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HomeMy WebLinkAbout683-S Parker-BerhannanPHONE: 717-783-1610 STATE ETHICS COMMISSION TOLL FREE: 1-800-932-0936 FINANCE BUILDING 613 NORTH STREET, ROOM 309 HARRISBURG, PA 17'120-0400 In Re: Lataya Parker-Berhannan, File Docket: Respondent X-ref- Date Decided Date Mailed: FACSIMILE: 717-787-0806 WEBSITE: wwmethics.Da.mv 20-01 O-P Order No. 683-S 3/29/21 3/31/21 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 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 �Leq. The Investigative Division initiated these proceedings by filing with the State Ethics Commission and serving upon Respondent a Petition for Civil Penalties. An Answer to the Petition for Civil Penalties was filed by Respondent. An Order to Show Cause was issued to Respondent. An Answer to the Order to Show Cause was not filed by Respondent, and a hearing was deemed waived. The record is complete. I. FINDINGS: A. Pleadings I 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 Human Relations Representative 1 with the Executive Offices of the Governor, 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 failed to timely provide full financial disclosure as required by the Ethics, Act. Respondent failed to timely file a Statement of Financial Interests for calendar year 2018, Parker-Berhannan, 20-010-P Page 2 which Statement of Financial Interests was to be filed by May 1, 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 September 23, 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 failed and refused to file a Statement of Financial Interests for calendar year 2018 within twenty (20) days of the date of the Notice letter. 6. 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. 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 failed and refused to file a Statement of Financial Interests for calendar year 2018 within twenty (20) days of the date of the Notice letter. 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). 8. 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. Parker-Berhannan,20-010-P Page 3 9. The Investigative Division asserts that there are no mitigating circumstances in this case and that 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 expired with Respondent not in compliance. B. Other Fact_Findin�s 10, On January 14, 2020, the Investigative Division filed with the State Ethics Commission a Petition for Civil Penalties against Respondent, alleging that Respondent failed to file a Statement of Financial Interests for calendar year 2018, which Statement of Financial Interests was to be filed by May 1 of 2019. 11. On January 21, 2020, Respondent filed a Statement of Financial Interests for calendar year 2018 with the State Ethics Commission. 12. On February 18, 2020, Respondent filed an Answer to the Petition for Civil Penalties, in which Respondent averred that: (1) she was employed as a Human Relations Representative 1 from approximately September 2018 to approximately February 2019; (2) she attempted to file a Statement of Financial Interests for calendar year 2018 while she was employed as a Human Relations Representative 1; and (3) she telephoned the State Ethics Commission in approximately October 2019 and again in approximately December 2019 with respect to her inability, as a former Commonwealth employee, to access the Commonwealth's online filing system to file her Statement of Financial Interests. Answer to Petition for Civil Penalties). 13. On August 19, 2020, the Chair of the State Ethics Commission issued an Order to Show Cause, ordering Respondent to show cause why a civil penalty should not be levied against her. 14. Respondent did not file an Answer to the Order to Show Cause. 15. Neither party requested a hearing in this matter, and a hearing was deemed waived. 11. DISCUSSION: As a Human Relations Representative 1 with the Executive Offices of the Governor, Lataya Parker-Berhannan ("Parker-Berhannan") 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. Pursuant to Section 1104(a) of the Ethics Act, Parker-Berhannan was specifically required to file a Statement of Financial Interests for calendar year 2018 with the Executive Offices of the Governor on or before May 1, 2019. Section 1104(a) provides: § 1104. Statement of financial interests required to be filed (a) Public official or public employee. --Each public official of the Parker-Berhannan, 20-010-P Page 4 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 I 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 Parker-Berhannan as a Human Relations Representative 1 for the Executive Offices of the Governor 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). Procedurally, in accordance with Section 1107(5) of the Ethics Act, the Investigative Division of the State Ethics Commission sent a Notice of Intent to Commence Civil Penalty Proceedings (Notice letter) dated September 23, 2019, to Parker-Berhannan, stating that Parker- Berhannan had failed to file a Statement of Financial Interests for calendar year 2018. The Notice letter provided Parker- Berhannan an opportunity to avoid the institution of 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. Parker-Berhannan did not file a Statement of Financial Interests within such 20-day grace period. A Final Notice letter dated October 17, 2019, containing the same substantive information as the first Notice letter, and providing another 20-day grace period for filing the delinquent Parker-Berhannan, 20-010-P Page 5 Statement of Financial Interests, was sent to Parker-Berhannan. Once again, Parker-Berhannan did not file a Statement of Financial Interests within the 20-day grace period. On January 14, 2020, the Investigative Division instituted formal proceedings against Parker-Berhannan by filing with the State Ethics Commission a Petition for Civil Penalties, which was subsequently served upon Parker-Berhannan. On January 21, 2020, Parker-Berhannan filed a Statement of Financial Interests for calendar year 2018 with the State Ethics Commission. On February 18, 2020, Parker-Berhannan filed an Answer to the Petition for Civil Penalties, in which she averred that: (1) she was employed as a Human Relations Representative 1 from approximately September 2018 to approximately February 2019; (2) she attempted to file a Statement of Financial Interests for calendar year 2018 while she was employed as a Human Relations Representative 1; and (3) she telephoned the State Ethics Commission in approximately October 2019 and again in approximately December 2019 with respect to her inability, as a former Commonwealth employee, to access the Commonwealth's online filing system to file her Statement of Financial Interests. On August 19, 2020, the Chair of the State Ethics Commission issued an Order to Show Cause, ordering Parker-Berhannan to show cause why a civil penalty should not be levied against her. Parker-Berhannan did not file an Answer to the Order to Show Cause. Pursuant to Section 1109(f) of the Ethics Act, this Commission may levy a maximum civil penalty against Parker-Berhannan for the delinquent Statement of Financial Interests for calendar year 2018. Although we may consider mitigating factors when exercising our discretion to levy civil penalty(ies), see, State Ethics Commission Resolution No. 91-002, there is no evidence of record establishing mitigating circumstances in this case. The assertions set forth by Parker- Berhannan in her Answer to the Petition for Civil Penalties are unsupported. There is nothing of record that would constitute a defense or excuse for Parker-Berhannan's failure to comply with the Ethics Act. We find that Parker-Berhannan, as a Human Relations Representative 1 for the Executive Offices of the Governor, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to timely file a Statement of Financial Interests for calendar year 2018 with the Executive Offices of the Governor. We hereby levy one maximum civil penalty against Parker-Berhannan at the rate of Twenty -Five Dollars ($25.00) per day for each day her Statement of Financial Interests for calendar year 2018 remained delinquent. Given the number of days during which the Statement of Financial Interests remained delinquent, the resultant amount to be levied against Parker- Berhannan is Two Hundred and Fifty Dollars ($250.00). Parker-Berhannan shall be ordered to make payment of the above civil penalty in the amount of $250.00 by no later than the thirtieth (30"') 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. Parker-Berhannan,20-010-P Page 6 III. CONCLUSIONS OF LAW: As a Human Relations Representative 1 for the Executive Offices of the Governor, Lataya Parker-Berhannan ("Parker-Berhannan") 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. Parker-Berhannan, as a Human Relations Representative 1 for the Executive Offices of the Governor, failed to comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to timely file a Statement of Financial Interests for calendar year 2018 with the Executive Offices of the Governor. Notice of the delinquency of Parker-Berhannan's Statement of Financial Interests for calendar year 2018 was previously 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: Lataya Parker-Berhannan, File Docket: 20-010-P Respondent Date Decided: 3/29/21 Date Mailed: 3/31 /21 ORDER NO. 683-S Lataya Parker-Berhannan ("Parker-Berhannan"), as a Human Relations Representative 1 for the Executive Offices of the Governor, failed to comply with Section 1104(a) of the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to timely file a Statement of Financial Interests for calendar year 2018 with the Executive Offices of the Governor. 2. This Commission hereby levies one maximum civil penalty against Parker-Berhannan 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). Parker-Berhannan is ordered to pay said civil penalty in the total amount of $250.00 by no later than the thirtieth (301h) 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. Failure to comply with Paragraph 2 of this Order will result in the initiation of an appropriate enforcement action. BY THE COMMISSION, Nicholas A. Colafella, air