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In Re: Dorothy Green,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
File Docket:
X-ref:
Date Decided:
Date Mailed:
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21-007-P
Order No. 703-S
9/15/21
9/17/21
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 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 etscq,
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 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 Auditor for Chester
Township, and as such, Respondent has at all times relevant to these proceedings been a
"public official" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102.
3. Respondent as a public official 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 Statements of Financial Interests for calendar years 2016,
2017, and 2018, which Statements of Financial Interests were to be filed by May I of 2017,
May 1 of 2018, and May 1 of 2019, respectively. Respondent has therefore transgressed
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Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice letter dated February 19, 2020, Respondent was served with Notice in
accordance with Section 1107(5) of the Ethics Act of the specific allegations against
Respondent concerning the above transgressions. Said Notice letter provided Respondent
an opportunity to avoid the institution of these civil penalty proceedings by filing accurate
and complete Statements of Financial Interests for calendar years 2016, 2017, and 2018
within twenty (20) days of the date of the Notice letter. Respondent has failed and refused
to file Statements of Financial Interests for calendar years 2016, 2017, and 2018 so as to
comply with the specific requirements of the Ethics Act.
6. By Notice letter dated October 6, 2020, Respondent was served with Notice in accordance
with Section 1107(5) of the Ethics Act of the specific allegations against Respondent
concerning the above transgressions. Said Notice letter provided Respondent an
opportunity to avoid the institution of these civil penalty proceedings by filing accurate and
complete Statements of Financial Interests for calendar years 2016, 2017, and 2018 within
twenty (20) days of the date of the Notice letter. Respondent has failed and refused to file
Statements of Financial Interests for calendar years 2016, 2017, and 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).
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 three violations alleged herein, Respondent is subject to total maximum civil
penalty liability of $750.00.
9. There are no mitigating circumstances and Respondent should be assessed the maximum
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civil penalty of $750.00, in that the twenty -day deadline set forth in the said final Notice
letter to Respondent has expired and the Respondent has not complied.
IL DISCUSSION:
As an Auditor for Chester Township, Dorothy Green ("Green") was at all times relevant to
these proceedings a "public official" 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, Green was specifically required to file
Statements of Financial Interests for calendar years 2016, 2017, and 2018 with Chester Township
on or before May 1, 2017, May 1, 2018, and May 1, 2019, respectively. 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 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 Green as an Auditor for Chester Township 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 I I09(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
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Page 4
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 Green for each delinquent Statement of
Financial Interests for calendar years 2016, 2017, and 2018.
The prerequisite service of allotice letter in accordance with Section 1107(5) was satisfied.
Green 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 Green by filing with the State Ethics Commission and serving upon Green a
Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering
Green to show cause why civil penalties should not be levied against her. Green did not file an
answer to the Order to Show Cause. There is nothing of record that would constitute a defense or
excuse for Green's failure to comply with the Ethics Act. Green has failed to show cause why
civil penalties should not be levied against her in this matter.
We find that Green, as an Auditor for Chester Township, failed to comply with Section
1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file Statements of Financial
Interests for calendar years 2016, 2017, and 2018 with Chester Township.
We hereby levy three maximum civil penalties against Green, each at the rate of Twenty -
Five Dollars ($25.00) per day, for each day her Statements of Financial Interests for calendar years
2016, 2017, and 2018 have remained delinquent. Given the number of days during which the
Statements of Financial Interests have remained delinquent, the resultant amount to be levied
against Green is Seven Hundred and Fifty Dollars ($750.00).
Green shall be ordered to make payment of the above civil penalties in the total amount of
$750.00 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.
Green shall be ordered to file complete and accurate Statements of Financial Interests for
calendar years 2016, 2017, and 2018 with Chester Township by no later than the thirtieth (301h)
day after the mailing date of this adjudication and Order, with a copy of each such filing forwarded
to this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
Dorothy Green ("Green"), as an Auditor for Chester Township, was at all times relevant to
these proceedings a "public official" subject to the provisions of the Public Official and
Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1101 et sere .
2. Green, as an Auditor for Chester Township, failed to comply with Section 1104(a) of the
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Page 5
Ethics Act, 65 Pa.C.S. § 1104(a), when she failed to file Statements of Financial Interests
for calendar years 2016, 2017, and 2018 with Chester Township.
3. Notice of the delinquency of Green's Statements of Financial Interests for calendar years
2016, 2017, and 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, the imposition of three maximum
civil penalties in the total amount of $750.00 is warranted.
In Re: Dorothy Green, File Docket: 21-007-P
Respondent Date Decided: 9/15/21
Date Mailed: 9/17/21
ORDER NO.703-S
1. Dorothy Green ("Green"), as an Auditor for Chester Township, 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 Statements of Financial Interests for calendar years 2016,
2017, and 2018 with Chester Township.
2. This Commission hereby levies three maximum civil penalties against Green, each at the
rate of Twenty -Five Dollars ($25.00) per day, for each day her Statements of Financial
Interests for calendar years 2016, 2017, and 2018 have remained delinquent, for total civil
penalty liability of Seven Hundred and Fifty Dollars ($750.00). Green is ordered to pay
said civil penalties in the total amount of $750.00 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.
3. Green is ordered to file complete and accurate Statements of Financial Interests for
calendar years 2016, 2017, and 2018 with Chester Township by no later than the thirtieth
(30") day after the mailing date of this Order, with a copy of each such filing forwarded 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,
Nicholas A. Colafella, Chair