HomeMy WebLinkAbout106-SL Green Building Alliance
In Re: Green Building Alliance, : File Docket: 15-011-L
Respondent : X-ref: Order No. 106-SL
: Date Decided: 10/7/15
: Date Mailed: 10/28/15
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Kathryn Streeter Lewis
Maria Feeley
Melanie DePalma
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency and/or deficiency of 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 Green Building Alliance (hereinafter also
referred to as “Respondent”) a Notice of Alleged Noncompliance. An
Answer/Appeal/Request for Hearing was filed and a hearing was held. The record is
complete.
I.ALLEGED NONCOMPLIANCE:
That Respondent, 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), negligently failed to timely file a quarterly expense report
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pursuant to 65 Pa.C.S. § 13A05, for the fourth (4) quarter of 2014.
II. FINDINGS:
A. Pleadings
1. Respondent is Green Building Alliance (“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 initially registered as a principal with the Department of State on
January 19, 2007, for the registration period January 1, 2007, through
December 31, 2008.
(1) Respondent’s registration statement indicates that lobbying
commenced on January 9, 2007.
b. Respondent was registered as a principal with the Department of State for all
registration periods thereafter, specifically, for the 2009-2010, 2011-2012,
2013-2014, and 2015-2016 registration periods (see, Fact Findings 14 e-h,
23-26).
Green Building Alliance, 15-011-L
Page 2
2. Respondent filed a principal registration statement with the Pennsylvania
Department of State for the registration period January 1, 2013, through December
31, 2014.
a. By registering with the Department of State, Respondent consented to
receive service of notices, other official mailings, or process at the address
listed on the registration statement.
b. Respondent was assigned the principal registration number “P00829.”
c. In filing its principal registration, Respondent identified its registered mailing
address as:
333 East Carson St.
Ste. 331
Pittsburgh, PA 15219
3. As a registered principal, Respondent has been required to file either a quarterly
expense report or a statement of failure to meet the reporting threshold for each
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quarter it has been registered as a principal, by no later than the 30 day after each
quarterly reporting period has ended. 65 Pa.C.S. § 13A05(a), (d); 51 Pa. Code §
55.1(d).
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4. Respondent filed quarterly expense reports for each quarter from the first (1)
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quarter of 2007 through the third (3) quarter of 2014. Respondent filed a quarterly
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expense report for the third (3) quarter of 2014 on December 9, 2014.
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5. Respondent did not file a fourth (4) quarter 2014 expense report/statement of
failure to meet the reporting threshold by the January 30, 2015, filing deadline.
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6. The first day on which Respondent’s fourth (4) quarter 2014 expense
report/statement of failure to meet the reporting threshold was delinquent was
January 31, 2015.
7. By Warning Notice letter dated March 4, 2015, 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 a quarterly expense report for the fourth (4) quarter of
2014.
a. Said Warning Notice was mailed to:
Green Building Alliance
333 East Carson Street
Suite 331
Pittsburgh, PA 15219
8. Said Warning Notice letter set forth the nature of the alleged noncompliance and
the administrative and criminal penalties for failing to file.
9. 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 a quarterly expense report for the time period covering the
Green Building Alliance, 15-011-L
Page 3
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fourth (4) quarter of 2014 with the Department of State within thirty (30) days from
the mailing date of the Warning Notice letter.
10. The 30-day deadline set forth in the aforesaid Warning Notice letter to Respondent
expired with Respondent failing to comply with the specific requirements of the
Lobbying Disclosure Law.
11. The Chief of the Division of Campaign Finance and Lobbying Disclosure conducted
a search of the Department of State’s records, and as of April 17, 2015, no fourth
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(4) quarter 2014 expense report was found to have been filed with the Department
of State for Green Building Alliance.
12. As of the date of the filing of the instant Notice of Alleged Noncompliance (April 30,
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2015), Respondent’s expense report for the fourth (4) quarter of 2014 was a total
of ninety (90) days delinquent.
13. There are no mitigating circumstances concerning Respondent’s failure to timely file
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the fourth (4) quarter 2014 expense report.
B. Testimony
14. Tricia Malehorn (“Ms. Malehorn”) is employed as the Chief of Campaign Finance
and Lobbying Disclosure for the Pennsylvania Department of State (“Department of
State”), having served in that capacity since 2011.
a. Ms. Malehorn is the custodian of records for the Department of State’s
Division of Lobbying Disclosure.
b. Ms. Malehorn is in charge of collecting and maintaining the registration
statements and expense reports filed with the Department of State pursuant
to the Lobbying Disclosure Law.
c. ID 69-1 – ID 69-2 is a document maintained by the Department of State in
the regular course of business which records various information regarding
the principal registration statements filed with the Department of State by
Green Building Alliance (see, Fact Finding 34).
d. Green Building Alliance submitted its first principal registration statement to
the Department of State on January 19, 2007 (see, Fact Finding 34 a).
(1) The registration fee was processed on March 13, 2007 (see, Fact
Finding 34 a(1)).
e. Green Building Alliance submitted its principal registration statement for the
2009-2010 registration period to the Department of State on December 15,
2008 (see, Fact Finding 34 b).
(1) The registration fee was processed on May 19, 2009 (see, Fact
Finding 34 b(1)).
f. Green Building Alliance submitted its principal registration statement for the
2011-2012 registration period to the Department of State (see, Fact Finding
25).
Green Building Alliance, 15-011-L
Page 4
g. Green Building Alliance filed its principal registration statement for the 2013-
2014 registration period with the Department of State on April 25, 2013 (see,
Fact Finding 34 c).
(1) The registration fee was processed on April 25, 2013 (see, Fact
Finding 34 c(1)).
h. Green Building Alliance filed its principal registration statement for the 2015-
2016 registration period with the Department of State on March 3, 2015 (see,
Fact Finding 34 d).
(1) The registration fee was processed on March 3, 2015 (see, Fact
Finding 34 d(1)).
i. A principal’s expense report/statement of failure to meet the reporting
threshold is due 30 days after the close of each quarter.
j. Green Building Alliance had an active principal registration with the
Department of State during the fourth quarter of 2014.
k. The deadline to file a fourth quarter 2014 expense report/statement of failure
to meet the reporting threshold was January 30, 2015.
l. Green Building Alliance filed its fourth quarter 2014 expense report with the
Department of State on May 15, 2015.
m. Green Building Alliance failed to meet additional filing deadlines under the
Lobbying Disclosure Law as follows:
(1) Green Building Alliance filed its fourth quarter 2009 expense report
on June 24, 2010, after the January 30, 2010, filing deadline (ID 46-1
– ID 46-2).
(2) Green Building Alliance filed its second quarter 2012 expense report
on October 15, 2012, after the July 30, 2012, filing deadline (ID 36-1
– ID 36-2).
(3) Green Building Alliance filed its second quarter 2013 expense report
on September 11, 2013, after the July 30, 2013, filing deadline (ID 32-
1 – ID 32-2).
(4) Green Building Alliance filed its first quarter 2014 expense report on
July 7, 2014, after the April 30, 2014, filing deadline (ID 29-1 – ID 29-
2).
(5) Green Building Alliance filed its third quarter 2014 expense report on
December 9, 2014, after the October 30, 2014, filing deadline (ID 27-
1 – ID 27-2).
(6) Green Building Alliance filed its first quarter 2015 expense report on
May 1, 2015, after the April 30, 2015, filing deadline (ID 25-1 – ID 25-
2).
15. Leticia Powell (“Ms. Powell”) is employed as the Administrative Officer of the
Green Building Alliance, 15-011-L
Page 5
Pennsylvania State Ethics Commission, having been employed in that capacity
since 2013.
a. Ms. Powell is the custodian of records for the Warning Notice letters issued
by the Executive Director/Investigative Division of the Pennsylvania State
Ethics Commission to registrants regarding failure to timely file quarterly
expense reports pursuant to the Lobbying Disclosure Law.
b. The Executive Director/Investigative Division of the Pennsylvania State
Ethics Commission issued Warning Notice letters to Green Building Alliance
notifying it of its failure to meet the deadlines for filing quarterly expense
reports/statements of failure to meet the reporting threshold for the following
quarters: (1) fourth quarter of 2009 (ID 19-1 -19-3); (2) second quarter of
2012 (ID 17-1 – 17-3); (3) second quarter of 2013 (ID 16-1 – 16-3); (4) first
quarter of 2014 (ID 15-1 – 15-3); (5) third quarter of 2014 (ID 14-1 – 14-3);
and fourth quarter of 2014 (ID 13-1 – 13-3).
c. The instant Notice of Alleged Noncompliance was served upon Green
Building Alliance by certified mail, as documented by a signed return receipt
(ID 1-27).
16. Mike Schiller (“Mr. Schiller”) is the Chief Executive Officer of Green Building
Alliance.
a. Mr. Schiller testified that Green Building Alliance is a small nonprofit with a
small budget.
b. Mr. Schiller testified that Green Building Alliance did not intentionally fail to
meet deadlines for filing quarterly expense reports/statements of failure to
meet the reporting threshold.
c. Mr. Schiller testified that when Green Building Alliance became aware that it
had to make a filing, it made a filing.
d. Mr. Schiller testified that to the best of his knowledge, Green Building
Alliance has not engaged in any lobbying or political process since 2009.
e. Mr. Schiller testified that Green Building Alliance has learned its lesson and
has put systems in place to do what it is supposed to do going forward.
f. Mr. Schiller stated that he does not think that the purpose of the Lobbying
Disclosure Law is to hurt a nonprofit.
g. Mr. Schiller testified that Green Building Alliance has already incurred costs
in this case.
h. Mr. Schiller testified that a penalty of the nature proposed in this case would
have a significant impact on the ability of Green Building Alliance to serve its
mission.
C. Documents
17. ID 13-1 – ID 13-3 consists of a Warning Notice letter dated March 4, 2015, issued
Green Building Alliance, 15-011-L
Page 6
by the Executive Director/Investigative Division of the State Ethics Commission to
Green Building Alliance, which notified Green Building Alliance that: (a) it had
failed to file a quarterly expense report/statement of failure to meet the reporting
threshold for the fourth quarter of 2014 by the filing deadline; and (b) it had 30 days
in which to cure the alleged non-compliance and avoid the initiation of non-
compliance proceedings and the potential imposition of penalties under the
Lobbying Disclosure Law.
18. ID 14-1 – ID 14-3 consists of a Warning Notice letter dated December 5, 2014,
issued by the Executive Director/Investigative Division of the State Ethics
Commission to Green Building Alliance, which notified Green Building Alliance that:
(a) it had failed to file a quarterly expense report/statement of failure to meet the
reporting threshold for the third quarter of 2014 by the filing deadline; and (b) it had
30 days in which to cure the alleged non-compliance and avoid the initiation of non-
compliance proceedings and the potential imposition of penalties under the
Lobbying Disclosure Law.
19. ID 15-1 – ID 15-3 consists of a Warning Notice letter dated June 4, 2014, issued by
the Executive Director/Investigative Division of the State Ethics Commission to
Green Building Alliance, which notified Green Building Alliance that: (a) it had
failed to file a quarterly expense report/statement of failure to meet the reporting
threshold for the first quarter of 2014 by the filing deadline; and (b) it had 30 days in
which to cure the alleged non-compliance and avoid the initiation of non-
compliance proceedings and the potential imposition of penalties under the
Lobbying Disclosure Law.
20. ID 16-1 – ID 16-3 consists of a Warning Notice letter dated September 4, 2013,
issued by the Executive Director/Investigative Division of the State Ethics
Commission to Green Building Alliance, which notified Green Building Alliance that:
(a) it had failed to file a quarterly expense report/statement of failure to meet the
reporting threshold for the second quarter of 2013 by the filing deadline; and (b) it
had 30 days in which to cure the alleged non-compliance and avoid the initiation of
non-compliance proceedings and the potential imposition of penalties under the
Lobbying Disclosure Law.
21. ID 17-1 – ID 17-3 consists of an Amended Warning Notice letter dated October 5,
2012, issued by the Executive Director/Investigative Division of the State Ethics
Commission to Green Building Alliance, which notified Green Building Alliance that:
(a) it had failed to file a quarterly expense report/statement of failure to meet the
reporting threshold for the second quarter of 2012 by the filing deadline; and (b) it
had 30 days in which to cure the alleged non-compliance and avoid the initiation of
non-compliance proceedings and the potential imposition of penalties under the
Lobbying Disclosure Law.
22. ID 19-1 – ID 19-3 consists of a Warning Notice letter dated June 21, 2010, issued
by the Executive Director/Investigative Division of the State Ethics Commission to
Green Building Alliance, which notified Green Building Alliance that: (a) it had
failed to file a quarterly expense report/statement of failure to meet the reporting
threshold for the fourth quarter of 2009 by the filing deadline; and (b) it had 30 days
in which to cure the alleged non-compliance and avoid the initiation of non-
compliance proceedings and the potential imposition of penalties under the
Lobbying Disclosure Law.
23. ID 20-1 – ID 20-2 consists of the principal registration statement filed with the
Green Building Alliance, 15-011-L
Page 7
Department of State by Green Building Alliance for the 2015-2016 registration
period.
24. ID 21-2 consists of the principal registration statement filed with the Department of
State by Green Building Alliance for the 2013-2014 registration period.
25. ID 23-1 – ID 23-2 consists of the principal registration statement filed with the
Department of State by Green Building Alliance for the 2011-2012 registration
period.
26. ID 24-1 – ID 24-2 consists of the principal registration statement filed with the
Department of State by Green Building Alliance for the 2009-2010 registration
period.
27. ID 25-1 – ID 25-2 consists of the first quarter 2015 expense report that was filed
with the Department of State by Green Building Alliance.
a. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
b. This quarterly expense report was filed on May 1, 2015.
28. ID 26-1 – ID 26-2 consists of the fourth quarter 2014 expense report that was filed
with the Department of State by Green Building Alliance.
a. Respondent’s fourth quarter 2014 expense report was filed with the
Department of State by Green Building Alliance on May 15, 2015.
b. Excluding the filing date (May 15, 2015) from the calculation, Respondent’s
quarterly expense report for the fourth quarter of 2014 was delinquent for a
total of 104 days.
c. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
29. ID 27-1 – ID 27-2 consists of the third quarter 2014 expense report that was filed
with the Department of State by Green Building Alliance.
a. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
b. This quarterly expense report was filed on December 9, 2014.
30. ID 29-1 – ID 29-2 consists of the first quarter 2014 expense report that was filed
with the Department of State by Green Building Alliance.
a. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
b. This quarterly expense report was filed on July 7, 2014.
31. ID 32-1 – ID 32-2 consists of the second quarter 2013 expense report that was filed
with the Department of State by Green Building Alliance.
Green Building Alliance, 15-011-L
Page 8
a. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
b. This quarterly expense report was filed on September 11, 2013.
32. ID 36-1 – ID 36-2 consists of the second quarter 2012 expense report that was filed
with the Department of State by Green Building Alliance.
a. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
b. This quarterly expense report was filed on October 15, 2012.
33. ID 46-1 – ID 46-2 consists of the fourth quarter 2009 expense report that was filed
with the Department of State by Green Building Alliance.
a. This quarterly expense report indicated that the total cost of all lobbying for
the period was $0.00.
b. This quarterly expense report was filed on June 24, 2010.
34. ID 69-1 – ID 69-2 is a document maintained by the Department of State in the
regular course of business which records various information regarding the
principal registration statements filed with the Department of State by Green
Building Alliance (see, Fact Finding 14 c).
a. Green Building Alliance submitted its first principal registration statement to
the Department of State on January 19, 2007 (see, Fact Finding 14 d).
(1) The registration fee was processed on March 13, 2007 (see, Fact
Finding 14 d(1)).
b. Green Building Alliance submitted its principal registration statement for the
2009-2010 registration period to the Department of State on December 15,
2008 (see, Fact Finding 14 e).
(1) The registration fee was processed on May 19, 2009 (see, Fact
Finding 14 e(1)).
c. Green Building Alliance filed its principal registration statement for the 2013-
2014 registration period with the Department of State on April 25, 2013 (see,
Fact Finding 14 g).
(1) The registration fee was processed on April 25, 2013 (see, Fact
Finding 14 g(1)).
d. Green Building Alliance filed its principal registration statement for the 2015-
2016 registration period with the Department of State on March 3, 2015 (see,
Fact Finding 14 h).
(1) The registration fee was processed on March 3, 2015 (see, Fact
Finding 14 h(1)).
III. DISCUSSION:
Green Building Alliance, 15-011-L
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In the instant matter, the alleged noncompliance is that Respondent, as a principal
registered with the Pennsylvania Department of State (“Department of State”) pursuant to
the Lobbying Disclosure Law, negligently failed to timely file a quarterly expense report
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pursuant to 65 Pa.C.S. § 13A05 for the fourth (4) quarter of 2014.
We shall now summarize the relevant facts.
Respondent initially registered as a principal with the Department of State on
January 19, 2007, for the registration period January 1, 2007, through December 31, 2008.
Respondent has also been registered as a principal with the Department of State during all
subsequent registration periods, specifically, the 2009-2010, 2011-2012, 2013-2014, and
2015-2016 registration periods. Respondent was assigned the principal registration
number “P00829.”
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
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threshold by no later than the 30 day after each quarterly reporting period ends. 51 Pa.
Code § 55.1(d).
Respondent had an active principal registration with the Department of State during
the fourth quarter of 2014, and Respondent was therefore required to file a quarterly
expense report or a statement of failure to meet the reporting threshold for the fourth
quarter of 2014. Respondent failed to file either a quarterly expense report or a statement
of failure to meet the reporting threshold for the fourth quarter of 2014 by the January 30,
2015, filing deadline.
By Warning Notice letter dated March 4, 2015, 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 a quarterly expense report for the fourth quarter of 2014 with
the Department of State within 30 days of the mailing date of the Warning Notice letter.
Respondent did not file a quarterly expense report for the fourth quarter of 2014 with the
Department of State during the 30-day grace period.
Respondent’s fourth quarter 2014 expense report was delinquent from January 31,
2015, until the form was received by the Department of State on May 15, 2015. See, 51
Pa. Code § 51.4(b). Respondent’s fourth quarter 2014 expense report was not the first
quarterly expense report that Respondent failed to file in a timely fashion, nor was it the
last. Respondent’s expense reports for the fourth quarter of 2009, the second quarter of
2012, the second quarter of 2013, and the first and third quarters of 2014 had been filed
late. Respondent’s expense report for the first quarter of 2015 was filed one day late.
Each of the aforesaid quarterly expense reports indicated that Respondent’s total cost of
lobbying for the period was $0.00.
Respondent’s CEO, Mike Schiller, testified that Respondent’s failure to meet filing
deadlines under the Lobbying Disclosure Law was unintentional and that when
Green Building Alliance, 15-011-L
Page 10
Respondent became aware that it had to make a filing, it made a filing.
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). Excluding the filing date (May 15, 2015) from the calculation, Respondent’s
quarterly expense report for the fourth quarter of 2014 was delinquent for a total of 104
days. The maximum administrative penalty that may be imposed in this case is $5,200.00
($50.00 per day x 104 days = $5,200.00).
Respondent requests that there not be a penalty imposed for this particular
infraction. Respondent’s CEO, Mr. Schiller, testified that to the best of his knowledge,
Respondent has not engaged in any lobbying or political process since 2009. Respondent
also raises the following arguments: (1) the late filing was unintentional; (2) Respondent is
a small nonprofit with a small budget; (3) Respondent has already incurred costs in this
case, and a penalty of the nature proposed in this case would have a significant impact on
the ability of Respondent to serve its mission; (4) when Respondent became aware that it
had to make a filing, it made a filing; (5) Respondent has learned its lesson and has put
systems in place to do what it is supposed to do going forward; and (6) it is not the
purpose of the Lobbying Disclosure Law to hurt a nonprofit.
Having highlighted the facts and issues before us, we shall now apply the Lobbying
Disclosure Law to determine the proper disposition of this case.
In considering the record before us, we determine that Respondent failed to timely
file its fourth quarter 2014 expense report with the Department of State as required by
Section 13A05 of the Lobbying Disclosure Law. Having registered as a principal,
Respondent was subject to the reporting requirements of Section 13A05 of the Lobbying
Disclosure Law. To the extent Respondent had no lobbying costs for the fourth quarter of
2014, Respondent had the option of filing either a quarterly expense report or a statement
of failure to meet the reporting threshold for the fourth quarter of 2014. That filing was due
January 31, 2014. Respondent did not file a fourth quarter 2014 expense report until May
15, 2015.
Accordingly, we hold that Respondent as a registered principal failed to timely file
its fourth quarter 2014 expense report with the Department of State as required by Section
13A05 of the Lobbying Disclosure Law. We determine that the transgression of the
Lobbying Disclosure Law outlined immediately above was negligent in nature.
We further determine that there are no mitigating circumstances in this case to
warrant imposing less than a maximum penalty. See, 51 Pa. Code § 63.6(3). This was not
an isolated incident of inadvertence. To the contrary, on five occasions prior to this
infraction, Respondent was late in submitting expense reports pursuant to the Lobbying
Disclosure Law. The Investigative Division issued five Warning Notice letters to
Respondent regarding prior delinquent expense reports and again issued a Warning
Notice letter as to Respondent’s delinquent fourth quarter 2014 expense report. It appears
that Respondent did not take seriously its responsibilities under the Lobbying Disclosure
Law. As for Respondent’s status as a nonprofit, there is no basis in the Lobbying
Disclosure Law for treating a nonprofit registered principal more favorably than any other
registered principal.
This Commission hereby levies one administrative penalty against Respondent
Green Building Alliance in the amount of $50.00 per day for each of the 104 days its
quarterly expense report for the fourth quarter of 2014 was delinquent, for a total
administrative penalty of $5,200.00.
Green Building Alliance, 15-011-L
Page 11
Respondent Green Building Alliance is directed to pay the aforesaid administrative
penalty in the total amount of $5,200.00 by way of certified check or money order in the
amount of $5,200.00 payable to the Commonwealth of Pennsylvania and forwarded to this
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Commission by no later than the thirtieth (30) day after the mailing date of this
adjudication and Order.
Noncompliance will result in the institution of an order enforcement action.
Green Building Alliance, 15-011-L
Page 12
IV.CONCLUSIONS OF LAW:
1. As a principal registered with the Pennsylvania Department of State (“Department
of State”) under principal registration number “P00829,” Green Building Alliance
has been subject to the reporting requirements of Section 13A05 of Pennsylvania’s
lobbying disclosure law (“Lobbying Disclosure Law”), 65 Pa.C.S. § 13A05.
2. Green Building Alliance, in its capacity as a principal registered with the
Department of State, failed to timely file its fourth quarter 2014 expense report with
the Department of State as required by Section 13A05 of the Lobbying Disclosure
Law, 65 Pa.C.S. § 13A05.
3. The transgression of the Lobbying Disclosure Law outlined in paragraph 2
immediately above is 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. There are no mitigating circumstances in this case.
6. Based upon the totality of the circumstances in this case, the imposition of an
administrative penalty in the total amount of $5,200.00 ($50.00 per day x 104 days)
is warranted.
In Re: Green Building Alliance, : File Docket: 15-011-L
Respondent : Date Decided: 10/7/15
: Date Mailed: 10/28/15
ORDER NO. 106-SL
1. Green Building Alliance, in its capacity as a principal registered with the
Pennsylvania Department of State (“Department of State”) under principal
registration number “P00829,” failed to timely file its fourth quarter 2014 expense
report with the Department of State as required by Section 13A05 of Pennsylvania’s
lobbying disclosure law (“Lobbying Disclosure Law”), 65 Pa.C.S. § 13A05.
2. The transgression of the Lobbying Disclosure Law outlined in paragraph 1
immediately above is deemed to be negligent in nature.
3. This Commission hereby levies one administrative penalty against Green Building
Alliance in the amount of $50.00 per day for each of the 104 days its quarterly
expense report for the fourth quarter of 2014 was delinquent, for a total
administrative penalty of $5,200.00.
4. Green Building Alliance is directed to pay the aforesaid administrative penalty in the
total amount of $5,200.00 by way of certified check or money order in the amount of
$5,200.00 payable to the Commonwealth of Pennsylvania and forwarded to the
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Pennsylvania State Ethics Commission by no later than the thirtieth (30) day after
the mailing date of this Order.
5. Non-compliance with Paragraph 4 of this Order will result in the Commission
initiating appropriate enforcement action(s).
BY THE COMMISSION,
___________________________
Nicholas A. Colafella, Chair