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HomeMy WebLinkAbout644-S, DoucettePHONE: 717-783-1610 TOLL FREE: 1-800-932-0936 In Re: John Doucette, Respondent STATE ETHICS COMMISSION FINANCE BUILDING 613 NORTH STREET, ROOM 309 HARRISBURG, PA 17120-0400 File Docket: X-ref: Date Decided Date Mailed: WSJMILE717-787-0806 WEBSITE: m8yw.eEiq1,,pA.gov 19-023-P Order No. 644-S 9/26/19 10/18/19 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 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 deemed waived. The record is complete. The Findings in this Order are derive from the Petition for Civil Penalties filed by the Investigative Division. 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 Public Utility Enforcement Officer with the Pennsylvania Public Utility Commission, and as such,, Rezrident has at all times relevant to these proceediy been a "public employee' as efined in Section 1102 of the Ethics Act, 65 Pa.C. . § 1102. 3. Respondent as a of the employee is subject to the Statement of Financial Interests filing provisions o the Ethics Act. 4. 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 by May 1 of 2018, and Res ondent has therefore transgressed Sections 1104 and 1105 of the Ethics Act, 65 1K.C,S. §§ 1104, 1105. 5. By Notice letter dated November 13, 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 filingan 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 year2017 so as to comply with the specific requirements of the Ethics Act. Doucette, 19-023-P P—ag-e-T- By Notice letter dated March 7, 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 these civil penalty proceedings b6filing 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 year2017 so as to comply with the specific requirements of the Ethics Act. Section 11 09(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 penalt upon any person subject to this chapter who fails to fIlle 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 sub ect to civil penalty liability under Section 1109(f) of the Ethics Act, 65 Pa.C.S. § 11 89(f), at a rate of not more than $25.00 er day for each day the Statement of Financial Interests remains delinquent or =1cient, for a maximum civil penalty of $250:00 per violation. 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. 111. DISCUSSION: As a, Public Utility Enforcement Officer for the Pennsylvania Public Utility Commission ("Public Utility Commission"), John Doucette ("Doucette") was at all times relevant to these proceedings a "public employee" subject to the provisions of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et s�N. Pursuant to Section 1104(a) of the Ethics Act, Doucette was specifically required to file a Statement of Financial Interests for calendar year 2017 with the Ulic Utility Commission on or before May 1, 2018. 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 Doucette, 19-023-P Page 3 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.& § 1104(a). The complete financial disclosure which Doucette as a Public Utility Enforcement Officer for the Public Utility Commission 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 i s 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�& § 1109(f). An application of Section 11 09(f) to this case establishes that this Commission has the discretion to levy a maximum civil penalty against Doucette for the delinquent Statement of Financial Interests for calendar year 2017. The prerequisite service of a Notice letter in accordance with Section 11 ON15) was satisfied. Doucette did not remedy the failure to comply with the Ethics Act although given more than the usual race period following Notice in which to do so. The Investigative Division then instituted formal proceedings aa �iinst Doucette by filing with the State thics Commission and serving upon DoucettePetition tion for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Doucette to show cause why a civil penalty should not be levied against him. Doucette did not file an answer to the Order to Show Cause, There is nothingof record that would constitute a defense or excuse for Doucette's failure to comply with the Ethics Act, Doucette has failed to show cause why a civil penalty should not be levied against him in this matter. We find that Doucette, as a Public Utility Enforcement Officer for the Public Utility Commission, failed to comply with Section 1104 a) of the Ethics Act, 65 Pa.C.S. 1104a), when he failed to file a Statement of Financial interests for calendar year 2M with he Public Utility Commission. We hereby levy one maximum civil penalty against Doucette at the rate of Twenty - Five Dollars ($25.00) per clayfar each day is Statement of Financial Interests for calendar year 2017 has remained delinquent. Given the number of days during which the Statement of Financial Interests has remained delinquent, the resultantamount to be levied against Doucette, 19-023-P Page 4 Doucette is Two Hundred and Fifty Dollars ($250.00). Doucette shall be ordered to make payment of the above civil penalty in the amount of$250.0 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. Doucette shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 2017 with the Public Utility Commission b 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. Ill. CONCLUSIONS OF LAW: 1 John Doucette ("Doucette"), as a Public Utility Enforcement Officer for the Pennsylvania Public Utility Commission, was at all times relevant to these proceedings a "public employee" Subject to the provisions of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seq. 2. Doucette, as a Public Utility Enforcement Officer for the Pennsylvania Public Utility Commission, failed to comply with Section 11 04(a) of the Ethics Act, 65 Pa.C,S. 11 (A(a), when he failed to file a Statement of Financial Interests for calendar year 2017 with the Pennsylvania Public Utility Commission. 3. Notice of the delinquency of Doucette's Statement of Financial Interests for calendar year 2017 was greviously served upon him in accordance with Section 1107(5) of the Ethics Act, 5Pa.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: John Doucette, File Docket: 19-023-P Respondent a Date Decided. 9/26/19 Date Mailed: 10/18/19 ORDER NO. 644-S John Doucette ("Doucette"), asaPublic Utility Enforcement Officer for the Pennsylvania Public Utility Commission, failed to comply with Section 1104(a) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 11 04(a), when he failed to file a Statement of Financial Interests for calendar year 2017 with the Pennsylvania Public Utility Commission. This Commission hereby levies one maximum civil �nafty against Doucette at the rate of Twenty -Five Dollars ($25.00) per day for each his Statementof Financial Interests for calendar year 2017 has remained Jelin uent, for a total civil penalty of Two Hundred and Fifty Dollars 250.00), Doucette is ordered to pay said civil enalty in the total amount of $0(0.00 by no later than the thirtieth (10tl) day after p the 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. Doucette is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2017 with the Pennsylvania Public Utility Commission 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. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an appropriate enforcement action. 3,11111-16 119410631Tj 11Tj I 601A 1561 Z