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In Re: Kelly N. Willis,
Respondent
File Docket:
X-ref:
Date Decided
Date Mailed:
FACSIMILE: 717-787-0806
WEBSITE: LNww.eth1cs.r)a.aov
20-018-P
Order No. 672-S
9/23/20
10/7/20
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Ro,qer Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
Thiis 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
JI
be d pursuant to Sections 1104 and 1105 of the Public Official and Employee Ethics
Act ("Ethics Act"), 65 Pa.C.S. § 1101 et se
§N
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.
1. Respondent is an adult individual who resides or maintains a mailing address at
[address redacted].
2. At all times relevant to these proceedin s, Respondent has been an Income
Maintenance Caseworker 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 PaC. .§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 b� the Ethics
c
Act. Res on,dent has failed to file a Statement of Financial Interests or calendar
year 2018, which Statement of Financial Interests was to be filed by May 1 of 2019,
and Respondent has therefore transgressed Sections 1104 and 1105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated October 17, 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, tid Notice letter
provided Respondent an opportunity to avoid the institution of these civil penalty
proceedings by filin an accurate and complete Statement of Financial Interests
for calendar year 2918 within twenty (20) days of the date of the Notice letter.
Respondent has failed and refused to file a Rtatement of Financial Interests for
calendar year 2018 so as to comply with the specific requirements of the Ethics
Act.
Willis, 20-018-P
P7a-g--e2
By Notice letter dated November 13, 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 2018 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 2018 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. § 1109(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.
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 Caseworker for the Pennsylvania Department of
Human Services ("Department of Human Services"), Kelly N. Willis ("Willis ).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 sec.. See,
Qua lia v. State Ethics Commission, 986 A.2d 974 (Pa. Cmwlth. 2010), amended b
201 Pa. ommw. IS 8 (Pa. Cmwlth. January 5, 2010), allocatur ddenied, 607 a.
708, 4 A.3d 1056 (2010).
Pursuant to Section 1104(a) of the Ethics Act, Willis was specifically required to
file a Statement of Financial Interests for calendar year 2018 with the Department of
Human Services on or before May 1, 2019. See, Quaglia, su ra. Section 1104(a)
provides:
§ 1104. Statement of financial interests required to be filed
Willis, 20-018-P
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(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
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 Willis as an Income Maintenance
Caseworker 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 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).
An application of Section 1109(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penalty against Willis for the delinquent Statement
of Financial Interests for calendar year 2018.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Willis 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 Willis by filing with the State Ethics
Commission and serving upon Willis a Petition for Civil Penalties. The Commission Chair
issued an Order to Show Cause, ordering Willis to show cause why a civil penalty should
not be levied against her. Willis did not file an answer to the Order to Show Cause. There
is nothing of record that would constitute a defense or excuse for Willis' failure to comply
with the Ethics Act. Willis has failed to show cause why a civil penalty should not be
levied against her in this matter.
We find that Willis, as an Income Maintenance Caseworker 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 2018
Willis, 20-018-P
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with the Department of Human Services.
We hereby levy one maximum civil penalty against Willis at the rate of Twentyy-Five
Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar
year 2018 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 Willis is Two Hundred and Fifty Dollars ($250.00).
Willis shall be ordered to make payment of the above civil penalty in the amount
of $250.00 by no later than the thirtieth (30 h) 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.
Willis shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar year 2018 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.
!!!. CONCLUSIONS OF LAW:
1. Kelly N. Willis ("Willis") as an Income Maintenance Caseworker 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. Willis, as an Income Maintenance Caseworker for the Pennsylvania Department
of Human Services, failed to comply with Section 11of) of theialEthics
A is 65r
Pa.C.S. § 1104(a), when she failed to file a Statement
calendar year 2 18 with the Pennsylvania Department of Human Services.
3. Notice of the delinquency of Willis' Statement of Financial Interests for calendar
year 2018 was previouslyy 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: Kelly N. Willis, File Docket: 20-018-P
Respondent Date Decided: 9/23/20
Date Mailed: 1017120
ORDER NO. 672-s
1. Kelly N. Willis ("Willis"), as an Income Maintenance Caseworker 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
2018 with the Pennsylvania Department of Human Services.
2, This Commission hereby levies one maximum civil penalty against Willis at the
rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of
Financial Interests for calendar year 2018 has remained delinquent, for a total civil
penalty of Two Hundred and Fifty Dollars ($250.00). Willis is ordered to pay said
civil penalty in the total amount of $250.00 by no later than the thirtieth (VOt) 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.
3. Willis is ordered to file a complete and accurate Statement of Financial Interests
for calendar year 2018 with the Pennsylvania Department of Human Services by
no later than the thirtieth (30th) day after the mailing date of this Order, with one
copyforwarded 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,
Nacho as A. Colafella, Chair C