|Organization:||State Ethics Commission|
Decision In the Matter of Joanne Barboza
Thomas J. Driscoll, Esq.: Counsel for Petitioner State Ethics Commission
Commissioners: Diver, Ch., Brickman, Burns, Mulligan, Sweeney
I. Procedural History
The Petitioner filed an Order to Show Cause on October 26,
1984 alleging that the Respondent, Joanne Barboza, had violated
G.L. c. 268B, s. 5 by failing to file her Statement of Financial
Interests for 1983 (Statement) within ten days of receiving from
the Commission a Formal Notice of Delinquency (Notice). The
Respondent did not file an Answer to the Order Show Cause.
II. Findings of Fact
1. The Respondent, Joanne Barboza, was Director, Citizen
Participation in the Department of Social Services through
September 3, 1983.
2. In January, 1984, the Commission was notified by Manuel
Carballo, Secretary of the Executive Office of Human Services that
the Respondent was designated as a person in a "major policy making
position" for the year 1983. As a result, she was a "public
employee" as defined in G.L. c. 268B, s. 1(o) and was required
to file a Statement for 1983 on or before May 1, 1984.
3. The Respondent failed to file her 1983 Statement by May
4. On May 11, 1984, the Respondent received from the
Commission a Formal Notice of Delinquency pursuant to G.L. c. 268B,
s. 3(f) requiring her to file her Statement within ten days of
receipt of the Notice.
5. The Respondent failed to file her 1983 Statement within ten
days of receipt of the notice.
6. The Commission initiated a preliminary inquiry on June 19,
1984 pursuant to the Respondent's failure to file her 1983
Statement and thereafter authorized the initiation of adjudicatory
7. The Respondent has not filed her 1983 Statement or formally
answered this action by the Commission.
8. The Respondent has failed to respond to the Commission's
Notice or Order to Show Cause why summary decision should not be
entered against her.
The evidence demonstrates that the Respondent was designated
to file a Statement for 1983 by the Secretary of the Executive
Office of Human Services. Although she received a Formal Notice of
Delinquency on May 11, 1984, she did not file a Statement within
ten days of receiving that Notice and, as of the date of the
hearing, has not filed such a Statement. Therefore, the Respondent has
violated G.L. c. 268B, s. 5.
The Commission, upon finding that there has been a violation
of G.L. c. 268B, may issue an order requiring the violator to
(1) cease and desist such violation; (2) file any statement or
other information required by G.L. c. 268B; or (3) pay a civil
penalty of not more than $2000 for each violation. G.L. c. 268B,
s. 4(d). In cases in which a Respondent has failed to file a
Statement and to formally Answer the Commission's proceeding, a
penalty of $1000 has been imposed. A similar penalty is
appropriate in this case. The Respondent has disregarded entirely
her statutory obligation to file a Statement for 1983.
The Petitioner's Motion for Summary Decision is granted. The Respondent Joanne Barboza,is ordered to:
1. File a Statement for 1983 within seven (7) days of receipt
of this Decision and Order; and
2. Pay a civil penalty of one thousand dollars ($1,000.00) to
the Commission within thirty (30) days of receipt of this Decision