HomeMy WebLinkAbout4-L YoungSTATE ETHICS COMMISSION
309 FINANCE BUILDING
HARRISBURG, PENNSYLVANIA 17120
In Re: Wendell Young, IV, File Docket:
Respondent X-ref:
Date Decided
Date Mailed:
15-002L
Order No. 4 -L
617117
6120117
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Maria Feeley
Melanie DePalma
This is a final adjudication of the State Ethics Commission.
Procedurally, the Investigative Division of the State Ethics Commission conducted
an investigation regarding possible violation(s) f Pennsylvania's lobbying disclosure law
§
( "Lobbying Disclosure Law "), 65 Pa.C.S. 13A01 et seq., by the above -named
despondent. At the commencement of its investigation, the Investigative Division served
upon Respondent written notice of the specific allegations. Upon completion of its
Investigation, the Investigative Division issued and served upon Respondent a Findings
Report identified as a "Notice of Alleged Noncompliance Investigative Complaint/Findings
Report." An Answer was filed and a hearing was requested. 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.
References in this adjudication and Order to $2,500.00 thresholds are to the
thresholds that were in effect during the relevant time period. Such thresholds
increased to $3,000.00 effective January 1, 2017.
I. ALLEGATIONS:
That Wendell W. Young, IV, violated [Sections 13A04(a), (c)] of the Lobbying
Disclosure Law, 65 Pa.C.S. [ §§ 13A04(a) , (c)], when he, as the President of the United
Food and Commercial Workers Local 1776 (also referred to herein as "UFCW" and "UFCW
Local 1776 "), engaged in an effort to influence legislative action or administrative action in
the Commonwealth of Pennsylvania, in exchange for economic consideration in the form of
compensation and reimbursement for expenses from UFCW, and subsequently failed to
register as a lobbyist with the Pennsylvania Department of State within ten days of acting in
any capacity as a lobbyist.
II. FINDINGS:
1. Wendell Young, IV ( "Young ") has been serving as the President of UFCW Local
1776 since on or around January 1, 2005.
2. Since approximately 1980, Young has been affiliated with the United Food and
Commercial Workers International Union, a labor union.
P.O. BOX 1 1470, HARRISBURG, PA 17108-1470 ® 717 - 763 -1610 . 1 -800- 932 -0936 • www.ethics.state.pa.us
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3. In 1937, The Retail Clerks & Managers Protective Association Local 1357 ( "Local
1357 ") was founded in Philadelphia by employees of American Stores and A &P.
a. In 1963, Local 1357 of the retail clerks had 4,000 members in Philadelphia
area supermarkets.
b. In 1971, Pennsylvania State Liquor Store clerks joined what would become
UFCW Local 1776.
C. In 1980, the Retail Clerks International Association had merged with the
Amalgamated Meat Cutters to create the United Food and Commercial
Workers International Union.
d. In or around May of 1989, United Food and Commercial Workers Local 1 357
changed its Local number to 1776" (UFCW Local 1776).
e. During 1998, UFCW Local 1776 merged with UFCW Local 72, maintaining
the Local number 1776.
4. UFCW Local 1776 represents approximately 21,000 members employed in central
and eastern Pennsylvania, northeast Maryland, and southern New York in the
following industries: supermarkets, drug stores, food processing plants, government
services, manufacturing facilities, nursing homes, professional offices, and
Pennsylvania's Wine and Spirits Shops.
5. Article 34 of the Constitution for the United Food and Commercial Workers
International Union provides that the constitutional officers of local unions shall be
President, Secretary- Treasurer, Recorder and not less than three Vice Presidents,
all of whom shall constitute the Executive Board of the Local Union.
6. The powers and duties of Young as the President of UFCW Local 1776 are, in part,
as follows:
a. The President shall be the Chief Executive Officer of the local Union and
shall be responsible for enforcing the Constitution and laws of the
International Union and bylaws and rules of the Local Union.
b. The President shall disburse the local Union's funds and except for
disbursements required to be made from the funds of the local union by the
Constitution or laws of the International Union or the approved bylaws of the
Local Union, disbursements shall be authorized or ratified by the Local Union
Executive Board.
G. The Local Union President may employ or retain such personnel as may be
necessary to conduct the affairs of the local union.
d. The Local Union President shall determine the compensation and expenses,
or expense policy, for all personnel em .ployed or retained by the Local union,
subject to the approval of the local union board.
e. The Local Union President shall be the custodian of the union shop
identification cards, or other such indicia, union logos, union labels, union
domain names and other identification of the Union as are issued pursuant to
Article 20.
f. The Local Union President shall forward to the International Secretary-
Treasurer a monthly membership report, giving an accurate record and
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3
summary of the membership as of the last day of the month for which the
report is submitted.
g. The Local Union President shall ensure thatthe home address, date of birth
and social security number, if permitted under applicable law, or unique
identification number of each member is sent to the International
headquarters at the time of reporting affiliation, as well as changes of
address when they occur.
h. The Local Union President shall receive and properly receipt all money
collected.
The Local Union President shall make an itemized statement, which shall
contain accounting categories substantially similar to those required in the
Local Union trustees' financial report provided for in Article 36(D), including a
statement of assets, liabilities, and net assets, at each regular - meeting of the
Local Union Executive Board of all moneys received and paid out by the
President, the accuracy of which shall be certified by the trustees of the
Local Union.
7. As an entity, UFCW 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. UFCW first registered as a Principal with the Pennsylvania Department of
State on December 9, 2011, for the registration period January 1, 2011,
through December 31, 2012.
Upon registration, UFCW was assigned registration number P32206.
b. UFCW renewed its registration by filing a renewal with the Pennsylvania
Department of State on February 15, 2013, for the registration period
January 1, 2013, through December 31, 2014.
At the time UFCW filed its renewal (February 15, 2013), a duplicate
registration was filed and assigned registration number P40616.
2. Registration number P40616 was terminated on September 16, 2014.
No quarterly expense reports either electronic or paper were
filed by, or on behalf of, UFCW Local 1776 under registration
no. P40616.
d. An amended registration was filed by UFCW (under registration no. P32206)
on or around May 2, 2014, for the registration period 2013 through 2014, for
the specific purpose of addinglidentifying John Meyerson as lobbyist.
e. UFCW renewed its registration (P32206) with the Pennsylvania Department
of State on January 26, 2015, for the registration period from January 1,
2015, through December 31, 2016.
Most recently, UFCW renewed its registration (P32206) with the
Pennsylvania Department of State in January 2017, for the registration
period from January 1, 2017, through December 31, 2018.
8. In filing its principal registrationl, UFCW identified its registered mailing address as
All findings from this point forward only refer to registration no. P32206.
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follows:
3031A Walton Road
Plymouth Meeting, PA 19462
At the time UFCW filed its initial registration statement with the Pennsylvania
Department of State in 2011, amended /renewal statements in 2013, 2014, 2015
and 2017, and applicable quarterly expense reports, UFCW identified the lobbyist(s)
and lobbying firm(s) which were representing UFCW.
a. At no time has Wendell Young, IV ever been identified as a lobbyist or as an
individual lobbying on behalf of UFCW, upon any registration andlorquarterly
expense reports filed by, or on behalf of, UFCW.
10. From at least July 1, 2011, through to the present, the Commonwealth of
Pennsylvania, on sole behalf of the Pennsylvania Liquor Control Board, has entered
into successive agreements with the United Food and Commercial Workers Union,
on behalf of UFCW Local 1776 and UFCW Local 23 ( "Commonwealth/Union
Contracts ").
a. For the Agreement effective July 1, 2011, through June 2015, the
Commonwealth entered into the Agreement with the "United Food and
Commercial Workers Union, Pennsylvania State Store Organizing
Committee, on behalf of United Food and Commercial Workers Unions,
Local 1776 and Local 23."
b. For the Agreement effective July 1, 2015, through June 2019, the
Commonwealth entered into the Agreement with the "United Food and
Commercial Workers Union, Pennsylvania Wine and Spirits Council, on
behalf of United Food and Commercial Workers Unions, Local 1776 and
Local 23."
The stated intent and purpose of the Commonwealth/Union Contracts was
"pursuant to the declaration of public policy contained in Act 195 of 1970" to
"promote orderly and good faith relationships between the Employer [defined
as the Commonwealth] and its employees [i.e. members of UFCW Locals
1776 and 23] toward the end that the public at large is served as intended,
and establish harmonious relationships between the Union and the Employer
d. Through the Commonwealth/Union Contracts, the Commonwealth and the
UFCW agreed they may "make recommendations to the Legislature which
may be necessary to give force and effect to the provisions of [these]
Agreements."
11. As the President of UFCW Local 1776, when necessary, Young sometimes met and
communicated with Members of the Pennsylvania General Assembly, when pending
legislation [might] affect the membership of UFCW Local 1776.
a. Activities in which Young engaged included, but [were] not limited to:
Initiating telephone calls, emails, and various correspondence to State
Representatives and Senators, concerning legislation including, but
not limited to Liquor Privatization, pension reform, paycheck
protection, and CLEAR Coalition.
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2. Personal meetings with State Representatives and Senators at their
District and/or Harrisburg offices concerning legislation including, but
not limited to HB 790 and Liquor Privatization.
3. Organizing, assembling, directing, and coordinating the appearance of
Union Members from the Pennsylvania Wine & S ints Stores on
dates certain to be present in the State Capitol and wear matching
"Yellow Shirts" for the purpose of drawing attention from Members of
the Pennsylvania General Assembly, including Representatives and
Senators, regarding legislation including, but not limited to, HB 790
and Liquor Privatization.
i. On days in which the "Yellow Shirts" were holding rallies upon
the steps of the State Capitol, Young would often appear and
publicly comment in opposition to liquor privatization.
12. During the Pennsylvania House of Representatives legislative session of 2013-
2014, House Bill 790 ( "HB 790 ") was introduced with Representative Mike Turzai as
the primary sponsor.
a. House Bill 790 was an effort to amend the Act of April 12, 1951 (known as
the Liquor Code).
b. House Bill 790 was, at times, referred to as the "Liquor Privatization Bill."
13. The legislative history of HB 790 in the Pennsylvania House of Representatives is
as follows:
a. HB 790 was referred to the House Liquor Control Committee on March 11,
2013.
b. The first consideration of the bill in the full House of Representatives was on
March 18, 2013.
C. There was a second consideration, with amendments, on March 20, 2013, as
the bill was recommitted to House Appropriations on March 20, 2013.
d. There was a third consideration of HB 790 on March 21, 2013, at which time
it was passed by the Pennsylvania House of Representatives on March 21,
2013, by a final vote of 105 to 90.
House Bill 790 was then referred to the Law and Justice Committee
for the Pennsylvania State Senate on April 3, 2013.
14. House Bill 790 was first considered by the Pennsylvania State Senate on June 24,
2013.
a. The second consideration of the bill was on June 25, 2013, at which time it
was amended on the third consideration on June 28, 2013, and then was re-
referred to Senate Appropriations.
15. As a labor union representing Commonwealth State Wine & Spirits store
employees, UFCW Local 1776 was generally opposed to any liquor privatization
efforts.
16. Wendell Young, IV, in his capacity as the President of UFCW Local 1776, was
active in UFCW Local 1776's efforts to oppose HB 790 when the bill was pending in
the Senate.
You�V, 5 -002L
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a. Activities in which Young engaged included, but [were] not limited to:
Initiating telephone calls, emails, and various correspondence to State
Representatives and Senators, to discuss legislation including, but not
limited to, Liquor Privatization, pension reform, paycheck protection,
and CLEAR Coalition.
2. Personal meetings with State Representatives and Senators at their
District and/or Harrisburg offices to discuss legislation including, but
not limited to, HB 790 and Liquor Privatization.
3. Organizing, assembling, directing, and coordinatin the appearance of
Union Members from the Pennsylvania Wine &Spirits Stores on
dates certain to be present in the State Capitol and wear matching
"Yellow Shirts" for the purpose of drawing the attention of Members of
the Pennsylvania General Assembly, including Representatives and
Senators, regarding legislation including, but not limited to, HB 790
and Liquor Privatization.
17. On November 1, 2006, Act No. 134 -2006, the Pennsylvania Lobbying Disclosure
Law, was signed into law.
a. Under the Lobbying Disclosure Law, 65 Pa.C.S. § 13A03, "lobbying" is
defined as follows:
"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.
65 Pa.C.S. § 13A03.
b. Furthermore, the Lobbying Disclosure Law, 65 Pa.C.S. § 13A03, defines
"direct communication" as:
"Direct communication." An effort, whetherwritten, 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 personnel expenses and office
expenses.
65 Pa.C.S. § 13A03.
C. "Personnel expense" is defined as:
"Personnel expense." An expenditure for salaries or other
forms of compensation, benefits, vehicle allowances, bonuses
and reimbursable expenses paid to lobbyists, lobbying staff,
research and monitoring staff, consultants, publications and
public relations staff, technical staff, clerical and administrative
support staff and includes individuals who engage in lobbying
Yours Irv, 15 -002L
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but are exempt from reporting under section 13A06 (relating to
exemption from registration and reporting). For an individual
for whom lobbying is incidental to regular employment, the
term means a good faith prorated estimate based on the value
of the time devoted to lobbying.
65 Pa.C.S. § 13A03.
18. Young and lobbyists /lobbying firms representing UFCW contacted and at times met
with Members of the General Assembly to discuss HB 790 and other legislation
before the General Assembly, which may have had an effect on UFCW Local 1776
and its union members.
19. Section 13A04 of the Lobbying Disclosure Law requires a lobbyist, lobbying firm or a
principal to register with the Department of State within ten days of acting in any
capacity as a lobbyist, lobbying firm or principal. 65 Pa.C.S. § 13A04(a).
a. Registration is biennial and began January 1, 2007.
b. Exemptions from registration and reporting under the Lobbying Disclosure
Law are set forth at Section] 13A06 of the Lobbying Disclosure Law [and
include the following]:
The following persons and activities shall be exempt from
registration under section 13A04 (relating to registration) and
reporting under section 13A05 (relating to reporting):
(1) An individual who limits lobbying to preparing testimony
and testifying before a committee of the General
Assembly or participating in an administrative
proceeding of an agency.
(3) An individual who does not receive economic
consideration for lobbying.
(4) An individual whose economic consideration for
lobbying, from all principals represented, does not
exceed $2,500 in the aggregate during any reporting
period.
(5) An individual who engages in lobbying on behalf of the
individual's employer if the lobbying represents less
than 20 hours during any reporting period.
65 Pa.C.S. § 13A06.
20. At no time has Wendell Young, IV registered as a lobbyist with the Pennsylvania
Department of State, as required by the Lobbying Disclosure Law.
21. UFCW Local 1776 is a labor organization that is subject to the Federal Labor -
Management Reporting and Disclosure Act ( "LMRDA ").
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22. The U.S. Department of Labor requires every labor organization subject to the
following Federal laws to file a financial report each year with the Office of Labor -
Management Standards ( "OLMS ") of the U.S. Department of Labor:
• LMRDA
• Civil Service Reform Act ( "CSRA ")
• Foreign Service Act ( "FSA ").
a. The required forms vary in the level of financial details that must be reported
and are determined by the total annual receipts of the labor union.
b. The term "total annual receipts" means all financial receipts of the labor
organization during its fiscal year, regardless of the source, including receipts
of any special funds as described in Section VIII (Funds to Be Reported) and
as described in Section X (Labor Organizations with Subsidiary
Organizations).
23. Every labor organization with $250,000.00 or more in total annual receipts, and
labor organizations in trusteeship, must use a Form LM -2 Labor Organization
Annual Report (LM -2).
a. LM -2 Reports are normally required to be completed by March 315, of the
following year.
b. The president and treasurer or the corresponding principal officers of the
labor organization required to sign Form LM -2 are personally responsible for
its filing and accuracy.
24. UFCW filed an LM -2 Report for calendar year 2013 on March 31, 2014, and March
31, 2015, for calendar year 2014.
a. Both LM-2 forms had an electronic signature of Wendell Young, IV as the
President and Michele L. Kessler as the Treasurer.
25. Schedule 11 of the LM -2 Reports filed by UFCW Local 1776 identifies all officers
and disbursements to officers, including the compensation paid to Wendell Young,
IV and the percentage of activities he performed as the President of UFCW Local
1776.
a. The LM -2 Reports reflect that Young estimated that he spent approximately
8% of his time as President of UFCW Local 1776 on "Political and Lobbying
Activities" during calendar year 2013 and approximately 10% in year 2014.
26. Schedule Number 16 of the LM -2 Reports ... defines "Political Activities and
Lobbying" as follows:
a. Report the labor organization's direct and indirect disbursements to all
entities and individuals during the reporting period associated with political
disbursements or contributions and money.
b. Dealing with the executive and legislative branches and the federal, state
and local governments.
C. A political disbursement or contribution that is intended to influence the
selection, nomination, election or appointment of anyone to a federal, state
or local executive, legislative or juridical public office, or office in a political
organization, or the election of presidential or vice - presidential electors and
support for or opposition to ballot referenda.
YOUEi , NN, 15 -002L
Page 9
d. Speaking to members about PAC.
e. Get out the vote campaign, voter education campaign, fundraising,
advocating or opposing legislation.
Lobbyist time.
27. On March 20, 2013, Pennlive.com published an article written by Robert Vickers
with the headline "Liquor Lobbying Reaches l=evered Pitch."
a. In that article, Vickers purports to quote Young as saying:
"[Legislators were] [b]eing waterboarded in their offices."
"Everybody on all sides of this should know that this
comes down to about 15 people."
"And so we've been trying to stay close to the 15,
supporting them where they need support, encourage
them where they need the encouragement," and "we
pray with them. We do anything that they want us to do
to help them through this difficult time while they're
being threatened with torture [and] loss of limbs."
28. On March 21, 2013, HB 790 was forwarded to the Pennsylvania State Senate, and
eventually referred to the Law and Justice Committee, on or around April 3, 2013.
29. During the time period from April 3, 2013, through June 30, 2013, when HB 790 was
under consideration in the Pennsylvania Senate, Wendell Young, IV met with
various Members of the Pennsylvania State Senate.
a. Young's personallbusiness calendar identified meetingsla�? ointments with
fifteen (15) different Pennsylvania Senators and one t l� Pennsylvania
Representative between April 15, 2013, and June 19, 2013.
b. Young's personal /business calendar included meetings that may have been
anticipated but may or may not have actually taken place.
30. On May 22, 2014, "Media Trackers" published [an] article written by Sarah Leitner
with a headline "Union Boss Wendell Young Downplays Lobbying Activity."
a. In that article, Leitner purports to quote Young as saying:
"Clearly I do lobby, but it's not my primary function as
the President of the Union."
b. Young, who is not an attorney, acknowledged to representatives of the
Pennsylvania State Ethics Commission that he (Young) is generally familiar
with the reporting requirements of the Lobbying Disclosure Law. He advised
during those meetings his belief that he was not obligated to register or
report as a lobbyist for several reasons, including: that he was not paid to
lobby; that his activities were not "lobbying "; that many of his meetings were
for fact finding purposes; and that any activities that might have been
considered "lobbying" did not meet the time or money thresholds for
registering or reporting.
Young, IV, 15 -002L
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31. Wendell Young, IV engaged in quasi - lobbying activities of officials from the
Executive and Legislative branches during certain periods from July 2013 through
January 2016. At no time has Wendell Young, IV registered as a lobbyist under the
Lobbying Disclosure Law.
a. Wendell Young, IV engaged in these quasi - lobbying activities as President
of UFCW Local 1776 while representing UFCW Local 1776 and its
members and also made recommendations to the Legislature about
pending legislation, consistent with the terms of the Commonwealth /Union
Agreements.
b. [There is not sufficient evidence to establish] that Young exceeded any of
the reporting thresholds, andfor that he was not otherwise exempt from
registration pursuant [to Section] 13A06 [of the Lobbying Disclosure Law].
III. DISCUSSION:
The allegations are that Respondent Wendell Young, IV (also referred to herein as
"Respondent," Respondent Young," and "Young") violated Sections 13A04(a), (c) of the
Lobbying Disclosure Law, 66 Pa.C.S. §§ 13A04(a), c), when he, as the President of the
United Food and Commercial Workers Local 1776 (also referred to herein as "UFCW" and
"UFCW Local 1776 "), engaged in an effort to influence legislative action or administrative
action in the Commonwealth of Pennsylvania, in exchange for economic consideration in
the form of compensation and reimbursement for expenses from UFCW, and subsequently
failed to register as a lobbyist with the Pennsylvania Department of State ( "Department of
State ") within ten days of acting in any capacity as a lobbyist.
The Lobbying Disclosure Law includes the following pertinent definitions:
§ 13A03. Definitions.
"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.
"Lobbyist." Any individual, association, corporation,
partnership, business trust or other entity that engages in
lobbying on behalf of a principal for economic consideration.
The term includes an attorney at law while engaged in
lobbying.
"Principal." An individual, association, corporation,
partnership, business trust or other entity:
(1) on whose behalf a lobbying firm or lobbyist engages in
lobbying; or
(2) that engages in lobbying on the principal's own behalf.
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65 Pa.C.S. § 13A03.
Sections 13A04 (a), (c) of the Lobbying Disclosure Law, 65 Pa.C.S. 5§ 13A04 (a),
(c), require a lobbyist to register with the Department of State unless the lobbyist falls within
one or more of the exemptions set forth at Section 13A06 of the Lobbying Disclosure Law.
During the relevant time period, an individual whose economic consideration for
lobbying, from all principals represented, did not exceed $2,500 in the aggregate during
any reporting period (calendar year quarter) was exempt from registration. 65 Pa.C.S.
13A06(4). Additionally, an individual who engaged in lobbying on behalf of the individual's
employer was exempt from reggistration if the lobbying represented less than 20 hours
during any reporting penod. 65Pa.C.S. § 13A06(5). The exemptions at Section 13A06 of
the Lobbying Disclosure Law are not Interdependent, but rather, each exemption is
effective Independently of the others. Suroviec, Opinion 07 -1003.
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
Commission. We shall now summarize the relevant facts as contained therein.
Respondent Young has served as President of a local union referred to herein as
"UFCW" and "UFCW Local 1776" since approximately January 1, 2005. The members
represented by UFCW Local 1776 include employees of Pennsylvania's State Liquor
Stores/Wine and Spirits Shops.
From at least July 1, 2011, to the p resent, the Commonwealth of Pennsylvania has
entered into successive agreements "Commonwealth /Union Contracts ") which have
included UFCW Local 1776 as a party. Pursuant to such Commonwealth /Union Contracts,
UFCW Local 1776 may "make recommendations to the Legislature which may be
necessary to give force and effect to the provisions of [these] Agreements." Fact Finding
10 d.
Commencing with the registration period from January 1, 2011, through December
31, 2012, and for each registration period thereafter, UFCW Local 1776 registered as a
principal with the Department of State. The registration statements and quarterly expense
reports filed by UFCW Local 1776 did not identify Respondent Young as an individual
lobbying on its behalf, and Respondent Young did not register as a lobbyist pursuant to the
Lobbying Disclosure Law.
From 2013 through January 2016, Respondent, in his capacity as President of
UFCW Local 1776, at times met and communicated with Members of the Pennsylvania
General Assembly concerning legislation that might affect the membership of UFCW Local
1776. Respondent made recommendations to the Legislature about pending legislation.
Respondent organized, assembled, directed, and coordinated the appearance of Union
Members in the State Capitol for the purpose of drawing attention from Members of the
Pennsylvania General Assembly regarding legislation including, but not limited to, liquor
Frivatization legislation. Respondent also appeared and publicly commented in opposition
o liquor privatization at rallies held on the steps of the State Capitol.
Respondent engaged in the aforesaid activities without registering as a lobbyist for
UFCW Local 1776. However, the parties have stipulated that there is insufficient evidence
to establish that Respondent did not fall within one or more of the exemptions detailed at
Section 13A06 of the Lobbying Disclosure Law.
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.
The parties' Consent Agreement sets forth a proposed resolution of the allegations
as follows:
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The Investigative Division will recommend the following in
relation to the above allegations:
a. That insufficient clear and convincing evidence
exists to establish that Wendell W. Young, IV,
violated any provision of the Pennsylvania
Lobbying Disclosure Law (66 Pa.C.S. §13A01 et
seq.) when, as the President of the United Food
and Commercial Workers Local 1776 (UFCW
Local 1776) he engaged in quasi - lobbying and/or
representative activity authorized by the Local's
agreement with the Commonwealth of
Pennsylvania through communication (either
directly and/or indirectly) with members of the
Pennsylvania General Assembly, in that the
scope, nature, and frequency of those
communications could not be qualified or
quantified to the extent required by law to
establish a need for Young to register as a
Lobbyist pursuant [to] ennsylvania s Lobbying
Disclosure Law (13A04) and /or whether an
exemption to the registration requirements
(13A06) is /was otherwise applicable.
Upon acceptance of this Consent Agreement by the
Commission, the Investigative Division considers its
investigation of the allegations in the December 29, 2016
Notice of Alleged Noncompliance Investigative
Complaint/Findings Report (the "Notice ") closed and will
recommend that the State Ethics Commission take no further
action relating to any allegations in the Notice, will impose no
sanction, and will make no recommendation to any law
enforcement or other authority to act in this matter. Such,
however, does not prohibit the Commission from initiating
appropriate enforcement actions in the event of Young's failure
to comply with this Consent Agreement or the Commission's
order.
Consent Ag reement, at 1 -2.
In considering the Consent Agreement and Stipulation of Findings, we determine
that the Consent Agreement of the parties sets forth a proper disposition for this case. The
parties have stipulated that there is insufficient evidence to establish that Respondent was
not exempt from the registration requirements of the Lobbying Disclosure Law. Therefore,
there is insufficient evidence to establish any violation of the Lobbying Disclosure Law by
Respondent as alleged in the Notice of Alleged Noncompliance Investigative
Complaint/Findings Report.
Based upon the above, we hold that insufficient evidence exists to establish that
Respondent Wendell W. Young, IV, violated any provision of the Lobbying Disclosure Law
when, as the President of UFCW Local 1776, he engaged in quasi - lobbying and/or
representative activity authorized b the Local's agreement with the Commonwealth of
Pennsylvania through communication (directly andlor indirectly) with Members of the
Pennsylvania General Assembly, in that the scope, nature, and frequency of those
communications could not be qualified or quantified to the extent required by law to
establish a need for Young to register as a lobbyist pursuant to the Lobbying Disclosure
Youn ITV, 15 -002L
Page 13
Law (Section 13A04) and/or whether an exemption to the registration requirements
(Section 13A06) is/was otherwise applicable.
IV. CONCLUSION OF LAW:
Insufficient evidence exists to establish that Wendell W. Young, IV Usclosure oung ") violated any
provision of Pennsylvania's lobbying isclosure law ( "Lobb in Law "), 65
Pa.C.S. § 13A01 et se , when, as the President of the United Food and Commercial
Workers Local 1776, he engaged in quasi - lobbying and/or representative activity
authorized by the Local's agreement with the Commonwealth of Pennsylvania through
communication (directly and/or indirect/) with Members of the Pennsylvania General
Assembly, in that the scope, nature, and frequency of those communications could not be
qualified or quantified to the extent required by law to establish a need for Young to register
as a lobbyist pursuant to the Lobbying Disclosure Law (Section 13A04} and/or whether an
exemption to the registration requirements (Section 1 A06) is/was otherwise applicable.
In Re: Wendell Young, IV, File Docket: 15 -002L
Respondent Date Decided: 617117
Date Mailed: 6120117
ORDER NO. 4-L
Insufficient evidence exists to establish that Wendell W. Young, IV Young ") violated any
provision of Pennsylvania's lobbying disclosure law ( "Lobbying Disclosure Law ") , 65
Pa.C.S. § 13A01 e sew , when, as the President of the United Food and Commercial
Workers Local 1776, he engaged in quasi - lobbying and/or representative activity
authorized by the Local's agreement with the Commonwealth of Pennsylvania through
communication (directly and/or indirectly) with Members of the Pennsylvania General
Assembly, in that the scope, nature, and frequency of those communications could not be
qualified or quantified to the extent required by law to establish a need forYoung to register
as a lobbyist pursuant to the Lobbying Disclosure Law (Section 13AO4) and/or whether an
exemption to the registration requirements (Section 13A06) is /was otherwise applicable.
BY THE COMMISSION,
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