Ethics Commission Fines Former Executive Office of Health and Human Services Director of Planning and Control William Schmidt for Failing to Timely File His 2009 Statement of Financial Interests
The adjudicatory hearing was initiated by the Commission's Enforcement Division by the filing of an Order to Show Cause ("OTSC") on February 7, 2011. The OTSC alleged that Schmidt had failed to file his Statement of Financial Interests ("SFI") for calendar year 2009 within 10 days of receiving a Formal Notice of Lateness ("Notice").
According to the Agreement, Schmidt was required to file his 2009 SFI by May 17, 2010. He failed to file his SFI by that date, and on June 14, 2010, he was sent a Notice advising him that he had 10 days to file or he would be subject to civil penalties. Schmidt did not file within the 10 day period. He filed his SFI for 2009 on July 26, 2010, or 29 days late. The Commission has adopted a schedule of civil penalties for late filers and non-filers. The penalty schedule then in effect called for a $400 civil penalty for filing an SFI between 21 and 30 days after the 10 day period following receipt of a Notice.
The financial disclosure law requires elected state and county officials, candidates for state office and "designated major policy makers" at the state and county level to annually disclose their financial interests and private business associations by filing an SFI with the Commission for the prior calendar year. The Commission can impose civil penalties for the failure to file an SFI and for the late filing of an SFI.