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HomeMy WebLinkAbout143-S CopeIN RE: Ann Cope Respondent File Docket: X -ref: Date Decided: Date Mailed: 02 -003 -P Order 143 -S 5/2/02 5/16/02 Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Daneen E. Reese Frank M. Brown Susan Mosites Bicket Donald M. McCurdy Michael Healey 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 seq. The Investigative Division initiated these proceedings by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalty(ies ). An Order to Show Cause was issued to Respondent. An Answer was not filed by the Respondent, and a hearing was waived. The record is complete. The Findings in this Order are quoted from the Petition for Civil Penalties filed by the Investigative Division. This is a final Order, and it is publicly available upon issuance. Reconsideration may be requested, but a request for reconsideration will not affect the finality of this adjudication or its availability as a public document. Any reconsideration request must be received at this Commission within thirty days of the mailing date noted above and must include a detailed explanation of the reasons as to why reconsideration should be granted in conformity with 51 Pa. Code §21.29(b). Cope 02 -003 -P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at Freedom Valley Disability, Enablement CIL, 3607 Chapel Road, Newtown Square, PA 19073. 2. At all times relevant to these proceedings, Respondent has been a member of the Statewide Independent Living Counsel [sic] and as such Respondent has at all times relevant to these proceedings been a "public official" as that term is defined in Section 2 of the Ethics Law, 65 Pa.C.S. §1102. 3. Respondent as a public official is subject to the Statement of Financial Interests filing provisions of the Ethics Law. 4. Respondent has failed to provide full financial disclosure as required by the Ethics Law. Respondent has failed to file [a] Statements [sic] of Financial Interests for calendar year(s) 1999 with the State thics Commission [sic], which Statements [sic] of Financial Interests were to be filed by May 1 of 2000, and Respondent has therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. § §1104, 1105. 5. By Notice letter dated October 25, 2000, Respondent was served with Notice in accordance with Section 7(5) of the Ethics Law 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 Statements [sic] of Financial Interests for calendar year 1999 within twenty (20) days of the date of the Notice letter. Respondent has failed to timely file [a] Statements [sic] of Financial Interests for calendar year 1999 so as to comply with the specific requirements of the Ethics Law. 6. By Notice letter dated March 30, 2001, Respondent was served with Notice in accordance with Section 7(5) of the Ethics Law 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 Statements [sic] of Financial Interests for calendar year 1999 within twenty (20) days of the date of the Notice letter. Respondent has failed to timely file [a] Statements [sic] of Financial Interests for calendar year 1999 so as to comply with the specific requirements of the Ethics Law. 7. Section 9(f) of the Ethics Law provides: Section 9. Penalties (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 per violation under this paragraph is $250. 65 Pa.C.S. §1109(f). 8. For each violation the Commission finds, Respondent is subject to civil penalty liability under Section 9(f) of the Ethics Law, 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 Cope 02 -003 -P Page 3 deficient, for a maximum civil penalty of $250.00 per violation. Because Respondent has committed one (1) violation alleged herein, Respondent is subject to total maximum civil penalty liability of $250.00 for said violation. 9. The mitigating factor is that since Respondent was appointed to an unpaid board and therefore did not realize that she was subject to the Ethics Law. After having the Law explained to her, she now understands the reporting requirements and is going to file timely forms. Therefore, Respondent should not be assessed the maximum $250.00 penalty, but has instead agreed to pay a penalty in the amount of $100.00. II. DISCUSSION: As a Member of the Statewide Independent Living Council, Respondent Ann Cope was at all times relevant to these proceedings a "public official" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101, et seq. Pursuant to Section 1104(b)(2) of the Ethics Act, Respondent was specifically required to file a Statement of Financial Interests for the calendar year 1999 with the State Ethics Commission and the Statewide Independent Living Council on or before May 1, 2000. 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 osition. 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 Ann Cope, as a Member of the Statewide Independent Living Council, 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 the 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. Cope 02 -003 -P Page 4 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 the Respondent for each delinquent or deficient Statement of Financial Interests. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Respondent 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 proceedings against Respondent by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalties. The State Ethics Commission issued 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 Act. Respondent has failed to show cause why a civil penalty should not be levied against Respondent in this matter. We find that Respondent Ann Cope, as a Member of the Statewide Independent Living Council, 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 199 with the State Ethics Commission and the Statewide Independent Living Council. We hereby levy one civil penalty against Respondent Ann Cope at the rate of Twenty - Five Dollars ($25.00) per day, for each day Respondent's Statement of Financial Interests for calendar year 1999 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 Respondent is Two - Hundred and Fifty Dollars ($250.00). Respondent shall be ordered to make payment of the above civil penalty in the amount of $250.00 within 30 days of the issuance 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. Respondent shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 1999 with the State Ethics Commission and the Statewide Independent Living Council within 30 days of the issuance of this adjudication and Order. III. CONCLUSIONS OF LAW: 1. Ann Cope, as a Member of the Statewide Independent Living Council, was at all times relevant to these proceedings a "public official" subject to the provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S. §1101 et seq. 2. Respondent, as a Member of the Statewide Independent Living Council, 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 1999 with the State Ethics Commission and the Statewide Independent Living Council. 3. Notice of the delinquency of Respondent's Statement of Financial Interests for calendar year 1999 was previously served upon Respondent 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: Ann Cope Respondent File Docket: 02 -003 -P Date Decided: 5/2/02 Date Mailed: 5/16/02 ORDER NO. 143 -S 1. Ann Cope, as a Member of the Statewide Independent Living Council, 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 1999 with the State Ethics Commission and the Statewide Independent Living Council. 2. This Commission hereby levies one civil penalty against Respondent Ann Cope at the rate of Twenty -Five Dollars ($25.00) per day for each day Respondent's Statement of Financial Interests for calendar year 1999 has remained delinquent, for a total civil penalty of Two - Hundred and Fifty Dollars $250.00). Respondent is ordered to pay the said civil penalty in the total amount of $250.00 within 30 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 Ann Cope is ordered to file a complete and accurate Statement of Financial Interests for calendar year 1999 with the State Ethics Commission and the Statewide Independent Living Council within 30 days of issuance of this Order. 4. Failure to comply with any provision of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, LOUIS W. FRYMAN, CHAIR