HomeMy WebLinkAbout144-SL, Alliance of Automotive Service Providers-PennsylvaniaPHONE: 717-783-1610
TOLL FREE: 1-800-932-0936
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
In Re: Alliance of Automotive Service Providers -Pennsylvania,
Respondent
FACSIMILE: 717-787-0806
WEBSITE: WWmeth1g0,.pa,ggV
File Docket: 194C07-L
X-ref- Order No. 144-SL
Date Decided: 9/26/19
Date Mailed: 10/16/19
Before: Nicholas A. Colafella, Chair
Mark R. Corrigan, Vice Chair
Roger Nick
Melanie DePalma
Michael A. Schwartz
Shelley Y. Simms
This is a final adjudication of the State Ethics Commission as to the alleged
delinquency and/or deficiency of expense report�) required to be filed pursuantto
Pennsylvania's lobbying disclosure law, 65 Pa.C.S. 13A0I et sect., 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 Alliance of Automotive Service Providers -
Pennsylvania (hereinafter also referred to as "Respondent") a Notice of Alleged
Noncompliance. Respondent did not file an Answer, Appeal, or other Request for Hearing.
A Stipulation of Findings and a Consent Agreement and Amended 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 as
amended (hereinafter referred to as the "Consent Agreement") has been approved.
Effective January 1, 2017, the Pennsylvania Department of State ("Department
of State") increased the thresholds under 65 Pa.C.S. § 13A06 for registration under
66 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, and as of
April 16,2018, the Department of State will not accept paper registrations or expense
reports.
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 seg.), failed
to include the name and emailaddress of an authorized re resentati;Te—,employee,
or agent on its principal registration pursuant to 65 Pa.C.S. I 13A04 and failed to
timely file a quarter expense report pursuant to 65 Pa.C.S. 13A05 for the fourth
(4t�) quarter of 2018.
Respondent is Alliance of Automotive Service Providers -Pennsylvania
("Respondent') and was a registered grinciO as that term is defined by the
Lobbying Disclosure Law, Act 134 of 20 6, 6! Pa.C.S. § 13A01 et se §_q
a. Respondent initially registered as a principal with the Department of State on
January 10, 2007, for the registration period January 1, 2007, through
December 31, 2008.
Alliance of Automotive Service Providers -Pennsylvania, 19-007-L
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b. Respondent's registration statement indicates that lobbying commenced on
January 2, 2007.
2. Respondent filed a principal registration statement with the Deartment 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 "P02330."
C. In filing its principal registration, Respondent identified its registered mailing
address as:
2151 Greenwood Street
Harrisburg, PA 17104
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
(relatingto 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
i days of acting n any capacity as a lobbyist, lobbying
firm or principal. Re istration shall be biennial and shall
begin January 1, 207.
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.
iii. Daytime teleThone number.
iv. E-mail ad ress 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,
Alliance of Automotive Service Providers -Penns lvania, 19-007-L
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ix. Name of the authorized representative,
employee or agent.
If there is a change of information required for
the registration statement under subsection
(%1) or (2) or (c), an amended registration
sta ement 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.
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. § 13A04(a), (b)(1), (d),
In addition to the Lobbying Disclosure Law, the duly promulgated Regulations
provide further information in relation to registration periods anTreporting periods:
§ 51.3. Registration periods and reporting periods.
Registration under section 13A04 of the act (relatin(I to
registration) shall be biennial. The first registration
-
Feriod 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).
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.
(b) Content.—
Alliance of Automotive Service Providers -Pennsylvania, 19-007-L
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(1) Each expense report must list the names and
registration numbers when available of all
lobbyists by whom lobbyingis conducted on
behalf of the principal and e 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:
The costs for gifts, hospitality,
transportation and lodging given to or
provided to State officials or employees or
their immediate families.
The costs for direct communication.
The costs for indirect communication.
(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. § 13AO5(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 13AO5 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).
7.�As a registered principal, Respondent is required to electronically file with the
epartment of State either a quarterly expense report or a statement of failure to
meet the reportint� threshold for each quarter it has been registered as a principal,
th I by no later than e 30day after each quarterly reporting period has ended. 65
Pa.C.S. § 13AO5(a), (d); 51 Pa. Code § 65.1(d)].
& Section 13AO5 of the Lobbying Disclosure Law additionally sets forth the threshold
with regard to reporting expenditures:
Alliance of Automotive Service Providers -Penns lvania, 19-007-L
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(d) Thresholds for reporting.— An expense report
required under this section shall be filed electronically
using the computerized filing system developed b� the
department that is consistent with the Purpose o this
chapter when total expenses for lobbying exceed
[$3,000] for a registeredi principal in a reporting period.
n a reporting period n which total expenses are
[$3,000] or less, a statement to that effect shall be filed
electronically using the computerized filing system
developed by
the department that is consistent with the
purpose of this chapter.
65 Pa.C.S. § 13A05(d).
Section 13A03 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
3 co providing any gift, hospitality, transportation or lodging
a State official or employee for the purposeof
advancing the interest of the lobbyist or principal.
"LeWslative 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:
Ill 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
n, ing 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 orby
an 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. fAs a registered principal, Respondent is required to electronically file with the
epartment 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,
Alliance of Automotive Service Providers -Pennsylvania, 19-007-L
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byno later than the 30th day after each quarterly reporting period has ended. 65
Pa.C.S. § 13A05(a), (d); 51 Pa. Code § 55.1(d)],
a. Respondent filed a quarterly expense report for the third (3rd) quarter of 2018.
b. Respondent did not file a fourth (4th) quarter 2018 Expense Report by
January 30, 2019.
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
Unclesection 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.
Hard c, filins are no longer allowed
pursu
ant
y I
Act2018-2 (H.13.11175),� 2,
approved February 14, 2018, eff. pril
[15], 2018.
(2) Electronic filings may be filed until 12 a.m.
midnight.
(b) A failure to timely file a registration statement, a
quarterlyexpense report, a separate expense report, a
notice otermination or an amendment to one of these
filings constitutes a failure to register or report as
required 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:
§ 55.1. Quarterly expense reports.
(a) A quarterly expense report is required to be filed as set
h 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. Yhe threshold of [$3,000] includes any economic
consideration paid by a principal to a lobbying firm or
lobbyist for lobbying. Individuals exem tundersection
13A06 of the act (relating to exemption from registration
and reporting) need not register or report.
Alliance of Automotive Service Providers -Pennsylvania, 19-007-L
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(b) For a quarterly reporting period in which the total
lobbying expenses of a registered principal, registered
lobbyin9 firm or registered lobbyist lobb ing on the
I
incipa's behalf, together, are [$3,000M less a
principal's
to that effect shall be filed with less,
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
0
or before the 30th day after the quarterly reporting
period ends.
(g) A quartedy 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 lodgingto tate
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 o
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 March 28, 2019, Respondent was served with notice
in accordance with Section 13A09 of the Lobbying Disclosure Law and Section
634(1) of the Lobbying Disclosure Regulations of the specific allegations: that
Respondent failed to file a quarterly expense report for the fourth (4 ) quarter of
Alliance of Automotive Service Providers- Pen nsylvan ia, 19-007-L
Pa9_e_87__
2018 and failed to properly register with the Department of State when Respondent
failed to include the name and email of Respondent's authorized representative,
employee, or agent on the registration.
a. Said Warning Notice was mailed to:
Alliance of Automotive Service Providers -Pennsylvania
2151 Greenwood Street
Harrisburg, PA 17104
b. This is the same address as listed on Respondent's principal registration
statement.
C. By submitting the principal registration statement, Respondent consented to
receipt of service of notices, other official mailings or process, at the address
listed on the registration statement. (See, Paragraph 2(a) above).
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 noncompliance
quarter of 2018 and amending its registration to include the name and e-
mail address of an authorized representative, employee, or agent, with the
DeFartment of State within thirty (30) days from the mailing date of the Warning
Notice letter.
16. The Director of the Bureau of Campaign Finance & Civic Engagement for the
Commonwealth of Pennsylvania — Department of State conducted a search of the
Department of State's records, and, as of May 14, 2019, no fourth (4th) quarter2018
expense report was found to have been filed with the Department of State for
Alliance of Automotive Service Providers -Pennsylvania.
17. The Lobbying Disclosure Law provides for civil and criminal enalties for failin . to
comply with the registration statement filing and quarterly expense repoTing
requirements thereof. Specifically, the Lobbying Disclosure Law provides that:
a. Negligent failure to register or repc�rtas 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
20th 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).
b, The total amount of the administrative penalty that may be levied after
hearing by a ma . onty vote of all of the Commission Members shall not be
limited b, , Cr provision of law. 65 Pa.C.S. § 13A09(c)(2).
C. Any person that fails tocomply 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
Alliance of Automotive Service Providers -Pennsylvania, 19-007-L
page
up to five (5) years [in accordance with 65 Pa.C.S. § 13A09(e)(4)]. 65
Pa.C.S. §§ 13A69(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 re art
contains a false statement or is incomplete commits a misdemeanor �Ihe
second degree. 65 Pa.C.S. § 13A09(e)(2).
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].
g, 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 prohibition] unless the person has
been afforded the opportunity for a =g, which shall be conducted by the
Commission in accordance with sections 1107(14) and 1108(e ofthe Public,
Official and Employee Ethics Act, 65 Pa.C.S. §§ 1107(14) 1108(e)]. 65
Pa.C.S. § 13A09(e)(4).
18. Res ondent's expense report was a total of one hundred and forty-eight
(14T) days delinquent.
a. The fourth quarter expense report period closed December 31, 2018.
See, 65 Pa.C.S. § 13A03 Definitions — "Reporting period."
b. Expense reports were to be filed within thirtX (30) days of December
31, 2018, that date being January 30, 2019. See, 65 Pa.C.S. §
13A05(a).
C. The first day in which Respondent's fourth 01) quarter 2018 Expense
Report was delinquent was January 31, 2819.
d. Respondent filed its fourth (4th) quarter [2018] Expense Report on
June 28, 2019.
a. Respondent's failure to file its fourth (4th) quarter 2018
Expense Report was not intentional, and therefore deemed
negligent.
19. Respondent properly filed its first (1 st) quarter 2019 Expense Report.
Ill. DISCUSSION:
In the instant matter, the alleged noncompliance is that Respondent, as a principal
re t gistered with the Pennsylvania Department of State ("Department of State") pursuanto
the
Lobbying Disclosure Law, failed to include the name and email address of an
authorized representative, employee, or agent on its principal registration pursuant to 65
Alliance of Automotive Service Providers-PennsvIvania, 19-007-L
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Pa. C.S. § 13A04 and failed to timely file a quarterly expense report pursuant to 65 Pa. C.S.
§ 13A05 for the fourth (4 th ) quarter of 2018.
As noted above, the parties have submitted a ConsentA reement and Stipulation of
Findings. Per the Consent Agreement of the parties, the ?nvestigative Division has
exercised its prosecutorial discretion to nol pros the allegation under Section 13A04 of the
Lobbying Disclosure Law. Based upon the nol pros, we need not address the allegation
under Section 13A04 which is no longer before us.
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 initially registered as a principal with the Department of State on
January 10, 2007, forthe registration period January 1, 2007, through December 31, 2008.
Respondent's re?istration statement indicated that lobbyingcommenced on January 2,
2007. Responc ent registered as a principal with the artment of State for the
registration period January 1, 2017, through December 31, 2018. Respondent was
assigned the principal registration number "P02330."
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 quartery basis. When a registered principal's total expenses for
lobbying exceed $3,000 for a reporting period/ uarter, the principal is required to file a
last
expense report with the Department o? State by no later than 30 da s after the
a day of such quarter. For a reporting period in which total expenses are $3%0 or less,
a statement to that effect must be filed with the Department of State by the lgrincipal b�
checking the appropriate block on the quarterly expense report form. 51 a. Code
55,11(b). Thus, a registered principal must file either a quarterly expense report or a
statement of failure to meet the reporting threshold bj, no later than the 30th day after each
quarterly reporting period ends. 51 Pa, Code § 55, (d).
Having registered for the registration period January 1, 2017, through December 31,
2018, 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 2018. 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 March 28, 2019, 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 providA
Respondent an opportunity to cure the alleged noncompliance and avoid the institution of
these proceedings b� filing a quarterl� expense report for the fourth quarter of 2018 with
:he Department of State within thirty 30) days of the mailing date of the Warning Notice
letter.
As of May 14, 2019, no fourth quarter 2018 expense report was found to have been
filed with the Department of State for Respondent.
On June 28, 2019, Respondent submitted a quarterly expense report for the fourth
quarter of 2018.
Negligent failure to re.9ister or report as required by the Lobbying Disclosure Law is
punishable by an administrative penalt as follows: (1) for the first ten late da s, $50.00 for
each late day; (2) for each late day aver the first ten late days through the �Oth late day,
Alliance of Automotive Service Providers -Pennsylvania, 19-007-L
Page 11
$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).
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
gistere with the Pennsylvania Department of
Sta
te pursuant to the Penns vania Lobbying
Disclosure Law (65 Pa.C.S. Penns
et seq.),
failed to timely file a Quarterly Expense Report
pursuant to 65 Pa.C.S. § 13A05, for the fourth
(4th) quarter of 2018;
b. That the transgressions of the Lobbying
Disclosure Law outlined in paragraph (a) above
are deemed to be negligent in nature;
c, The Investi ative Division has elected to nolle
pros the allegation regarding the failure to
properly identify an authorized- representative's
name and email on the principal registration.
d. For the purposes of this Consent Agreement,
Respondent was deficient in filing its fourth (4th)
quarter of2018 Expense Reportby a total of 148
days, calculated as set forth below:
i. On March 28, 2019, a Warning Notice
regarding the delinquent quarterly
expense report was sent to Respondent
via First Class United States Mail;
ii. Respondent did not file the outstanding
Quarterly Expense Rgort for the fourth
(4th) quarter of 2018 within
period; and
iii. Respondent has properly filed all
outstanding Expense Reports. The
delinquent period for purposes of this
Consent Agreement is calculated from the
first date the fourth (4tl, quarter of 2018
Expense Report was delinquent January
31, 2019) until the date Respondent filed
its fourth (4th) quarter 2018 Expense
Report (June 28, 2019).
4. Respondent agrees to pay the sum of $13,048.00 in settlement
of this matter to be paid as follows:
Affiance of Automotive Service providers -Penns yivaniq, 19-007-L
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In regard to Respondent's failure to file a timely
[fourth (41h) uarter 2018 Expense Report], and
pursuant to Section 1 3AOMc�(I) of the Lobb�ing
Disclosure Law, 65 Pa. § 13A09(c (1),
Respondent agrees to pay an administrative
(malty in the amount of $50.00 per day for the
first ten days, $50.00 per d% for each day after
the first ten late days through
the 20th late day,
$200.00 per day for the next 7 days, and $88.00
for the remaining 121 late days during the
delinquent period as outlined above for a total
amount ute un of $ 1
3,048,00, which shall be made
payable to the Commonwealth of Pennsylvania
and forwarded to the Pennsylvania State Ethics
Commission within twelve (12) months of the
adjudication in this matter.
The Investigative Division will recommend that the State Ethics
Commission take no further action in this matter, impose no
further sanctions, and make no specific recommendations to
any law enforcement or other authority to take action in this
matter as to either Respondent, or any individual or
representative of Respondent. 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 2018 as required by Section
13A05 of the Lobbying Disclosure Law,
Accordingly, we hold that Respondent as a registered principal failed to time file
quarterly expense report with the Department of State for the fourth quarter of 2�118 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.
The parties have agreed that Respondent was 148 days delinquent in filing its
quarterly expense report for the fourth quarter of 2018.
As part of the Consent Agreement, Respondent agreed to pay an administrative
penal in the total amount of $13,Ot8,$00
141 0 da s x $50,00 + 10 days x $50.00 + 7 days x
048%
$200.1�10 + 121 days x $88.00 � 0), payable to the Commonwealth of
Pennsylvania and forwarded to this Commission within twelve months of the adjudication in
this matter.
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. Accordingly, we approve the Consent
Agreement that has been submitted by the parties.
Alliance of Automotive Service Providers-Pe�Iya�nia, 19-007-L
Page 13
This Commission hereby levies one administrative penalty against Respondent
Alliance of Automotive Service Providers -Pennsylvania in the total amount of $13,048.00
for its delinquent quarterly expense report for the fourth quarter of 2018, calculated as
follows: $50.00 per dax, for the first ten days its fourth quarter 2018 expense report was
delinquent, plus $50.00 per dq for the next ten days its fourth quarter 2018 expense
repo was delinquent, plus $20 per d for the next seven days its fourth quarter 2018
t aX.00 per day for the remaining one hundred and
u
expense report was delinquent, plus
$8
twenty-one days its fourth quarter 2018 expense report was delin uent (10 days x$50.00 +
10 days x $50.00 + 7 days x $200.00 + 121 days x $88.00 = $1%1,048.00).
To the extent it has not already done so, Respondent Alliance of Automotive Service
Providers -Pennsylvania is directed to pay the aforesaid administrative Penalty in the total
amount of $13,048.00 to be made payable to the Commonwealth of Pennsylvania and
forwarded to this Commission within twelve months of the mailing date of this adjudication
and Order.
Noncompliance will result in the institution of an order enforcement action.
IV. CONCLUSIONS OF LAW:
1 As a principal registered with the Pennsylvania Department of State ("Department of
St
ateI$ ) under principal registration number "P02330," Alliance of Automotive Service
Providers -Pennsylvania as been subject to the reporting requirements of Section
13A05 of Pennsylvania's lobbying disclosure law ('Lobbying Disclosure Law"), 65
Pa.C.S. § 13A05.
2. Alliance of Automotive Service Providers -Pennsylvania, in its capacity as a principal
re
apttered with the Department of State under principal re I istration number
report with t 330," failed to timely file a yarterly expenseYie Department of
State for the fourth quarter of 2A as required by Section 13A05 of the Lobbying
Disclosure Law, 65a.C.S. § 13A05.
3, The transgression of the Lobbying Disclosure Law outlined in paragraph 2
immediately above is deemed to e 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 in the total amount of $13,048.00 is warranted (10 days x
$50.00 + 10 days x $50.00 + 7 days x $200.00 + 121 days x $88.00 = $13,048.00).
In Re: Alliance of Automotive Service Providers -Pennsylvania, File Docket: 194M74-
Respondent Date Decided: 9/26/19
Date Mailed; 10/16/19
Alliance of Automotive Service Providers -Pennsylvania, in its capacity as a principal
registered with the Pennsylvania De artment of State ("De artment of State") under
principal registration number "PUT30," failed to timely File a quarterly expense
report with the Department of State for the fourth quarter of 2018 as required by
Section 13A05 of Pennsylvania's lobbying disclosure law ("Lobbying Disclosure
Law"), 65 Pa.C.S. § 13A05.
The transgression of the Lobbying Disclosure Law outlined in paragraph I
immediately above is deemed to e negligent in nature.
Pursuant to Section 13A09(c) of the Lobbyin? Disclosure Law, 65 Pa,C.S. §
13AO9�c), and the Consent Agreement of the par lies, this Commission hereby levies
one a ministrative penalty against Alliance of Automotive Service Providers -
Pennsylvania in the total amount of $13,048.00, calculated as follows: $50.00 per
da for the first ten days its fourth quarter 2018 expense report was delinquent, plus
5� .00 per day for the next ten days its fourth quarter 2018 expense report was
delinquent, plus $200 per day for the next seven days its fourth quarter 2018
expense report was delinquent, plus $88.00 per day for the remaining one hundred
an twenty-one days its foqLurth 01.Jarter2018 expense report was delinquent (10 days
x $50.00 + 10 days x $50.0b-'+ 7 days x $200.00 + 121 days x $88.00
$13,048.00).
To the extent it has not already done so, Alliance of Automotive Service Providers -
Pennsylvania is ordered to pay the aforesaid administrative penalty in the total
amount of $13,048.00 to be made payable to the Commonwealth of Pennsylvania
and forwarded to the Pennsylvania State Ethics Commission within twelve months
of the mailing date of this Oder,
Noncompliance with Paragraph 4 of this Order will result in the Commission initiating
appropriate enforcement action(s).
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