HomeMy WebLinkAbout635-S SmithPHONE: 717-783-1610
TOLL FREE: 1-800.932-0936
In Re: Eileen Smith,
Respondent
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
WEBsi"I-E� wwmethles.Damy
19-016-P
Order No. 635-S
9/26/19
10/16/19
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
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 §eq.
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. A Stipulation of Findings and a Consent Agreement
were subsequently submitted by the parties to the Commission for consideration. The
Stipulated Findings are set forth as the Findings in this Order. The Consent Agreement
has been approved.
I. FINDINGS:
1 Respondent Eileen Smith ("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 Health Facility
Quality Examiner Social Worker with the Pennsylvania Department of Health, and
as such, Respondent has at all times relevant to these proceedings been a "public
employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent, as a public employee, is subject to the Statement of Financial Interests
filing provisions of the Ethics Act.
4. Respondent failed to timely provide full financial disclosure as required by the Ethics
Act. Res ondent failed to time file a Statement of Financial Interests for calendar
year 2017, which [Statement time)
Interests was to be filed by May 1, 2018.
Res ondent has therefore violated Sections 1104 and 1105 of filed]
Ethics Act, 65
PaTS. §§ 1104, 1105.
5. By Notice Letter dated December 11, 2018, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act 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
b6 filing an accurate and complete Statement of Financial Interests for calendar year
2017 within twenty 20) days of the date of the Notice Letter, Respondent has failed
and/or otherwise reused to file a Statement of Financial Interests for calendar year
2017 so as to comply with the specific requirements of the Ethics Act.
Smith 19-016-P
Page 2
By Notice Letter dated February 6, 2019, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act 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 Statement of Financial Interests for calendar year
2017 so as to comply with the specific requirements of the Ethics Act.
Respondent failed to file a Statement of Financial Interests for calendar year 2017
with the State Ethics Commission by the deadlines imposed in the Notice Letters.
1111. DISCUSSION:
As a Health Facility Quality Examiner Social Worker for the Pennsylvania
Department of Health, Eileen Smith ('Srr�ith") was at all times relevant to these proceedings
a " bl' em
ployee"' sub':,,,ct to the provisions of the Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa, C . 9. § 1101 et §.gg.
Pursuant to Section 1 104(a) of the Ethics Act, Smith was specifically required to file
a Statement of Financial Interests for calendar year 2017 with the Pennsylvania
Department of Health on or before May 1, 2018. Section 11 04(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 I 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 receding 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 cornVte financial disclosure which Smith as a Health Facility Quality Examiner
0
Social Worker or the Pennsylvania Department of Health 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 11 09(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.
Simith, 19-0116-P
P -ag-e 3
65 Pa.C.S, § 1109ft
An application of Section 11 09(f) to this case establishes that this Commission has
the discretion to levy :4 maximum civil enalty against Smith for the delinquent Statement of
Financial Interests far_ calendar year �1011 7.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
Smith mith 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 Smith by filing
with this Commission and serving upon her a Petition for Civil Penalties. The Commission
- Chair issued an Order Cause, ordering Smith to show cause why a civil penalty
should not be levied against her. The parties then filed a Stipulation of Findings and
Consent Agreement.
The parties propose that this case be resolved by: (1) this Commission finding that
Smith failed to timely file a Statement of Financial Interests for the 2017 calendar year in
compliance with Section 11104(a� of the Ethics Act; (2) Smith making payment of a civil
penalty in the amount of $250.64d in settlement of this matter by certified check or money
order payable to the Commonwealth of Pennsylvania and forwarded to this Commission
within thirty days of the issuance of the final adjudication in this matter; and (3) Smith filing
a complete and accurate Statement of Financial Interests for calendar year 2017 within
thirty days of the issuance of the final adjudication in this matter.
We believe that the Consent Agreement sets forth a proper disposition for this case,
based upon our review of the totalit� of the facts and circumstances. Accordingly, we
approve the Consent Agreement tha has been submitted by the parties.
We hereby find that Smith, as a Health Facility Quality Examiner Social Worker for
the Pennsylvania Department of Health, failed to timely file a Statement of Financial
Interests for the 2017 calendar year in compliance with Section 11 04(a) of the Ethics Act,
65 Pa.C.S. § 1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Smith in the total amount of $250,00 for Smith's delinquent Statement of Financial Interests
for calendar year 2017.
To the extent she has not already done so, Smith shall be ordered to make payment
of the aforesaid civil penalty in the total amount of $250.00 by no later than the thirtieth
Commission
01h) day after the mailing date of this adjudication and Order, by forwarding to this
a certified check or money order in the amount of $250.00 made payable to
the Commonwealth of Pennsylvania, for deposit in the State Treasury.
To the extent she has not already done so, Smith shall be ordered to file a complete
and accurate Statement of Financial Interests for calendar ear 2017 with the Pennsylvania
Department of Health by no later than the thirtieth 30th) calendar
after the mailing date of this
adjudication and Order, with one copy forwarded to this Commission for compliance
verification purposes.
Ill. CONCLUSIONS OF LAW:
1. As a Health FacilityQuality Examiner Social Worker for the Pennsylvania
Department of Health, Eileen Smith ("Smith") was at all times relevant to these proceedings a "public em loyee11 subject to the provisions of the Public Official and
Employee Ethics (`Ethics Act"), 65 Pa.C.S. § 1101 et seg.
2. Smith, as a Health Facility Quality Examiner Social Worker for the Pennsylvania
Smith 19-0116-P
75 —ge 4
Department of Health, failed to time)file a Statement of Financial Interests for the
I
2017 calendar year in compliance with Section 11 04(a) of the Ethics Act, 65 Pa.C.S.
§ 1 104(a).
3. Notice of the delinquency of Smith's Statement of Financial Interests for calendar
year 2017 was previousl , served upon her in accordance with Section 1107(5) of
he Ethics Act, 65 Pa.C.9. § 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: Eileen Smith, File Docket: 19-016-P
Respondent Date Decided: 9/26/19
Date Mailed: 10/16/19
N :4 90
Eileen Smith ("Smith"), as a Health Facility Quality Examiner Social Worker for the
Pennsylvania Department of Health, failed to timely file a Statement of Financial
Interests for the 2017 calendar year in compliance with Section 11 04(a) of the Public
Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Smith in the total amount of $250.00 for Smith's delinquent Statement of Financial
Interests for calendar year 2017.
3. To the extent she has not already done so, Smith is ordered to make payment of the
aforesaid civil penalty in the total amount of $250.00 by no later than the thirtieth
(30th day after the mailing date of this Order, by forwarding to this Commission a
certified check or money order in the amount of $250.00- made payable to the
Commonwealth of Pennsylvania, for deposit in the State Treasury.
To the extent she has not already done so, Smith is ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2017 with the
Pennsylvania Department of Health by no later than the thirtieth (30th) day after the
mailing date of this Order, with one copy forwarded to this Commission for
compliance verification purposes.
Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSIOR,