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Home My WebLink About020-S WilliamsIN RE: GERALDINE H. WILLIAMS : Respondent Before: STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG, PA 17108 -1470 TELEPHONE (717) 783 -1610 File Docket: Date Decided: Date Mailed: James M. Howley, Chair Daneen E. Reese, Vice Chair Dennis C. Harrington Austin M. Lee Allan M. Kluger 92 -053 -P J>}ne 23, 1992 June 29, 1992 The State Ethics Commission received information regarding possible violation(s) of Section 4 and /or Section 5 of the Public Official and Employee Ethics Law ( "Ethics Law "), Act 9 of 1989, 65 P.S. §401 et seq. Written Notice was mailed to Respondent in accordance with Section (7)(5) of the Ethics Law, as to which there was no response. A Notice and Order to Show Cause was issued and served upon Respondent. An Answer was not filed and a hearing was deemed waived. The record is complete. This adjudication of the Commission is hereby issued, which sets forth Findings of Fact, Discussion, Conclusions of Law and Order. This Adjudication is final and is a public document. Reconsideration may be requested. A request for reconsideration, however, does not affect the finality of this adjudication. A reconsideration request must be received at this Commission within fifteen days of issuance and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §2.38. Geraldine H. Williams June 29, 1992 Page 2 I. FINDINGS: 1. Respondent Geraldine H. Williams is an adult individual who resides or maintains a mailing address at 1925 South 21st Street, Philadelphia, Pennsylvania 19145. 2. At all times relevant to these proceedings, Respondent has been a Member of the Pennsylvania Commission for Women. (a) Respondent specifically held the aforesaid position in 1991. 3. Respondent did not file a Statement of Financial Interests for ca l e n d ar ors year 1990 Office of with the State before May 1, 1991. Governor's 4. A Notice letter dated June 18, 1991 was served upon Respondent by this Commission. The said Notice letter stated in detail the specific allegations against Respondent concerning the delinquency of Respondent's Statement of Financial Interests for calendar year 1990 and the penalties for failure to file or for filing a deficient Statement of Financial Interests. The 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 1990 within fourteen (14) days of the date of the Notice letter. 5. Respondent did not file a Statement of Financial Interests with the State Ethics Commission and the Governor's Office of Administration for calendar year 1990 within fourteen days of the date of the said Notice letter. II. DISCUSSION: Respondent has been e�t tot se proceedings. a Re ondent ssion for Women at all times relevant specifically held the aforesaid position in 1991. As a Member of the Pennsylvania Commission for Women, Respondent is a "public official" as that term is defined under the Public Official and Employee Ethics Law ( "Ethics Law ") 65 P.S. S401, et Lea.., and as such, Respondent is subject to the provisions of the Ethics Law. Pursuant to Sections 4 and 5 of the Ethics Law, Respondent was required to file a Statement of Financial Interests providing complete financial disclosure for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration by May 1, 1991. 65 P.S. SS404,405. Geraldine R. Williams June 29, 1992 Page 3 Section 9(f) of the Ethics Law provides as follows: (f) In addition to any other civil remedy or criminal penalty provided for in this act, the commission may, after notice has been served in accordance with section 7(5) and upon a majority vote of its members, levy a civil penalty upon any person subject to this act 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 P.S. 5409(f). An application of Section 9(f) to this case establishes that this Commission has the discretion to levy a maximum civil penalty against the Respondent for the delinquent Statement of Financial Interests for calendar year 1990. Factually, Respondent failed to timely file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, which constitutes a failure to comply with Sections 4 and 5 of the Ethics Law. Pursuant to Section 7(5) of the Ethics Law, a Notice letter dated June 18, 1991 was issued to Respondent notifying Respondent in detail of the specific allegations against Respondent concerning the delinquency of Respondent's Statement of Financial Interests for calendar year 1990 and the penalties for failure to file or for filing a deficient Statement of Financial Interests. The service of a Notice letter in accordance with Section 7(5) is a prerequisite to the levying of a civil penalty under Section 9(f) of the Ethics Law. 65 P.S. 5409(f). This prerequisite has been met in this case. Upon being notified of the above transgression, Respondent did not remedy the failure to file a Statement of Financial Interests for calendar year 1990 although given fourteen days from the date of the aforesaid Notice letter in which to do so. This Commission then instituted formal proceedings against Respondent by issuing an Order to Show Cause, ordering Respondent to show cause why a civil penalty should not be levied against Respondent. Respondent did not file an answer to the Order to Show Cause. There is nothing of record which would constitute a defense or excuse for Respondent's failure to comply with the Ethics Law. Respondent has failed to show cause why a civil penalty should not be levied against Respondent in this matter. Geraldine H. Williams June 29, 1992 Page 4 Based upon the totality of circumstances in this case, we hereby levy one civil penalty against Respondent Geraldine H. Williams at the rate of $25.00 per day, for each day Respondent's Statement of Financial Interests for calendar year 1990 has remained delinquent. Given the number of days during which the Statement of Fina o nc be l levied against Respondent is $250 the resultant amount to OQ. Respondent shall be ordered to file a complete 19 and accurate Statement of Financial Interests for calendar year III. CONCLUSIONS OF LAW: 1. At all times relevant to these proceedings, Respondent Geraldine H. Williams has been a Member of the Pennsylvania Commission for Women and as such Respondent has at all times relevant to these proceedings been a "public official" as that term is defined in the Ethics Law. 2. Pursuant to Section 4 of the Ethics Law, Respondent is required to file the Statement of Financial Interests each year Respondent holds the above position and the year after leaving said position. 3. Respondent was required by the Ethics Law to file a Statement of Financial Interests for calendar year 1990 with the State Ethic tat Commission ment of Financial e Interests was due Administration, later than which Statement 1, 1991. 4. Respondent failed to comply with the requirements of Sections 4 and 5 of the Ethics Law when Respondent failed to timely file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration. 5. Notice of the delinquency of Respondent's Statement of seerveed u Respondent r in accordance with Section previously 5 ) of the srvd p Ethics Law, 65 P.S. 5407(5). 6. Respondent failed to remedy the delinquency of Respondent's Statement of and nt was given fourteen r (14) days from the date a Respondent the aforesaid Notice letter in which to do so. 7. Based upon the totality of the circumstances in this case, one civil penalty shall be levied against Respondent for Respondent's delinquent Statement of Financial ay Interests each for calendar year 1990, at the rate of $25.00 per day Geraldine H. Williams June 29, 1992 Page 5 said Statement of Financial Interests has remained delinquent, resulting in the total civil penalty of $250.00. 8. Respondent shall further be ordered to file an accurate and complete Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, providing full financial disclosure as required by the Ethics Law and signed under oath or equivalent affirmation. IN RE: GERALDINE H. WILLIAMS : File Docket: 92 -053 -P : Date Decided: June 23, 1992 Respondent : Date Mailed: June 29, 1992 ORDER NO. 020 -S 1. Geraldine H. Williams, as a Member of the Pennsylvania Commission for Women, failed to comply with Sections 4 and 5 of the Ethics Law, 65 P.S. §S404, 405, by failing to timely file a Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration. 2. Based upon the circumstances of this case, this Commission hereby levies one civil penalty against Respondent Geraldine H. Williams at the rate of $25.00 per day for each day Respondent's Statement of Financial Interests for calendar year 1990 has remained delinquent, for the total civil penalty of $250.00. Respondent is ordered to pay the above civil penalty in the total amount of $250.00 within thirty days of the issuance of this Order, by forwarding a check to this Commission payable to the Commonwealth of Pennsylvania for deposit in the State Treasury. 3. Respondent Geraldine H. Williams is directed within 30 days of issuance of this Order to file a complete and accurate Statement of Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's Office of Administration, providing full financial disclosure as required by the Ethics Law. 4. Failure to comply with any provision of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, James M. Howley, Chair