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In Re: Gwendolyn Smith,
Respondent
STATE ETHICS COMMISSION
FINANCE BULDING
613 NORT11 STIRI.--ET ROOM 309
HARFRISBURG, F)AV7120-0400
File Docket:
Order No.
Date Decided
Date Mailed:
22-017-P
733-S
9/14/22
9/19/22
FACSIMILE 717-787-0806
WEBSFE: qj1U_.9Ljy
Before: Mark R. Corrigan, Acting Chair,
Shelley Y. Simms, Acting Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Rhonda Hill Wilson
Paul E. Parsells
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 PUC,S. § 1101
et M.
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. A Stipulation of Findings and a Consent Agreement were subsequently
submitted by the parties to the Commission, for consideration. The Stipulated Findings are set
forth as the Findings in this Order, The Consent Agreement has been approved.
1. FINDINGS:
Respondent Gwendolyn Sihith ("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 Medical Facility
Examiner with the Department of Human Services, and as such, Respondent has at all times
relevant to these proceedings been a "public official/public employee"' as defined in Section
1102 of the Ethics Act, 65 Pa., C. S. § 1102.
Respondent, as a public official/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.
Smith, 22-017-P
Page 2
Respondent failed to timely file a Statement of Financial Interests for calendar year 2020,
which Statement of Financial Interests was to be filed by May 1, 2021. Respondent has
therefore violated Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated December 10, 2021, 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 2020 within
twenty (20) days of the date of the Notice Letter. Respondent has failed and/or otherwise
refused to file a Statement of Financial Interests for calendar year 2020 so as to comply
with the specific requirements of the Ethics Act.
6. By Notice Letter dated January 6, 2022, 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 civil penalty proceedings by filing an accurate and
complete Statement of Financial Interests for calendar year 2020 so as to comply with the
specific requirements of the Ethics Act.
7. Respondent failed to file her Statement of Financial Interests for calendar year 2020 with
the State Ethics Commission by the deadlines imposed in the Notice Letters.
II. DISCUSSION:
As a Medical Facility Examiner with the Pennsylvania Department of Human Services
("Department of Human Services"), Gwendolyn Smith ("Smith") 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, Smith was specifically required to file a
Statement of Financial Interests for calendar year 2020 with the State Ethics Commission and the
Department of Human Services on or before May 1, 2021. 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
Smith, 22-017-P
Page 3
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 Smith as a Medical Facility Examiner with 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 l 109(f) of the Ethics Act provides as follows:
§ 1109. Penalties
(i) 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 Smith for the delinquent Statement of Financial
Interests for calendar year 2020.
The prerequisite service of allotice letter in accordance with Section 1107(5) was satisfied.
Smith 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 Smith by filing with
this Commission and serving upon her a Petition for Civil Penalties. The Commission Chair issued
an Order to Show Cause, ordering Smith to show cause why a civil penalty should not be levied
against her. The parties then filed a Stipulation of Findings and Consent Agreement.
The parties propose that this case be resolved by: (1) this Commission finding that Smith
failed to timely file a Statement of Financial Interests for the 2020 calendar year in compliance
with Section I I04(a) of the Ethics Act; (2) Smith making payment of a civil penalty in the amount
of $150.00 in settlement of this matter by certified check or money order payable to the
Commonwealth of Pennsylvania and forwarded to this Commission within thirty days of the
Smith, 22-017-P
Page 4
issuance of the final adjudication in this matter; and (3) Smith filing a complete and accurate
Statement of Financial Interests for calendar year 2020 within thirty days of the issuance of the
final adjudication in this matter.
We believe that the Consent Agreement sets forth a proper disposition for this case, based
upon our review of the totality of the facts and circumstances. Accordingly, we approve the
Consent Agreement that has been submitted by the parties.
We hereby find that Smith, as a Medical Facility Examiner with the Department of Human
Services, failed to timely file a Statement of Financial Interests for the 2020 calendar year in
compliance with Section 1 104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
Per the Consent Agreement of the parties, we hereby levy one civil penalty against Smith
in the total amount of $150.00 for Smith's delinquent Statement of Financial Interests for calendar
year 2020.
To the extent she has not already done so, Smith shall be ordered to make payment of the
aforesaid civil penalty in the total amount of $150.00 by no later than the thirtieth (30'h) day after
the mailing date of this adjudication and Order, by forwarding to this Commission a certified check
or money order in the amount of $150.00 made payable to the Commonwealth of Pennsylvania,
for deposit in the State Treasury.
To the extent she has not already done so, Smith shall be ordered to file a complete and
accurate Statement of Financial Interests for calendar year 2020 with the State Ethics Commission
and the Department of Human Services by no later than the thirtieth (30th) day after the mailing
date of this adjudication and Order.
III. CONCLUSIONS OF LAW:
1. As a Medical Facility Examiner with the Pennsylvania Department of Human Services,
Gwendolyn Smith ("Smith") 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 5eMc .
2. Smith, as a Medical Facility Examiner with the Pennsylvania Department of Human
Services, failed to timely file a Statement of Financial Interests for the 2020 calendar year
in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
Notice of the delinquency of Smith's Statement of Financial Interests for calendar year
2020 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 $150,00 is warranted.
In Re: Gwendolyn Smith, File Docket: 22-017-P
Respondent Date Decided; 9/14/22
Date Mailed: 9/19/22
ORDER NO. 733-S
Gwendolyn Smith ("Smith"), as a Medical Facility Examiner with the Pennsylvania
Department of Human Services, failed to timely file a Statement of Financial Interests for
the 2020 calendar year in compliance with Section 1104(a) of the Public Official and
Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 1104(a).
2. Per the Consent Agreement of the parties, we hereby levy one civil penalty against Smith
in the total amount of $150.00 for Smith's delinquent Statement of Financial Interests for
calendar year 2020.
3. To the extent she has not already done so, Smith is ordered to make payment of the
aforesaid civil penalty in the total amount of $150.00 by no later than the thirtieth (30th)
day after the mailing date of this Order, by forwarding to this Commission a certified check
or money order in the amount of $150.00 made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
4. To the extent he has not already done so, Smith is ordered to file a complete and accurate
Statement of Financial Interests for calendar year 2020 with the State Ethics Commission
and the Pennsylvania Department of Human Services by no later than the thirtieth (301h)
day after the mailing date of this Order.
5. Failure to comply with Paragraph 3 or 4 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMLSSION,
Mark R. Corrigan, Acting Chair