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Home My WebLink About017-S ShapiroIN RE: SIEGLINDE A. SHAPIRO Respondent STATE ETHICS COMMISSION 309 FINANCE BUILDING P.O. BOX 11470 HARRISBURG:PA 1 71 08 -1 470 TELEPHONE (717) 783 -1610 Before: James M. Howley, Chair Daneen E. Reese, Vice Chair Dennis C. Harrington Austin M. Lee Allan M. Kluger File Docket: 92 -045 -P Date Decided: June 23 j492 Date Mailed: June 29, 1992 The State Ethics Commission received information regarding possible of Section 4 and /or Section 5 of the Public Official and Employee Ethics Law ("Ethics Law "), Act 9 of 1989; 65 1 S. 5401 et sec7. Written Notice was mailed to Respondent in dtcotdance 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 52.38. Sieglinde A. Shapiro =die 29, 1992 Page 2 I. FINDINGS: 1. Respondent . Sieglinde A. Shapiro is an adult individual ; Who -resides or maintains a mailing addr;ss at 9211 -15 Vandike *Street, Philadelphia, Pennsylvania L1.14 . 2. At all times relevant to these proceedings, .Respondent has been a Member of the State Board of Vocational Rehabilitation. (a) Respondent specifically held the aforesaid position in 1991. 3. Respondent did not file a Statement of Fin 4 Interests for calendar year 199 with the Eth cs mmission and the Governor's Office of Administration an or before May 1, 1991. A Notice 4etter dated June 1a, 1991 was served upon Respondent bit this omma:sson The said Notice letter stated in detail the 'sped ic" a1I gatitdns against Respondent concerning the de.lir quency o esponc nt' s Statement' of 'Financial Interests - `ar a1enriar e'ar 1990" and the `penalti s for failure to file air fear . f ding a • Statement o.f Financial Interests. The `-said ;Notice . letter provide Respondent an opportunity. to ;'avdd the'`y of these ovL1 penalty proceedings by rt1lri1 'an +' accurate and complete gtatement of Fin_ ancial year 1990 within fourteen (14) s of �ntet+es� - •s �or 9 � ( ) {�`�Y the "= date ' j of ° the Notice .- letter. • ices ondent did not file a Statement of Financial Interests X t =the St Com ate Ethics mission and the G of $ c w4 min st> ation for. calendar year 1990 within fourteen dais of the ` aate • the said l o'tii`ee l tt • The Rublic records , 9 f the State Ethics Gomm.ission a €lect that Ret ondent has prt'i t been served with Notice of the delinquency ^ of tre ` Statement of Financial Interests for another calendar year, specifically a1endar yea= 1989. II. DISTSgIQN• Respondent has been a .emher` Qf the State Board of Vacatip RehabtftEdt ii Respondent s eca,fically h e 4 e � ` afre "t he ro .said po t .si it tion in 19,94.. � As a _Membero the State B,oaxd of Vocational Rehabi;iitatigtl, Respondent .is a pii lic " official" as that term ins c 9 undue. t Public Official and. EmploYee Et} i"cs Law_ " ics ") , 5401, Lat., and as such, 'Respondent. is subjeot t4., t e• grovisio& of the Ethics . Law. • Sieglinde A. Shapiro June 29, 1992 Page 3 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. 55404,405. 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. S409(f). -An application of Section 9(f) to this case establishes that phis 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. §409(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 Sieglinde A. Shapiro June 29, 1992 Page 4 -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. We would further note that the public records of the State Ethics Commission reflect that Respondent has previously been served with Notice of the delinquency of her Statement of Financial Interests for another calendar year. It is clear that as a Member of the State. Board of Vocational Rehabilitation, Respondent knows that she is a public -official .required to file Statements of Financial Interests pursuant to Sections 4 and 5 of the Ethics Law. Based - upon - totality of circumstances in this case, we hereby levy one civil penalty against Respondent - Sieglinde A. Shapiro 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 Financial Interests has remained delinquent, the resultant amount to be levied against Respondent is $250.00. Respondent -shall be ordered to file a complete and accurate Statement of Financial Interests for .calendar year 1990. III. CONCLUSIONS OF LAW: At all times relevant to these proceedings, Respondent Sieglinde A. Shapiro has been a Member of the State Board of Vocational Rehabilitation 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. Pursuant to Section 4 of the Ethics Law, Respondent is required' file the 'Statement of Financial Interests each year Respondent holds the above- position and the year after leaving said positidn., r _ Respondent was required by. the Ethics Law to file a Statement 'of Financial Interests for calendar year 1990 with the State Ethics .Commission and the Governor' Office of Administration, which Statement of Financial Interests was due- no later than May 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. Siegliade A. Shapiro June 29, 1992 Page 5 5. Notice of the delinquency of Respondent's Statement of Financial Interests for calendar year 1990 was previously served upon Respondent in accordance with Section 7(5) of the Ethics Law, 65 P.S. 5407(5). 6. Respondent failed to remedy the delinquency of Respdi 3ent's Statement of Financial Interests for calendar year 1990, although Respondent was given fourteen (14) days from the date of 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 Interests for calendar year 1990, at the rate of $25.00 per day for each day 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: SIEGLINDE A. SHAPIRO : File Docket, 92- s045-P : Date Decided: June 3. Respondent : Date Mailed: • RD NO. O -S . M 1. Sieglinde A. Shapiro, as a Member of the State Board of vocational Rehabilitation,_ failed to comply with Sections 4 end 5 -of the Ethics Law, 65 P.S. 5$404, 405, by failing to timely ._fL1e• a Statement of_-Financial Interests for calendar year 1990 with the State Ethics Commission and the Governor's - #ffice,of Administration. 2. Based r po_z..the circumstances of this case, this Commission a ,• , '- levies •one. civil penalty_ against . Respondent Sieglinde A.. :Shapiro the rate of $25.00 per day for each day Respondent -Statement of Financial Interests for calendar year 1990 has remained delinquent, for the total civil penalty of . -$250.00 .Respondent is ° ordered to pay the above , civil • penalty i n the total . amount of .$ : within thirty days 6# the issuance .of this Order, by forwarding a check - -to this s . , •Commission . payable to the Commonwealth of Pennsylvania . 16r w1_ ins :::thy .:State Treasury, 3. Respondent Sieglinde A. Shapiro 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 H. Howley, C