HomeMy WebLinkAbout342-S WALKERIn Re: James J. Walker, Esquire,
Respondent
File Docket:
X -ref:
Date Decided:
Date Mailed:
Before: Louis W. Fryman, Chair
John J. Bolger, Vice Chair
Donald M. McCurdy
Paul M. Henry
Raquel K. Bergen
Nicholas A. Colafella
Reverend Scott Pilarz
06 -101 -P
Order No. 342 -S
10/24/07
11/7/07
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 seq.
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.
This is a final Order, and it is publicly available upon issuance. Reconsideration
may be requested, but a request for reconsideration will not affect the finality of this
adjudication or its availability as a public document. Any reconsideration request must be
received at this Commission within thirty days of the mailing date noted above and must
include a detailed explanation of the reasons as to why reconsideration should be granted
in conformity with 51 Pa. Code § 21.29(b).
Walker, 06 -101 -P
Page 2
FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at 52
Dundaff Street, Suite 2, Carbondale, PA 18407.
2. At all times relevant to these proceedings, Respondent has been a Solicitor of
Carbondale Area School District, and as such, Respondent has at all times relevant
to these proceedings been subject to the Statement of Financial Interests filing
provisions of the Public Official and Employee Ethics Act ( "Ethics Act "), 65 Pa.C.S.
§ 1101 et seq.
3. 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 2001, 2002, 2003, and 2004 with the Carbondale Area School District, which
Statements of Financial Interests were to be filed by May 1 of 2002, 2003, 2004,
and 2005, and Respondent has therefore transgressed Sections 1104 and 1105 of
the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
4. By Notice letter dated March 15, 2006, 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 accurate and complete Statements of Financial Interests for calendar years
2001, 2002, 2003, and 2004 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 2001, 2002, 2003, and 2004 so as to comply with the specific
requirements of the Ethics Act.
5. By Notice letter dated May 5, 2006, 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 accurate and complete Statements of Financial Interests for calendar years
2001, 2002, 2003, and 2004 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 2001, 2002, 2003, and 2004 so as to comply with the specific
requirements of the Ethics Act.
6. 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).
7 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
Walker, 06 -101 -P
Page 3
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 four violation(s) alleged herein, Respondent is
subject to total maximum civil penalty liability of $1,000.00 for said violation(s).
8. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00 for each violation, in that the twenty -day deadline
set forth in the said final Notice letter to Respondent has expired and the
Respondent has not complied.
II. DISCUSSION:
As a Solicitor of Carbondale Area School District, James J. Walker ( "Walker ") has
at all times relevant to these proceedings been subject to the Statement of Financial
Interests filing 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, Walker was specifically required to
file Statements of Financial Interests for calendar years 2001, 2002, 2003, and 2004 with
the Carbondale Area School District on or before May 1, 2002, May 1, 2003, May 1, 2004,
and May 1, 2005. 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 Walker as a Solicitor of Carbondale Area
School District was required to provide in the Statement of Financial Interests forms 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
Walker, 06 -101 -P
Page 4
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 Walker for each delinquent or
deficient Statement of Financial Interests.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Walker 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 Walker by filing with the State Ethics
Commission and serving upon Walker a Petition for Civil Penalties. The Commission
Chair issued an Order to Show Cause, ordering Walker to show cause why a civil penalty
should not be levied against him. Walker did not file an answer to the Order to Show
Cause. There is nothing of record that would constitute a defense or excuse for Walker's
failure to comply with the Ethics Act. Walker has failed to show cause why a civil penalty
should not be levied against him in this matter.
We find that Walker, as a Solicitor of Carbondale Area School District, failed to
comply with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to file
Statements of Financial Interests for calendar years 2001, 2002, 2003, and 2004 with the
Carbondale Area School District.
We hereby levy four civil penalties against Walker, each at the rate of Twenty -Five
Dollars ($25.00) per day, for each day his Statements of Financial Interests for calendar
years 2001, 2002, 2003 and 2004 have remained delinquent. Given the number of days
during which the Statements of Financial Interests have remained delinquent, the resultant
total amount to be levied against Walker is One Thousand Dollars ($1,000.00).
Walker shall be ordered to make payment of the above civil penalties in the total
amount of $1,000.00 by no later than the thirtieth (30 day after the mailing date of this
Order, by forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
Walker shall be ordered to file complete and accurate Statements of Financial
Interests for calendar years 2001, 2002, 2003, and 2004 with the Carbondale Area School
District within 30 days of the issuance of this adjudication and Order, with copies filed with
this Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. James J. Walker ( "Walker "), as a Solicitor of Carbondale Area School District, was
at all times relevant to these proceedings subject to the Statement of Financial
Interests filing provisions of the Public Official and Employee Ethics Act ( "Ethics
Act "), 65 Pa.C.S. § 1101 et seq.
2. Walker, as a Solicitor of Carbondale Area School District, failed to comply with
Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a), when he failed to file
Statements of Financial Interests for calendar years 2001, 2002, 2003, and 2004
with the Carbondale Area School District.
3. Notice of the delinquency of Walker's Statements of Financial Interests for calendar
years 2001, 2002, 2003, and 2004 was previously served upon him in accordance
with Section 1107(5) of the Ethics Act, 65 Pa.C.S. § 1107(5).
Walker, 06 -101 -P
Page 5
4. Based upon the totality of the circumstances in this case, four maximum civil
penalties of $250 each, in the total amount of $1,000.00, are warranted.
IN RE: James J. Walker, Esquire,
Respondent
File Docket: 06 -101 -P
Date Decided: 10/24/07
Date Mailed: 11/7/07
ORDER NO. 342 -S
1 James J. Walker, ( "Walker ") as a Solicitor of Carbondale Area School District,
failed to comply with Section 1104(a) of the Public Official and Employee Ethics Act
( "Ethics Act "), 65 Pa.C.S. § 1104(a), when he failed to file Statements of Financial
Interests for calendar years 2001, 2002, 2003, and 2004 with the Carbondale Area
School District.
2. This Commission hereby levies four civil penalties against Walker, each at the rate
of Twenty -Five Dollars ($25.00) per day for each day his Statements of Financial
Interests for calendar years 2001, 2002, 2003, and 2004 have remained delinquent,
for total civil penalty liability in the amount of One Thousand Dollars ($1,000.00).
Walker is ordered to pay the sai0 civil penalties in the total amount of $1,000.00 by
no later than the thirtieth 30 day after the mailing date of this Order, by
forwarding a check to this Commission made payable to the Commonwealth of
Pennsylvania, for deposit in the State Treasury.
3. Walker is ordered to file complete and accurate Statements of Financial Interests
for calendar years 2001, 2002, 2003 and 2004 with the Carbondale Area School
District within 30 days of issuance of this Order, with copies filed with this
Commission for compliance verification purposes.
4. Failure to comply with any provision of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
Louis W. Fryman, Chair