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Home My WebLink About001-SL O'Connell IN RE: Michael O’Connell, : File Docket: 09-002-L Respondent : X-ref: Order No. 001-SL : Date Decided: 3/25/10 : Date Mailed: 4/9/10 Before: Louis W. Fryman, Chair John J. Bolger, Vice 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 registration statement(s) and/or expense report(s) required to be filed pursuant to Pennsylvania’s lobbying disclosure law, 65 Pa.C.S. § 13A01 et seq., hereinafter referred to as the “Lobbying Disclosure Law.” The Investigative Division initiated these proceedings by filing with the State Ethics Commission and serving upon Respondent a Notice of Alleged Noncompliance. The Respondent did not file an Answer, Appeal, or other Request for Hearing. A hearing was held at the request of the Investigative Division. A Stipulation of Findings and a Consent Agreement waiving any further evidentiary hearing 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. 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), 21.29 (d)-(f), and 63.4(19). O’Connell, 09-002-L Page 2 I. FINDINGS: 1. On July 10, 2007, Respondent filed with the Pennsylvania Department of State a registration statement as a lobbyist, indicating that he commenced lobbying on July 1, 2007. 2. Within Respondent’s July 10, 2007, registration statement filing, Respondent identified himself as a lobbyist and provided an address of 1018 Carlisle St., Natrona Heights, PA 15065. a. Respondent is deemed to be a lobbyist. 3. Respondent is not an attorney at law. 4. Respondent’s registration statement was deficient in that Respondent failed to pay the requisite registration fee of $100.00 and failed to submit a photograph, as required under Sections 13A04 and 13A10 of the Lobbying Disclosure Law, 65 Pa.C.S. §§ 13A04, 13A10. 5. By Warning Notice letter dated June 5, 2009, Respondent was served with Notice in accordance with Section 13A09 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09, and Section 63.4(1) of the Lobbying Disclosure Regulations, 51 Pa. Code § 63.4(1), of the specific allegations that Respondent filed a deficient registration statement with the Pennsylvania Department of State when, as a lobbyist, Respondent failed to provide the requisite registration fee of $100.00 and failed to submit a photograph to the Department of State. 6. Said Warning Notice letter set forth the nature of the alleged noncompliance and the potential administrative and criminal penalties for failing to register. 7. Said Warning Notice letter provided Respondent an opportunity to cure the alleged noncompliance and avoid the institution of proceedings as to alleged noncompliance by providing the requisite registration fee of $100.00 and submitting a photograph to the Department of State within thirty (30) days from the mailing date of the Warning Notice letter. a. Respondent failed to provide the requisite registration fee of $100.00 and submit a photograph to the Department of State so as to comply with the specific requirements of the Lobbying Disclosure Law within the 30 days provided by the Notice letter of June 5, 2009. 8. Respondent’s failure to register in compliance with the requirements of the Lobbying Disclosure Law was negligent in nature. II. DISCUSSION: Respondent Michael O’Connell (“O’Connell”) is an individual who, on July 10, 2007, filed with the Pennsylvania Department of State (“Department”) a lobbyist registration statement indicating that he was a lobbyist and that he had commenced lobbying on July 1, 2007. Based upon the Stipulated Findings and Consent Agreement, O’Connell was a lobbyist subject to the requirements for filing a full and complete lobbyist registration statement for lobbying that commenced July 1, 2007, but he failed to do so by failing to pay the requisite registration fee of $100.00 and failing to submit a photograph of himself in compliance with Sections 13A04 and 13A10 of the Lobbying Disclosure Law. Sections 13A04 and 13A10 of the Lobbying Disclosure Law provide, in pertinent part: O’Connell, 09-002-L Page 3 § 13A04. Registration. (a) General rule.-- Unless excluded under section 13A06 (relating to exemption from registration and reporting), a lobbyist, lobbying firm or a principal must register with the department within ten days of acting in any capacity as a lobbyist, lobbying firm or principal. Registration shall be biennial and shall begin January 1, 2007. . . . (c) Lobbyist.-- A lobbyist who is required to register under subsection (a) shall file a single registration statement setting forth the following information with the department: . . . (5) A recent photograph of the lobbyist. . . . 65 Pa.C.S. § 13A04(a), (c)(5). § 13A10. Registration fees; fund established; system; regulations. (a) Registration fees.-- At the time of registration, a person required to be registered under this chapter shall pay a biennial registration fee of $100 to the department. 65 Pa.C.S. § 13A10(a). The Lobbying Disclosure Regulations, 51 Pa. Code § 51.1 et seq., similarly require a lobbyist registering under the Lobbying Disclosure Law to pay a biennial filing fee of $100.00 to the Department (51 Pa. Code § 53.1(a)), and to submit a recent passport-sized photograph of the lobbyist to the Department (51 Pa. Code § 53.4(d)(2)), and further provide: “A lobbyist will not be considered registered until the completed registration statement, the biennial filing fee and a photograph of the lobbyist, in proper form as required by the act and this section, are received by the Department.” 51 Pa. Code § 53.4(j). Section 13A09(c) of the Lobbying Disclosure Law provides, in pertinent part: § 13A09. Penalties. (c) Negligent failure to register or report.— (1) Negligent failure to register or report as required by this chapter is punishable by an administrative penalty not exceeding $50 for each late day. (2) After a hearing under subsection (b), the commission may, upon the majority vote of all of its members, levy an administrative penalty. The total amount of the administrative penalty levied shall not be limited by any other provision of law. O’Connell, 09-002-L Page 4 65 Pa.C.S. § 13A09(c)(1)-(2). An application of Section 13A09(c) to this case establishes that this Commission has the discretion to levy a maximum administrative penalty against O’Connell. The prerequisite service of a warning notice in accordance with Section 63.4(1) of the Lobbying Disclosure Regulations, 51 Pa. Code § 63.4(1), was satisfied. O’Connell did not remedy the failure to comply with the Lobbying Disclosure Law although given a grace period following the issuance of the warning notice in which to do so. The Investigative Division then instituted formal proceedings against O’Connell by filing with this Commission and serving upon O’Connell a Notice of Alleged Noncompliance. O’Connell did not file an Answer, Appeal, or other Request for Hearing. A hearing was held at the request of the Investigative Division, and the parties subsequently filed a Stipulation of Findings and Consent Agreement. The parties propose that this case be resolved by: (1) this Commission finding that O’Connell filed a deficient registration statement on July 10, 2007, for the time period of January 1, 2007, through December 31, 2008, when he failed to pay the requisite registration fee of $100.00 and failed to submit a photograph of himself in compliance with Sections 13A04 and 13A10 of the Lobbying Disclosure Law; (2) O’Connell submitting the $100.00 registration fee and recent passport-sized photograph of himself; and (3) O’Connell making payment of an administrative penalty in the amount of $2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission within 30 days of the issuance date of the Order in this matter. Consent Agreement, at 1-2. We believe that the Consent Agreement is the 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 O’Connell has now submitted the $100.00 registration fee and recent passport-sized photograph of himself through this Commission. We hold that O’Connell filed a deficient registration statement on July 10, 2007, for the time period of January 1, 2007, through December 31, 2008, when he failed to pay the requisite registration fee of $100.00 and failed to submit a photograph of himself in compliance with Sections 13A04 and 13A10 of the Lobbying Disclosure Law. We hereby levy one administrative penalty against O’Connell in the total amount of $2,500.00 for his deficient registration statement filed for the time period of January 1, 2007, through December 31, 2008. O’Connell is directed to make payment in the amount of $2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission by no later than the th thirtieth (30) day after the mailing date of this adjudication and Order. Compliance with the foregoing will result in the closing of this case with no further action by this Commission. Noncompliance will result in the institution of an order enforcement action. III. CONCLUSIONS OF LAW: 1. Respondent Michael O’Connell (“O’Connell”) was a lobbyist subject to the requirements of Pennsylvania’s lobbying disclosure law, 65 Pa.C.S. § 13A01 et seq. (“Lobbying Disclosure Law”), for filing a full and complete lobbyist registration statement for lobbying that commenced July 1, 2007. 2. O’Connell filed a deficient registration statement on July 10, 2007, for the time O’Connell, 09-002-L Page 5 period of January 1, 2007, through December 31, 2008, when he failed to pay the requisite registration fee of $100.00 and failed to submit a photograph of himself in compliance with Sections 13A04 and 13A10 of the Lobbying Disclosure Law, 65 Pa.C.S. §§ 13A04, 13A10. 3. The prerequisite service of a warning notice in accordance with Section 63.4(1) of the Lobbying Disclosure Regulations, 51 Pa. Code § 63.4(1), was satisfied. 4. Based upon the totality of the circumstances in this case, the imposition of one administrative penalty in the total amount of $2,500.00 is warranted. IN RE: Michael O’Connell, : File Docket: 09-002-L Respondent : Date Decided: 3/25/10 : Date Mailed: 4/9/10 ORDER NO. 001-SL 1. As a lobbyist subject to the requirements of Pennsylvania’s lobbying disclosure law, 65 Pa.C.S. § 13A01 et seq. (“Lobbying Disclosure Law”), Michael O’Connell (“O’Connell”) filed a deficient registration statement on July 10, 2007, for the time period of January 1, 2007, through December 31, 2008, when he failed to pay the requisite registration fee of $100.00 and failed to submit a photograph of himself in compliance with Sections 13A04 and 13A10 of the Lobbying Disclosure Law, 65 Pa.C.S. §§ 13A04, 13A10. 2. This Commission hereby levies one administrative penalty against O’Connell in the total amount of $2,500.00 for his deficient registration statement filed for the time period of January 1, 2007, through December 31, 2008. O’Connell is directed to make payment in the amount of $2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics Commission by no th later than the thirtieth (30) day after the mailing date of this Order. 3. Compliance with Paragraph 2 of this Order will result in the closing of this case with no further action by this Commission. a. Non-compliance will result in the institution of an order enforcement action. BY THE COMMISSION, Louis W. Fryman, Chair