HomeMy WebLinkAbout004-SL International Facilities Group
In Re: International Facilities Group, LLC, : File Docket: 11-002-L
Respondent : X-ref: Order No. 004-SL
: Date Decided: 6/23/11
: Date Mailed: 6/24/11
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
requested by the Investigative Division. A Stipulation of Findings and a Consent
Agreement waiving an 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.
I.ALLEGED NONCOMPLIANCE:
That International Facilities Group, LLC, in its capacity as a principal
registered with the Pennsylvania Department of State pursuant to the Pennsylvania
Lobbying Disclosure Law (65 Pa.C.S. § 13A04), failed to timely file quarterly
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expense reports pursuant to 65 Pa.C.S. § 13A05, for the third (3) and fourth (4)
quarters of 2009.
II.FINDINGS:
1. Respondent is International Facilities Group, LLC (“Respondent”) and is a
registered principal as that term is defined by the Pennsylvania Lobbying
Disclosure Law (“Lobbying Disclosure Law”) Act 134 of 2006, 65 Pa.C.S. § 13A01,
et seq.
a. Respondent originally registered as a principal with the Department of State
on September 25, 2007, for the registration period 1/1/2007 to 12/31/2008,
and filed an amendment on 2/27/2008.
b. Respondent renewed its registration as a principal with the Department of
State for the registration period 1/1/2009 to 12/31/2010.
c. Respondent was assigned registration number P06016.
International Facilities Group, LLC, 11-002-L
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d. In filing its principal registration statements for both registration periods
1/1/2007 to 12/31/2008, and 1/1/2009 to 12/31/2010, Respondent identified
its registered mailing address and daytime telephone number as:
105 W. Adams
Suite 2700
Chicago, IL 60603
(312) 376-3880
e. On the Ownership Information page of the Pennsylvania Department of State
lobbying website, the following name and contact information is listed for
International Facilities Group, L.L.C.:
Dan Polvere
105 W. Adams
Chicago, IL 60603
312-376-3876
dpolvere@ifgroup.cc
f. Respondent’s registration statements indicated that lobbying commenced on
September 15, 2007.
g. Dan Polvere, VP Operations, filed the principal registration statement for
1/1/2009 to 12/31/2010 on behalf of the Respondent.
1. Polvere certified upon the principal registration statement that he is
an employee of the principal, i.e., the Respondent, by way of the
following statement:
By printing or typing my name below, I
acknowledge that I have actual knowledge of the
contents of this form and that I have received,
read and understand the requirements of Act
134 of 2006 relating to lobbying disclosure. I
also consent to receive service of notices, other
official mailings or process at the address, email
or facsimile listed on this form. I affirm that the
information set forth above and in all
attachments is true, correct and complete to the
best of my knowledge, information and belief,
and that this affirmation is being made subject to
18 Pa.C.S. § 4904 (unsworn falsification to
authorities).
I am an Employee of the Principal:
Name: Dan Polvere
Title: VP Operations
2. The Lobbying Disclosure Law, specifically 65 Pa.C.S. § 13A04, states the following
regarding the registration of an entity as a principal:
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International Facilities Group, LLC, 11-002-L
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§ 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.
b. PRINCIPALS AND LOBBYING FIRMS.
1. A principal or lobbying firm required to register under subsection (a)
shall file a single registration statement setting forth the following
information with the department:
i. Name.
ii. Permanent address.
iii. Daytime telephone number.
iv. E-mail address, if available.
v. Name and nature of business.
vi. Name, registration number and acronym of any affiliated
political action committees.
vii. Name and permanent business address of each individual who
will for economic consideration engage in lobbying on behalf of
the principal or lobbying firm.
viii. Registration number when available.
****
d. AMENDMENTS.--
1. If there is a change of information required for the registration
statement under subsection (b)(1) or (2) or (c), an amended
registration statement shall be filed with the department within 14
days after the change occurs.
2. When there is a change in information required for the registration
statement under subsection (b)(3), an amended registration statement
shall be filed with the department within 14 days of the end of the
year in which the change occurs.
65 Pa.C.S. § 13A04(a), (b)(1), (d).
3. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations
provide further information in relation to registration periods and reporting periods:
§ 51.3. Registration periods and reporting periods.
a. Registration under section 13A04 of the act (relating to registration) shall be
biennial. The first registration period which commenced January 1, 2007,
continues through December 31, 2008. Subsequent registrations shall
commence on January 1 of each odd numbered year.
51 Pa. Code § 51.3(a).
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4. Greenlee Partners, LLC, is listed as the lobbying firm for International Facilities
Group, LLC, on the International Facilities Group, LLC, registration form for the
registration period 1/1/2009 to 12/31/2010, with an affiliated start date of 9/15/2007.
5. Greenlee Partners, LLC, is an entity registered with the Pennsylvania Department
of State as a lobbying firm.
a. Greenlee Partners, LLC, originally registered as a lobbying firm with the
Department of State on January 12, 2007.
b. Greenlee Partners, LLC, was assigned identification number “F01718” by the
Department of State.
6. Diane Acri, Esq., is a lobbyist affiliated with Greenlee Partners, LLC.
a. Acri registered as a lobbyist with the Department of State on January 12,
2007.
1. Acri is assigned lobbyist registration number “L00502.”
2. Acri identified “International Facilities Group, LLC” as a lobbying firm
with which she maintains a relationship on her Department of State
lobbyist registration.
3. International Facilities Group, LLC, likewise identified Acri as an
individual lobbying on the lobbying firm’s behalf on its Department of
State lobbying firm registration.
4. Acri listed her affiliated start date with International Facilities Group,
LLC, as 9/15/2007, and the affiliated end date with International
Facilities Group, LLC, as 5/31/2009.
7. Section 13A05 of the Lobbying Disclosure Law sets forth, in part, the following
requirements for the contents of quarterly reporting forms filed by principals.
§ 13A05. Reporting.
(a) GENERAL RULE.-- A registered principal shall, under oath or affirmation, file
quarterly expense reports with the department no later than 30 days after the
last day of the quarter.
(b) CONTENT.--
(1) Each expense report must list the names and registration numbers
when available of all lobbyists by whom lobbying is conducted on
behalf of the principal and the general subject matter or issue being
lobbied.
(2) Each expense report shall include the total costs of all lobbying for
the period. The total shall include all office expenses, personnel
expenses, expenditures related to gifts, hospitality, transportation and
lodging to State officials or employees, and any other lobbying costs.
The total amount reported under this paragraph shall be allocated in
its entirety among the following categories:
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(i) The costs for gifts, hospitality, transportation and lodging given
to or provided to State officials or employees or their
imme-diate families.
(ii) The costs for direct communication.
(iii) The costs for indirect communication.
(iv) Expenses required to be reported under this subsection shall
be allocated to one of the three categories listed under this
section and shall not be included in more than one category.
65 Pa.C.S. § 13A05(a), (b)(1)-(2).
8. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations
provide further instructions in relation to registration periods and reporting periods:
§ 51.3. Registration periods and reporting periods.
(b) Reporting under section 13A05 of the act (relating to reporting) shall be
quarterly within each calendar year: for January through March; April
through June; July through September; and October through December.
Quarterly expense reports shall be filed on or before the 30th day after the
quarterly reporting period ends.
51 Pa. Code § 51.3(b).
9. As a principal, Respondent is required to file, under oath or affirmation, quarterly
expense reports with the Department of State no later than thirty (30) days after the
last day of the quarter.
10. Section 13A05 of the Lobbying Disclosure Law additionally sets forth the threshold
with regard to reporting expenditures:
(d) THRESHOLDS FOR REPORTING.-- An expense report
required under this section shall be filed when total expenses
for lobbying exceed $2,500 for a registered principal in a
reporting period. In a reporting period in which total expenses
are $2,500 or less, a statement to that effect shall be filed.
65 Pa.C.S. § 13A05(d).
11. Section 13A03 of the Lobbying Disclosure Law defines the following terms:
“LOBBYING.”
An effort to influence legislative action or administrative
action in this Commonwealth. The term includes:
(1) direct or indirect communication;
(2) office expenses; and
(3) providing any gift, hospitality, transportation or lodging to a State
official or employee for the purpose of advancing the interest of the
lobbyist or principal.
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“LEGISLATIVE ACTION.”
An action taken by a State official or employee
involving the preparation, research, drafting, introduction, consideration,
modification, amendment, approval, passage, enactment, tabling,
postponement, defeat or rejection of:
(1) legislation;
(2) legislative motions;
(3) a veto by the Governor; or
(4) confirmation of appointments by the Governor or appointments to
public boards or commissions by a member of the General Assembly.
“LEGISLATION.”
Bills, resolutions, amendments and nominations pending
or proposed in either the Senate or the House of Representatives. The term
includes any other matter which may become the subject of action by either
chamber of the General Assembly.
“DIRECT COMMUNICATION.”
An effort, whether written, oral or by any
other medium, made by a lobbyist or principal, directed to a State official or
employee, the purpose or foreseeable effect of which is to influence
legislative action or administrative action. The term may include personal
expenses and offices expenses.
65 Pa.C.S. § 13A03.
12. Respondent was aware that it was required to file quarterly expense reports, as it
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filed such reports for the third (3) and fourth (4) quarters of 2007, all of 2008, and
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the first (1) and second (2) quarters of 2009.
13. Despite having filed quarterly expense reports in the past, Respondent failed to file
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quarterly expense reports for the third (3) quarter of 2009 by October 30, 2009, or
th
*
the fourth (4) quarter of 2009 by January 30, 2010.
*
[Because January 30, 2010, was a Saturday, the filing deadline for the fourth
quarter 2009 quarterly expense reports would have been the following
Commonwealth business day (51 Pa. Code § 51.2).]
14. No termination of lobbying registration is on file for Respondent.
15. The Regulations promulgated under the Lobbying Disclosure Law specifically
provide the following in relation to a delinquent filing:
§ 51.4. Delinquency.
(a) A registration statement or report required to be filed under section 13A04 or
13A05 of the act (relating to registration; and reporting) is delinquent if not
received by the Department on the date due as follows:
(1) Hard copy filings must be received by 5 p.m. in the office. For
quarterly expense reports, from 5 p.m. until 12 a.m. midnight, a hard
copy filing may be filed with the Department's designee. The filing
location and the Department's designee will be on the Department's
web site.
(2) Electronic filings may be filed until 12 a.m. midnight.
International Facilities Group, LLC, 11-002-L
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(b) A failure to timely file a registration statement, a quarterly expense report, a
separate expense report, a notice of termination or an amendment to one of
these filings constitutes a failure to register or report as required by the act;
delinquency continues until the filing is received by the Department in proper
form.
51 Pa. Code § 51.4(a)-(b).
16. [With respect] to the filing requirements of quarterly expense reports, the
Regulations read, in part:
§ 55.1. Quarterly expense reports.
(a) A quarterly expense report is required to be filed as set forth in this section
when the total lobbying expenses of a registered principal, registered
lobbying firm or registered lobbyist lobbying on the principal's behalf,
together, exceed $2,500 in a quarterly reporting period. The threshold of
$2,500 includes any economic consideration paid by a principal to a
lobbying firm or lobbyist for lobbying. Individuals exempt under section
13A06 of the act (relating to exemption from registration and reporting) need
not register or report.
(b) For a quarterly reporting period in which the total lobbying expenses of a
registered principal, registered lobbying firm or registered lobbyist lobbying
on the principal's behalf, together, are $2,500 or less, a statement to that
effect shall be filed with the Department by checking the appropriate block
on the quarterly expense report form.
****
(d) The principal shall file a quarterly expense report or statement of failure to
meet the reporting threshold on or before the 30th day after the quarterly
reporting period ends.
****
(g) A quarterly expense report of a principal required to be registered under the
act must include at least the following information:
(3) The total costs of all lobbying for the period. The total must include all
office expenses, personnel expenses, expenditures related to gifts,
hospitality, transportation and lodging to State officials or employees,
and any other lobbying costs.
(i) The total amount reported under this paragraph shall be
allocated in its entirety among the following categories:
(A) The costs for gifts, hospitality, transportation and
lodging given to or provided to State officials or
employees or their immediate families.
(B) The costs for direct communication.
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(C) The costs for indirect communication.
(ii) Registrants shall use a good faith effort to allocate expenses
required to be reported under this subsection to one of the
three categories listed herein. A given expense may not be
included in more than one category. . . .
51 Pa. Code § 55.1(a), (b), (d), (g)(3).
17. By Warning Notice letter dated June 21, 2010, Respondent was served with Notice
in accordance with Section 13A09 of the Lobbying Disclosure Law and Section
63.4(1) of the Lobbying Disclosure Regulations of the specific allegations that
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Respondent failed to file quarterly expense reports for the third (3) and fourth (4)
quarters of 2009.
a. Said Warning Notice was forwarded to:
International Facilities Group, L.L.C.
P06016
105 W. Adams, Suite 2700
Chicago, IL 60603
b. This is the same address as listed on Respondent’s principal registration
statement.
c. By submitting the principal registration statement, Respondent consented to
receipt of service of notices, other official mailings or process, at the address
listed on the registration statement.
18. Said Warning Notice letter set forth the nature of the alleged noncompliance and
the administrative and criminal penalties for failing to register.
19. Said Warning Notice letter provided Respondent an opportunity to cure the alleged
noncompliance and avoid the institution of these proceedings as to alleged
noncompliance by filing quarterly expense reports for the time period covering the
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third (3) and fourth (4) quarters of 2009 with the Department of State within thirty
(30) days from the mailing date of the Warning Notice letter.
20. In addition to serving Respondent with a Warning Notice letter, the State Ethics
Commission took the following additional steps in contacting Respondent in an
attempt to resolve Respondent’s noncompliance:
a. On August 30, 2010, Cynthia A. Lynch (“Lynch”), Director for Administration
for the State Ethics Commission, contacted Diane Acri (“Acri”) of Greenlee
Partners to request that Greenlee Partners assist the State Ethics
Commission in resolving Respondent’s noncompliance.
b. Between August 30, 2010, and September 8, 2010, Acri attempted to reach
her contact at International Facilities Group by leaving several voice/email
messages, but was unsuccessful.
c. Lynch emailed Dan Polvere and Michael Reinsdorf, Managing Member, both
with International Facilities Group, LLC, on September 30, 2010, and
received confirmations that her email messages had been read.
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d. On October 5, 2010, Lynch spoke with Kevin Green, Executive Vice
President of International Facilities Group, LLC, who indicated that he would
be in Harrisburg on October 6, 2010, and would resolve the noncompliance
by the end of the week.
21. The Chief of the Division of Campaign Finance and Lobbying Disclosure conducted
a search of the records of the Department of State, and, as of January 10, 2011, no
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third (3) or fourth (4) quarter 2009 expense reports or notices of termination were
found for International Facilities Group, LLC.
22. On February 7, 2011, the Department of State received Respondent’s outstanding
principal quarterly expense reports, including reports for 2010 that were not the
subject of the June 21, 2010, Warning Notice Letter or the Alleged Notice of
Noncompliance, all of which showed no lobbying expenses having been expended.
a. The Department of State received the following quarterly expense reports:
rd
1. Third (3) quarter 2009.
th
2. Fourth (4) quarter 2009.
st
3. First (1) quarter 2010.
nd
4. Second (2) quarter 2010.
rd
5. Third (3) quarter 2010.
th
6. Fourth (4) quarter 2010.
23. The thirty-day deadline set forth in the said Warning Notice letter to Respondent
expired July 21, 2010, prior to Respondent fully complying with the specific
requirements of the Lobbying Disclosure Law.
24. International Facilities Group, LLC’s representative, Phil Couture, asserts that
International Facilities Group, LLC’s acts of noncompliance set forth in the
Stipulation of Findings were the result of an oversight of one of International
Facilities Group, LLC’s employees and International Facilities Group, LLC’s then
lack of familiarity with the compliance requirements.
III. DISCUSSION:
In the instant matter, the alleged noncompliance is that International Facilities
Group, LLC, (“Respondent”), as a principal registered with the Pennsylvania Department of
State (“Department of State”) pursuant to the Lobbying Disclosure Law, failed to timely file
quarterly expense reports pursuant to 65 Pa.C.S. § 13A05 for the third and fourth quarters
of 2009.
The relevant provisions of the Lobbying Disclosure Law are set forth in the Fact
Findings above. Certain relevant provisions of the Lobbying Disclosure Regulations, 51
Pa. Code § 51.1 et seq., are also set forth in the Fact Findings.
As noted above, the parties have submitted a Consent Agreement and Stipulation of
Findings. The parties' Stipulated Findings are set forth above as the Findings of this
International Facilities Group, LLC, 11-002-L
Page 11
Commission. We shall now summarize the relevant facts as contained therein.
Respondent originally registered as a principal with the Department of State on
September 25, 2007, for the registration period January 1, 2007, to December 31, 2008.
Respondent renewed its registration with the Department of State for the registration
period January 1, 2009, to December 31, 2010. Respondent was assigned registration
number “P06016.”
Pursuant to Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05,
and Section 51.3 of the Lobbying Disclosure Regulations, 51 Pa. Code § 51.3, expense
reports are filed on a quarterly basis. When a registered principal’s total expenses for
lobbying exceed $2,500 for a reporting period/quarter, the principal is required to file a
quarterly expense report with the Department of State by no later than 30 days after the
last day of such quarter. For a reporting period in which total expenses are $2,500 or less,
a statement to that effect must be filed by the principal. Thus, a registered principal must
file either a quarterly expense report or a statement of failure to meet the reporting
threshold by no later than the 30th day after each quarterly reporting period ends. 51 Pa.
Code § 55.1.
Respondent was aware that it was required to file quarterly expense reports, as it
filed such reports for the third and fourth quarters of 2007, all of 2008, and the first and
second quarters of 2009. Despite having filed quarterly expense reports in the past,
Respondent failed to file quarterly expense reports for the third and fourth quarters of 2009
by the respective filing deadlines. No termination of lobbying registration is on file for
Respondent.
Failure to timely file a quarterly expense report constitutes a failure to report as
required by the Lobbying Disclosure Law, and the delinquency continues until the filing is
received by the Department of State in proper form. 51 Pa. Code § 51.4.
By Warning Notice letter dated June 21, 2010, Respondent was served with notice
of the alleged noncompliance in accordance with Section 63.4(1) of the Lobbying
Disclosure Regulations, 51 Pa. Code § 63.4(1). The Warning Notice letter provided
Respondent an opportunity to cure the alleged noncompliance and avoid the institution of
these proceedings by filing quarterly expense reports for the third and fourth quarters of
2009 with the Department of State within thirty (30) days from the mailing date of the
Warning Notice letter.
In addition to serving Respondent with a Warning Notice letter, additional efforts
were made by Commission staff in an attempt to resolve Respondent’s noncompliance, as
detailed in Fact Finding 20.
On February 7, 2011, Respondent filed quarterly expense reports for the third and
fourth quarters of 2009. Respondent has also filed quarterly expense reports for all
quarters of 2010. (Fact Finding 22a).
Negligent failure to register or report as required by the Lobbying Disclosure Law is
punishable by an administrative penalty of up to $50.00 for each late day. 65 Pa.C.S. §
13A09(c)(1). Per the Consent Agreement, the parties are in agreement that Respondent’s
expense reports for the third and fourth quarters of 2009 were a total of 231 days
delinquent.
Having highlighted the Stipulated Findings and issues before us, we shall now apply
the Lobbying Disclosure Law to determine the proper disposition of this case.
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The parties' Consent Agreement sets forth a proposed resolution of the allegations
as follows:
3. The Investigative Division will recommend the following
conclusions in relation to the above deficiencies:
a. That International Facilities Group, LLC, in its capacity
as a Principal registered with the Pennsylvania
Department of State pursuant to the Pennsylvania
Lobbying Disclosure Law (65 Pa.C.S. §13A04), failed to
timely file Quarterly Expense Reports pursuant [to] 65
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Pa.C.S. § 13A05, for the Third (3) and Fourth (4)
Quarters of 2009.
b. That the transgressions of the Lobbying Disclosure Law
outlined in paragraph (a) above are deemed to be
negligent in nature.
c. International Facilities Group, LLC was deficient in filing
its Quarterly Expense Reports for calendar year 2009
by a total of 231 days, calculated as set forth below:
i. Respondent received official Notice of the
delinquent quarterly expense reports by way of
Warning Notice dated June 21, 2010;
ii. Respondent did not file the outstanding
Quarterly expense reports for calendar year
2009 within the stated cure period;
iii. Respondent filed all delinquent Quarterly
expense reports with the Pennsylvania
Department of State for calendar year 2009 on
February 7, 2011;
iv. For purposes of this Consent Agreement only,
the delinquent period was calculated from the
date of mailing of the Warning Notice (June 21,
2010), until the actual date of filing of the
delinquent Quarterly Expense Reports with the
Pennsylvania Department of State (February 7,
2011), said period being two hundred and thirty-
one (231) days.
4. International Facilities Group, LLC agrees to pay an
administrative penalty, by way of certified check or money
order, in the amount of $6,930.00 (231 days x $30 per diem) in
settlement of this matter, payable to the Commonwealth of
Pennsylvania, and forwarded to the Pennsylvania State Ethics
Commission upon execution of this agreement.
a. Said settlement payment (certified check or money
order) is to be held by the Investigative Division until
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such time as the Commission accepts this Consent
Agreement and issues a Final Order. Upon issuance of
the Final Order of this matter by the Commission, the
Investigative Division will submit said settlement
payment for deposit into the Treasury of the
Commonwealth.
5. To the extent it has not already done so, International
Facilities Group, LLC agrees to file all outstanding Quarterly
Expense Reports for the Quarter(s) that said entity was/is
Registered as a Principal with the Pennsylvania Department of
State, within fifteen (15) days of the execution of this
agreement.
a. International Facilities Group, LLC agrees to timely file
all future Quarterly Expense Reports for the Quarter(s)
that said entity is/remains a Registered Principal with
the Pennsylvania Department of State, in accord with
the Pennsylvania Lobbying Disclosure Law (65 Pa.C.S.
§13A01 et seq.) and the Regulations of the Lobbying
Disclosure Law (51 Pa. Code. §51.1 et seq.)
6. The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter; impose no
further sanctions and make no specific recommendations to
any law enforcement or other authority to take action in this
matter as to either International Facilities Group, LLC, or any
individual or representative of International Facilities Group,
LLC. Such, however, does not prohibit the Commission from
initiating appropriate enforcement actions in the event of
Respondent’s failure to comply with this agreement or the
Commission’s Order or cooperating with any other authority
who may so choose to review this matter further.
Consent Agreement, at 1-3.
In considering the Consent Agreement and Stipulation of Findings, we agree with
the parties that Respondent as a registered principal failed to timely file quarterly expense
reports with the Department of State for the third and fourth quarters of 2009 as required
by Section 13A05 of the Lobbying Disclosure Law.
Accordingly, we hold that that Respondent as a registered principal failed to timely
file quarterly expense reports with the Department of State for the third and fourth quarters
of 2009 as required by Section 13A05 of the Lobbying Disclosure Law. We shall accept
the recommendation of the parties for a determination that the transgressions of the
Lobbying Disclosure Law outlined immediately above are deemed to be negligent in
nature.
The parties have agreed that Respondent was delinquent in filing its quarterly
expense reports for the third and fourth quarters of 2009 by a total of 231 days.
As part of the Consent Agreement, Respondent agreed to pay an administrative
penalty in the total amount of $6,930.00 (231 days x $30.00 per day) in settlement of this
matter, payable to the Commonwealth of Pennsylvania and forwarded to this Commission
International Facilities Group, LLC, 11-002-L
Page 14
upon execution of the Consent Agreement. The Consent Agreement provided that said
settlement payment would be held by the Investigative Division until this Commission
would accept the Consent Agreement and issue a final Order, whereupon the Investigative
Division would submit said settlement payment for deposit into the Treasury of the
Commonwealth.
To the extent it had not already done so, Respondent further agreed to file all
outstanding quarterly expense reports for the quarter(s) that Respondent had been
registered as a principal with the Department of State, within fifteen (15) days of the
execution of the Consent Agreement.
The Consent Agreement was fully executed as of March 8, 2011.
Respondent also agreed to timely file all future quarterly expense reports for the
quarter(s) that it is/remains a registered principal with the Department of State, in
accordance with the Lobbying Disclosure Law and the Lobbying Disclosure Regulations.
We determine that the Consent Agreement submitted by the parties sets forth a
proper disposition for this case, based upon our review as reflected in the above analysis
and the totality of the facts and circumstances. Accordingly, we approve the Consent
Agreement that has been submitted by the parties.
This Commission hereby levies one administrative penalty against Respondent
International Facilities Group, LLC, in the total amount of $6,930.00 for its delinquent
quarterly expense reports for the third and fourth quarters of 2009.
We take administrative notice that Respondent has already made payment of the
aforesaid administrative penalty in the total amount of $ 6,930.00 through this Commission
to the Commonwealth of Pennsylvania, as per the Consent Agreement of the parties. Per
Fact Finding 22a, Respondent has filed quarterly expense reports for the third and fourth
quarters of 2009 as well as all quarters of 2010. We further take administrative notice that
per the Department of State’s web site, Respondent’s principal registration expired as of
December 31, 2010.
As for Respondent’s agreement to file all future quarterly expense reports in
accordance with the Lobbying Disclosure Law and the Lobbying Disclosure Regulations,
we note that failure to do so may result in further proceedings before this Commission.
In that Respondent has already made payment of the aforesaid administrative
penalty in the total amount of $ 6,930.00 in accordance with the Consent Agreement of the
parties, and has now filed quarterly expense reports for the third and fourth quarters of
2009 and all quarters of 2010, this case is closed.
IV.CONCLUSIONS OF LAW:
1. As a principal registered with the Pennsylvania Department of State (“Department
of State”) under principal registration number “P06016,” International Facilities
Group, LLC, was subject to the reporting requirements of Section 13A05 of
Pennsylvania’s lobbying disclosure law (“Lobbying Disclosure Law”), 65 Pa.C.S. §
13A05.
2. International Facilities Group, LLC, in its capacity as a registered principal, failed to
timely file quarterly expense reports with the Department of State for the third and
fourth quarters of 2009 as required by Section 13A05 of the Lobbying Disclosure
International Facilities Group, LLC, 11-002-L
Page 15
Law, 65 Pa.C.S. § 13A05.
3. The transgressions of the Lobbying Disclosure Law outlined in paragraph 2
immediately above are deemed to be negligent in nature.
4. 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.
5. Based upon the totality of the circumstances in this case, the imposition of an
administrative penalty in the total amount of $6,930.00 (231 days x $30.00 per day)
is warranted.
In Re: International Facilities Group, LLC, : File Docket: 11-002-L
Respondent : Date Decided: 6/23/11
: Date Mailed: 6/24/11
ORDER NO. 004-SL
1. International Facilities Group, LLC, in its capacity as a principal registered with the
Pennsylvania Department of State (“Department of State”) under principal
registration number “P06016,” failed to timely file quarterly expense reports with the
Department of State for the third and fourth quarters of 2009 as required by Section
13A05 of Pennsylvania’s lobbying disclosure law (“Lobbying Disclosure Law”), 65
Pa.C.S. § 13A05.
2. The transgressions of the Lobbying Disclosure Law outlined in paragraph 1
immediately above are deemed to be negligent in nature.
3. This Commission hereby levies one administrative penalty against International
Facilities Group, LLC, in the total amount of $6,930.00 for its delinquent quarterly
expense reports for the third and fourth quarters of 2009.
4. In that International Facilities Group, LLC, has already made payment of the
aforesaid administrative penalty in the total amount of $6,930.00 in accordance with
the Consent Agreement of the parties, and has now filed quarterly expense reports
for the third and fourth quarters of 2009 and all quarters of 2010, no further action is
required in this case and this case is closed.
BY THE COMMISSION,
___________________________
Louis W. Fryman, Chair