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HomeMy WebLinkAbout628-S CaldwellPHONE: 717 - 783 -1610 TOLL_ FREE: 1 -800- 932 -0936 In Re: Ketaurah Caldwell, Respondent 5 i 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 a� 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, i Wco I a s RA.0 o I a f e W11 a,- C h a air