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In Re: Ketaurah Caldwell,
Respondent
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Jf .�
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120 -0400
File Docket:
X -ref:
Date Decided:
Date Mailed:
FACSIMILE: 717 -787 -0806
WEBSITE: www.ethics.pa.gov
18 -018 -P
Order No. 628 -S
517119
5114119
Before: Nicholas A. Colafelia, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Meanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
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 seg.
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 filed and a hearing was held. The
record is complete.
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
[address redacted].
2. At all times relevant to these proceedings, Respondent has been a former Income
Maintenance Caseworker with the Pennsylvania Department of Human Services.
3. In herformer capacity as an Income Maintenance Caseworker for the Pennsylvania
Department of Human Services, Respondent was a public employee subject to the
Statement of Financial Interests filing provisions of the Ethics Act.
4. On or about October 29, 2016, Respondent separated from her employment as an
Income Maintenance Caseworker for the Pennsylvania Department of Human
Services.
5. Respondent failed to file a Statement of Financial Interests for calendar year 2016
by May 1 of 2017.
6. Lori Garvin ( "Ms. Garvin ") is employed with the Governor's Office of Administration.
a. Ms. Garvin administers the financial disclosure program for the Governor's
Office of Administration.
b. The Governor's Office of Administration sent Respondent two letters dated
February 1, 2017, and April 4, 2017, each of which advised Respondent of
her requirement to file a Statement of Financial Interests for calendar year
2016 by May 1, 2017 and provided Respondent with instructions for utilizing
Caldwell, 18 -018 -P
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the Commonwealth online filing system. (ID 2, ID 3).
The Governor's Office of Administration sent Respondent a third letter dated
June 9, 2017, which notified Respondent that she had failed to file the
required Statement of Financial Interests for calendar year 2016. (ID 4).
The June 9, 2017, letter provided Respondent with instructions on
how to utilize the Commonwealth online filing system or, if
Respondent experienced difficulty in filing online, on how to print,
complete, and file a Statement of Financial Interests via hardcopy.
Respondent did not file a Statement of Financial Interests for calendar year
2016 in response to the three letters from the Governor's Office of
Administration.
Jessica Wenger ( "Ms. Wenger ") is employed as a Clerk Typist 2 with the State
Ethics Commission.
a. Ms. Wenger processes Notice letters issued by the State Ethics Commission
to individuals who failed to file Statements of Financial Interests pursuant to
the Ethics Act.
b. The Governor's Office of Administration provides the State Ethics
Commission with lists of former Commonwealth employees who failed to file
Statements of Financial Interests.
C. The State Ethics Commission issued a Notice letter dated October 30, 2017,
to Respondent, notifying her of her failure to file a Statement of Financial
Interests for calendar year 2016. (ID 5).
d. The State Ethics Commission issued a Final Notice letter dated December
29, 2017, to Respondent, notifying her of her failure to file a Statement of
Financial Interests for calendar year 2016. (ID 6).
The December 29, 2017, Final Notice letter was forwarded to
Respondent by Certified Mail.
The Domestic Return Receipt bore the signature of an individual with
Respondent's surname. (ID 8).
ID 5 consists of the Notice of Intent to Commence Civil Penalty Proceedings
( "Notice letter ") dated October 30, 2017, from the Executive Director of the State
Ethics Commission to Respondent, which notified Respondent of her failure to file a
Statement of Financial Interests for calendar year 2016 and provided Respondent
an opportunity to avoid the institution of civil penalty proceedings by filing a
complete and accurate Statement of Financial Interests for calendar year 2016
within twenty (20) days of the date of the Notice letter. Respondent did not file a
Statement of Financial Interests for calendar 2016 within the 20 -day grace period
provided by the October 30, 2017, Notice letter.
9. ID 6 consists of the Final Notice letter dated December 29, 2017, from the
Executive Director of the State Ethics Commission to Respondent, which notified
Respondent of her failure to file a Statement of Financial Interests for calendar year
2016 and provided Respondent an opportunity to avoid the institution of civil penalty
proceedings by filing a complete and accurate Statement of Financial Interests for
calendar year 2016 within twenty (20) days of the date of the Final Notice letter.
Respondent did not file a Statement of Financial Interests for calendar 2016 within
the 20 -day grace period provided by the December 29, 2017, Final Notice letter.
Caldwell, 18 -018 -P
P gem
10. On June 8, 2018, the Investigative Division filed with the State Ethics Commission a
Petition for Civil Penalties against Respondent, alleging that Respondent failed to
file a Statement of Financial Interests for calendar year 2016, which Statement of
Financial Interests was to be filed by May 1 of 2017.
11. On July 27, 2018, the Chair of the State Ethics Commission issued an Order to
Show Cause, which was reissued to Respondent on August 27, 2018, ordering
Respondent to show cause why a civil penalty should not be levied against her.
12. On August 14, 2018, Respondent filed a Statement of Financial Interests for
calendar year 2016 with the State Ethics Commission via the State Ethics
Commission's online filing system. (ID -12).
13. On August 16, 2018, Respondent filed an Answer to the civil penalty proceedings
initiated against her, in which Respondent asserts that: (1) her Commonwealth
employment was terminated on October 30, 2016, and she was under the
impression that once her employment was terminated, she was no longer obligated
to report anything to the Commonwealth; (2) she ignored the notices that she
received because she thought that they were sent in error and would stop; (3) she
was not privy to the procedure for filing Statements of Financial Interests when an
individual is no longer employed with the Commonwealth; and (4) she just became
aware on August 14, 2018, that former Commonwealth employees are required to
file a Statement of Financial Interests for the last calendar year in which they were
employed by the Commonwealth. Answer).
a. In her Answer, Respondent stated that "I have since filed the forms that
[were] requested and would like the civil penalties to be dismissed and I
would like to request a fair hearing." Answer).
14, A Notice of Hearing was issued on December 4, 2018, notifying Respondent and
the Investigative Division that the State Ethics Commission would conduct a hearing
in this mater on January 8, 2019, at which time the parties would be provided an
opportunity to be heard and to present evidence.
15. Respondent did not attend the hearing that was held in this matter on January 8,
2019.
16. Section 1109(f) of the Ethics Act provides:
§ 1109. Penalties
(q 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).
17. For each violation the State Ethics Commission finds, Respondent is subject to civil
Caldwell, 18 -018 -P
Page 4
penalty liability under Section 1109(9 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. Because Respondent has committed one violation alleged herein,
Respondent could be subject to total maximum civil penalty liability of $250.00.
18. The Investigative Division asserts that there are no mitigating circumstances in this
case and that Respondent should be assessed the maximum civil penalty of
$250.00, in that the twenty -day deadline set forth in the said final Notice letter to
Respondent expired without Respondent complying.
II. DISCUSSION:
In herformer capacity as an Income Maintenance Caseworker for the Pennsylvania
Department of Human Services ( "Department of Human Services "), Ketaurah Caldwell
( "Caldwell ") was a "public employee" subject to the provisions of the Public Official and
Employee Ethics Act ( "Ethics Act"), 65 Pa.C.S. § 1101 et seq. See, Qua lia v. State Ethics
Commission, 986 A.2d 974 (Pa. Cmwlth. 2010), amend Iv, 20T0 Pa. Gommw.
a. Cmwlth. January 5, 2010), allocatur denie 7 Pa. 708, 4 A.3d 1056 (2010).
Pursuant to Section 1104 (a) of the Ethics Act, as a former Income Maintenance
Caseworker for the Department of Human Services, Caldwell was specifically required to
file a Statement of Financial Interests for calendar year 2016 with the Department of
Human Services on or before May 1, 2017. See Qua lia, supra. 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 Caldwell as a former Income Maintenance
Caseworker for the Department of Human Services 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
Caldwell, 18 -018 -P
age 5
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).
Procedurally, in accordance with Section 1107(5) of the Ethics Act, the Investigative
Division of the State Ethics Commission sent a Notice of Intent to Commence Civil Penalty
Proceedings (Notice letter) dated October 30, 2017, to Caldwell, stating that Caldwell had
failed to file a Statement of Financial Interests for calendar year 2016. The Notice letter
provided Caldwell an opportunity to avoid the institution of civil penalty proceedings by filing
an accurate and complete Statement of Financial Interests for calendar year 2016 within
twenty (20) days of the date of the Notice letter. Caldwell did not file a Statement of
Financial Interests within such 20 -day grace period.
A Final Notice letter dated December 29, 2017, containing the same substantive
information as the first Notice letter, and providing another 20 -day grace period for filing the
delinquent Statement of Financial Interests, was sent to Caldwell. Once again, Caldwell
did not file a Statement of Financial Interests within the 20 -day grace period.
On June 8, 2018, the Investigative Division instituted formal proceedings against
Caldwell by filing with the State Ethics Commission a Petition for Civil Penalties, which was
subsequently served upon Caldwell. On July 27, 2018, the Commission Chair issued an
Order to Show Cause, which was reissued to Caldwell on August 27, 2018, ordering
Caldwell to show cause why a civil penalty should not be levied against her.
On August 14, 2018, Caldwell filed a Statement of Financial Interests for calendar
year 2016 with the State Ethics Commission via the State Ethics Commission's online filing
system. On August 16, 2018, Caldwell filed an Answer to the civil penalty proceedings
initiated against her, asserting that: (1) her Commonwealth employment was terminated on
October 30, 2016, and she was under the impression that once her employment was
terminated, she was no longer obligated to report anything to the Commonwealth; (2) she
ignored the notices that she received because she thought that they were sent in error and
would stop; (3) she was not privy to the procedure for filing Statements of Financial
Interests when an individual is no longer employed with the Commonwealth; and (4) she
just became aware on August 14, 2018, that former Commonwealth employees are
required to file a Statement of Financial Interests for the last calendar year in which they
were employed by the Commonwealth.
At the request of Caldwell, a hearing was held in this matter on January 8, 2019.
Caldwell did not attend the hearing. There is no evidence of record that would support
Caldwell's assertions.
The Investigative Division has filed a Brief and Closing Statement arguing that
Caldwell should be assessed a civil penalty in the amount of $250.00 for failing to timely
file a Statement of Financial Interests for calendar year 2016 with the Department of
Human Services.
Pursuant to Section 1109(f) of the Ethics Act, this Commission may levy a maximum
civil penalty against Caldwell for the delinquent Statement of Financial Interests for
calendar year 2016. Although we may consider mitigating factors when exercising our
discretion to levy ivil penalty(ies), see, State Ethics Commission Resolution No. 91 -002,
there is no evidence of record establishing mitigating circumstances in this case. The
assertions set forth by Caldwell in her Answer are unsupported. There is nothing of record
that would constitute a defense or excuse for Caldwell's failure to comply with the Ethics
Caldwell, 18 -018 -P
al e6--
Act.
We find that Caldwell, as a former Income Maintenance Caseworker for the
Department of Human Services, failed to comp)yy with Section 1104(x) of the Ethics Act, 65
Pa.C.S. § '1104(a), when she failed to timely file a Statement of Financial Interests for
calendar year 2016 with the Department of Human Services.
We hereby levy one maximum civil penalty against Caldwell at the rate of Twenty -
Five Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar
year 2016 remained delinquent. Given the number of days during which the Statement of
Financial Interests remained delinquent, the resultant amount to be levied against Caldwell
is Two Hundred and Fifty Dollars ($250.00).
Caldwell shall be ordered to make payment of the above civil penalty in the amount
of $250.00 by no later than the thirtieth (30th) day after the mailing date of this adjudication
and Order, by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury,
III. CONCLUSIONS OF LAW:
1. Ketaurah Caldwell ( "Caldwell "), in her former capacity as an Income Maintenance
Caseworker for the Pennsylvania Department of Human Services, was a "public
employee" subject to the provisions of the Public Official and Employee Ethics Act
( "Ethics Act "), �5 Pa.C.S. § 1101 et sec..
2. Caldwell, as a former Income Maintenance Caseworker for the Pennsylvania
Department of Human Services, failed to comply with Section 1104(a) of the Ethics
Act, 65 Pa.C.S. § 1104 (a), when she failed to timely file a Statement of Financial
Interests for calendar year 2016 with the Pennsylvania Department of Human
Services.
3. Notice of the delinquency of Caldwell's Statement of Financial Interests for calendar
year 2016 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: Ketaurah Caldwell, File Docket: 18 -018 -P
Respondent : Date Decided: 517119
Date Mailed: 5114119
ORDER NO. 628 -S
Ketaurah Caldwell ( "Caldwell "), as a former Income Maintenance Caseworker for
the Pennsylvania Department of Human Services, failed to comply with Section
1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), when
she failed to timely file a Statement of Financial Interests for calendar year 2016
with the Pennsylvania Department of Human Services.
This Commission hereby levies one maximum civil penalty against Caldwell at the
rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of
Financial Interests for calendar year 2016 remained delinquent, for a total civil
penalty of Two Hundred and Fifty Dollars ($250.00). Caldwell is ordered to pay said
civil penalty in the total amount of $250.00 by no later than the thirtieth (30tt day
after the mailing date of this Order, by forwarding a check to the State Ethics
Commission made payable to the Commonwealth of Pennsylvania, for deposit in
the State Treasury.
3. Failure to comply with Paragraph 2 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
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