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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.
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