HomeMy WebLinkAbout145-SL Westmoreland Economic Dev Initiative for GrowthPHONE: 717-783-1610 STATE ETHICS COMMISSION FACSIMILE: 717-787-0806
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HARRISBURG, PA 17120-0400
In Re: Westmoreland Economic Dev Initiative for Growth,: File Docket: 19-008--L
Respondent X-ref: Order No. 145-SL
Date Decided: 1123120
Date Mailed: 216/20
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(s) required to be filed pursuant to
Pennsylvania's lobbying disclosure law, 65 Pa.C.S. § 13A01 et sec.., 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 Westmoreland Economic Dev Initiative for
Growth (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, and as
of April 16, 2018, the Department of State will not accept paper registrations or
expense reports.
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. § 13'A for
the first (15) quarter of 2019.
Il. FINDINGS:
Respondent is Westmoreland Economic Dev Initiative for Growth ("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 seg.
a. Respondent initially registered as a principal with the Department of State
on April 7, 2014, for the registration period January 1, 2013, through
December 31, 2014.
b. Respondent's registration statement indicates that lobbying commenced on
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April 1, 2014.
2. Respondent filed a principal registration statement with the Department of State
for the registration period January 1, 2019, through December 31, 2020.
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 "P42370."
C. In filing its principal registration, Respondent identified its registered mailing
address as:
136 Community Building Road
Leechburg, PA 15656
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 wit
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, lobbying
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.
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.
Westmoreland Economic Dev Initiative for Growth, 19-008-L
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Amendments.--
1. 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. § 13A04(a), (b)(1), (d).
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.
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 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.--
(1) Each expense report must list the names and
registration numbers when available of all
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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 lodgging to State
officials or employees, and any offer 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
provided to State officials or employees
or their immediate families.
(ii) The costs for direct communication.
(iii) 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. § 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) Reportin 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).
7. 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 30t" day after each quarterly reporting 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:
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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 by the
department that is consistent with the purpose of this
chapter when total expenses for lobbying exceed
J$3,000] for a registered 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 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 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. [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
Westmoreland Economic Dev Initiative for Growth, 1 9-008-L
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meet the reporting threshold for each quarter it has been registered as a principal,
by no later than the 30th day after each quarterly reporting period has ended. 65
Pa.C.S. § 13A05(a), (d); 51 Pa. Code § 55 { )]
a. Resppondent filed a quarterly expense report for the fourth (4t") quarter of
2018.
b. Respondent did not file a first (19t) quarter 2019 Expense Report by April
30, 2019.
11. The Regulations promulgated under the Lobbying Disclosure Law specifically
provide the following in relation to a delinquent filing:
§ 61.4. 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.
i. Hard copy filings are no longer allowed
pursuant to Act 2018-2 (H.B.1175), § 2,
approved February 14, 2018, eff. April
[15], 2018.
(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:
§ 55.1. Quarterly expense reports.
(a) A quarterly expense report is required to be filed asset
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 [$3,0001 in a quarterly reporting
period. The threshold of [$3,000] includes any
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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 or registered lobbyist lobb ing 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 re
qquired 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 lod ing to State
officials or employees, and any o�her 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
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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 May 9, 2019, 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 first (15D quarter of
2019.
a. Said Warning Notice was mailed to:
Westmoreland Economic Dev Initiative for Growth
136 Community Building Road
Leechburg, PA 15656
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
first (1 sl quarter of 2019 with the Department of State within thirty (30) days from
the mailling 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 July 25, 2019, no first (15t) quarter 2019
expense report was found to have been filed with the Department of State for
P42370.
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 reportas 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
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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 ofnoncomplianceand 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).
f. 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 upp 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)]. 65 Pa.C.S. § 13A09(e)(4).
18. As of the date of the filing of the instant Notice of Allegged Noncompliance [July 30,
2019], Respondent's expense report was a total of 128 [sic] days delinquent.
a. Respondent's first (1st) quarter 2019 Expense Report was 90 days
delinquent [as of July 30, 20191 (May 1, 2019 - July 30, 2019).
The first quarter expense report period closed March 31, 2019.
See, 65 Pa.C.S. § 13A03 Definitions -"Reporting period."
2. Expense reports were to be filed [by] April 30, 2019. See, 65 Pa.C.S.
§ 13A05(a).
3. The first day on which Respondent's first (15t) quarter 2019 Expense
Report was delinquent was May 1, 2019.
19. As of the date of the filing of the instant Notice of Alleged Noncompliance [July 30,
2019], Respondent's first (V) quarter 2019 Expense Report continued to be
delinquent, as it had 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.
Westmoreland Economic Dev Initiative for Growth, 19-008-L
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21. The Commission may impose a maximum administrative penalty of $50.00 per
day for the first ten late days, $100.00 for each late day after the first ten late days
through the 20kh late day, and $200.00 for each late day after the first 20 late days
that Respondent's first (1$t) quarter 2019 Expense Report has remained
delinquent, calculated from May 1, 2019, the first day the quarterly expense report
was delinquent, through the date Respondent files the outstanding quarterly
expense report with the Department of State [or this Commission decides this
matter, whichever occurs first]. 51 Pa. Code § 63.6(2).
22. lin addition to its authority to impose an administrative penalty for negligent failure
o 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 lobbyingfor economic
consideration for up to five years, pursuant to 65 Pa.C.S. § 13A09e)(4).
a. The procedures for imposing a prohibition against lobbying for economic
consideration are set forth at 51 Pa. Code Chapter 65.
b. The instant proceeding is limited to an alleged negligent failure to timely file
a quarterly expense report for the first quarter of 2019.]
23. There are no mitigating circumstances concerning Respondent's failure to timely
file [a quarterly expense report or statement of failure to meet the reporting
threshold for the first quarter of 2019].
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 first quarter of 2019.
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 sec ., are also set forth in the Fact Findings. We shall now summarize
the relevant facts.
Respondent initially registered as a princippal with the Department of State on April
7, 2014, for the registration period January 1, 2013, through December 31, 2014.
Respondent's registration statement indicated that lobbying commenced on April 1, 2014.
Per the Department of State's web site, on January 28, 2019, Respondent
re istered as a principal with the Department of State for the registration period January
1, 019, through December 31, 2020. Respondent was assigned the principal registration
number "P42370."
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
byy 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
Westmoreland Economic Dev Initiative for Growth, 19-008-L
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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 on January 28, 2019, for the registration period January 1, 2019,
through December 31, 2020, Respondent was required to file either a quarterly expense
report or a statement of failure to meet the reporting threshold for the first quarter of 2019.
Respondent failed to timely 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 May 9, 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 provided
Respondent an opportunity to cure the alleged noncompliance and avoid the institution
of these proceedings by filing a quarterly expense report for the first quarter of 2019 with
the Department of State within thirty (30) days of the mailing date of the Warning Notice
letter.
As of July 25, 2019, no first quarter 2019 expense report was found to have been
filed with the Department of State for P42370.
Per the Department of State's website, Respondent submitted a first quarter 2019
expense report/statement of failure to meet the reporting threshold on August 15, 2019.
We take administrative notice of the following facts:
(1) Respondent's first quarter 2019 expense report/statement of
failure to meet the reporting threshold, as it appears on the
Department of State's web site, has no amounts entered in
the blocks for disclosure of expenses, and given that there is
no longer a block on the form to check when the $3,000
reporting threshold is not exceeded, it is impossible to discern
from the face of the form whether the blocks should have been
completed or the form was merely a statement of failure to
meet the reporting threshold; and
(2) Respondent's first quarter 2019 expense report/statement of
failure to meet the reporting threshold, as it appears on the
Department of State's web site, has been affirmed by lobbying
firm Duane Morris Government Strategies LLC accompanied
byy a Statement of Limited Knowledge dated October 25,
2019.
An application of Section 13A09(a), (c) of the Lobbying Disclosure Law to this case
establishes that this Commission has the discretion to impose a maximum administrative
penalty against Respondent for the aforesaid delinquency.
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.
Westmoreland Economic Dev Initiative for Growth, 19-008-L
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We hold that Westmoreland Economic Dev Initiative for Growth, in its capacity as
a principal registered with the Department of State under principal registration number
"P42370," violated Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05,
when it failed to timely file with the Department of State either a quarterly expense report
or a statement of failure to meet the reporting threshold for the first quarter of 2019.
We determine that the violation of the Lobbying Disclosure Law outlined above
was negligent in nature, and there is no basis in the record for imposing less than a
maximum administrative penalty against Respondent. See, 51 Pa. Code § 63.6(3).
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).
The beginning point of Respondent's delinquency is clear. For the first quarter of
2019, the reporting deadline was April 30, 2019. See, 65 Pa.C.S. § 13A05(a). The first
day on which Respondent's first quarter 2019 expense report or statement of failure to
meet the reporting threshold was delinquent was May 1, 2019.
Per the Department of State's website, Respondent's first quarter 2019 expense
reportlstatement of failure to meet the reporting threshold was submitted on August 15,
2019.
Excluding the submission date (August 15, 2019) from the calculation, we shall
consider Respondent's quarterly expense report/statement of failure to meet the reporting
threshold for the first quarter of 2019 to have been delinquent for a total of 106 days. The
time period for which a penalty shall be calculated in this case is limited to May 1, 2019,
through August 14, 2019, in view of a filer's inability to respond "No" on the expense report
form to an inquiry as to whether there is more than $3,000 in expenses to be reported.
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 20th 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. § 13A9(c)(1).
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
Westmoreland Economic Dev Initiative for Growth in the total amount of $18,700.00,
calculated as follows: $50 per day for the first ten days its first quarter 2019 expense
report or statement of failure to meet the reporting threshold was delinquent, plus $1p00.00
per day for the next ten days its first quarter 2019 expense report or statement of failure
to meet the reporting threshold was delinquent, plus $200 per day for the remaining 86
days its first quarter 2019 expense report or statement of failure to meet the reporting
threshold was delinquent (10 days x $50.00 + 10 days x $100.00 + 86 x $200.00 =
$18,700.00).
Westmoreland Economic Dev Initiative for Growth, 19-008-L
Page 13
Respondent Westmoreland Economic Dev Initiative for Growth is ordered to pay
the aforesaid administrative penalty in the total amount of $18,700.00 by way of certified
check or money order in the amount of $18,700.00 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 "P42370," Westmoreland Economic
Dev Initiative for Growth has been subject to the reporting requirements of Section
13A05 of Pennsyylvania's lobbying disclosure law (`Lobbying Disclosure Law"), 65
Pa.C.S. § 13A05.
2. Westmoreland Economic Dev Initiative for Growth, in its capacity as a principal
registered with the Department of State under principal registration number
"P42370," violated Section 13A05 of the Lobbying Disclosure Law, 65 Pa.C.S. §
13A05, when it failed to timely file with the Department of State either a quarterly
expense report or a statement of failure to meet the reporting threshold for the first
quarter of 2019.
3. The violation 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 in the total amount of $18,700.00 is warranted (10 days x
$50.00+ 10 days x $100.00 + 86 x $200.00 = $18,700.00).
In Re: Westmoreland Economic Dev Initiative for Growth,: File Docket: 19-008--L
Respondent Date Decided: 1/23/20
Date Mailed: 2/6/20
ORDER NO. 145-SL
Westmoreland Economic Dev Initiative for Growth, in its capacity as a principal
registered with the Pennsylvania Department of State ("Department of State")
under principal registration number °P42370," violated Section 13A05 of
Pennsylvania's lobbying disclosure law ("Lobbying Disclosure Law"), 65 Pa.C.S. §
13A05, when it failed to timely file with the Department of State either a quarterly
expense report or a statement of failure to meet the reporting threshold for the first
quarter of 2019.
2. The violation of the Lobbying Disclosure Law outlined in paragraph 1 immediately
above is deemed to be negligent in nature.
3. Pursuant to Section 13A09(c) of the Lobbying Disclosure Law, 65 Pa.C.S. §
13A09(c), this Commission hereby levies one administrative penalty against
Westmoreland Economic Dev Initiative for Growth in the total amount of
$18,700.00, calculated as follows: $50 per day for the first ten days its first quarter
2019 expense report or statement of failure to meet the reporting threshold was
delinquent, plus $100.00 per day for the next ten days its first quarter 2019
expense report or statement of failure to meet the reporting threshold was
delinquent, plus $200 per day for the remaining 86 days its first quarter 2019
expense report or statement of failure to meet the reporting threshold was
delinquent (10 days x $50.00 + 10 days x $100.00 + 86 x $200.00 = $18,700.00).
4. Westmoreland Economic Dev Initiative for Growth is ordered to pay the aforesaid
administrative penalty in the total amount of $18,700.00 by way of certified check
or money order in the amount of $18,700.00 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.
5. Noncompliance with Paragraph 4 of this Order will result in the Commission
initiating appropriate enforcement action(s).
B'TTME COIT-nTUSSIOR,
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