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Home My WebLink About571-S WaltersPHONE: 717- 783 --1690 TOLL FREE: 1- 800 - 932 -0936 In Re: Paul Walters, Respondent �``,� LYE ,� � '• , STATE ETHICS COMMISSION FINANCE BUILDING 613 NORTH STREET, ROOM 309 HARRISBURG, EA 17120 -0400 File Docket: X -ref: Date Decided Date Mailed: FACSIMILE: 717 -787 -0806 WEBSITE: www.e#hics.oa.aov 17 -067 -P Order No, 571 -S 211118 2123118 Before: Nicholas A. Colafella, Chair Marls R. Corrigan, Vice Chair Roger Nick Melanie DePalma Monique Myatt Galloway Michael A. Schwartz Shelley Y. Simms 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 se . 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: 1. Respondent Paul Walters ( "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 Parole Manager 2 with the Pennsylvania Board of Probation and Parole, and as such, Respondent has at all times relevant to these proceedings been a "public employee" as defined in Section 1102 of the Ethics Act, 65 Pa.C.S. § 1102. 3. Respondent, as a public employee, is subject to the Statement of Financial Interests filing provisions of the Ethics Act. Respondent failed to timely provide full financial disclosure as required by the Ethics Act. Respondent failed to timely file a Statement of Financial Interests for calendar year 2015, which [Statement of Financial Interests was to be filed] by May 1, 2016. Resppondent has therefore violated Sections 1104 and 1105 of the Ethics Act, 65 Pa.C.S. §§ 1104, 1105. By Notice Letter dated October 31, 2016, 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 2015 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 2015 so as to comply with the specific requirements of the Ethics Act. Walters, 17 -067 -P app By Notice Letter dated June 5, 2017, 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 2015 so as to comply with the specific requirements of the Ethics Act. Respondent failed to file his Statement of Financial Interests for calendar year 2015 with the State Ethics Commission by the deadlines imposed in the Notice Letters. II, DISCUSSION. As a Parole Manager 2 for the Pennsylvania Board of Probation and Parole, Paul Walters ( "Walters ") 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, Walters was specifically required to file a Statement of Financial Interests for calendar year 2015 with the Pennsylvania Board of Probation and Parole on or before May 1, 2016. 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 Walters as a Parole Manager 2 for the Pennsylvania Board of Probation and Parole 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 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 Walters, 17 -067 -P aP� 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 Walters forthe delinquent Statement of Financial Interests for calendar year 2015. The prerequisite service of a Notice letter in accordance with Section 11075) was satisfied. Waiters 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 Walters by filing with this Commission and serving upon him a Petition for Civil Penalties. The Commission Chair issued an Order to Show Cause, ordering Walters 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 Walters failed to timely file his Statement of Financial Interests for the 2015 calendar year in compliance with Section 1104(a of the Ethics Act; (2) Walters making payment of a civil penalty in the amount of $200.00 in settlement of this matter, payable to the Commonwealth of Pennsylvania and forwarded to this Commission; and (3) Walters filing a Statement of Financial Interests for calendar year 2015 with this Commission 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 Walters, as a Parole Manager 2 for the Pennsylvania Board of Probation and Parole, failed to timely file his Statement of Financial Interests for the 2015 calendar year in compliance with Section 1104(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 Walters in the total amount of $200.00 for Walters`s delinquent Statement of Financial Interests for calendar year 2015. To the extent he has not already done so, Walters shall be ordered to make payment of the aforesaid civil penalty in the total amount of $200.00 by no later than the thirtieth (30th) day after the mailing date of this adjudication and Order, b forwarding to this Commission a check in the amount of $200.00 made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. To the extent he has not already done so, Walters shall be ordered to file a complete and accurate Statement of Financial Interests for calendar year 2015 with this Commission by no later than the thirtieth (30th) day after the mailing date of this adjudication and Order. Ill. CONCLUSIONS OF LAW. 1. As a Parole Manager 2 for the Pennsylvania Board of Probation and Parole, Paul Walters ( "Walters ) 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. 2. Walters, as a Parole Manager 2 for the Pennsylvania Board of Probation and Parole, failed to timely file his Statement of Financial Interests for the 2015 calendar Walters, 17 -087 -P at' g T year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. § 1104(a). 3. Notice of the delinquencyy of Walters's Statement of Financial Interests for calendar year 2015 was previously served upon him in accordance with Section 1 107(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 $200.00 is warranted. In Re: Paul Walters, File Docket: 17 -067 -P Respondent Date Decided: 211118 Date Mailed: 2123118 i 1. Paul Walters "Walters" ), as a Parole Manager 2 for the Pennsylvania Board of Probation and Mole, failed to timely file his Statement of Financial Interests for the 2015 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 Walters in the total amount of $200.00 for Walters's delinquent Statement of Financial Interests for calendar year 2015. 3. To the extent he has not already done so, Walters is ordered to make payment of the aforesaid civil penalty in the total amount of $200.00 by no later than the thirtieth (30th) day after the mailing date of this Order, by forwarding to this Commission a check in the amount of $200.00 made payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury. 4. To the extent he has not already done so, Walters is ordered to file a complete and accurate Statement of Financial Interests for calendar year 2015 with this Commission by no later than the thirtieth (30th) 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 COMMISSION,