HomeMy WebLinkAbout179-SL, William Penn Human ServicesPHONE:717-783-1610 STATE ETHICS COMMISSION
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In Re: William Penn Human Services, File Docket: 26-006-L
Respondent : Order No. 179-SL
Date Decided: 7/23/26
Date Mailed: 7/24/26
Before: Michael A. Schwartz, Chair
David L. Reddecliff, Vice Chair
Paul E. Parsells
Robert P. Caruso
Emilia McKee Vassallo
Ronald N. Jumper, Jr.
FACSIMILE: 717-787-0806
WEBS1TE: www.ethics.12a.gov
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 SeMc ., 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 William Penn Human Services (hereinafter also
referred to as "Respondent") a Notice of Alleged Noncompliance. 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.
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. § 13A01 et seMc .), failed to timely file
a quarterly expense report pursuant to 65 Pa.C.S. § 13A05 for the fourth (01) quarter of
2025.
II. FINDINGS:
1. Respondent 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
March 5, 2015, for the registration period January 1, 2015, through December 31,
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2016.
b. Respondent's registration statement indicates that lobbying commenced on April
2, 2025.
2. Respondent filed a principal registration statement with the Pennsylvania Department of
State for the registration period January 1, 2025, through December 31, 2026.
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 "P42769."
C. In filing its principal registration, Respondent identified its registered mailing
address as:
William Penn Human Services
12450 Perry Highway
Wexford, PA 15090
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 electronically using the computerized filing
system developed by the department that is consistent with
the purposes of this chapter within ten days of acting in any
capacity as a lobbyist, Iobbying firm or principal.
Registration shall be biennial and shall begin January 1,
2007.
b. Principals and lobbying firms.--
1. A principal or lobbying firm required to register
under subsection (a) shall file a single registration
statement setting forth the following information
with the department:
i. Name of the business.
ii. Permanent address.
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iii. Daytime telephone number.
iv. E-mail address of the authorized
representative employee or agent, if
available.
V. 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.
ix. Name of the authorized representative,
employee or agent.
d. Amendments. --
If there is a change of information required for the
registration statement under subsection (b)(1) or (2)
or (c), an amended registration statement shall be
filed with the department electronically using the
computerized filing system developed by the
department that is consistent with the purpose of this
chapter within 14 days after the change occurs.
2. When there is a change in information required for
the registration statement under subsection (b)(3), an
amended registration statement shall be filed with the
department electronically using the computerized
filing system developed by the department that is
consistent with the purpose of this chapter within 14
days of the end of the year in which the change
Occurs.
65 Pa.C.S. §§ 13AO4(a), (b)(1), (d).
4. Section 13AO3 of the Lobbying Disclosure Law defines the following terms:
"Lobbying." An effort to influence legislative action or
administrative action in this Commonwealth. The term includes:
(1) direct or indirect communication;
(2) office expenses; and
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(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
(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 Iobbyist 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.
5. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations provide
finther information in relation to registration periods and reporting periods:
§ 51.3. Registration periods and reporting periods.
a. Registration under section 13A04 of the act (relating to
registration) shall be biennial. The first registration period
which commenced January 1, 2007, continues through
December 31, 2008. Subsequent registrations shall
commence on January 1 of each odd numbered year.
51 Pa. Code § 51.3(a).
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6. Section 13A05 of the Lobbying Disclosure Law sets forth, in part, the following
requirements for the contents of quarterly reporting forms filed by principals:
§ 13A05. Reporting
(a) General rule.-- A registered principal shall, subject to the
penalties under 18 Pa.C.S. § 4904 (relating to unsworn
falsification to authorities), file quarterly expense reports
with the department electronically using the computerized
filing system developed by the department that is consistent
with the purpose of this chapter no later than 30 days after
the last day of the quarter.
65 Pa.C.S. § 13A05(a).
7. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations provide
further instructions in relation to registration periods and reporting periods:
§ 51.3. Registration periods and reporting periods.
(b) Reporting under section 13A05 of the act (relating to
reporting) shall be quarterly within each calendar year: for
January through March; April through June; July through
September; and October through December. Quarterly
expense reports shall be filed on or before the 30th day after
the quarterly reporting period ends.
51 Pa. Code § 51.3(b).
8. As a registered principal, Respondent is required to electronically file with the Department
of State 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 30,h day
after each quarterly reporting period has ended. 65 Pa.C.S. §§ 13A05(a), (d); 51 Pa. Code
§ 55.1(d).
9. Section 13A05 of the Lobbying Disclosure Law additionally sets forth the threshold with
regard to reporting expenditures:
(d) Thresholds for reporting.-- An expense report required
under this section shall be filed when total expenses for
lobbying exceed $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.
William Penn Human Services, 26-006-L
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65 Pa.C.S. § 13A05(d).
10. As a registered principal, Respondent is required to file quarterly expense reports with the
Department of State for all quarters it is registered as a principal; including quarters in
which Respondent's lobbying expenses are $3,000.00 or less.
a. Respondent did not file a fourth (4"') quarter 2025 expense report by January 30, 2026.
b. Respondent has remedied the failure by filing its expense report for fourth (4"') quarter
2025 on April 20, 2026.
11. The Regulations promulgated under the Lobbying Disclosure Law specifically provide the
following in relation to a delinquent filing:
§ 51.4. Delinquency.
(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(b).
12. In relation to the filing requirements of quarterly expense reports, the Regulations read, in
part:
§ 55.1. Quarterly expense reports.
(a) A quarterly expense report is required to be filed as set forth
in this section when the total lobbying expenses of a
registered principal, registered lobbying firm or registered
lobbyist lobbying on the principal's behalf, together, exceed
[$3,000] in a quarterly reporting period. The threshold of
[$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 lobbying firm
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or registered lobbyist lobbying on the principal's behalf,
together, are [$3,000] or less, a statement to that effect shall
be filed with the Department by checking the appropriate
block on the quarterly expense report form.
(d) The principal shall file a quarterly expense report or
statement of failure to meet the reporting threshold on or
before the 30th day after the quarterly reporting period ends.
(g) A quarterly expense report of a principal required to be
registered under the act must include at least the following
information:
(3) The total costs of all lobbying for the period. The
total must include all office expenses, personnel
expenses, expenditures related to gifts, hospitality,
transportation and lodging to State officials or
employees, and any other lobbying costs.
(i) The total amount reported under this
paragraph shall be allocated in its entirety
among the following categories:
(A) The costs for gifts, hospitality,
transportation and lodging given to or
provided to State officials or
employees or their immediate
families.
(B) The costs for direct communication.
(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).
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13. By Warning Notice letter dated February 26, 2026, 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 quarterly expense reports for the fourth (01) quarter of 2025.
Said Warning Notice was mailed to:
William Penn Human Services
12450 Perry Highway
Wexford, PA 15090
b. This is the same address as listed on Respondent's principal registration statement.
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 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 fourth (4"') quarter of
2025 with the Department of State within thirty (30) days from the mailing date of the
Warning Notice letter.
16. The Director of the Bureau of Campaign Finance and Lobbying Disclosure - Department
of State conducted a search of the Department of State's records, and, as of April 7, 2026,
no fourth (0) quarter of 2025 expense report was found to have been filed with the
Department of State.
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. In pertinent part, the Lobbying Disclosure Law provides that:
Negligent failure to register or report as required by this chapter is
punishable by an administrative penalty not exceeding the
following:
(i) For the first ten late days, $50 for each late day.
(ii) For each late day after the first ten late days through the 201"
late day, $100 for each late day.
(iii) For each late day after the first 20 late days, $200 for each
late day.
65 Pa.C.S. § 13A09(c)(1).
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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. § BA09(e)(4)]. 65 Pa.C.S. §§ 13A09(d), (e)(4).
18. Respondent filed its expense report for the fourth (41") quarter 2025 on April 20, 2026.
19. Respondent's expense report was a total of seventy-nine (79) days delinquent.
20. Respondent has presented extensive mitigation in this matter:
a. Respondent has a long-standing track record of compliance, with no
history of similar violations or any prior warnings from the Department
of State since its registration in 2015.
b. Respondent reached out to the Department of State, questioning its
requirement to file and did not receive a response.
1. The Investigative Division was not advised of this correspondence
until Respondent filed its Answer on April 23, 2026.
C. This is the first time a Notice of Alleged Noncompliance has been
filed against Respondent since it began acting as a principal in 2015.
d. Respondent had a change in personnel during this time period.
C. Respondent has timely filed its first (I") quarter 2026 expense report.
111. 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, failed to timely file a quarterly expense report pursuant to 65 Pa.C.S. §
BA05 for the fourth quarter of 2025.
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.
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Respondent initially registered as a principal with the Department of State on March 5,
2015, for the registration period January 1, 2015, through December 31, 2016. Respondent's
registration statement indicated that lobbying commenced on April 2, 2025. Respondent was
assigned the principal registration number "P42769." Per the Consent Agreement of the parties,
Respondent was registered as a principal with the Department of State for the registration period
January 1, 2025, through December 31, 2026.
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/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 $3,000 or less, a statement to that effect must be filed with the
Department of State by the principal by checking the appropriate block on the quarterly expense
report form. 51 Pa. Code § 55.1(b). Thus, a registered principal must file either a quarterly
expense report or a statement of failure to meet the reporting threshold by no later than the 30th
day after each quarterly reporting period ends. 51 Pa. Code § 55.1(d).
Having registered for the registration period January 1, 2025, through December 31, 2026,
Respondent was required to file either a quarterly expense report or a statement of failure to meet
the reporting threshold for the fourth quarter of 2025. Respondent failed to file either.
Failure to timely meet the aforesaid filing requirement 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 Warning Notice letter dated February 26, 2026, 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 2025 with the Department of State within
thirty (30) days of the mailing date of the Warning Notice letter.
As of April 7, 2026, no fourth quarter 2025 expense report was found to have been filed
with the Department of State for the Respondent.
On April 20, 2026, Respondent filed its fourth (4Ih) quarter expense report for 2025.
Negligent failure to register or report as required by the Lobbying Disclosure Law is
punishable by an administrative penalty as follows: (1) for the first ten late days, $50.00 for each
late day; (2) for each late day after the first ten late days through the 20"' late day, $100 for each
late day; and (3) for each late day after the first 20 late days, $200 for each late day. 65 Pa.C.S. §
13A09(c)(1).
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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:
3. The Investigative Division will recommend the following
conclusions in relation to the above deficiencies:
a. 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. § 13A01 et sea.), failed to timely
file a quarterly expense report pursuant to 65 Pa. C.S.
§ 13A05, for the fourth quarter (01) of 2025;
i. On February 26, 2026, a Warning Notice
regarding the delinquent quarterly expense report
was sent to Respondent via certified mail;
ii. Respondent did not file the outstanding quarterly
expense report for the fourth (4"') quarter 2025
within the stated cure period.
b. That the transgressions of the Lobbying Disclosure
Law outlined in paragraph (a) above are deemed
negligent in nature;
4. In regard to Respondent's failure to file a timely fourth (4111) quarter
2025 expense report, and pursuant to Section 13A09 (c)(1) of the
Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c)(1), Respondent
agrees to pay a total amount of $3,950.00, which shall be made
payable to the Commonwealth of Pennsylvania and forwarded to the
Pennsylvania State Ethics Commission within 30 days of the
adjudication in this matter.
a. This amount is reflective of the imposition of $50 for
each late day until the fourth (4"') quarter expense
report was filed on April 20, 2026 (79 days).
b. This amount takes into consideration the mitigating
factors provided in the attached Stipulation of
Findings.
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Page 12
5. The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter; and make no
specific recommendations to any law enforcements or other
authority to take action in this matter. Such, however, does not
prohibit the Commission from initiating appropriate enforcement
actions in the event of Respondent's failure to comply with this
agreement or the Commission's order or cooperating with any other
authority who may so choose to review this matter further.
Consent Agreement, at 1-2.
In considering the Consent Agreement and Stipulation of Findings, we agree with the
parties that Respondent as a registered principal failed to timely file a quarterly expense report
with the Department of State for the fourth quarter of 2025 as required by Section 13A05 of the
Lobbying Disclosure Law.
Accordingly, we hold that Respondent, as a registered principal, failed to timely file a
quarterly expense report with the Department of State for the fourth quarter of 2025 as required by
Section 13A05 of the Lobbying Disclosure Law. We accept the recommendation of the parties for
a determination that the transgression of the Lobbying Disclosure Law outlined immediately above
is deemed to be negligent in nature.
As part of the Consent Agreement, Respondent agreed to pay an administrative penalty in
the total amount of $3,950.00 payable to the Commonwealth of Pennsylvania and forwarded to
this Commission by no later than the thirtieth (30"') day after the mailing date of this Order.
We determine that the Consent Agreement submitted by the parties sets forth a proper
disposition for this case, based -upon our review as reflected in the above analysis and the totality
of the facts and circumstances. The Commission gives great weight to the considerable mitigation
presented by the Respondent. Accordingly, we approve the Consent Agreement that has been
submitted by the parties.
Respondent is ordered to pay the aforesaid administrative penalty in the total amount of
$3,950.00 by way of electronic payment, certified check or money order in the amount of
$3,950.00 payable to the Commonwealth of Pennsylvania and forwarded to this 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.
IV. CONCLUSIONS OF LAW:
1. As a principal registered with the Pennsylvania Department of State ("Department of
State") under principal registration number "P42769," Respondent William Penn Human
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Services ("Respondent") 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. Respondent, in its capacity as a principal registered with the Department of State under
principal registration number "P42769," failed to timely file a quarterly expense report
with the Department of State for the fourth quarter of 2025 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(l), was satisfied.
Based upon the totality of the circumstances in this case, in particular the considerable
mitigation provided by the Respondent, the imposition of an administrative penalty in the
total amount of $3,950.00 is warranted.
In Re: William Penn Human Services, File Docket: 26-006-L
Respondent Date Decided: 7/23/26
Date Mailed: 7/24/26
ORDER NO, 179--SL
1. Respondent William Penn Human Services ("Respondent"), in its capacity as a principal
registered with the Pennsylvania Department of State ("Department of State") under
principal registration number "P42769," failed to timely file a quarterly expense report
with the Department of State for the fourth quarter of 2025 as required by Section 13A05
of Pennsylvania's lobbying disclosure law ("Lobbying Disclosure Law"), 65 Pa.C.S. §
13A05,
3. Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A09(c),
and the Consent Agreement of the parties, this Commission hereby levies one
administrative penalty against Respondent in the total amount of $3,950.00 for its
delinquent fourth quarter 2025 expense report.
4. Respondent is ordered to pay an administrative penalty in the total amount of $3,950,00 by
utilizing the Commission's electronic payment system or by forwarding to this
Commission a certified check or money order in the amount of $3,950.00 payable to the
Commonwealth of Pennsylvania and forwarded to the Pennsylvania State Ethics
Commission by no later than the thirtieth (30"') day after the mailing date of this Order.
5. Noncompliance with Paragraph 4 of this Order will result in the Commission initiating
appropriate enforcement action(s).
BY THE COMMISSION,
Michael A. Schwartz, Chair