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In Re: Life Revival, LLC,
Respondent
STATE ETHICS COMMISSION
FINANCE BUILDING
613 NORTH STREET, ROOM 309
HARRISBURG, PA 17120-0400
File Docket:
Order No.
Date Decided:
Date Mailed:
24-002-L
166-SL
4/9/24
4/ 10/24
Before: Michael A. Schwartz, Chair
Rhonda Hill Wilson, Vice Chair
David L. Reddecliff
Robert P. Caruso
Emilia McKee Vassallo
Thomas E. Leipold
FACSIMILE: 717-787-0806
WEBSITE: www.ethics.oa.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 seQ., hereinafter referred to as the "Lobbying Disclosure
Law."
The Investigative Division, initiated these proceedings by filing with the State Ethics
Commission and serving upon Respondent Life Revival, LLC (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 se failed to timely file
a quarterly expense report pursuant to 65 Pa.C.S. § 13A05 for the third (311) quarter of
2023.
II. FINDINGS:
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
seg.
a. Respondent initially registered as a principal with the Department of State on June
15, 2021, for the registration period January 1, 2021 through December 31, 2022.
Life Revival, LLC, 24-002-L
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b. Respondent's registration statement indicates that lobbying commenced on June 1,
2021,
2, Respondent filed a principal registration statement with the Pennsylvania Department of
State for the registration period January 1, 2023 through December 31, 2024.
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 "P66822."
C. In filing its principal registration, Respondent identified its registered mailing
address as:
4527 North Broad Street
Philadelphia, PA 19140-2225
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, 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,
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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. §§ BA04(a), (b)(1), (d).
4. 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
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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 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.
5. In addition to the Lobbying Disclosure Law, the duly promulgated Regulations provide
further information in relation to registration periods and reporting periods:
§ 51.3. Registration periods and reporting periods.
a. Registration under section 13A04 of the act (relating to
registration) shall be biennial. The first registration period
which commenced January 1, 2007, continues through
December 31, 2008. Subsequent registrations shall
commence on January 1 of each odd numbered year.
5t Pa. Code § 51.3(a).
Life Revival LLC, 24-002-L
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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"' 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.
Life Revival LLC, 24-002-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 third (3`d) quarter 2023 expense report by October 30, 2023.
b. Respondent has remedied the failure by filing its expense report for the third (3rd)
quarter 2023 on January 11, 2024.
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).
Life Revival, LLC, 24-002-L
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13. By Warning Notice letter dated November 17, 2023, 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 third (3rd) quarter of 2023.
a. Said Warning Notice was mailed to:
Life Revival, LLC
4527 North Broad Street
Philadelphia, PA 19140-2225
b. This is the same address as listed on Respondent's principal registration statement.
Additionally, the Investigative Division sent an email to the authorized
representative on December 4, 2023; no reply was received.
1. Respondent claims that the email address on the Department of State website
must have been incorrect, as no one involved with Life Revival saw the email
sent by the Investigative Division.
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 third (3d) quarter of
2023 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 January 4,
2024, no third (3'd) quarter of 2023 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:
a. 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.
Life Revival. LLC, 24-002-L
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(ii) For each late day after the first ten late days through the 20'h
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 majority vote of all of the Commission Members
shall not be limited by any other provision of law. 65 Pa.C.S. §
t3A09(c)(2).
C. Any person that fails to comply with the requirements of the
Lobbying Disclosure Law, after notice of noncompliance and after
a hearing if one is requested, may be prohibited from lobbying for
economic consideration for up to five (5) years [in accordance with
65 Pa.C.S. § 13A09(e)(4)]. 65 Pa.C.S. §§ 13A09(d), (e)(4).
18. Respondent's third (3`d) quarter expense report was a total of fifty-three (53) days
delinquent.
a. The third (3`d) quarter expense report period closed September 30, 2023. See, 65
Pa.C.S. § 13A03 Definitions — "Reporting period."
b. Expense reports were to be filed within thirty (30) days of September 30, 2023, that
date being October 30, 2023. See, 65 Pa.C.S. § 13A05(a).
c. The first day in which Respondent's third (3`d) quarter 2023 expense report was
delinquent was October 31, 2023.
19. Respondent has presented extensive mitigation in this matter:
a. Respondent is an outpatient behavioral health clinic located in Northeast
Philadelphia with an intended focus on immigrant communities, where
language barriers are a significant impediment to obtaining mental health
services;
b. Respondent was formed in 2021, and due to the challenges of complying
with Federal, State, and City requirements, along with some internal
personnel issues, has not begun treating patients. This has created a
serious financial strain on Respondent's operations;
C. Respondent's original location on Broad Street was unsuitable for
Respondent's intended purpose and use; therefore, Respondent had
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to relocate. Respondent negligently did not update its address with
the Department of State;
1. Respondent asserts that it did not receive the Warning Notice,
which was sent via Certified US Mail and signed for by someone
unaffiliated with Respondent;
2. Respondent did receive the Notice of Noncompliance.
Respondent avers that one of its employees was at the Broad Street
location and saw unopened correspondence addressed to
Respondent, including the Notice of Noncompliance;
d. Since the second (2") quarter of 2021, Respondent has faithfully filed
its expense reports, and there has been no prior action taken by the
Investigative Division due to failure to file an expense report;
e. Respondent has since filed its third (3`d) and fourth (0) quarter
expense reports for 2023 and is up to date on filing;
f. Respondent has undertaken remedial measures to prevent any further
noncompliance with the Lobbying and Disclosure Law. These
measures include ensuring that their address has been updated with the
Department of State, updating the company's email to ensure that the
CEO will receive future notifications, and hiring executive personnel,
whose responsibilities include government compliance; and
g. Due to Respondent's financial situation, the suggested financial
penalty will both allow Respondent to comply in a timely fashion as
well as deter future negligence.
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, failed to timely file a quarterly expense report pursuant to 65 Pa.C,S. §
13A05 for the third quarter of 2023.
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.
Respondent initially registered as a principal with the Department of State on June 15,
2021, for the registration period January 1, 2021, through December 31, 2022. Respondent's
registration statement indicated that lobbying commenced on June 1, 2021. Respondent was
Life Revival, I.LLC, 24-002-L
Page I I
assigned the principal registration number "P66822." Per the Consent Agreement of the parties,
Respondent was registered as a principal with the Department of State for the registration period
January 1, 2023, through December 31, 2024.
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, 2023, through December 31, 2024,
Respondent was required to file either a quarterly expense report or a statement of failure to meet
the reporting threshold for the third quarter of 2023. 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 November 17, 2023, Respondent was served with notice
of the alleged noncompliance in accordance with Section 63.4(1) of the Lobbying Disclosure
Regulations, 51 Pa. Code § 63.4(1). The Warning Notice letter provided Respondent an
opportunity to cure the alleged noncompliance and avoid the institution of these proceedings by
filing a quarterly expense report for the third quarter of 2023 with the Department of State within
thirty (30) days of the mailing date of the Warning Notice letter.
As of January 4, 2024, no third quarter 2023 expense report was found to have been filed
with the Department of State for the Respondent.
Respondent has since filed its third (3`a) and the fourth (4'h) quarter expense reports for
2023 and is up to date on filing.
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 201h 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).
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.
Life Revival LLC, 24-002-L
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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 seg.), failed to timely
file a Quarterly Expense Report pursuant to 65
Pa.C.S. § 13A05, for the third quarter (3rd) quarter
of 2023;
i. On November 17, 2023, a Warning Notice
regarding the delinquent quarterly expense report
was sent to Respondent via First Class United
States Mail; and
ii. Respondent did not file the outstanding Quarterly
Expense Report for the third (3d) quarter 2023
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 third (3d) quarter
2023 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 $2,500.00, which shall be made
payable to the Commonwealth of Pennsylvania and forwarded to the
Pennsylvania and forwarded to the Pennsylvania State Ethics
Commission within 30 days of the adjudication in this matter.
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.
Life Revival, LLC, 24-002-L
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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 third quarter of 2023 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 third quarter of 2023 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 $2,500,00 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
$2,500.00 by way of electronic payment, certified check or money order in the amount of
$2,500.00 payable to the Commonwealth of Pennsylvania and forwarded to this Commission by
no later than the thirtieth (301h) 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 "P66822," Respondent Life Revival, LLC
("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 "P66822," failed to timely file a quarterly expense report
with the Department of State for the third quarter of 2023 as required by Section 13A05 of
the Lobbying Disclosure Law, 65 Pa.C.S. § 13A05.
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3. The transgression of the Lobbying Disclosure Law outlined in paragraph 2 immediately
above is deemed to be negligent in nature.
4. The prerequisite service of a warning notice in accordance with Section 63.4(1) of the
Lobbying Disclosure Regulations, 51 Pa. Code § 63.4(1), was satisfied.
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 $2,500.00 is warranted.
In Re: Life Revival, LLC, File Docket: 23-002-L
Respondent Date Decided: 4/9/24
Date Mailed: 4/10/24
ORDER NO. 166-SL
Respondent Life Revival, LLC ("Respondent"), in its capacity as a principal registered
with the Pennsylvania Department of State ("Department of State") under principal
registration number "P66822," failed to timely file a quarterly expense report with the
Department of State for the third quarter of 2023 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 $2,500.00 for its
delinquent third quarter 2023 expense report.
4. Respondent is ordered to pay an administrative penalty in the total amount of $2,500,00 by
utilizing the Commission's electronic payment system or by forwarding to this
Commission a certified check or money order in the amount of $2,500.00 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,
OS
Michael A. Schwartz, Chair