017, Respondent was served with Notice in
accordance with Section 1 '107(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 2016 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 2016
Richardson, 18 -004 -P
age
so as to comply with the specific requirements of the Ethics Act.
By Notice letter dated December 6, 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 2016 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to fife a Statement of Financial Interests for calendar year 2016
so as to comply with the specific requirements of the Ethics Act.
7. 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 subllject 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 ( nterests 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.
9. 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 Attorney 1 for the Pennsylvania Office of General Counsel, serving at the
Pennsylvania Department of Revenue, Courtney Richardson ( "Richardson') 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, Richardson was specifically required
to file a Statement of Financial Interests for calendar year 2016 with the Pennsylvania
Office of General Counsel on or before May 1, 2017. 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
Richardson, 18 -004 -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
govemino 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 Richardson as an Attorney 1 for the
Pennsylvania Office of General Counsel 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
(� 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 Richardson for the delinquent
Statement of Financial Interests for calendar year 2016.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Richardson 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 Richardson by filing with
the State Ethics Commission and serving upon Richardson a Petition for Civil Penalties.
The Commission Chair issued an Order to Show Cause, ordering Richardson to show
cause why a civil penalty should not be levied against her. Richardson did not file an
answer to the Order to Show Cause. There is nothing of record that would constitute a
defense or excuse for Richardson's failure to comply with the Ethics Act. Richardson has
failed to show cause why a civil penalty should not be levied against her in this matter.
We find that Richardson, as an Attorney 1 for the Pennsylvania Office of General
Counsel, 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 2016 with he
Pennsylvania Office of General Counsel.
We hereby levy one maximum civil penalty against Richardson at the rate of
Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial Interests for
Richardson, 18 -004 -P
ag4---
calendar year 2016 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 Richardson is Two Hundred and Fifty Dollars ($250.00).
Richardson shall be ordered to make payment of the above civil penalty in the
amount of $250.00 by no later than the thirtieth (30th) 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.
Richardson shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2016 with the Pennsylvania Office of General Counsel 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. Courtney Richardson (`.Richardson "), as an Attorney 1 for the Pennsylvania Office of
General Counsel, serving at the Pennsylvania Department of Revenue, 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. Richardson, as an Attorney 1 for the Pennsylvania Office of General Counsel, 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 2016 with the
Pennsylvania Office of General Counsel.
3. Notice of the delinquency of Richardson's Statement of Financial Interests for
calendar year 2016 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: Courtney Richardson, File Docket: 18 -004 -P
Respondent : Date Decided: 6128118
Date Mailed: 712118
ORDER NO. 589 -S
Courtney Richardson ( "Richardson "), as an Attorney 1 for the Pennsylvania Office of
General Counsel, serving at the Pennsylvania Department of Revenue, 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 2016 with the Pennsylvania Office of General Counsel.
This Commission hereby levies one maximum civil penalty against Richardson at
the rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of
Financial Interests for calendar year 2016 has remained delinquent, for a total civil
penalty of Two Hundred and Fifty Dollars ($250.00). Richardson is ordered to pa
said civil penalty in the total amount of $250.00 by no later than the thirtieth (30tti�
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. Richardson is ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2016 with the Pennsylvania Office of General Counsel 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.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
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