HomeMy WebLinkAbout173-S BrandtIN RE: Susan E. Brandt
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
03 -027 -P
Order 173 -S
12/1/03
12/15/03
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Daneen E. Reese
Frank M. Brown
Donald M. McCurdy
Michael Healey
Paul M. Henry
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).
Brandt, 03 -027 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at One
Trimont Lane, #1600A, Pittsburgh, PA 15211.
2. At all times relevant to these proceedings, Respondent has been a Member of the
Allegheny County Board of Assistance 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 timely file [a] Statements [sic] of Financial Interests for
calendar year(s) 2001 with the State Ethics Commission [sic], which Statements [sic]
of Financial Interests were [sic] to be filed by May 1 of 00 and Respondent has
therefore transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. §1104,1105.
5. By Notice letter dated February 6, 2003, 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 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 April 8, 2003, 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 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 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
civil penalty liability of $250.00 for said violation.
Brandt, 03 -027 -P
Page 3
9. Respondent filed both a 2001 and 2002 calendar year SFI with the Commission on
October 1, 2003. .. .
10. Investigation revealed that Respondent was appointed to the board on March 7, 2000,
and her term expired on December 31, 2000. However, Respondent claims, and it is
understandable, that she was not aware that she remained a board member until
March 15, 2002, because she officially served until actually replaced on that date... .
11. Accordingly, under the circumstances, the parties believe a modest fine of $50.00 is
appropriate.
II. DISCUSSION:
As a member of the Allegheny County Board of Assistance, Susan E. Brandt 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(a) of the Ethics Act, Susan E. Brandt was specifically
required to file a Statement of Financial Interests for calendar year 2001 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 Susan E. Brandt as a member of the
Allegheny County Board of Assistance 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
Brandt, 03 -027 -P
Page 4
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.
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
Susan E. Brandt, as a member of the Allegheny County Board of Assistance, 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) levying a civil penalty against Respondent in
the amount of $50.00, payable to the Commonwealth of Pennsylvania through this
Commission; and (3) acknowledging that Respondent filed a Statement of Financial Interests
for calendar year 2001 with the State Ethics Commission on October 1, 2003, and made
payment of $50.00 to the Commonwealth of Pennsylvania on October 27, 2003.
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 Susan E. Brandt, as a member of the Allegheny County Board of
Assistance, 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 member of the
Allegheny County Board of Assistance. In that Respondent has made payment of a civil
penalty in the amount of $50.00 in accordance with the Consent Agreement of the parties, and
has filed the Statement of Financial Interests for calendar year 2001 with the State Ethics
Commission on October 1, 2003, this case is closed.
III. CONCLUSIONS OF LAW:
1. As a member of the Allegheny County Board of Assistance, Susan E. Brandt was at all
times relevant to these proceedings a "public official" subject to the provisions of the
Ethics Act, 65 Pa.C.S. §1101 et seq.
2. Susan E. Brandt, as a member of the Allegheny County Board of Assistance, 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 member of the
Allegheny County Board of Assistance.
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 $50.00 is warranted.
IN RE: Susan E. Brandt
Respondent
ORDER NO. 173 -S
File Docket: 03 -027 -P
Date Decided: 12/1/03
Date Mailed: 12/15/03
1. Susan E. Brandt, as a member of the Allegheny County Board of Assistance, 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. As per the Consent Agreement of the parties, in that Susan E. Brandt filed a Statement
of Financial Interests for calendar year 2001 on October 1, 2003, and paid a civil
penalty in the amount of $50.00 through this Commission to the Commonwealth of
Pennsylvania, no further action is required in this case and this case is closed.
BY THE COMMISSION,
Louis W. Fryman, Chair