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In Re: Kathleen L. Staton, File Docket: 20-026-P
Respondent X-ref: Order No. 67'6-S
Date Decided: 9/23/20
Date Mailed: 10/7/20
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 Stateme ntl-) of Financial Interests required to
be JI:d d pursuant to Sections 1104 and 1105 of the Statement( -)
Official and Employee Ethics
Act ("Ethics Act"), 65 Pa. C. S. § 1101 et se .
§Lq
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 is., 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. Res ondent 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 Caseworker with the Pennsylvania Department of Human Services,
and as such, Respondent has at all times relevant to these proceedints been a
"`public employee" as, defined in Section 1102 of the Ethics Act, 65 Pa.C. .§1102,.
3. Respondent as a ublic employee is subject to the Statement of Financial Interests
filing provisions oFthe Ethics Act.
4. Respondent has failed to provide full financial disclosure as required lbthe Ethics
C
Act,. Respondent 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 Res ondent has therefore transgressed Sections 1104 and 1 05 of the Ethics
Act, 65 �a.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 s ecific allegations
against Respondent concerning the above transgression. Eid Notice letter
provided Respondent an opportunity to avoid the institution of these civil penalty
proceedings by filingan accurate and complete Statement of Financial ial Interests
for calendar year 218 within twenty (20) a s of the date of the Notice letter.
Respondent Kas failed and refused to file a �tatement of Financial Interests for
calendar year 2018 so as to comply with the specific requirements of the Ethics
Act.
Staton, 20-026-P
page 2
6. By Notice letter dated December 30, 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
or 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.
7. 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.
Ill. DISCUSSION:
As an Income Maintenance Caseworker for the Pennsylvania Department of
Human Services ("Department of Human Services"), Kathleen L. Staton ("Staton") was at
all times relevant to these proceedings a "public employee° subJ'ect to the provisions of
the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. §§ 1101 et sew See,
Qua lia v. State Ethics Commission, 986 A.2d 974 (Pa. Cmwlth. 2010), amended �,
201 Pa. ommw. L XIS (Pa. Cmwlth. January 5, 2010), allocatur denied, 607 Pa.
708, 4 A.3d 1056 (2010).
Pursuant to Section 1104(a) of the Ethics Act, Staton 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, Quac lia, supra. Section 1104(a)
provides:
§ 1104. Statement of financial interests required to be filed
Staton, 20-026-P
Pa
(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 Staton 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 lev a maximum civil penalty against Staton 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. Staton 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 Staton by filing with the State Ethics
Commission and serving upon Staton a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Staton to show cause why a civil penalty
should not be levied against her. Staton did not file an answer to the Order to Show
Cause. There is nothing of record that would constitute a defense or excuse for Staton's
failure to comply with the Ethics Act. Staton has failed to show cause why a civil penalty
should not be levied against her in this matter.
We find that Staton, as an Income Maintenance Caseworker for the Department
of Human Services, failed to compI 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
Staton, 20-026-P
�J4
with the Department of Human Services.
We hereby levy one maximum civil penalty against Staton 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. Given the number of days during which
the Statement of Financial Interests has remained delinquent, the resultant amount to be
levied against Staton is Two Hundred and Fifty Dollars ($250.00).
Staton shall be ordered to make payment of the above civil penalty in the amount
of $250.00 by no later than the thirtieth (30t) 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.
Staton 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 (30t") 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. Kathleen L. Staton ("Staton"), as an Income Maintenance Caseworker for the
Pennsylvania Department of Human Services, was at all times relevant to these
proceedings a "public employee" subJJiect to the provisions of the Public Official and
Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et seq.
2. Staton, as an Income Maintenance Caseworker 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 2018 with the Pennsylvania Department of Human Services.
3. Notice of the delinquency of Staton's 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: Kathleen L. Staton, File Docket: 20-026-P
Respondent Date Decided: 9/23/20
Date Mailed: 10/7/20
ORDER NO. 676-S
Kathleen L. Staton ("Staton"), 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.
1104a , when she failed to file a Statement of Financial Interests for calendar year
2018 with the Pennsylvania Department of Human Services.
This Commission hereby levies one maximum civil penalty against Staton 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). Staton is ordered to pay said
civil penalty in the total amount of $250.00 by no later than the thirtieth (30t) 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.
Staton 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
copy forwarded to the Pennsylvania State Ethics Commission for compliance
veri ication 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,
t
Nic alas A. Calafella, C air