HomeMy WebLinkAbout133-SL CBD AdvocacyBefore: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
FACSIMILE: 717- 787 -0806
WEBSITE: www.eth1cs.P2.gov
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency andlor 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 CBD Advocacy (hereinafter also referred to as
"Respondent ") a Notice of Alleged Noncompliance. The Respondent did not file an
Answer, Appeal, or other Request for Hearing. The record is complete. The Findings in
this Order are derived from the Notice of Alleged Noncompliance filed by the Investigative
Division.
Effective January 1, 2017, the Pennsylvania Department of State ( "Department
of State ") increased the thresholds under 65 Pa.C.S. § 13A06 for registration under
65 Pa.C.S. § 13A04 and the threshold for reporting under 65 Pa.C.S. § 13A05(d) from
$2,500.00 to $3,000.00.
In 2018 the Lobbying Disclosure Law was amended by Act 2 of 2018, which
amendments were not in effect during the time period under review in this matter.
References in this adjudication and Order to provisions of the Lobbying Disclosure
Law and penalties authorized by the Lobbying Disclosure Law are to those thatwere
in effect during the relevant time period.
I. ALLEGED NONCOMPLIANCE:
That Respondent, in its capacity as a principal registered with the Department of
State pursuant to the Lobbying Disclosure Law (65 Pa.C.S. § 13A04), neggliggently
failed to timely file a quarterly expense report pursuant to 65 Pa.C.S. § 13A05 for
the third (3rd) quarter of 2017.
II. FINDINGS:
1. Respondent is CBD Advocacy ( "Respondent ") and is a registered principal as that
term Is defined by the 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
July 20, 2015, for the registration period January 1, 2015, through December
l
"
PHONE: 717 - 763 -1610
STATE ETHICS COMMISSION
TOLL FREE: 1 -800- 932 -0936
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, RA 17120 -0400
In Re: CBD Advocacy,
File Docket:
18 -003 -L
Respondent
: X -ref: Order No.
133 -SL
Date Decided:
4111118
Date Mailed:
4120118
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Monique Myatt Galloway
Michael A. Schwartz
Shelley Y. Simms
FACSIMILE: 717- 787 -0806
WEBSITE: www.eth1cs.P2.gov
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency andlor 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 CBD Advocacy (hereinafter also referred to as
"Respondent ") a Notice of Alleged Noncompliance. The Respondent did not file an
Answer, Appeal, or other Request for Hearing. The record is complete. The Findings in
this Order are derived from the Notice of Alleged Noncompliance filed by the Investigative
Division.
Effective January 1, 2017, the Pennsylvania Department of State ( "Department
of State ") increased the thresholds under 65 Pa.C.S. § 13A06 for registration under
65 Pa.C.S. § 13A04 and the threshold for reporting under 65 Pa.C.S. § 13A05(d) from
$2,500.00 to $3,000.00.
In 2018 the Lobbying Disclosure Law was amended by Act 2 of 2018, which
amendments were not in effect during the time period under review in this matter.
References in this adjudication and Order to provisions of the Lobbying Disclosure
Law and penalties authorized by the Lobbying Disclosure Law are to those thatwere
in effect during the relevant time period.
I. ALLEGED NONCOMPLIANCE:
That Respondent, in its capacity as a principal registered with the Department of
State pursuant to the Lobbying Disclosure Law (65 Pa.C.S. § 13A04), neggliggently
failed to timely file a quarterly expense report pursuant to 65 Pa.C.S. § 13A05 for
the third (3rd) quarter of 2017.
II. FINDINGS:
1. Respondent is CBD Advocacy ( "Respondent ") and is a registered principal as that
term Is defined by the 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
July 20, 2015, for the registration period January 1, 2015, through December
CBD Advocacy, 18 -003 -L
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31, 2016.
b. Respondent's registration statement indicates that lobbying commenced on
July 1, 2015.
2. Respondent filed a principal registration statement with the Department of State for
the registration period January 1, 2017, through December 31, 2018.
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 "P42970."
C. In filing its principal registration, Respondent identified its registered mailing
address as:
884 Towncenter
Langhorne, PA 19047
3. The Lobbying Disclosure Law, specifically 65 Pa; C.S. § 13A04, states the following
regarding the registration of an entity as a principal:
§ 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. --
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. Email 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.--
If there is a change of information required for the registration
statement under subsection (b)(1) or (2) or (c), an amended
CBD Advocacy, 18 -003 -L
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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 departmen within 14 days of the end of the year
in which the change occurs.
65 Pa.C.S. § 13A04(a), (b)(1), (d).
4. 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).
5. Section 13A05 of the Lobbying Disclosure Law sets forth, in ppart, 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:
(i) The costs for gifts, hospitality, transportation and lodging given
to or providecito State officials or employees or their imme-
diate families.
(ii) The costs for direct communication.
(iii) The costs for indirect communication.
Pag Adv4, 18-003-L
9
(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).
6. 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
,tune; 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).
7. As a registered principal, Respondent is required to file with the Department of
Mate either a quarterly expense report or a statement of failure to meet the
reporting threshold for each quarter it has been registered as a principal, by no later
than the 30th day after each quarterly eporting period has ended. 65 Pa.C.S. §
13A05(a), (d); 51 Pa. Code § 55.1 (d)].
8. Section 13A05 of the Lobbying Disclosure Law additionally sets forth the threshold
with regard to reporting expenditures:
(d) Thresholds for re orting. - -An expense report required under
this section shall be filed when total expenses for lobbying
exceed [$3,000] for a registered principal in a reporting period.
In a reporting period in which total expenses are [$3,000] or
less, a statement to that effect shall be filed.
65 Pa.C.S. § 13A05(d).
9. Section 13A03 of the Lobbying Disclosure Law defines the following terms:
"LoVong." 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.
"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
cBD Advocacy, 18-003 -L
age 5
(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 personnel
expenses and office expenses.
65 Pa.C.S. § 13A03.
10. �\sa registered principal, Respondent is required to file with the Department of
tate either a quarterly expense report or a statement of failure to meet the
reporting threshold for each quarter it has been registered as a principal, by no later
than the 30th day after each quarter) reporting period has ended. 65 Pa.C.S. §
13A05(a), (d); 51 Pa. Code § 55.1(d)].
a. Respondent did not file a third (3rd) quarter 2017 expense report by [the filing
deadline of] October 30, 2017.
b. Respondent did timely file a second(211d) quarter 2017 expense report.
11. 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.
(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).
12. [In relation] to the filing requirements of quarterly expense reports, the Regulations
read, in part:
CBD Advocacy, 18 -003 -L
age
§ 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 [$3,000] in a quarterly reporting period. The threshold of
[f$3,000] 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 lobbyin firm or registered lobbyist lobbying
on the principal's behalf, together, are1$3,000] or less, a statement to that
effect shall be filed with the Department by checing 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.
(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)(i)- -(ii).
13. By Warning Notice letter dated December 13, 2017, 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 Respondent failed to file a quarterly expense report for the third (3rd) quarter of
CBD Advocacy, 18 -003 -L
age
2017.
a. Said Warning Notice was mailed to:
CBD Advocacy
884 Towncenter
Langhorne, PA 19047
b. This is the same address as listed on Respondent's principal registration
statement.
C. By submitting the principal registration statement, Respondent consented to
recei t of service of notices, other official mailings or process, at the address
listedpon the registration statement. (See, Paragraph 2(a) above).
d. The Warning Notice was not returned as undeliverable.
14. Said Warning Notice letter set forth the nature of the alleged noncompliance and
the administrative and criminal penalties for failing to file.
15. Said Warning Notice letter provided Respondent an opportunity o 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
third (3rg quarter of 2017 with the Department of State within thirty (30) days from
the mailing date of the Warning Notice letter.
16. The Chief of the Division of Campaign Finance and Lobbying Disclosure for the
Commonwealth of Pennsylvania — Department of State conducted a search of the
Department of State's records, and, as of February 14, 2018, no third (3rd) quarter
2017 expense report was found to have been filed with the Department of State for
CBD Advocacy.
17, The Lobbying Disclosure Law provides for civil and criminal penalties for failing to
comply with the registration statement filing and quarterly expense reporting
requirements thereof. Specifically, the Lobbying Disclosure Law provides that:
a. Negligent failure to register or report, as required b the Law, is punishable
by an administrative not exceeding $50.00 for each late day. 65
Pa.C.S. § 13A09(c)(1 �enalty
.
b. The total amount of the administrative penalty that may be levied after
hearing by a majority vote of all of the Commission Members shall not be
limited by any other provision of law. 65 Pa.C.S. § 13A09(c)(2).
C, Any person that fails to comply with the requirements of the Lobbying
Disclosure Law, after notice [of noncompliance and after a hearing if one is
requested,] may be prohibited from lobbying for economic consideration for
up to five (5) years [in accordance with 65 Pa.C.S. § 13A09(e)(4). 65
Pa.C.S. §§ 13A09(d), (e)(4)].
d. A person that intentionally fails to register or report as required by the law
commits a misdemeanor of the second degree. 65 Pa.C.S. § 13A09(e)(1).
e. A registrant who files a report under the law with knowledge that the report
contains a false statement or is incomplete commits a misdemeanor of the
second degree. 65 Pa.C.S. § 13A09(e)(2).
CBD Advocacy, 18 -003 -L
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Except as set forth in paragraph (d) or (e) above, a person that intentionally
violates [the Lobbying Disclosure Law] commits a misdemeanor of the third
degree. In addition to any other penalties imposed under [the Lobbying
Disclosure Law], the court may impose a fine not to exceed $25,000 against
a principal who is found guilty under [Section 13A09(e)(3) of the Lobbying
Disclosure Law].
In addition to any criminal penalties imposed under [the Lobbying Disclosure
Law], the Commission may prohibit a person from lobbying for economic
consideration for up to five years for conduct which constitutes an offense
under [Section 13A09(e) of the Lobbying Disclosure Law]. Criminal
prosecution or conviction is not required for imposition of [such prohibition].
The Commission shall not impose [such prohibition] unless the person has
been afforded the opportunity for a hearing, which shall be conducted by the
Commission in accordance with sections 1107 14) and 1108(e) of the Public
Official and Employee Ethics Act, 65 Pa.C.S. § 1107(14) and [ 1108(e)].
18. As of the date of the filing of the instant Notice of Alleged Noncompliance [February
16, 2018], Respondent's expense report was a total of 109 days delinquent.
Respondent's third (3!d) quarter 2017 Expense Report was 109 days
delinquent [as of February 6, 2018] (October 31, 2017- February 16, 2018).
The third quarter expense report period closed September 30, 2017.
See, 65 Pa.C.S. § 13A03 Definitions - "Reporting period."
Expense reports were to be filed within thirty 30) days of September
30, 2017, that date being October 30, 2017. See
13A05(a). , 65 Pa.C.S, §
3. The first day on which Respondent's third (3,d) quarter 2017 Expense
Report was delinquent was October 31, 20177.
19. [As of the date of the filing of the instant Notice of Alleged Noncompliance (February
16, 2018)], Respondent's third (3ld) quarter 2017 Expense Report continued to be
delinquent, as Thad not yet been filed with the Department of State.
20. The thirty -day deadline set forth in the said Warning Notice letter to Respondent
expired with Respondent failing to comply with the specific requirements of the
Lobbying Disclosure Law.
21. The Commission may impose a maximum administrative penalty of $50.00 per day
for each day Respondent's third (3Fd) quarter 2017 Expense Report remained
delinquent, calculated from October 31, 2017, the first day the quarterly expense
report was delinquent, through the date Respondent filed the outstanding quarterly
expense report with the Department of State.
22. [In addition to its authority to impose an administrative penalty for negligent failure to
register or report as required by the Lobbying Disclosure Law, 65 Pa.C.S. §
13A09(c), this Commission has authority to prohibit a respondent that has
intentionally violated the Lobbying Disclosure Law from lobbying for economic
consideration for up to five years, pursuant to 65 Pa.C.S. § 13A09(e)(4).
The procedures for imposing a :prohibition against lobbying for economic
consideration are set forth at 51 Pa, Code Chapter 65.
CBD Advocacy, 18 -003 -L
Page
b. The instant proceeding is limited to an alleged negligent failure to timely file a
quarterly expense report for the third quarter of 2017. Position Statement of
the Investigative Division, at 2.]
III, DISCUSSION:
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
pursuant to 65 Pa.C.S. § 13A05 for the third quarter of 2017.
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. We shall now summarize
the relevant facts,
Respondent initially registered as a principal with the Department of State on July
20, 2015, for the registration period January 1, 2015, through December 31, 2016.
Respondent's registration statement indicated that lobbying commenced on July 1, 2015.
Respondent registered as a principal with the Department of State for the
registration period January 1, 2017, through December 31, 2018. Respondent was
assigned the principal registration number "P42970."
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 $3,000 for a reporting period qquarter, 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 $3,000 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
Cad § 55.1(d). each quarterly reporting period ends. 51 Pa.
e
Having registered for the registration period January 1, 2017, through December 31,
2018, Respondent was required to file a quarterly expense report for the third quarter of
2017. Respondent failed to file a quarterly expense report for the third quarter of 2097 by
the filing deadline.
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(b).
By Warming Notice letter dated December 13, 2017, 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 third quarter of 2017 with the Department of State within thirty (30) days of
the mailing date of the Warning Notice letter.
As of February 14, 2018, no third quarter 2017 expense report was found to have
been filed with the Department of State for Respondent.
CBD Advocacv, 18 -003 -L
Page ge 10
Per the Department of State's web site, Respondent's third quarter 2017 expense
report was filed on February 28, 2018.
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).
An application of Section 13A09(a), (c) of the Lobbying Disclosure Law to this case
establishes that this Commission would have the discretion to impose a maximum
administrative penalty against the Respondent for failing to timely file its quarterly expense
report for the third quarter of 2017.
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. Respondent
did not cure its noncompliance with the Lobbying Disclosure Law within the 30 -day cure
period. The Investigative Division then instituted formal proceedings against the
Respondent by filing with the State Ethics Commission and serving upon Respondent a
Notice of Alleged Noncompliance. Respondent did not file an Answer, Appeal, or other
Request for Hearing as to the Notice of Alleged Noncompliance.
We hold that Respondent CBD Advocacy as a registered principal failed to timely
file a quarterly expense report with the Department of State for the third quarter of 2017 as
required by Section 13A05 of the Lobbying Disclosure Law.
We determine that the transgression of the Lobbying Disclosure Law outlined above
was negligent in nature, and that there is a basis in the record for imposing less than a
maximum administrative penalty against Respondent. See, 51 Pa. Code § 63.6(3). On
April 6, 2018, Respondent filed a Position Statement in wTiich Respondent set forth various
circumstances surrounding its failure to timely file its quarterly expense report for the third
quarter of 2017. It has been established that this is the first time Respondent has been
before this Commission for having violated the Lobbying Disclosure Law, and Respondent
has now brought its filings current under the Lobbying Disclosure Law.
The Regulations promulgated under the Lobbying Disclosure Law specifically
provide the following in relation to the calculation of an administrative penalty for a late or
deficient filing:
§ 63.6. Administrative penalties for late or deficient filings.
(2) An administrative penalty will be calculated from the first day
the registration statement or report is delinquent or deficient,
through the date a complete and accurate registration
statement or report is filed or the Commission decides the
matter, whichever occurs first.
51 Pa. Code § 63.6(2).
Expense reports for the third quarter of 2017 were to be filed within thirty (30) days
of September 30, 2017, that date being October 30, 2017. See, 65 Pa.C.S. 5 13A05 (a).
The first day on which Respondent's third quarter 2017 expense report was delinquent was
October 31, 2017. Per the Department of State's web site, Respondent's third quarter
2017 expense report was filed on February 28, 2018. Excluding the filing date (February
28, 2018) from the calculation, Respondent's quarterly expense report for the third quarter
of 2017 was delinquent for a total of 120 days.
CBD Advocacy, 18.003 -L
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Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. §
13A09(c), this Commission hereby levies one administrative penalty against Respondent
CBD Advocacy in the amount of $40 per day for each of the 120 days its quarterly expense
report for the third quarter of 2017 was delinquent, such that the administrative penalty
imposed against Respondent is in the total amount of $4,800.00 ($40 per day x 120 days =
$4,800.00).
Respondent CBD Advocacy is directed to pay the aforesaid administrative penalty in
the amount of $4,800.00 by way of certified check or money order in the amount of
$4,800.00 payable to the Commonwealth of Pennsylvania and forwarded to this
Commission by no later than the thirtieth (30th) day after the mailing date of this
adjudication and Order.
Noncompliance will result in the Commission initiating appropriate enforcement
action(s).
IV. CONCLUSIONS OF LAW:
1. As a principal registered with the Pennsylvania Department of State ( "Department of
State ") under principal registration number "P42970,° CBD Advocacy 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. CBD Advocacy, in its capacity as a principal registered with the Department of
State, failed to timely file a quarterly expense report with the Department of State for
the third quarter of 2017 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. Based upon the totality of the circumstances in this case, the imposition of an
administrative penalty to the amount of $4,800.00 ($40 per day x 120 days) is
warranted.
In Re: CBD Advocacy, File Docket: 18 -003 -L
Respondent Date Decided: 4111118
Date Mailed: 4120118
ORDER NO. 133 -SL
CBD Advocacy, in its capacity as a principal registered with the Pennsylvania
Department of State ( "Department of State') under principal registration number
°P42970,° failed to timely file a quarterly expense report with the Department of
State for the third quarter of 2017 as required by Section 13A05 of Pennsyylvania`s
lobbying disclosure law ( "Lobbying Disclosure Law "), 65 Pa.C.S. § 13A05.
The transgression of the Lobbying Disclosure Law outlined in paragraph 1
immediately above is deemed to a negligent in nature.
3. This Commission hereby levies one administrative penalty against CBD Advocacy in
the amount of $40 per day for each of the 120 days its quarterly expense report for
the third quarter of 2017 was delinquent, such that the administrative penalty
imposed against CBD Advocacy is in the total amount of $4,800.00 ($40 per day x
120 days = $4,800.00).
4. CBD Advocacy is directed to pay the aforesaid administrative penalty in the amount
of $4,800.00 by way of certified check or money order in the amount of $4,800.00
payable to the Commonwealth of Pennsylvania and forwarded to the Pennsylvania
State Ethics Commission by no later than the thirtieth (30th) day after the mailing
date of this Order.
Noncompliance with Paragraph 4 of this Order will result in the Commission
initiating appropriate enforcement action(s).
BY THE COMMISSION,
OF
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