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In Re: Kevin Walling, : File Docket: 12-015-P
Respondent : X-ref: Order No. 401-S
: Date Decided: 4/12/12
: Date Mailed: 4/19/12
Before: Louis W. Fryman, Chair
Donald M. McCurdy
Raquel K. Bergen
Nicholas A. Colafella
Mark Volk
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. 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.
I. FINDINGS:
1. Respondent is an adult individual who resides or maintains a mailing address at
100 Crystal A Drive, Hershey, PA 17033.
2. At all times relevant to these proceedings, Respondent has been a Member of the
Pennsylvania Workforce Investment Board, 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 a Statement of Financial Interests for calendar
year 2010 with the State Ethics Commission and the Pennsylvania Workforce
Investment Board, which Statement of Financial Interests was to be filed by May 1
of 2011, and Respondent has therefore transgressed Sections 1104 and 1105 of
the Ethics Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated November 18, 2011, 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
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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 2010 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 2010 so as to comply with the specific requirements of the Ethics Act.
6. By Notice Letter dated December 28, 2011 (sent via Certified Mail), 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 2010 so as to comply with the specific requirements of
the Ethics Act.
7. Respondent did not file his Statement of Financial Interests for calendar year 2010
within the twenty (20) day time allotment afforded by the Notice letter(s) of
November 18, 2011, and/or December 28, 2011.
8. As of April 3, 2012, Respondent has not filed his Statement of Financial Interests
for calendar year 2010.
II. DISCUSSION:
As a Member of the Pennsylvania Workforce Investment Board, Kevin Walling
(“Walling”) 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, Walling was specifically required to
file a Statement of Financial Interests for calendar year 2010 with the State Ethics
Commission and the Pennsylvania Workforce Investment Board on or before May 1, 2011.
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 Walling as a Member of the Pennsylvania
Workforce Investment Board 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.
Walling, 12-015-P
Page 3
§ 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
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 Respondent for the delinquent
Statement of Financial Interests for calendar year 2010.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Walling 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 Walling by
filing with this Commission and serving upon him a Petition for Civil Penalties. The
Commission Chair issued an Order to Show Cause, ordering Walling to show cause why a
civil penalty should not be levied against him. 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
Walling failed to timely file his Statement of Financial Interests for the 2010 calendar year
in compliance with Section 1104(a) of the Ethics Act; and (2) Walling making payment of a
civil penalty in the amount of $50.00 in settlement of this matter, payable to the
Commonwealth of Pennsylvania and forwarded to this Commission upon execution of the
Consent Agreement.
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 take administrative notice that Walling has made payment of a civil penalty in
the amount of $50.00 through this Commission to the Commonwealth of Pennsylvania, as
per the Consent Agreement of the parties, and has filed his Statement of Financial
Interests for calendar year 2010.
We hereby find that Walling, as a Member of the Pennsylvania Workforce
Investment Board, failed to timely file his Statement of Financial Interests for the 2010
calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
In that Walling has made payment of a civil penalty in the amount of $50.00 in
accordance with the Consent Agreement of the parties, and has now filed a Statement of
Financial Interests for calendar year 2010, no further action is required in this case and
this case is closed.
Walling, 12-015-P
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III. CONCLUSIONS OF LAW:
1. As a Member of the Pennsylvania Workforce Investment Board, Kevin Walling
(“Walling”) 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.
2. Walling, as a Member of the Pennsylvania Workforce Investment Board, failed to
timely file his Statement of Financial Interests for the 2010 calendar year in
compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a).
3. Notice of the delinquency of Walling’s Statement of Financial Interests for calendar
year 2010 was previously served upon him 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
amount of $50.00 is warranted.
In Re: Kevin Walling, : File Docket: 12-015-P
Respondent : Date Decided: 4/12/12
: Date Mailed: 4/19/12
ORDER NO. 401-S
1. Kevin Walling (“Walling”), as a Member of the Pennsylvania Workforce Investment
Board, failed to timely file his Statement of Financial Interests for the 2010 calendar
year in compliance with Section 1104(a) of the Public Official and Employee Ethics
Act, 65 Pa.C.S. § 1104(a).
2. In that Walling has paid a civil penalty in the amount of $50.00 through this
Commission to the Commonwealth of Pennsylvania as per the Consent Agreement
of the parties, and has now filed a Statement of Financial Interests for calendar year
2010, no further action is required in this case and this case is closed.
BY THE COMMISSION,
______________________
Louis W. Fryman, Chair