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STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
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In Re: Timothy Malthaner, File Docket: 19-041-P
Respondent X-ref: Order No. 653-S
Date Decided: 1/23/20
Date Mailed: 2111/20
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 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 seg.
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.
aIZIQI►[06'3I
1. Respondent Timothy Malthaner ("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 Auditor 2 with
the Pennsylvania Department of the Auditor General, 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 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 2018, which Statement of Financial Interests was to be filed] by May
1, 2019. Respondent has therefore violated Sections 1104 and 1105 of the Ethics
Act, 65 Pa.C.S. §§ 1104, 1105.
5. By Notice Letter dated May 15, 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 by filing an accurate and complete Statement of Financial Interests
for calendar year 2018 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 2018 so as to comply with the specific requirements of
the Ethics Act.
Malthaner, 19-041-P
Page 2
By Notice Letter dated June 4, 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 civil penalty
proceedings by filing an accurate and complete Statement of Financial Interests
for calendar year 2018 so as to comply with the specific requirements of the Ethics
Act.
7. Respondent failed to file his Statement of Financial Interests for calendar year
2018 with the State Ethics Commission by the deadlines imposed in the Notice
Letters.
DISCUSSION:
As an Auditor 2 for the Pennsylvania Department of the Auditor General, Timothy
Malthaner ("Malthaner") 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, Malthaner was specifically required
to file a Statement of Financial Ilnterests for calendar year 2018 with the Pennsylvania
Department of the Auditor General on or before May 1, 2019. 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 osition. 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 Malthaner as an Auditor 2 for the
Pennsylvania Department of the Auditor General 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
Malthaner, 19-041-P
Page 3
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(9 to this case establishes that this Commission has
the discretion to levy a maximum civil penalty against Malthaner for the delinquent
Statement of Financial Interests for calendar year 2018.
The prerequisite service of a Notice letter in accordance with Section 1107(5) was
satisfied. Malthaner 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 Malthaner by
filing with this Commission and serving upon him a Petition for Civil Penalties. The
Commission Chair issued an Order to Show Cause, ordering Malthaner 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
Malthaner failed to time) file a Statement of Financial Interests for the 2018 calendar
year in compliance with Section 1104(a) of the Ethics Act; (2) Malthaner making payment
of a civil penalty in the amount of $250.00 in settlement of this matter by certified check
or money order payable to the Commonwealth of Pennsylvania and forwarded to this
Commission within thirty days of the issuance of the final adjudication in this matter, and
(3) Malthaner filing a complete and accurate Statement of Financial Interests for calendar
year 2018 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 Malthaner, as an Auditor 2 for the Pennsylvania Department
of the Auditor General, failed to timely file a Statement of Financial Interests for the 2018
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
Malthaner in the total amount of $250.00 for Malthaner's delinquent Statement of
Financial Interests for calendar year 2018.
To the extent he has not already done so, Malthaner shall be ordered to make
payment of the aforesaid civil penalty in the total amount of $250.00 by no later than the
thirtieth (30t") day after the mailing date of this adjudication and Order, by forwarding to
this Commission a certified check or money order in the amount of $250.00 made payable
to the Commonwealth of Pennsylvania, for deposit in the State Treasury.
To the extent he has not already done so, Malthaner shall be ordered to file a
complete and accurate Statement of Financial Interests for calendar year 2018 with the
Pennsylvania Department of the Auditor General by no later than the thirtieth (301t') day
after the mailing date of this adjudication and Order, with one copy forwarded to this
Commission for compliance verification purposes.
III. CONCLUSIONS OF LAW:
1. As an Auditor 2 for the Pennsylvania Department of the Auditor General, Timothy
Malthaner ("Malthaner") 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 sew.
Malthaner, 19-041-P
ag��
2. Malthaner, as an Auditor 2 for the Pennsylvania Department of the Auditor
General, failed to timely file a Statement of Financial Interests for the 2018
calendar year in compliance with Section 1104(a) of the Ethics Act, 65 Pa.C.S. §
1104(a).
3. Notice of the delinquency of Malthaner's Statement of Financial Interests for
calendar year 2018 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 total
amount of $250.00 is warranted.
In Re: Timothy Malthaner, File Docket: 19-041-P
Respondent Date Decided: 1/23/20
Date Mailed: 2/11/20
ORDER NO. 653-S
1. Timothy Malthaner ("Malthaner"), as an Auditor 2 for the Pennsylvania Department
of the Auditor General, failed to timely file a Statement of Financial Interests for the
2018 calendar year in compliance with Section 1104(a) of the Public Official and
Employee Ethics Act ("Ethics Act"), 65 Pa.C.S. § 110 (a).
2. Per the Consent Agreement of the parties, we hereby levy one civil penalty against
Malthaner in the total amount of $250,00 for Malthaner's delinquent Statement of
Financial Interests for calendar year 2018.
3. To the extent he has not already done so, Malthaner is ordered to make payment
of the aforesaid civil penalty in the total amount of $250.00 by no later than the
thirtieth (30th) day after the mailing date of this Order, by forwarding to this
Commission a certified check or money order in the amount of $250.00 made
payable to the Commonwealth of Pennsylvania, for deposit in the State Treasury.
4. To the extent he has not already done so, Malthaner is ordered to file a complete
and accurate Statement of Financial Interests for calendar year 2018 with the
Pennsylvania Department of the Auditor General by no later than the thirtieth (30th)
day after the mailing date of this Order, with one copy forwarded to this
Commission for compliance verification purposes.
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,
i Wolas A. o Wafel la, 'Chair