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In Re: Susan Hartz,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 171200400
File Docket:
X -ref:
Date Decided
Date Mailed:
FACSIMILE: 717- 787 -0806
WEBSITE: www.ethics.pa.gov
18 -020 -P
Order No. 604 -S
10/24/18
11/20/18
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 Pennsylvania 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 sec..
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 by 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.
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 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 has failed to provide full financial disclosure as required by the Ethics
Act. Respondent has failed to file a Statement of Financial Interests for calendar
year 2016, which Statement of Financial Interests was to be filed b May 1 of 2017,
and Respondent has therefore transgressed Sections 1104 and 110,5 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated October 30, 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
ear 2016 within twenty (20) days of the date of the Notice letter. Respondent has
ailed and refused to file a Statement of Financial Interests for calendar year 2016
so as to comply with the specific requirements of the Ethics Act.
Hartz, 18 -020 -P
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By Notice letter dated Ja"a 3, 2018, Respondent was served with Notice in
accordance with Section 1107(ry5) 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 subject to civil penalty
liability under Section 1109(f) of the Ethics Act, 65 Pa.C.S. § 11091f), 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 is
subject to total maximum civil penalty liability of $250.00.
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 Income Maintenance Caseworkerfor the Pennsylvania Department of Human
Services ( "Department of Human Services "), Susan Hartz ( "Hartz ") was at all times relevant
to these proceedings a "public employee" subject to the provisions of the Public Official
and Employee Ethics Act ( "Ethics AAct' ), 65 Pa.C.S. § 1101 et se q. See, Qua lia v. State
Ethics Commission, 986 A.2d 974 (Pa. Cmwlth. 2010), amended _b_y�0 a. ommw.
LEXIS 8 a. mwlth. January 5, 2010), allocatur den-Jed, 607 Pa. 708, 4 A.3d 1056
(2010).
Pursuant to Section 1104(a) of the Ethics Act, Hartz was specifically required to file
a Statement of Financial Interests for calendar year 2016 with the Department of Human
Services on or before May 1, 2017. See, Quaglia, supra. Section 1104(a) provides:
§ 1104. Statement of financial interests required to be filed
(a) Public official or public employee. - -Each public official of the
Hartz, 18 -020 -P
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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 yearthat
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 Hartz as an Income Maintenance
Caseworker for the 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 subJ'ect 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 Hartz far 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. Hartz 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 roceedinggs a ainst Hartz b filing with the State Ethics
Commission and serving upon Hartz a Petitiongfor Civil Penalt, es. The Commission Chair
issued an Order to Show Cause, ordering Hartz to show cause why a civil penalty should
not be levied against her. Hartz did not file an answer to the Order to Show Cause. There
is nothing of record that would constitute a defense or excuse for Hartz's failure to comply
with the Ethics Act. Hartz has failed to show cause why a civil penalty should not be levied
against her in this matter.
We find that Hartz, as an Income Maintenance Caseworker for the Department of
Human Services, failed to comply with Section 11 04 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 Department of Human Services.
Hartz, 18 -020 -P
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We hereby levy one maximum civil penalty against Hartz 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. Given the number of days during which the Statement of
Financial Interests has remained delinquent, the resultant amount to be levied against
Hartz is Two Hundred and Fifty Dollars ($250.00).
Hartz shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (30 ) 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.
Hartz shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2016 with the 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.
Ill. CONCLUSIONS OF LAW:
1. Susan Hartz ( "Hartz "), as an Income Maintenance Caseworker for the Pennsylvania
Department of Human Services, 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.
2. Hartz, as an Income Maintenance Caseworker for the Pennsylvania Department of
Human Services, 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 Department of Human Services.
3. Notice of the delinquency of Hartz's Statement of Financial Interests for calendar
year 2016 was ppreviouslyy 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: Susan Hartz, File Docket: 18 -020 -P
Respondent Date Decided: 10/24/18
Date Mailed: 11120118
ORDER NO. 604 -S
Susan Hartz ( "Hartz "), as an Income Maintenance Caseworker for the Pennsylvania
Department of Human Services, 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 Department of Human Services.
This Commission hereby evies one maximum civil penalty against Hartz 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). Hartz 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 Pennsylvania State Ethics
Commission made payable to the Commonwealth of Pennsylvania, for deposit in
the State Treasury.
3. Hartz is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2016 with the Pennsylvania Department of Human Services by no
later than the thirtieth (301'') day after the mailing date of this Order, with one copy
forwarded to the Pennsylvania 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.
BY THE COMMISSION,
6
idho as A. Colafella, - air