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HomeMy WebLinkAbout598-S AlexanderPHONE: 717- 783 -1610 TOLL FREE: 1- 800- 932 -0936 In Re: Helen Alexander, 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 18 -017 -P Order No. 598 -S 10/24/18 11/16/18 Before: Nicholas A. Colafella, Chair Mark R. Corrigan, Vice Chair Roger Nick Meanie 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 Act ), n to C S § 11104e{ ndd11105 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 filed and a hearing was held. The record is complete. I. 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 Unemployment Compensation Tax Technician with the Pennsylvania 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 failed to file a Statement of Financial Interests for calendar year 2016 by May 1 of 2017. 5. 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. Current and former Commonwealth employees have access to the Commonwealth online filing system to file their Statements of Financial Interests. A current Commonwealth employee uses the employee's CWOPA Alexander, 18 -017-P agl —eT--- account to access the Commonwealth online filing system. A former Commonwealth employee must create a PALogin account to access the Commonwealth online filing system. C. Respondent was on leave without pay from January 5, 2017, through January 10, 2018, and she separated from her Commonwealth employment on January 11, 2018. The Governor's Office of Administration sent Respondent two letters dated April 4, 2017, and June 9, 2017, each of which advised Respondent of her 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). 1. Each of the two letters noted the availability of the Pennsylvania HR Service Center to answer questions at the telephone number provided. On June 12, 2017, Respondent telephoned the Pennsylvania HR Service Center for assistance in filing her Statement of Financial Interests for calendar year 2016 via the Commonwealth online filing system. (ID 4). 1. Case Notes for Respondent's June 12, 2017, telephone call to the Pennsylvania HR Service Center reflect that: (1) Respondent was on leave without pay from her Commonwealth employment at that time; (2) Respondent's password to access the Commonwealth online filing system as a current Commonwealth employee had expired, and an updated password could not be obtained; and (3) steps were taken to provide Respondent with the ability to access the Commonwealth online filing system by creating a PALogin account. 2. On June 13, 2017, an HR Analyst with the Pennsylvania HR Service Center sent Respondent an email with instructions on how to create a PALogin account and access the Commonwealth online filing system. (ID 5). On January 26, 2018, and February 5, 2018, Respondent again telephoned the Pennsylvania HR Service Center for assistance in utilizing the Commonwealth online filing system to file her Statement of Financial Interests for calendar year 2016. (ID 4). 1. Case Notes for Respondent's aforesaid two telephone calls reflect that Respondent was again provided with the instructions for creating a PALogin account and that after receiving assistance, Respondent was able to log into the Commonwealth online filing system on February 5, 2018. (ID 4). On February 5, 2018, Respondent filed a Statement of Financial Interests far calendar year 2016 via the Commonwealth online filing system. (ID 6). Jessica Wenger ( "Ms. Wenger ") is employed as a Clerk Typist 2 with the State Ethics Commission. 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. Alexander, 18 -017 -P 7a-- b. Each year, the Governor's Office of Administration provides the State Ethics Commission with a list of current or former Commonwealth employees who failed to file Statements of Financial Interests. C. The State Ethics Commission issued a Notice letter dated August 17, 2017, to Respondent, notifying her of her failure to file a Statement of Financial Interests for calendar year 2016. (ID 7). The State Ethics Commission issued a Final Notice letter dated September 21, 2017, to Respondent, notifying her of her failure to file a Statement of Financial Interests for calendar year 2016. (ID 8). The September 21, 2017, Final Notice letter was forwarded to Respondent by Certified Mail. The Domestic Return Receipt bore the signature of Respondent. (ID 9). ID 7 consists of the Notice of Intent to Commence Civil Penalty Proceedings ( "Notice letter ") dated August 17, 2017, from the Executive Director of the State Ethics Commission to Respondent, which notified Respondent of her 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 August 17, 2017, Notice letter. 8. ID 8 consists of the Final Notice letter dated September 21, 2017, from the Executive Director of the State Ethics Commission to Respondent, which notified Respondent of her 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 September 21, 2017, Final Notice letter. 9. On March 8, 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 [ nterests for calendar year 2016, which Statement of Financial Interests was to be filed by May 1 of 2017. 10. On March 15, 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 her. 11. On March 23, 2018, Respondent filed an Answer to the Order to Show Cause, in which Respondent asserts that: (1) she did not intentionally fail to timely file a Statement of Financial Interests for calendar year 2016; (2) she had to immediately leave her Commonwealth employment in December 2016 and subsequently had to take a leave of absence due to family medical issues that were all- consuming, (3) she made several attempts to file a Statement of Financial Interests for calendar year 2016 after she received notices from the Governor's Office of Administration, but she was unable to access the Commonwealth online filings stem despite telephoning the Pennsylvania HR Service Center for assistance; (y4) the written instructions that she received from the Pennsylvania HR Service Center in the mail were not helpful; and (5) she was able to file a Statement of Financial Interests for calendar year 2016 once the Pennsylvania HR Service Center provided her with Alexander, 18 -017 -P ag�— another website to use to access the Commonwealth online filing system. (Answer to Order to Show Cause). 12. At the hearing held in this matter on May 21, 2018, Respondent testified that: a. Due to critical family medical issues, Respondent stopped working in her Commonwealth position to December 2016, and she subsequently had to go on leave without pay; b. Respondent could not return to work because of such family medical issues, and she resigned from her Commonwealth employment in January 2018; C. Respondent received the letters from the Governor's Office of Administration and the State Ethics Commission that advised her of her requirement to file a Statement of Financial Interests for calendar year 2016; d. Respondent did not intentionally fail to timely file her Statement of Financial Interests for calendar year 2016; e. Respondent was unable to access the Commonwealth online filing system after she left work; In June 2017 Respondent telephoned the Pennsylvania HR Service Center and unsuccessfully attempted to file her Statement of Financial Interests for calendar year 2016; g. Respondent eventually was able to access the Commonwealth online filing system, and on February 5, 2018, she filed her Statement of Financial Interests for calendar year 2016; and h. Respondent takes full responsibility for failing to timely file her Statement of Financial Interests for calendar year 2016. 13. 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). 14. For each violation the State Ethics Commission finds, Respondent is subject 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 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. Alexander, 18 -017 -P age 15. 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. IL DISCUSSION: As an Unemployment Compensation Tax Technician for the Pennsylvania Department of Labor and Industry ( "Department of Labor and Industry"), Helen Alexander ( "Alexander ") was at all times relevant to these proceedings a " ublic employee" sub' ect to the provisions of the Public Official and Employee Ethics Act "Ethics Act "), 65 Pa.C.S. § 1101 et seq. Pursuant to Section 1104(a) of the Ethics Act, Alexanderwas 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 Alexander as an Unemployment Compensation Tax Technician 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 1 105 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 falls 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). Alexander, 18 -017 -P Page 6 Procedurally, in accordance with 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 August 17, 2017, to Alexander, stating that Alexander had failed to file a Statement of Financial Interests for calendar year 2016. The Notice letter provided Alexander an opportunity to avoid the institution of civil penalty proceedings by filing an accurate and com lete Statement of Financial Interests for calendar year 2016 with in Twenty (20) days of thepdate of the Notice letter. Alexander did not file a Statement of Financia! Interests within such 20 -day grace period. A Final Notice letter dated September 21, 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 Alexander. Once again, Alexander did not file a Statement of Financial Interests within the 20 -day grace period. Alexander did not file a Statement of Financial Interests for calendar year 2016 until February 5, 2018. On March 8, 2018, the Investigative Division instituted formal proceedings against Alexander by filing with the State Ethics Commission a Petition for Civil Penalties, which was subsequently served upon Alexander. On March 15, 2018, the Commission Chair issued an Order to Show Cause, ordering Alexander to show cause why a civil penalty should not be levied against her. On March 23, 2018, Alexander filed an Answer to the Order to Show Cause, asserting that: (1) she did not intentionally fail to timely file a Statement of Financial Interests for calendar year 2016; (2) she had to immediately leave her Commonwealth employment in December 2016 and subsequentl had to take a leave of absence due to family medical issues that were all- consuming; (3) she made several attempts to file a Statement of Financial Interests for calendar year 2016 after she received notices from the Governor's Office of Administration, but she was unable to access the Commonwealth online filing system despite telephoning the Pennsylvania HR Service Center for assistance; (4) the written instructions that she received from the Pennsylvania HR Service Center in the mail were not helpful; and (5) she was able to file a Statement of Financial Interests for calendar year 2016 once the Pennsylvania HR Service Center provided her with another website to use to access the Commonwealth online filing system. A hearing was held in this matter on May 21, 2018. Alexander testified that due to critical family medical issues, she stopped working in her Commonwealth position in December 2016, and she subsequently had to go on leave without pay. Alexander testified that she could not return to work because of such family medical issues and that she resigned from her Commonwealth employment in January 2018. Alexander acknowledged that she received letters from the Governor's Office of Administration dated April 4, 2017, and June 9, 2017, each of which advised her of her requirement to file a Statement of Financial Interests for calendar year 2016. Alexander testified that she was unable to access the Commonwealth online filing system after she left work and that in June 2017, she telephoned the Pennsylvania HR Service Center and unsuccessfully attempted to file her Statement of Financial Interests for calendar year 2016. Alexander acknowledged that she received the Notice and Final Notice letters sent to her by the State Ethics Commission. Alexander testified that she eventually was able to access the Commonwealth online filing system and that on February 5, 2018, she filed her Statement of Financial Interests for calendar year 2016. Alexander further testified that she takes full responsibility for failing to timely fife her Statement of Financial Interests for calendar year 2016. The Investigative Division has filed a Brief and Closing Statement arguing that Alexander should be assessed a civil penalty in the amount of $250.00 for failing to timely file a Statement of Financial Interests for calendar year 2016 with the Department of Labor and Industry. Alexander, 18 -017 -P age Pursuant to Section 1109(f) of the Ethics Act, this Commission could levy a maximum civil penalty against Alexander for the delinquent Statement of Financial Interests for calendar year 2016. However we may consider mitigating factors when exercising our discretion to levy civil penalty(ies), see, State Ethics Commission Resolution No. 91 -002. It is our view that Alexander has esf`aished mitigating circumstances suc that lesser civil penalty in the amount of $150.00 should be levied against her for the delinquent Statement of Financial Interests for calendar year 2016. We find that Alexander, as an Unemployment Compensation Tax Technician for the Department of Labor and Industry, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104 {a), when she failed to timely file a Statement of Financial Interests for calendar year 2016 with the Department of Labor and Industry. Based upon the totality of the circumstances in this case, we hereby levy ne civil penalty against Alexander in the total amount of One Hundred and Fifty Dollars ($150.00} for the delinquent Statement of Financial Interests for calendar year 2016. Alexander shall be ordered to pay said civil penalty in the total amount of $150.00 by no later than the thirtieth (301x') 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. III, CONCLUSIONS OF LAW: 1. Helen Alexander ( "Alexander "), as an Unemployment Compensation Tax Technician 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 seq. 2. Alexander, as an Unemployment Compensation Tax Technician 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 she failed to timely file a Statement of Financial Interests for calendar year 2016 with the Pennsylvania Department of Labor and Industry. 3. Notice of the delinquency of Alexander'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 $150.00 is warranted. In Re: Helen Alexander, Respondent File Docket: 18 -017 -P Date Decided: 10/24/18 Date Mailed: 11/16/18 ORDER NO. 598 -S 1. Helen Alexander ( "Alexander "), as an Unemployment Compensation Tax Technician for the Pennsylvania Department of tabor and Industry, failed to comply with Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to timely file a Statement of Financial Interests for calendar year 2016 with the Pennsylvania Department of tabor and Industry. 2. Based upon the totality of the circumstances in this case, this Commission hereby levies one civil penalt against Alexander in the total amount of One Hundred and Fifty Dollars ($150.0) for the delinquent Statement of Financial Interests for calendar year 2016. Alexander is ordered to a said civil penalty in the total amount oy$150.00 b no later than the thirtieth (3 cn day after the mailing date of f by ) 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. Failure to comply with Paragraph 2 of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, 8 A- Nidholas A. Colafella, C air