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HomeMy WebLinkAbout597-S RothweilerPHONE: 717- 783 -1610 TOLL FREE: 1 -800- 932 -0936 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 Rothweiler, 18 -005 -P 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