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HARRISBURG, PA 17120-0400
OPINION OF THE COMMISSION
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
DATE DECIDED: 3/29/2021
DATE MAILED: 4/13/2021
21-1001
Loudon L. Campbell, Esquire
Eckert Seamans Cherin & Mellott, LLC
Dear Attorney Campbell:
This Opinion is issued in response to your letter dated February 19, 2021, by which you
requested an advisory opinion from the Pennsylvania State Ethics Commission.
I. ISSUE:
Whether, pursuant to the reporting requ
Lobbying Disclosure L13A05(b)(5), and Section
55.1(g)(5) of the Lobbying Disclosure Regulations (Regulations), 51 Pa. Code § 55.1(g)(5), a
registered principal would be required to disclose on its quarterly expense report the name,
permanent business address and daytime telephone number of any individual, association,
corporation, partnership, business trust or other business entity which contributed more than 10%
of the total resources for lobbying as opposed to more than 10% of the total resources received by
the principal during the reporting period.
II. FACTUAL BASIS FOR DETERMINATION:
By letter dated February 19, 2021, you have requested an advisory opinion on behalf of an
unspecified client of the Law Firm Eckert Seamans Cherin & Mellott, LLC seeking clarification
as to the proper interpretation of Section 13A05(b)(5) of the Pennsylvania Lobbying Disclosure
Law. You note that the Lobbying Disclosure Law reads, in pertinent part:
Campbell, 21-1001
April 13, 2021
Page 2
The expense report shall also include the name, permanent business
address and daytime telephone number of any individual,
association, corporation, partnership, business trust or other
business entity which contributed more than 10% of the total
resources received by the principal during the reporting period.
65 Pa.C.S. § 13A05(b)(5).
In contrast, the duly enacted Regulations read:
A quarterly expense report of a principal required to be registered
under the act must include at least the following information:
***
(5) The name, permanent business address and daytime
telephone number of any individual, association, corporation,
partnership, business trust or other business entity which contributed
more than 10% of the total resources for lobbying received by the
includes all contributions to the principal during the reporting
period. The term also includes dues and grants received by the
principal.
51 Pa. Code § 55.1(g)(5) (Emphasis added).
In submitting your request, you state that the Regulation appears to clarify that only
contributions of 10% or more of the total resources for lobbying received in quarter, as opposed to
all contributions of 10% or more in total resources received during a quarter, are required to be
reported pursuant the Lobbying Disclosure Law. You suggest that where an entity also engages
in, and receives contributions for, non-lobbying activities such as preparing and filing of amicus
curiae briefs with the courts, the Regulation clarifies that the Lobbying Disclosure Law only
requires reporting of contributions received for lobbying activities.
Furthermore, you submit that if contributions are received which are not related to lobbying
and are deposited into a separate account restricted for purposes not related to lobbying, there is
no requirement to report those contributions for non-lobbying activities. Lastly, you believe that
without a connection to lobbying, it appears that contributions specifically restricted to non-
lobbying purposes, including but not limited to the preparation of amicus curiae briefs, are not
required to be reported pursuant to the Lobbying Disclosure Law.
resources, however, are not utilized for
By letter dated March 9, 2021, you were notified of the date, time and location of the public
meeting at which your request would be considered.
Campbell, 21-1001
April 13, 2021
Page 3
At the public meeting on March 29, 2021, you and your client, Mr. Curt Schroder,
Executive Director for the Pennsylvania Coalition for Civil Justice Reform, appeared and
participated via telephone for the purpose of answering any questions of the Commission.
III. DISCUSSION:
It is initially noted that pursuant to Section 13A08(a) of the Lobbying Disclosure Law, 65
Pa.C.S. § 13A08(a), in conjunction with Sections 1107(10) and 1107(11) of the Ethics Act, 65
Pa.C.S. §§ 1107(10), (11), advisories are issued to the requester based upon the facts that the
requester has submitted. In issuing the advisory based upon the facts that the requester has
submitted, this Commission does not engage in an independent investigation of the facts, nor does
it speculate as to facts that have not been submitted. It is the burden of the requester to truthfully
disclose all material facts relevant to the inquiry. 65 Pa.C.S. §§ 1107(10), (11). An advisory only
affords a defense to the extent the requester has truthfully disclosed all material facts.
The
to the extent it would engage in lobbying on its own behalf and/or lobbying firm(s) or lobbyist(s)
would engage in lobbying on its behalf.
The following definitions set forth in the Lobbying Disclosure Law and Lobbying
Disclosure Regulations are relevant to your inquiry:
§ 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.
"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)
65 Pa.C.S. § 13A03.
§ 51.1. Definitions.
The following words and terms, when used in this part, have the following
meanings, unless the context clearly indicates otherwise:
Campbell, 21-1001
April 13, 2021
Page 4
Total resources --
(i) Includes all receipts by the principal during the reporting period.
(ii) The term includes dues and grants received by the principal.
51 Pa. Code § 51.1.
Section 13A05 of the Lobbying Disclosure Law, pertaining to expense reporting, requires
a registered principal to electronically file with the Pennsylvania Department of State either a
quarterly expense report or a statement of failure to meet the reporting threshold for each quarter
th
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). Section 13A05(b) of the
Lobbying Disclosure Law provides, in part:
§ 13A05. Reporting.
(b) Content.--
(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
(5) The expense report shall also include the name,
permanent business address and daytime telephone
number of any individual, association, corporation,
partnership, business trust or other business entity
which contributed more than 10% of the total
resources received by the principal during the
reporting period.
65 Pa.C.S. § 13A05(b)(2), (5).
The Lobbying Disclosure Regulations further provide:
§ 55.1. Quarterly expense reports.
(g) A quarterly expense report of a principal required to be
registered under the act must include at least the following
information:
Campbell, 21-1001
April 13, 2021
Page 5
(5) The name, permanent business address and daytime
telephone number of any individual, association,
corporation, partnership, business trust or other business
entity which contributed more than 10% of the total
resources for lobbying received by the principal during the
contributions to the principal during the reporting period.
The term also includes dues and grants received by the
principal.
51 Pa. Code § 55.1(g)(5) (Emphasis added).
The agency interpretation of a regulation is controlling unless the interpretation is clearly
erroneous or inconsistent with the regulation; or the regulation, itself, is inconsistent with the
underlying legislative scheme. See Diehl v. Department of Public Welfare, 489 A.2d 988 (Pa.
Cmwlth. 1985). Noting
Slippery Rock Area Sch. Dist. v. Unemployment
Comp. Bd. of Review, 983 A.2d 1231, 1241 (2009), and the Pennsylvania Supreme Court having
stated that, in ascertaining the legislative intent of a statutory provision, the practical results of a
particular interpretation may be considered, Lehigh Valley Cooperative Farmers v. Bureau of
Employment Security, Department of Labor and Industry, 447 A.2d 948 (1982); it is the
10% of the total
f the Lobbying Disclosure
Law or its underlying legislative scheme.
The scope, intent, and jurisdiction of the Lobbying Disclosure Law specifically identifies
lobbying and those paid to lobby as the subject to be regulated/reported. Section 13A10 (d)
authorizes
Lobbying Disclosure Law\]. 65 Pa. C.S. § 13A10(d). Section § 55.1 (a) of the Regulations
additionally states iled as set forth in this section
when the total lobbying expenses of a registered principal, registered lobbying firm or registered
lobbyist lobbying on the principals behalf, together, exceed $ 2,500 in a quarterly reporting
(Emphasis added).
Therefore, for purposes of filing quarterly expense reports pursuant to the Lobbying
Disclosure Law and the Lobbying Disclosure Regulations, the Law Firm Client would be required
to disclose on each quarterly expense report the name, permanent business address and daytime
telephone number of any individual, association, corporation, partnership, business trust or other
business entity which contributed more than 10% of the total resources for lobbying received by
the principal during the reporting period.
IV. CONCLUSION:
The client of the law firm of Eckert Seamans Cherin & Mellott, LLC
as that term is defined
Lobbying Disclosure L§ 13A03,
Campbell, 21-1001
April 13, 2021
Page 6
and Lobbying Disclosure Regulations, 51 Pa. Code § 51.1, to the extent it would engage in
lobbying on its own behalf and/or lobbying firm(s) or lobbyist(s) would engage in lobbying on its
behalf.
As a registered principal, the Law Firm Client would be required to electronically file with
the Pennsylvania Department of State either a quarterly expense report or a statement of failure to
meet the reporting threshold of Section 13A05(d) of the Lobbying Disclosure Law for each quarter
th
it would be registered as a principal, with such filings due by no later than the 30 day after each
quarterly reporting period would end. 65 Pa.C.S. § 13A05(a), (d); 51 Pa. Code § 55.1(d).
For purposes of filing quarterly expense reports pursuant to the Lobbying Disclosure Law
and the Lobbying Disclosure Regulations, the Law Firm Client would be required to disclose on
each quarterly expense report the name, permanent business address and daytime telephone
number of any individual, association, corporation, partnership, business trust or other business
entity which contributed more than 10% of the total resources for lobbying received by the
principal during the reporting period.
The request for an advisory has only been addressed under the Lobbying Disclosure Law
and, derivatively, the Public Official and Employee Ethics Act, 65 Pa.C.S. § 1101 et seq., to the
extent applicable.
Pursuant to Section 13A08(a) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A08(a), a
requester who truthfully discloses all material facts in a request for an advisory and who acts in
good faith based upon a written Opinion of this Commission issued to the requester shall not be
held liable for a violation of the Lobbying Disclosure Law. The protection afforded for reliance
upon this Opinion will remain in effect until such time as any regulation, statutory
enactment, or ruling precludes further reliance upon this Opinion.
This letter is a public record and will be made available as such.
By the Commission,
__________________________
Nicholas A. Colafella
Chair