HomeMy WebLinkAbout791-S, RandolphPHONE: 717-783-1610
TOLL FIREE: 1-800-932-0936
In Re: Ashlii Randolph,
Respondent
STXrE ETHICS COMMISSION
I'l-INANCE BUILDING
613 NORTI] STREET ' ROOM 309
HARRISBURG, PA 17120-0400
File Docket:
24-002-P
Order No.
791-S
Date Decided:
6/18/24
Date Mailed:
6/21/24
Before: Michael A. Schwartz, Chair
Rhonda Hill Wilson, Vice Chair
Paul E. Parsells
David L. Reddecliff
Robert P. Caruso
Emilia McKee Vassallo
Thomas E. Lcipold
FACSIMILE 7,17-787-0806
WEBSITE:
This is a final adjudication of the Pennsylvania 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 .
The Investigative Division initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent an Order to Show Cause and a Petition for Civil
Penalties, An Answer was not filed by the Respondent, and a hearing was deemed waived. A
Motion to Deem Facts Admitted and Enter Default was filed. The Motion was granted. The record
is complete, The Findings in this Order are derived from the Order to Show Cause and Petition
for Civil Penalties filed by the Investigative Division.
I. FINDINGS:
I Respondent is an adult individual who resides or maintains a mailing address at [address
redacted].
2. From March 21, 2016 to July 15, 2021, Respondent was a Tax Examiner 2 with the
Department of Revenue, and as such, Respondent has at all times relevant to these
proceedings been a "public official" or "public employee" as defined in Section 110,2 of
the Ethics Act, 65 Pa.C.S,. § 1102.
3. Respondent as a public official or public employee is subject to the Statement of Financial
Randolph,24-002-P
Page 2
Interests filing provisions of the Ethics Act.
COUNT ONE
4. Paragraphs 1 through 3 are incorporated by reference.
5. Section 1104 of the Ethics Act requires all public officials and public employees to file a
Statement of Financial Interests by no later than May 1 of each year that the public official
or public employee holds such position and the year after they leave such position. 65
Pa.C.S. § 1104.
6. Section 1105 of the Ethics Act lists the information required to be filed on the Statement
of Financial Interests. 65 Pa.C.S. § 1105.
7. Respondent has failed to provide full financial disclosure as required by the Ethics Act.
Specifically, Respondent has failed to file a Statement of Financial Interests for calendar
year 2021, which Statement of Financial Interests was to be filed by May 1 of 2022, and
Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65
Pa.C.S. §§ 1104, 1105.
8. By Notice letter dated September 13, 2022, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgression. 65 Pa.C.S. § 1107.
9. Said Notice letter provided Respondent an opportunity to avoid the institution of these civil
penalty proceedings by filing an accurate and complete Statement of Financial Interests for
calendar year 2021 within twenty (20) days of the date of the Notice letter.
10, Respondent failed to file a Statement of Financial Interests for calendar year 2021 within
twenty (20) days of the date of the Notice letter so as to comply with the specific
requirements of the Ethics Act.
11. By letter dated May 17, 2023, Respondent was served with a second correspondence titled
"Final Notice" of the specific allegations against Respondent concerning the above
transgression.
12. Said second correspondence titled "Final Notice" again provided Respondent an
opportunity to avoid the institution of these civil penalty proceedings by filing an accurate
and complete Statement of Financial Interests for calendar year 2021 within twenty (20)
days of the date of the second correspondence titled "Final Notice."
13. Respondent has failed and refused to file a Statement of Financial Interests for calendar
year 2021 so as to comply with the specific requirements of the Ethics Act.
Randolph, 24-002-P
Page 3
PENALTIES
14, Section I I09(f) of the Ethics Act provides:
§ 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).
15. For each violation the Commission finds, Respondent is subject to civil penalty liability
under Section 1109(t) of the Ethics Act, 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.
16. Because Respondent has committed one violation alleged herein, Respondent is subject to
total maximum civil penalty liability of $250.00.
17. There are no mitigating circumstances and Respondent should be assessed the maximum
civil penalty of $250.00, in that the twenty -day deadline set forth in the second
correspondence titled "Final Notice" to Respondent has expired and the Respondent has
not complied.
II. DISCUSSION:
As a Tax Examiner 2 with the Pennsylvania Department of Revenue ("Department of
Revenue"), Ashlii Randolph ("Randolph") 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 seMc .
Pursuant to Section I I04(a) of the Ethics Act, Randolph was specifically required to file a
Statement of Financial Interests for calendar year 2021 with the Department of Revenue on or
before May 1, 2022. Section 1104(a) provides:
§ 1104. Statement of financial interests required to be filed
Randolph, 24-002-P
Page 4
(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 I 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 Randolph as a Tax Examiner 2 with the
Department of Revenue 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(i).
An application of Section 1109(f) to this case establishes that this Commission has the
discretion to levy a maximum civil penalty against Randolph for the delinquent Statement of
Financial Interests for calendar year 2021.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied.
Randolph 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 Randolph by filing with the State Ethics Commission and serving upon
Randolph an Order to Show Cause and Petition for Civil Penalties, ordering Randolph to show
cause why a civil penalty should not be levied against her Randolph did not file an answer to the
Randolph, 24-002-P
Page 5
Order to Show Cause. A default judgment was entered against Randolph. There is nothing of
record that would constitute a defense or excuse for Randolph's failure to comply with the Ethics
Act. Randolph has failed to show cause why a civil penalty should not be levied against her in
this matter.
We find that Randolph, as a Tax Examiner 2 with the Department of Revenue, 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 2021 with the Department of Revenue.
We hereby levy one maximum civil penalty against Randolph at the rate of Twenty -Five
Dollars ($25.00) per day for each day the Statement of Financial Interests for calendar year 2021
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 Randolph. is Two
Hundred and Fifty Dollars ($250.00).
Randolph shall be ordered to matte payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (301h) day after the mailing date of this adjudication and
Order, by utilizing the Commission's electronic payment system or by forwarding a check to this
Commission made payable to the Commonwealth of Pennsylvania, for deposit in the State
Treasury.
Randolph shall be ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2021 with the Department of Revenue by no later than the thirtieth (301h) day
after the mailing date of this adjudication and Order, with one copy forwarded to this Commission
for compliance verification purposes.
III. CONCLUSIONS OF LAW:
l . Ashlii Randolph ("Randolph"), as a Tax Examiner 2 with the Pennsylvania Department of
Revenue ("Department of Revenue"), 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 sue.
2. Randolph, as a Tax Examiner 2 with the Department of Revenue, 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 2021 with the Department of Revenue.
3. Notice of the delinquency of Randolph's Statement of Financial Interests for calendar year
2021 was previously served upon her 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: Ashlii Randolph, : File Docket: 24-002-P
Respondent Date Decided: 6/18/24
Date Mailed: 6I21I24
ORDER NO.791-S
Ashlii Randolph ("Randolph"), as a Tax Examiner 2 with the Pennsylvania Department of
Revenue ("Department of Revenue"), failed to comply with Section 1104(a) of the Public
Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1 I04(a), when she failed to
file a Statement of Financial Interests for calendar year 2021 with the Department of
Revenue.
2. This Commission hereby levies one maximum civil penalty against Randolph at the rate of
Twenty -Five Dollars ($25.00) per day for each day Respondent's Statement of Financial
Interests for calendar year 2021 has remained delinquent, for a total civil penalty of Two
Hundred and Fifty Dollars ($250.00). Randolph is ordered to pay said civil penalty in the
total amount of $250.00 by no later than the thirtieth (30"') day after the mailing date of
this Order, by utilizing the Commission's electronic payment system or by forwarding a
check to the Pennsylvania State Ethics Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
Randolph is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2021 with the Department of Revenue by no later than the thirtieth (30') day
after the mailing date of this Order, with one copy forwarded to the Pennsylvania State
Ethics Commission for compliance verification purposes.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
llvtll__�
Michael A. Schwartz, Chair