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In Re: Annie Sullivan,
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
WEBSITE: www.e(hics.pa.gov
19-014-P
Order No. 640-5
9/26/19
10/17/19
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 Pennsylvania 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 filing with the State Ethics
Commission and serving upon Respondent a Petition for Civil lPenalties. An Order to Show
Cause was issued to Respondent. An Answer was not filed by the Respondent, and a
hearing was deemed waived. The record is complete. The Findings in this Order are
derived from the Petition for Civil Penalties filed by the Investigative Division.
FINDINGS:
Res ondent is an adult individual who resides or maintains a mailing address at
[adTress redacted].
2. At all times relevant to these proceed in s, Respondent has been an Unemployment
Compensation Claims Examiner with ge Pennsylvania Department of Labor and
Industry, 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.
Respondent has failed to provide full financial disclosure as required by the Ethics
Act. Respondent has failed to file a Statement of Financial Interests for calendar
year 2017, which Statement of Financial Interests was to be filed b May I of 2018,
and Res ondent has therefore transgressed Sections 1104 and 1105 of the Ethics
Act, 65 K.C.S. §§ 1104, 1105,
By Notice letter dated November 27, 2018, Respondent was served with Notice in
accordance with Section 1107(5 of the Ethics Act of the specific allegations against
Respondent concerning the 2ove transgression. Said Notice letter provided
Res ondent an opportunity to avoid the institution of these civil penalty proceedings
b�firingan 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 refused to file a Statement of Financial Interests for calendar year 2017 so as to
comply with the specific requirements of the Ethics Act.
Sullivan, 19-014-P
Page 2
6. By Notice letter dated February 6, 2019, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act ofthe 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 Statement of Financial Interests for calendar year
2017 within twenty (20) days of the date of the Notice letter. Respondent has failed
and refused to file a Statement of Financial Interests for calendar year 2017 so as to
comply with the specific requirements of the Ethics Act.
7. Section 1 109(f) of the Ethics Act provides:
§ 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 penaltyupon 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. § 11 09(f).
8. For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 1 109(f)i of the Ethics Act, 65 Pa.C.S. § 11 89Q at a rate of not
more than $25.00 er day for each day the Statement of Financial nterests remains
delinquent or cle Xient, for a maximum civil penalty of $250.00 per violation.
ic
Because Respondent has committed one violation alle8ed herein, Respondent is
subject to total maximum civil penalty liability of $250.0 .
There are no mitigating circumstances and 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 has expired and the Respondent has not
complied.
II. DISCUSSION:
As an Unemployment Compensation Claims Examiner for the Pennsylvania
Department of Labor and Industry ( Department of Labor and Industry"), Annie Sullivan
("Sullivan") was at all times relevant to these proceedings a "public emplo ee" subject to
the provisions of the Public Official and Employee Ethics Act ("Ethic 65 Pa.C.S. §
1101 et sue.
!f2l�
Pursuant to Section 11 04(a) of the Ethics Act, Sullivan was specifically required to
file a Statement of Financial Interests for calendar year 2017 with the Department of Labor
and Industry 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 1 of each year that he
Sullivan, 19-014-P
Page 3
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 I 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 Sullivan as an Unemployment
Compensation Claims Examiner for the Department of Labor and Industry 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.
65 PaC.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 Sullivan for the delinquent Statement
of Financial Interests for calendar year 2017.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Sullivan 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 Investipative
Division then instituted formal proceedings against Sullivan by filing with the State thics
Commission and serving
Sullivan a Petition for Civil Penalties. The Commission
to
Chair issued an Order how Cause, ordering Sullivan to show cause why a civil penalty
should not be levied against her. Sullivan did not file an answer to the Order to Show
Cause. There is nothing of record that would constitute a defense or excuse for Sullivan's
failure to comply with the Ethics Act. Sullivan has failed to show cause why a civil penalty
should not be levied against her in this matter.
We find that Sullivan, as an Unemployment Compensation Claims Examiner forthe
Department of Labor and Industy, failed to comply with Section 11 04(a) of the Ethics Act,
65 K.C.S. § 11 04(a), when she �iled to file a Statement of Financial Interests for calendar
year 2017 with the Department of Labor and Industry.
We hereby levy one maximum civil penalty against Sullivan at the rate of Twenty -
Five Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar
Sdllivan, 19-014-P
pagem
year 2017 has remained delinquent. Given the number of days during which the Statement
of Financial Interests has remained delinquent, the resultant amount to be levied against
Sullivan is Two Hundred and Fifty Dollars ($250.00).
Sullivan shall be ordered to make payment of the above civil penaltK in the amount
of$250.0 by no later than the thirtieth (30th ) day after the mailing 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.
Sullivan shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2017 with the Department of Labor and Industry by no later than
the thirtieth (30th) day after the mailing date of this adjudication and Order, with one copy
forwarded to this Commission for compliance verification purposes.
111. CONCLUSIONS OF LAW:
1. Annie Sullivan ("Sullivan"), as an Unemployment Compensation Claims Examiner
for the Pennsylvania Department of Labor and Industry, was at all times relevant to
these proceedings a "public employee,' sub�iect tothepvisions of the Public Official
and Employee Ifthics Act ("Ethics Act ), 6 Pa.C.S. 1101 etseq.
2. Sullivan, as an Unemployment Compensation Claims Examiner for the
Pennsylvania Department of Labor and Industry, failed to comply with Section
11 04(a) of the Ethics Act, 65 Pa.C.S. § 11 04(a), when she failed to file a Statement
of Financial Interests for calendar year 2017 with the Pennsylvania Department of
Labor and Industry,
3. Notice of the delinquency of Sullivan's Statement of Financial Interests for calendar
year 2017 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: Annie Sullivan, File Docket: 19-014-P
Respondent Date Decided: 9/26/19
Date Mailed: 10/17/19
ORDER NO. 640-S
1 Annie Sullivan Sullivan"), as an Unemployment Compensation Claims Examiner
for the Pennsylvania Department of Labor and Industry, failed to comply with
Section 11048a�, of the Public Official and Employee Ethics Act ("Ethic?s7c�")IN
Pa.C,& § 11 8a), when she failed to file a Statement of Financial Interests for
calendar year 2017 with the Pennsylvania Department of Labor and Industry.
2, This Commission hereby levies one maximum civil penalty aainst Sullivan at the
rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial
Interests for calendar ear 2017 has remained delinquent, for a total civil penalty of
Two Hundred and My Dollars �$250.00). Sullivan is ordered to pay said civil
penalty in the total amount of $2 0.00 by no later than the thirtieth (30tn) day after
he mailing date of this Order, by forwardinga check to the Pennsylvania State
Ethics Commission made payable to the ommonwealth of Pennsylvania, for
deposit in the State Treasury.
3. Sullivan is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2017 with the Pennsylvania Department of Labor and Industry by
no later than the thirtieth (30th) day after the mailing date of this Order, with one copy
forwarded to the Pennsylvania State Ethics Commission for compliance verification
purposes.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Ot
Richolas A. Col Chair