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In Re: Dale Rosenblat,
Respondent
STAXE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBUI3G, PA 17120-0400
File Docket:
Order No.
Date Decided:
Date Mailed:
22-036-P
745-S
12/14/22
12/16/22
Before: Shelley Y. Simms, Acting Chair
Rhonda Hill Wilson
Paul E. Parsells
David L. Reddeeliff
FAMMILE: 717-.787-0806
WEBSITE: WW iics.2v
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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. § 1.101
et sue.
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. A Stipulation of Findings and a Consent Agreement were subsequently
submitted by the parties to the Commission for consideration. The Stipulated Findings are set
forth as the Findings in this Order. The Consent Agreement has been approved.
1. FINDINGS:
Respondent, Dale Rosenblat, ("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 a Human Services
Licensing Representative with the Pennsylvania Department of Human Services, and as
such, Respondent has beenat all times relevant to these proceedings a "public
official/public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent, as a public official/public employee, was subject to the Statement of Financial
Interests filing provisions of the Ethics Act,
4. Respondent failed to timely provide full financial disclosure as required by the Ethics Act.
Respondent failed to timely file a Statement Financial Interests for calendar year 2020,
which Statement of Financial Interests was to be filed by May 1, 2021. Respondent has
therefore violated Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S,. §§ 1104 and 1105.
5. By Notice Letter dated November 5, 2021, Respondent was served with Notice in
Rosenblat, 22-036-P
Page 2
accordance with Section 1107(5) of the Ethics Act of the specific allegation against
Respondent concerning the above transgression. Said Notice Letter provided Respondent
an opportunity to avoid the institution of these civil penalty proceedings by ding an
accurate and complete Statement of Financial Interests for calendar year 2020 within
twenty (20) days of the date of the Notice Letter.
6. By Notice Letter dated March 3, 2022, Respondent was served with Notice in accordance
with Section 1107(5) of the Ethics Act of the specific allegation against Respondent
concerning the above transgression. Said Notice Letter provided Respondent an
opportunity to avoid the institution of civil penalty proceedings by filing an accurate and
complete Statement of Financial Interests for calendar year 2020 so as to comply with the
specific requirements of the Ethics Act.
7. Respondent failed to timely file his Statement of Financial Interests for calendar year 2020
with the State Ethics Commission by the deadlines imposed in the Notice Letters.
II. DISCUSSION:
As a Human Services Licensing Representative with the Pennsylvania Department of
Human Services, Dale Rosenblat ("Rosenblat") 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 M.
Pursuant to Section I I04(a) of the Ethics Act, Rosenblat was specifically required to file a
Statement of Financial Interests for calendar year 2020 with the Pennsylvania Department of
Human Services on or before May 1, 2021. 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 Rosenblat as a Human Services Licensing
Rosenblat, 22-036-P
Page 3
Representative with the Pennsylvania 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
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).
An application of Section 1109(f) to this case establishes that this Commission has the
discretion to levy a maximum civil penalty against Rosenblat for the delinquent Statement of
Financial Interests for calendar year 2020.
The prerequisite service of allotice letter in accordance with Section 1107(5) was satisfied.
Rosenblat 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 Rosenblat by filing
with this Commission and serving upon him an Order to Show Cause and a Petition for Civil
Penalties, ordering Rosenblat to show cause why civil penalties should not be levied against him.
The parties then filed a Stipulation of Findings and Consent Agreement.
The parties propose that this case be resolved by: (1) this Commission finding that
Rosenblat failed to timely file a Statement of Financial Interests for calendar year 2020 in
compliance with Section 1104(a) of the Ethics Act; (2) Rosenblat malting payment of a civil
penalty in the amount of $150.00 in settlement of this matter by certified check or money order
payable to the Commonwealth of Pennsylvania and forwarded to this Commission within thirty
days of the issuance of the final adjudication in this matter; and (3) Rosenblat filing a complete
and accurate Statement of Financial Interests for calendar year 2020 within thirty days of the
issuance of the final adjudication in this matter.
We believe that the Consent Agreement sets forth a proper disposition for this case, based
upon our review of the totality of the facts and circumstances. Accordingly, we approve the
Consent Agreement that has been submitted by the parties.
We hereby find that Rosenblat, as a Human Services Licensing Representative with the
Pennsylvania Department of Human Services, failed to timely file a Statement of Financial
Rosenblat, 22-036-P
Page 4
Interests for the 2020 calendar year in compliance with Section 1104(a) of the Ethics Act, 65
Pa.C.S. § 1104(a).
Per the Consent Agreement of the parties, we hereby levy civil penalties against Rosenblat
in the total amount of $150.00 for Rosenblat's delinquent Statement of Financial Interests for
calendar year 2020.
To the extent he has not already done so, Rosenblat shall be ordered to make payment of
the aforesaid civil penalties in the total amount of $150.00 by no later than the thirtieth (30fh) day
after the mailing date of this adjudication and Order, by forwarding to this Commission a certified
check or money order in the amount of $150.00 made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
To the extent he has not already done so, Rosenblat shall be ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2020 with the Pennsylvania Department
of Human Services and the State Ethics Commission by no later than the thirtieth (30"') day after
the mailing date of this adjudication and Order.
III. CONCLUSIONS OF LAW:
I. As a Human Services Licensing Representative with the Pennsylvania Department of
Human Services, Dale Rosenblat ("Rosenblat") 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 5eMC .
2. Rosenblat, as a Human Services Licensing Representative with the Pennsylvania
Department of Human Services, failed to timely file a Statement of Financial Interests for
the calendar year 2020 in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a).
3. Notice of the delinquency of Rosenblat's Statement of Financial Interests for calendar year
2020 was previously served upon him 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: Dale Rosenblat, File Docket: 22-036-P
Respondent Date Decided: 12/14/22
Date Mailed: 12/16/22
ORDER NO.745-S
Dale Rosenblat ("Rosenblat"), as a Human Services Licensing Representative with the
Pennsylvania Department of Human Services, failed to timely file a Statement of Financial
Interests for calendar year 2020 in compliance with Section 1104(a) of the Public Official
and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1104(a).
2. Per the Consent Agreement of the parties, we hereby levy a civil penalty against Rosenblat
in the total amount of $150.00 for Rosenblat's delinquent Statement of Financial Interests
for calendar year 2020.
To the extent he has not already done so, Rosenblat is ordered to make payment of the
aforesaid civil penalty in the total amount of $150.00 by no later than the thirtieth (30th)
day after the mailing date of this Order, by forwarding to this Commission a certified check
or money order in the amount of $150.00 made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
4. To the extent he has not already done so, Rosenblat shall be ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2020 with the Pennsylvania
Department of Human Services and the State Ethics Commission by no later than the
thirtieth (30th) day after the mailing date of this adjudication and Order.
5. Failure to comply with Paragraphs 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Shelley Y. Sim , ding Chair