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HomeMy WebLinkAbout265-S RichardIN RE: Malvine Richard Respondent : File Docket: 06 -040 -P : X -ref: Order No.: 265 -S : Date Decided: 5/31/06 : Date Mailed: 6/12/06 Before: Louis W. Fryman, Chair John J. Bolger, Vice Chair Donald M. McCurdy Paul M. Henry Raquel K. Bergen Nicholas A. Colafella Reverend Scott Pilarz 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 Penalties. 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). Richard, 06 -040 -P Page 2 I. FINDINGS: 1. Respondent is an adult individual who resides or maintains a mailing address at 111 West 41 Street, Wilmington, DE 19802. 2. At all times relevant to these proceedings, Respondent has been a Principal and as such Respondent has at all times relevant to these proceedings been a "public official" as that term is defined in Section 1102 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 Statements of Financial Interests for calendar year(s) 1999 and 2000 with the Pennsylvania State Ethics Commission, which Statements of Financial Interests were to be filed by May 1 of 2000 and 2001, and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics Law, 65 Pa.C.S. § §1104 and 1105. 5. By Notice Letter dated June 21, 2004, Respondent was served with Notice in accordance with Section 1107(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 accurate and complete Statements of Financial Interests for calendar year(s) 1999 and 2000 within twenty (20) days of the date of the Notice Letter. Respondent has failed and refused to file Statements of Financial Interests for calendar year(s) 1999 and 2000 so as to comply with the specific requirements of the Ethics Law. 6. By Notice Letter dated August 11, 2004, Respondent was served with Notice in accordance with Section 1107(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 civil penalty proceedings by filing accurate and complete Statements of Financial Interests for calendar year(s) 1999 and 2000 so as to comply with the specific requirements of the Ethics Law. II. DISCUSSION: As Assistant Principal of the Coatesville Area School District, Malvine Richard ( "Richard ") 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, Richard was specifically required to file Statements of Financial Interests for calendar years 1999 and 2000 on or before May 1, 2000 and May 1, 2001. 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 Richard, 06 -040 -P Page 3 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 Richard as Assistant Principal of the Coatesville Area 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. The prerequisite service of a Notice letter in accordance with Section 1107(5) was satisfied. Richard 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 Richard 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 Richard to show cause why a civil penalty should not be levied against her. The parties propose that this case be resolved by, inter alia: (1) this Commission finding that Richard failed to timely file her complete Statements of Financial Interests for the 1999 and 2000 calendar years in compliance with Section 1104(a) of the Public Official and Employee Ethics Law; and (2) Richard agreeing to make payment of a civil penalty in the amount of $100.00 in settlement of this matter, payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission upon signature of the Consent Agreement. 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. Richard, 06 -040 -P Page 4 We take administrative notice that Richard has made payment of a civil penalty in the amount of $100.00 on or about March 30, 2006 in accordance with the Consent Agreement of the parties, and has filed complete Statements of Financial Interests for calendar years 1999 and 2000 with the State Ethics Commission on April 3, 2006. We hereby find that Richard, as an Assistant Principal of the Coatesville Area School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when she failed to file complete Statements of Financial Interests for calendar years 1999 and 2000 with the Coatesville Area School District. In that Richard has made payment of a civil penalty in the amount of $100 in accordance with the Consent Agreement of the parties, and has filed complete Statements of Financial Interests for calendar years 1999 and 2000, this case is closed. III. CONCLUSIONS OF LAW: 1. As an Assistant Principal of the Coatesville Area School District, Malvine Richard ( "Richard ") was at all times relevant herein a "public official /public employee" subject to the provisions of the Ethics Act, 65 Pa.C.S. §1101 et seq. 2. Richard, as an Assistant Principal of the Coatesville Area School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when she failed to file complete Statements of Financial Interests for calendar years 1999 and 2000. 3. Notice of the delinquency of Richard's Statements of Financial Interests for calendar years 1999 and 2000 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 is warranted. IN RE: Malvine Richard Respondent File Docket: 06 -040 -P Date Decided: 5/31/06 Date Mailed: 6/12/06 ORDER NO. 265 -S 1 Malvine Richard ( "Richard "), as an Assistant Principal of the Coatesville Area School District, failed to comply with Section 1104 of the Ethics Act, 65 Pa.C.S. §1104, when she failed to file complete Statements of Financial Interests for calendar years 1999 and 2000. 2. In that Richard has 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, and has filed complete Statements of Financial Interests for calendar years 1999 and 2000, no further action is required in this case and this case is closed. BY THE COMMISSION, Louis W. Fryman, Chair