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In Re: Daniel Rothweiler,
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.e#hias.pa.aov
18 -005 -P
Order No. 597 -S
10/24/18
11/16/18
Before: Nicholas A. Colafelia, 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 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 filed and a hearing was held. The
record is complete.
I. FINDINGS:
A. Pleadings
1. Respondent is an adult individual.
2. At all times relevant to these proceedings, Respondent has been an Unemployment
Compensation Claims Examiner with the Pennsylvania Department of Labor and
Industry ( "Department of Labor and Industry "), 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 has been subject to the Statement of Financial
Interests filing provisions of the Ethics Act.
4. Respondent acknowledges that he failed to file a Statement of Financial Interests
for calendar year 2016 by May 1 of 2017.
5. Respondent denies that he was served with a Notice letter dated October 16, 2017,
which set forth the specific allegations against Respondent concerning his failure to
timely file a Statement of Financial Interests for calendar year 2016 and 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
2016 within twenty (20) days of the date of the Notice letter. (Answer to Petition for
Civil Penalties, at paragraph 5).
a. Respondent avers that the October 16, 2017, Notice letter was not mailed to
an address at which he resided at the time of its deposit in the mail. Answer
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Page 2
to Petition for Civil Penalties, at paragraph 5).
Respondent denies that a Final Notice letter dated December 6, 2017 —which set
forth the specific allegations against Respondent concerning his failure to timelyfile
a Statement of Financial Interests far calendar year 2016 and 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 2016
within twenty (20) days of the date of the Notice letter —was mailed to the correct
address at which he resided at the time of the mailing of the Final Notice letter.
Answer to Petition for Civil Penalties, at paragraph 6).
Respondent admits that the December 6, 2017, Final Notice letter—which
was mailed by Certified Mail --was forwarded by the U.S. Postal Service to
the mailing address that was on file with the U.S. Postal Service for
Respondent on December 6, 2017, and that the Certified Mailing green card
for the Final Notice letter was signed by Respondent's girlfriend, Rebekah
Funk; however, Respondent avers that there is no date of delivery on the
Certified Mailing green card to indicate when Respondent may have been
served. (Answer to Petition for Civil Penalties, at paragraph 6).
The Investigative Division asserts that there are no mitigating circumstances in this
case and that 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 expired without Respondent complying.
Respondent denies that there are no mitigating circumstances in this case.
b. Respondent asserts that he was not properly served with notice of the
delinquency of his Statement of Financial Interests for calendar year 2016
and that the Notice and Final Notice letters were mailed to an improper
address.
Respondent asserts that: (1) he was in the process of moving to a new
residence during November and December of 2017 and that he did not
attempt to avoid any reporting or filing obligations; 2 he has no reason to
refuse or fail to disclose his financial interests; an 3) after receiving the
"recent certified document" (Petition for Civil Penalties), he provided the
State Ethics Commission with the requested information via the internet.
(Answer to Petition for Civil Penalties, at paragraph 9).
B. Testimony
Lori Garvin ( "Ms. Garvin ") is employed as an HR Analyst 3 with the Governor's
Office of Administration.
a. Ms. Garvin administers the financial disclosure program for the Governor's
Office of Administration.
b. In 2016, Respondent was employed as an Unemployment Compensation
Claims Examiner with the Department of Labor and Industry.
C. The Governor's Office of Administration sent Respondent three letters dated
February 1, 2017, April.4, 20'17, and June 9, 2017, each of which advised
Respondent of his requirement to file a Statement of Financial Interests for
calendar year 2016 and provided instructions for utilizing the Commonwealth
online filing system. (ID -2, ID-3, ID -4).
1. Each letter was mailed to Respondent at an address referred to
Rothweiler, 18 -005 -P
Pa--
herein as "the Millersville Address."
d. Respondent did not file a Statement of Financial Interests for calendar year
2016 in response to the letters from the Governor's Office of Administration.
9. Jessica Wenger ( "Ms. Wenger ") is employed as a Clerk Typist 2 with the State
Ethics Commission.
a. Ms. Wenger processes Notice letters issued by the State Ethics Commission
to individuals who failed to file Statements of Financial Interests pursuant to
the Ethics Act.
b. The Governor's Office of Administration provides the State Ethics
Commission with lists of individuals who failed to file Statements of Financial
Interests with the Commonwealth.
C. The State Ethics Commission issued a Notice letter dated October 16, 2017,
to Respondent, notifying him of his failure to file a Statement of Financial
Interests for calendar year 2016. (ID-5).
1. The October 16, 2017, Notice letter was forwarded to Respondent at
the Millersville Address by U.S. mail and was not returned to the State
Ethics Commission by the U.S. Postal Service.
d. The State Ethics Commission issued a Final Notice letter dated December 6,
2017, to Respondent, notifying him of his failure to file a Statement of
Financial Interests for calendar year 2016. (ID-6).
1. The December 6, 2017, Final Notice letter was forwarded to
Respondent at the Millersville Address by Certified Mail, Return
Receipt Requested.
2. The Domestic Return Receipt for the Final Notice letter bore the
signature of Rebekah Funk. (ID -7).
3. Tracking history obtained from the U.S. Postal Service for the tracking
number for the Final Notice letter provides that the Final Notice letter
was delivered in Lancaster, Pennsylvania, at 1:29 p.m. on December
16, 2017. (ID -8).
4. On December 18, 2017, the State Ethics Commission received the
Domestic Return Receipt for the Final Notice letter. (ID -7).
e. On March 18, 2018, Respondent filed a Statement of Financial Interests for
calendar year 2016 with the State Ethics Commission via the State Ethics
Commissions online filing system. (ID -11).
f. On March 27, 2018, Respondent filed a paper version of a Statement of
Financial Interests for calendar year 2017 with the State Ethics Commission.
(Answer to Petition for Civil Penalties, Exhibit B).
10. Jonathan Fry ( "Mr. Fry") is employed as a Special Investigator with the State Ethics
Commission.
a. An Official Change of Address Confirmation from the U.S. Postal Services
provides that on December 5, 2017, Respondent submitted a Change of
Address request with a requested start date of December 6, 2017. (Answer
to Petition for Civil Penalties, Attachment B).
Rothweiler, 18 -005 -P
Page 4
b. Respondent's address was changed from the Millersville Address to a new
address in Lancaster, Pennsylvania, starting December 6, 2017. (ID -12).
C. Documents
11. ID -5 consists of the Notice letter dated October 16, 2017, from the Executive
Director of the State Ethics Commission to Respondent, which notified Respondent
of his failure to file a Statement of Financial Interests for calendar year 2016 and
provided Respondent an opportunity to avoid the institution of civil penalty
proceedings by filing a complete and accurate Statement of Financial Interests for
calendar year 2016 within twenty (20) days of the date of the Notice letter.
Respondent did not file a Statement of Financial Interests for calendar 2016 within
the 20 -day grace period provided by the October 16, 2017, Notice letter.
12. ID -6 consists of the Final Notice letter dated December 6, 2017, from the Executive
Director of the State Ethics Commission to Respondent, which notified Respondent
of his failure to file a Statement of Financial Interests for calendar year 2016 and
provided Respondent an opportunity to avoid the institution of civil penalty
proceedings by filing a complete and accurate Statement of Financial Interests for
calendar year 2016 within twenty (20) days of the date. of the Final Notice letter.
Respondent did not file a Statement of Financial Interests for calendar 2016 within
the 20 -day grace period provided by the December 6, 2017, Notice letter.
D. Other Fact Findings
13. On March 5, 2018, the Investigative Division filed with the State Ethics Commission
a Petition for Civil Penalties against Respondent, alleging that Respondent failed to
file a Statement of Financial Interests for calendar year 2016, which Statement of
Financial Interests was to be filed by May 1 of 2017.
14. On March 20, 2018, the Chair of the State Ethics Commission issued an Order to
Show Cause, ordering Respondent to show cause why a civil penalty should not be
levied against him.
15. On March 27, 2018, Respondent filed an Answer to Petition for Civil Penalties, with
no evidentiary hearing requested.
16. On April 18, 2018, the Investigative Division filed a request that a hearing be
scheduled in this matter.
17. A Notice of Hearing was issued on April 24, 2018, notifying Respondent and the
Investigative Division that the State Ethics Commission would conduct a hearing in
this matter on May 21, 2018, at which time the parties would be provided an
opportunity to be heard and to present evidence.
18. Respondent did not attend the hearing that was held in this matter on May 21, 2018.
19. 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
Rothweiler, 18005 -P
Page 5
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).
20. For each violation the State Ethics Commission finds, Respondent is subject to civil
penalty liability under Section 1109( 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 could be subject to total maximum civil penalty liability of $250.00.
IL DISCUSSION:
As an Unemployment Compensation Claims Examiner for the Pennsylvania
Department of Labor and Industry ( "Department of Labor and Industry"), Daniel Rothweiler
("Rothweiler") 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. S.§
1101 et seq. See, Clarke, Opinion 04 -012.
Pursuant to Section 1104(a) of the Ethics Act, Rothweiler was specifically required
to file a Statement of Financial Interests for calendar year 2016 with the Department of
Labor and Industry 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
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 Rothweiler as an Unemployment
Compensation Claims Examiner for the Department of Labor and Industry 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
Rothweiler, 18 -005 -P
Page 6
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).
Procedurally, in accordancewith Section 1107(5 ) of the Ethics Act, the Investigative
Division of the State Ethics Commission sent a Notice of Intent to Commence Civil Penalty
Proceedings Notice letter) dated October 16, 2017, to Rothweiler, stating that Rothweiler
had failed to file a Statement of Financial Interests for calendar year 2016. The Notice
letter provided Rothweiler an opportunity to avoid the institution of 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. Rothweiler did not file a Statement
of Financial Interests within such 20-day grace period.
A Final Notice letter dated December 6, 2017, containing the same substantive
information as the first Notice letter, and providing another 20 -day grace period for filing the
delinquent Statement of Financial Interests, was sent to Rothweiler. Once again,
Rothweiler did not file a Statement of Financial Interests within the 20 -day grace period.
On March 5, 2018, the Investigative Division instituted formal proceedings against
Rothweiler by filing with the State Ethics Commission a Petition for Civil Penalties, which
was subsequently served upon Rothweiler. On March 18, 2018, Rothweiler filed a
Statement of Financial Interests for calendar year 2017 with the State Ethics Commission
via the State Ethics Commission's online filing system.
On March 20, 2018, the Commission Chair issued an Order to Show Cause,
ordering Rothweiler to show cause why a civil penalty should not be levied against him. On
March 27, 2018, Rothweiler filed an Answer to Petition for Civil Penalties, asserting hat
there are mitigating circumstances in this case. Specifically, Rothweiler asserts that: (1) he
was not properly served with notice of the delinquency of his Statement of Financial
Interests for calendar year 2016; (2) the October 16, 2017, Notice letter was not mailed to
an address at which he resided at the time of its deposit in the mail; (3) the December 6,
2017, Final Notice letter was not mailed to the address at which he resided at that time. (4)
although the Final Notice letter was forwarded by the U.S. Postal Service to the mailing
address that was on file with the U.S. Postal Service for him on December 6, 2017, and the
Certified Mailing green card for the Final Notice letter was signed by his girlfriend, Rebekah
Funk, there is no date of delivery on the Certified Mailing green card to indicate when he
may have been served; (5) he was in the process of moving to a new residence during
November and December of 2017, and he did not attempt to avoid any reporting or filin
obligations; (6) he has no reason to refuse or fail to disclose his financial interests; and(
after receiving the Petition for Civil Penalties, he provided the State Ethics Commission
with the requested information via the internet. Rothweiler did not request a hearing.
At the request of the Investigative Division, a hearing was held in this matter on May
21, 2018. Rothweiler did not attend the hearing. There is no evidence of record that would
support Rothweiler's assertion that he was not properly served with notice of the
delinquency of his Statement of Financial Interests for calendar year 2016.
The Investigative Division has filed a Brief and Closing Statement arguing that
Rothweiler should be assessed a civil penalty in the amount of $250.00 for failing to file a
Statement of Financial Interests for calendar year 2016 with the Department of Labor and
Industry.
Rothweiler, 18 -005 -P
ag�7—
Pursuant to Section 1109(f) of the Ethics Act, this Commission may, levy a
maximum civil penalty against Rothweiler for the delinquent Statement of Financial
Interests for calendar year 2016. Although we may consider mitigating factors when
exercising our discretion to levy civil penalty(ies), see, State Ethics Commission Resolution
No. 91 -002, there is no evidence o record estta-151 shmg mitigating circumstances in this
case. Rothweiler's assertion that he was not properly served with notice of the delinquency
of his Statement of Financial Interests for calendar year 2016 is unsupported. There is
nothing of record that would constitute a defense or excuse for Rothweiler's failure to
comply with the Ethics Act.
We find that Rothweiler, as an Unemployment Compensation Claims Examiner for
the Department of Labor and Industry, failed to complywith Section 1104(a) of the Ethics
Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a Statement of Financial Interests
for calendar year 2016 with the Department of Labor and Industry.
We hereby levy one maximum civil penalty against Rothweiler at the rate of Twenty-
Five Dollars ($25.00) per day for each day his Statement of Financial Interests for calendar
year 2016 remained delinquent. Given the number of days during which the Statement of
Financial Interests remained delinquent, the resultant amount to be levied against
Rothweiler is Two Hundred and Fifty Dollars ($250.00).
Rothweiler 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.
III. CONCLUSIONS OF LAW:
1. Daniel Rothweiler ( "Rothweiler "), as an Unemployment Compensation Claims
Examiner for the Pennsylvania Department of Labor and Industry, 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.
Rothweiler, as an Unemployment Compensation Claims Examiner for the
Pennsylvania Department of Labor and Industry, failed to comply with Section
1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to timely file a
Statement of Financial Interests for calendar year 2016 with the Pennsylvania
Department of Labor and Industry.
Notice of the delinquency of Rothweiler's Statement of Financial Interests for
calendar year 2016 was previously served u on him in accordance with Section
1107(5) of the Ethics Act, 65 Pa.C.S. § 11075).
Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250.00 is warranted.
In Re: Daniel Rothweiler, File Docket: 18 -005 -P
Respondent Date Decided: 10/24/18
Date Mailed: 11/16/18
ORDER NO. 597 -S
Daniel Rothweiler ( "Rothweiler "), as an Unemployment Compensation Claims
Examiner for the Pennsylvania Department of Labor and Industry, failed to compI
with Section 11 04(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S.
1104(a), when he Tailed to timely file a Statement of Financial Interests for calendar
year 2016 with the Pennsylvania Department of Labor and Industry.
This Commission hereby levies one maximum civil penalty against Rothweiler at the
rate of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2016 remained delinquent, for a total civil penalty of Two
Hundred and Fifty Dollars ($250.00). Rothweiler 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.
Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
e
is o as A. Colafella, air