HomeMy WebLinkAbout297-S ChivapornthipIN RE: Khemiks Chivapornthip,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
06 -094 -P
Order No. 297 -S
10/4/2006
10/20/2006
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).
Chivapornthip, 06 -094 -P
Page 2
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
1360 D. Street SE, Washington, DC 20003.
2. At all times relevant to these proceedings, Respondent has been a formerAuditor II
for the Department of the Auditor General 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 [a] Statements [sic] of Financial Interests for
calendar year(s) 2004 with the Pennsylvania Department of Auditor General, which
Statements [sic] of Financial Interests were [sic] to be filed by May 1 of 2005, 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 February 3, 2006, 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 [an] accurate and complete Statements [sic] of Financial
Interests for calendar year(s) 2004 within twenty (20) days of the date of the Notice
Letter. Respondent has failed and refused to file [a] Statements [sic] of Financial
Interests for calendar year(s) 2004 so as to comply with the specific requirements of
the Ethics Law.
6. By Notice Letter dated March 31, 2006, 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 [an] accurate and complete Statements [sic] of Financial
Interests for calendar year(s) 2004 so as to comply with the specific requirements of
the Ethics Law.
7 On or about August 21, 2006, the State Ethics Commission received and filed a
Consent Agreement entered into between the Respondent and the State Ethics
Commission — Investigative Division, settling this matter.
8. On or about September 8, 2006, the Investigative Division became aware of an
error in regards to the filed Stipulation of Findings, specifically, paragraph 4, which
stated Respondent was required to file Statements of Financial Interests with the
State Ethics Commission.
9. The ... [parties] submitted Amended Stipulation of Facts reflects a corrected
finding, noting that Respondent was required to file Statements of Financial
Interests with the Pennsylvania Department of Auditor General.
10. Respondent [has indicated that she] does not object to the filing of the ... Amended
Stipulation of Findings.
II. DISCUSSION:
As an Auditor II for the Department of the Auditor General, Khemiks Chivapornthip
Chivapornthip, 06 -094 -P
Page 3
( "Chivapornthip ") was 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.
Following termination of public service, Chivapornthip became a former public
official /public employee.
Pursuant to Section 1104(a) of the Ethics Act, Chivapornthip, as a public
official /public employee, was required to file a Statement of Financial Interests by May 1St
of each year that she held her position. In addition, Chivapornthip, as a former public
official /public employee, was required to file a Statement of Financial Interests by May 1St
of the year after she left her public position. Specifically, Chivapornthip, as a former public
official /public employee, was required to file a Statement of Financial Interests for calendar
year 2004 on or before May 1, 2005 with the Department of the Auditor General. 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 Chivapornthip as a former Auditor II for 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 the Respondent for each delinquent
Chivapornthip, 06 -094 -P
Page 4
or deficient Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Chivapornthip 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 Chivapornthip
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
Chivapornthip 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
Chivapornthip failed to timely file her Statement of Financial Interests for the 2004
calendar year in compliance with Section 1104(a) of the Public Official and Employee
Ethics Law; and (2) Chivapornthip agreeing to make payment of a civil penalty in the
amount of $100 in settlement of this matter, payable to the Commonwealth of Pennsylvania
and forwarded to the 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.
We take administrative notice that Chivapornthip made payment of a civil penalty in
the amount of $100 in accordance with the Consent Agreement of the parties and filed her
Statement of Financial Interests for calendar year 2004 with the State Ethics Commission
on September 5, 2006.
We hereby find that Chivapornthip, as a former Auditor II for 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 2004. In that
Chivapornthip has made payment of a civil penalty in the amount of $100 in accordance
with the Consent Agreement of the parties, and has filed a Statement of Financial Interests
for calendar year 2004, this case is closed.
III. CONCLUSIONS OF LAW:
1. As a former Auditor II for the Department of the Auditor General, Khemiks
Chivapornthip ( "Chivapornthip ") was at all times relevant to these proceedings a
"former public official /public employee" subject to the provisions of the Ethics Act,
65 Pa.C.S. §1101 et seq.
2. Chivapornthip, as a former Auditor II for 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 2004 with the
Department of the Auditor General.
3. Notice of the delinquency of Chivapornthip's Statement of Financial Interests for
calendar year 2004 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: Khemiks Chivapornthip, : File Docket: 06 -094 -P
Respondent Date Decided: 10/4/2006
Date Mailed: 10/20/2006
ORDER NO. 297 -S
1 Khemiks Chivapornthip ( "Chivapornthip "), as a former Auditor II for 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 2004.
2. In that Chivapornthip has paid a civil penalty in the amount of $100 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
2004, no further action is required in this case and this case is closed.
BY THE COMMISSION,
Louis W. Fryman, Chair