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HomeMy WebLinkAbout160-S ScottIN RE: Dianne S. Scott Respondent File Docket: X -ref: Date Decided: Date Mailed: 02 -032 -P Order 160 -S 4/4/03 4/18/03 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 parties filed a Stipulation of Findings, which is quoted as the Findings in this Order. A Consent Agreement was also submitted by the parties to the Commission for consideration which was subsequently approved. 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). Scott 02 -032 -P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 13028 Townsend Road, Philadelphia, PA 19154. 2. At all times relevant to these proceedings, Respondent has been a Principal for the Philadelphia School District 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) 2001 with the State thics Commission [sic], which Statements [sic] of Financial Interests were [sic] to be filed by May 1 of 2002, and Respondent has therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. §1104,1105. 5. By Notice letter dated July 9, 2002, 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(s) 2001 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(s) 2001 so as to comply with the specific requirements of the Ethics Law. 6. By Notice letter dated September 4, 2002, 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(s) 2001 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(s) 2001 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 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 Scott 02 -032 -P Page 3 civil penalty liability of $250.00 for said violation. 9. In mitigation, the Respondent filed her delinquent 2001 calendar year Statement of Financial Interests on December 2, 2002.. . II. DISCUSSION: As a Principal for the Philadelphia School District, Dianne S. Scott was at all times relevant to these proceedings a "public official /public employee" 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(a) of the Ethics Act, Respondent was specifically required to file a Statement of Financial Interests for calendar year 2001 with the Philadelphia School District on or before May 1, 2002. 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 Respondent as a Principal for the Philadelphia School District 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 the Respondent for each delinquent or deficient Statement of Financial Interests. Scott 02 -032 -P Page 4 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. The parties propose that this case be resolved by this Commission: (1) finding that Dianne S. Scott, as a Principal for the Philadelphia School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when she failed to file a Statement of Financial Interests for calendar year 2001; and (2) levying a civil penalty against Respondent in the amount of $100.00, payable to the Commonwealth of Pennsylvania through this Commission. We believe that the Consent Agreement is the 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 Dianne S. Scott, as a Principal for the Philadelphia School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. 1104, when she failed to file a Statement of Financial Interests for calendar year 2001 as a Principal for the Philadelphia School District. Per the Stipulation of Findings, Respondent has filed a Statement of Financial Interests for calendar year 2001 on December 2, 2002. We take administrative notice that Respondent has made payment of a civil penalty in the amount of $100.00 in accordance with the Consent Agreement of the parties. Therefore, no further action is required and this case is closed. III. CONCLUSIONS OF LAW: 1. As a Principal for the Philadelphia School District, Dianne S. Scott was at all times relevant to these proceedings a "public official /public employee" subject to the provisions of the Ethics Act, 65 Pa.C.S. §1101 et seq. 2. Dianne S. Scott, as a Principal for the Philadelphia School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when she failed to file a Statement of Financial Interests for calendar year 2001 as a Principal for the Philadelphia School District. 3. Notice of the delinquency of Respondent's Statement of Financial Interests for calendar year 2001 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 amount of $100.00 is warranted. IN RE: Dianne S. Scott Respondent ORDER NO. 160 -S File Docket: 02 -032 -P Date Decided: 4/4/03 Date Mailed: 4/18/03 1. Dianne S. Scott, as a Principal for the Philadelphia School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when she failed to file a Statement of Financial Interests for calendar year 2001. 2. In that Dianne S. Scott has filed a Statement of Financial Interests for calendar year 2001 on December 2, 2002, and paid a civil penalty in the amount of $100.00 through this Commission to the Commonwealth of Pennsylvania as per the Consent Agreement of the parties, no further action is required in this case and this case is closed. BY THE COMMISSION, Louis W. Fryman, Chair