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In Re: Karen Randolph,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, IAA 17120-0400
File Docket:
X-ref:
Date Decided
Date Mailed:
FRCS! Ml LE: 717-787-0806
WE@SITE: wwm,ethics.oa.aov
19-035-P
Order No. 658-S
1 /23/20
2/12/20
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 sled pursuant to Sections 1104 and 1105 of the Public Official and Employee Ethics
Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seq.
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 derived 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 an Income
Maintenance Administrator 1 with the Pennsylvania Department of Human
Services, 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 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 byy May 1 of 2018,
and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. 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 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
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I.[7#
6. By Notice letter dated April 8, 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 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.
Section 1109(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 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).
For each violation the Commission finds, Respondent is subject to civil penalty
liability under Section 1109(f) of the Ethics Act 65 Pa.C.S. § 1 109(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 is subject to total maximum civil penalty liability of $250.00.
9. 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 Income Maintenance Administrator 1 for the Pennsylvania Department of
Human Services ("Department of Human Services"), Karen Randolph ("Randolph") 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 sett.
Pursuant to Section 1104(a) of the Ethics Act, Randolph was specifically required
to file a Statement of Financial Interests for calendar year 2017 with the Department of
Human Services 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
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Page 3
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 Randolph as an Income Maintenance
Administrator 1 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 sewed 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).
An application of Section 1109(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penalty against Randolph 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. Randolph 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 Randolph by filing with
the State Ethics Commission and serving upon Randolph a Petition for Civil Penalties.
The Commission Chair issued an Order to Show Cause, ordering Randolph to show
cause why a civil penalty should not be levied against her. Randolph did not file an
answer to the Order to Show Cause. There is nothing of record that would constitute a
defense or excuse for Randolph's failure to comply with the Ethics Act. Randolph has
failed to show cause why a civil penalty should not be levied against her in this matter.
We find that Randolph, as an Income Maintenance Administrator 1 for the
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 file a Statement of Financial Interests for
calendar year 2017 with the Department of Human Services.
We hereby levy one maximum civil penalty against Randolph at the rate of Twenty-
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Five Dollars ($25.00) per day for each day her 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 resultant amount to be
levied against Randolph is Two Hundred and Fifty Dollars ($250.00).
Randolph 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.
Randolph shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2017 with the Department of Human Services 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.
III. CONCLUSIONS OF LAW:
1. Karen Randolph ("Randolph"), as an Income Maintenance Administrator 1 for the
Pennsylvania Department of Human Services, 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. Randolph, as an Income Maintenance Administrator 1 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 file a Statement of Financial Interests
for calendar year 2017 with the Pennsylvania Department of Human Services.
3. Notice of the delinquency of Randolph's Statement of Financial Interests for
calendar year 2017 was previously served uppon her in accordance with Section
1107(5) of the Ethics Act, 65 Pa.C.S. § 1107(a).
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: Karen Randolph, File Docket: 19-035-P
Respondent Date Decided: 1/23/20
Date Mailed: 2/12/20
ORDER NO. 658-S
Karen Randolph ("Randolph"), as an Income Maintenance Administrator 1 for the
Pennsylvania Department of Human Services, failed to comply with Section
1104(a) of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. §
1104 a , when she failed to file a Statement of Financial Interests for calendar year
2017 with the Pennsylvania Department of Human Services.
This Commission hereby levies one maximum civil penalty against Randolph at
the rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of
Financial Interests for calendar year 20177 has remained delinquent, for a total civil
penalty of Two Hundred and Fifty Dollars ($250.00). Randolph is ordered to pa
said civil penalty in the total amount of $250.00 by no later than the thirtieth (3011)
day after the mailing date of this Order, by forwarding a check to the Pennsylvania
State Ethics Commission made payable to the Commonwealth of Pennsylvania,
for deposit in the State Treasury.
Randolph is ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2017 with the Pennsylvania Department of Human
Services by no later than the thirtieth (Vh) 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.
BY THE COMMISSION,
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