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In Re: David Ewald,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
File Docket:
X-ref:
Date Decided:
Date Mailed:
FACSIMILE: 717-787-0806
WESSITE:
19-022-P
Order No. 643-S
9/26/19
10/17/19
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication of the Pennsylvania State Ethics Commission as to the
alleged
ed delinquency and/or deficiency of Statement(s) of Financial Interests required to be
filed to Sections 1104 and 1105 of the Public Official and Employee Ethics Act
("Ethics Act"), 65 Pa.C.S. § 1101 et sect.
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 inthis Order are
derived from the Petition for Civil Penalties filed by the Investigative Division.
I. FINDINGS:
1. 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 an Environmental
Protection Specialist with the Pennsylvania Department of Environmental Protection,
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.
4. Respondent has failed to provide full financial disclosure as required by the Ethics
c
Act. Respondent has failed to file a Statement of Financial Interests for calendar
year 2017, which Statement of Financial Interests was to be filed by May I of 2018,
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 13, 2018, 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
b6 filingan accurate and complete Statement of Financial Interests for calendar year
2017 within twenty (20) days of the date of the Notice letter. Respondent has failed
and refused to file a Statement of Financial Interests for calendar year 2017 so as to
comply with the specific requirements of the Ethics Act.
Ewald, 19-022-P
P-a—ge 2
By Notice letter dated Janus 22. 2019, 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
b6 filing an accurate and complete Statement of Financial Interests for calendar year
2017 within twenty (20) days of the date of the Notice letter. Respondent has failed
and refused to file a Statement of Financial Interests for calendar year 2017 so as to
comply with the specific requirements of the Ethics Act.
Section 11 09(f) of the Ethics Act provides:
§ 1109. Penalties
M 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).
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 at a rate of not
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 one violation alle8ed herein, Respondent is
subject to total maximum civil penalty liability of $250.0 .
9. There are no mitigating circumstances and Respondent should be assessed the
maximum civil penalty of $250.00, in that the twenty -day deadline set forth in the
said final Notice letter to Respondent has expired and the Respondent has not
complied.
III. DISCUSSION,:
As an Environmental Protection Specialist for the Pennsylvania Department of
Environmental Protection ("Department of Environmental Protection") David Ewald
("Ewald") was at all times relevant to these proceedings a publicempiloy subject to the
provisions of the Public Official and Employee Ethics Act ("Ethics Act"), 65 P&C.S. § 1101
et seq.
Pursuant to Section 11 04(a) of the Ethics Act, Ewald was specifically required to file
a Statement of Financial Interests for calendar year 2017 with the Department of
Environmental Protection on or before May 1, 2018. Section 11 04(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
I Fonts I ZK%
public employee and public official of the Commonwealth shall file a
statement of financial interests for the receding 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 position.
Persons who are full-time or part-time solicitors for political subdivisions are
required to file under this section.
65 Pa.C.S. § 11 04(a).
The complete financial disclosure which Ewald as an Environmental Protection
Specialist for the Department of Environmental Protection 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 11 09(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 cha ter, 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 $250.
65 Pa.C. S. § 11 09(o.
An application of Section 11 09(f) to this case establishes that this Commission has
the discretion to levy a maximum civil penalty against Ewald forthe delinquent Statement of
Financial Interests or calendar year 2017.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Ewald did not remedy the failure to comply with the Ethics Act although given
more than the usual grace period following Notice in which to do so. The Investigative
Division then instituted formal roceedings against Ewald by filing with the State Ethics
Commission and serving upon Pwald a Petition for Civil Penafties. The Commission Chair
issued an Order to Show Cause ordering Ewald to show cause wha civil penalty should
not be levied against him. Ewald did not file an answer to the Order OS� how Cause. There
is nothing of record that would constitute a defense or excuse for Ewald's failure to comply
with the thics Act. Ewald has failed to show cause why a civil penalty should not be levied
against him in this matter.
We find that Ewald, as an Environmental Protection Specialist for the Department of
Environmental Protection, failed to comply with Section 1104(a) of the Ethics Act, 65
Pa.C.S.A 1104(a), when he failed to file a Statement of Financial Interests for calendar
year 20 with the Department of Environmental Protection.
Wehereby levy one maximum civil penalty against Ewald at the rate of Twenty -Five
Dollars ($' 25.00) per day for each day his Statement of Financial Interests for calenclaryear
2017 has remained delinquent. Given the number of days during which the Statement of
Ewald, 19-022-P
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Financial Interests has remained delinquent, the resultant amount to be levied against
Ewald is Two Hundred and Fifty Dollars ($250.00).
Ewald shall be ordered to make payment of the above civil penalty in the amount of
$250.00 by no later than the thirtieth (3Ot5) day after the mailing date of this adjudication
and Order by forwarding a check to this Commission made payable to the Commonwealth
of Pennsylvania, for deposit in the State Treasury.
Ewald shall be ordered to file a complete and accurate Statement of Financial
Interests for calendar (30th)
ear 2017 with the Department of Environmental Protection by no
later than the thirtieth day after the mailing date of this adjudication and Order, with
one copy forwarded to this Commission for compliance verification purposes,
Ill. GONCLUSIGNS OF LAW:
1. David Ewald ("Ewald"), as an Environmental Protection Specialist for the
Pennsylvania Department of Environmental Protection, was at all times relevant to
these proceeding a "public employee" subject to the provisions of the Public Official
and Employee th ics Act ("Ethics Act"), 65 Pa, C. S. § 1101 et s_Leq.
2. Ewald, as an Environmental Protection Specialist for the Pennsylvania Department
of Environmental Protection, failed to comply with Section 11 04(a) of the Ethics Act,
65 Pa.C.S. § 1104(a), when he failed to file a Statement of Financial Interests for
calendar year 2017 with the Pennsylvania Department of Environmental Protection.
3. Notice of the delinquency of Ewald's Statement of Financial Interests for calendar
year 2017 was geviously served upon him in accordance with Section 1107(5) of
the Ethics Act, 5Pa.C.S.§1107(5).
4, Based upon the totality of the circumstances in this case, a civil penalty in the total
amount of $250.00 is warranted.
In Re: David Ewald, File Docket: 19-022-P
Respondent Date Decided: 9/26/19
Date Mailed: 10/17/19
ORDER NO. 643-S
1 David Ewald ("Ewald"),
as an Environmental Protection Specialist for the
Pennsylvania Department of Environmental Protection, failed to comply with Section
1104 a� of the Public Official and Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. §
1104 , when he failed to file a Statement of Financial Interests for calendar year
2017 with the Pennsylvania Department of Environmental Protection.
2. This Commission hereby levies one maximum civil penalty arlainst Ewald at the rate
of Twenty -Five Dollars ($25.00) per day for each day his Statement of Financial
Interests for calendar year 2017 has remained delinquent, for a total civil penalty of
Two Hundred and Fifty Dollars �$250. 00). Ewald is ordered to pay said civil penalty
in the total amount of $250.0 by no later than the thirtieth (30th)day after the
mailing. date of this Order, by forwarding a check to the Pennsylvania State Ethics
Commission made payable to the Commonwealth of Pennsylvania, for deposit in the
State Treasury.
3, Ewald is ordered to file a complete and accurate Statement of Financial Interests for
calendar year 2017 with the Penns� , Ivania Department of Environmental Protection
by no later than the thirtieth (30th) ay after the mailing date of this Order, with one
copy forwarded to the Pennsylvania State Ethics Commission for compliance
verification purposes.
4. Failure to comply with Paragraph 2 or 3 of this Order will result in the initiation of an
appropriate enforcement action.
BY THE COMMISSION,
la, Chair