HomeMy WebLinkAbout223-S SlomIN RE: Beth R. Slom
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
04 -045 -P
Order 223 -S
9/20/04
10/1/04
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
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).
Slom, 04 -045 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
1642 Ashurst Road, Philadelphia, PA 19151 -2712.
2. At all times relevant to these proceedings, Respondent has been an employee of
Auditor General and as such Respondent has at all times relevant to these
proceedings been a "public official" [sic] as that term is defined in Section 2 of the
Ethics Law, 65 Pa.C.S. §1102.
3. Respondent as a public official [sic] 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 Statement of Financial Interests for calendar
year 2002 with the State Ethics Commission [sic], which Statement of Financial
Interests was to be filed by May 1 of 2003, and Respondent has therefore
transgressed Sections 4 and 5 of the Ethics Law, 65 Pa.C.S. § §1104, 1105.
5. By Notice letter dated January 27, 2004, 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 Statement of Financial Interests for calendar
year 2002 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2002
so as to comply with the specific requirements of the Ethics Law.
6. By Notice letter dated March 17, 2004, 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 Statement of Financial Interests for calendar
year 2002 within twenty (20) days of the date of the Notice letter. Respondent has
failed and refused to file a Statement of Financial Interests for calendar year 2002
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
Slom, 04 -045 -P
Page 3
is subject to total maximum civil penalty liability of $250.00 for said violation.
II. DISCUSSION:
As an employee of the Department of the Auditor General, Beth R. Slom ( "Slom ")
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 seq.
Pursuant to Section 1104(a) of the Ethics Act, Slom was specifically required to file
a Statement of Financial Interests for calendar year 2002 with the Department of the
Auditor General on or before May 1, 2003. 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 Slom, as an employee of the Department of
the Auditor General, 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 Slom for each delinquent or deficient
Statement of Financial Interests.
Slom, 04 -045 -P
Page 4
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Slom 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 Slom by filing
with the State Ethics Commission and serving upon her a Petition for Civil Penalties. The
State Ethics Commission issued an Order to Show Cause, ordering Slom to show cause
why a civil penalty should not be levied against her.
The parties propose that this case be resolved by: (1) this Commission finding that
Slom, as an employee of the Department of the Auditor General, 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 2002; (2) Slom agreeing to make payment in the
amount of $100.00 in settlement of this matter, said amount to be 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 take administrative notice that Slom has made payment of $100.00 to the
Commonwealth of Pennsylvania on or about August 2, 2004 as per the Consent
Agreement of the parties, and has filed a Statement of Financial Interests for calendar year
2002 with the State Ethics Commission on August 5, 2004.
We hereby find that Slom, as an employee of the Department of the Auditor
General, 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 2002 with the Department
of the Auditor General. In that Slom has made payment of a civil penalty in the amount of
$100.00 in accordance with the Consent Agreement of the parties, and has filed a
Statement of Financial Interests for calendar year 2002, this case is closed.
III. CONCLUSIONS OF LAW:
1. As an employee of the Department of the Auditor General , Beth R. Slom ( "Slom ")
was at all times relevant to these proceedings a "public employee" subject to the
provisions of the Ethics Act, 65 Pa.C.S. §1101 et seq.
2. Slom, as an employee of the Department of the Auditor General, 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 2002 as an employee of the
Department of the Auditor General.
3. Notice of the delinquency of Slom's Statement of Financial Interests for calendar
year 2002 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
amount of $100.00 is warranted.
IN RE: Beth R. Slom
Respondent
ORDER NO. 223 -S
File Docket: 04 -045 -P
Date Decided: 9/20/04
Date Mailed: 10/1/04
1 Beth R. Slom ( "Slom "), as an employee of the Department of the Auditor General,
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 2002 with the
Department of the Auditor General.
2. In that Slom has made payment of $100.00 through this Commission to the
Commonwealth of Pennsylvania as per the Consent Agreement of the parties, and
has filed a Statement of Financial Interests for calendar year 2002 on August 5,
2004, no further action is required in this case and this case is closed.
BY THE COMMISSION,
Louis W. Fryman, Chair