Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part III - Lobbying Disclosure › Chapter 63 - COMMISSION REFERRALS, INVESTIGATIONS, HEARINGS AND REFERRALS › Section 63.4 - Noninvestigative process for late or deficient filings

Current through Register Vol. 54, No. 28, July 13, 2024
The noninvestigative process for matters under section 13A04
				  or 13A05 of the act (relating to registration; and reporting) will include the
				  following procedures:
(1) Prior to the
				issuance of a notice of alleged noncompliance pursuant to section 13A09 of the
				act (relating to penalties), the Executive Director of the Commission will
				issue a warning notice to the lobbyist, lobbying firm or principal that has
				allegedly failed to register or report as required by the act. The warning
				notice may encompass multiple alleged failures to comply with the act. The
				warning notice will state the nature of the alleged noncompliance and the
				administrative and criminal penalties for failing to register, failing to file
				a report, or filing a report that contains a false statement or that is
				incomplete.
(2) The recipient of
				the warning notice shall have 30 days from the mailing date of the warning
				notice in which to cure the alleged noncompliance. The Investigative Division,
				may extend the 30-day time period for curing the alleged noncompliance. If the
				alleged noncompliance is not cured within the 30-day period or any extension
				thereof, the Investigative Division of the Commission may file with the
				Commission a notice of alleged noncompliance. The notice will be served upon
				the respondent by the Investigative Division. A notice of alleged noncompliance
				may encompass multiple alleged failures to comply with the act.
(3) The notice of alleged noncompliance will
				set forth the pertinent factual averments in numbered paragraph form and will
				state the nature of the alleged noncompliance and the administrative and
				criminal penalties for failing to register, failing to file a report, or filing
				a report that contains a false statement or that is incomplete. A notice of
				alleged noncompliance will also advise of the right to appeal from the notice,
				to file a written answer to the notice and to request a hearing before the
				Commission. A notice of alleged noncompliance will set forth the time and
				manner in which to file an appeal, file a written answer and request a
				hearing.
(4) An answer to the
				notice of alleged noncompliance must be filed (received at the Commission)
				within 30 days of service of the notice upon the respondent, and the notice of
				alleged noncompliance will include a statement to this effect. Filing of an
				answer is deemed to be both an appeal and a request for a hearing.
(5) An answer to the notice of alleged
				noncompliance must specifically admit or deny each of the factual averments
				made in the petition, set forth the facts and state concisely the matters of
				law upon which the respondent relies. Matters not specifically denied will be
				deemed admitted. The notice of alleged noncompliance will include a statement
				to this effect.
(6) Failure to file
				an answer within the 30-day period or the filing of general denials will be
				deemed an admission of the averments of the notice of alleged noncompliance.
				The notice of alleged noncompliance will include a statement to this
				effect.
(7) To the extent that a
				respondent does not file an answer, a request by the respondent for a hearing
				must be in writing and be received at the Commission within 30 days of service
				of the notice of alleged noncompliance upon the respondent. Failure to submit a
				timely request for a hearing will be deemed a waiver of a hearing, so that a
				final order may be entered against the respondent without a hearing.
(8) If the recipient of a notice of alleged
				noncompliance fails to file a written answer or otherwise fails to file an
				appeal or a request for a hearing, the notice of alleged noncompliance is
				deemed admitted and the Commission may find the respondent to be in
				noncompliance and impose a penalty or penalties pursuant to the act.
				Furthermore, filing a notice of appeal will automatically constitute a request
				for a hearing.
(9) If the
				respondent does not file an answer or otherwise submit a timely request for a
				hearing, the Investigative Division will have an additional 7 days beyond the
				respondent's deadline in which to submit a written request for a
				hearing.
(10) The Commission may
sua sponte
schedule a hearing if it is determined that a
				hearing is needed to resolve contested facts to make a final
				determination.
(11) If a hearing is
				requested by the respondent or Investigative Division or is scheduled by the
				Commission, the respondent will be given access to evidence intended to be used
				by the Investigative Division at the hearing, as well as exculpatory evidence
				obtained by the Investigative Division.
(12) Access to evidence does not include an
				original complaint or the name of a complainant, information which is otherwise
				privileged, or information not within paragraph (11).
(13) A hearing under section 13A09(b) of the
				act as to a negligent failure to register or report will be public and will be
				conducted by the Commission in accordance with sections 1107(14) and 1108(e) of
				the Ethics Act (relating to powers and duties of commission; and investigations
				by Commission), and to the extent applicable, the related provisions of Part I
				(relating to State Ethics Commission). The Investigative Division bears the
				burden of proof.
(14) The hearing
				officer or the parties may request that briefs be presented. The filing of
				briefs must be in accordance with the procedures for filing briefs under §
									21.27 (relating to briefs) to the
				extent applicable.
(15) After the
				opportunity for a hearing has been provided, and following the submission of
				any briefs, the Commission will determine, based upon the record before it,
				whether the respondent was required to register or report under the act;
				whether the failure to register or report was negligent; and if the failure was
				negligent, the amount of the administrative penalty to be imposed. At least
				four members of the Commission present at a meeting must find a violation by
				clear and convincing proof.
(16) If
				the Commission finds that the failure to register or report was intentional, it
				will refer the matter to the Attorney General for investigation and
				prosecution, and if the person is an attorney at law, the Commission will also
				refer the matter to the Board.
(17)
				The determination of the Commission will be in the form of a final order with
				findings and reasons for the adjudication.
(18) At any time prior to a final
				adjudication by the Commission, the Investigative Division will have authority
				to negotiate settlements and to enter into settlement agreements to resolve
				matters under this section. Settlement agreements will be subject to review and
				approval by the Commission. Settlement agreements may include arrangements for
				deferral or termination of proceedings prior to any adjudicative disposition,
				or terms for an adjudicative disposition, including penalties provided by the
				act.
(19) Requests for
				reconsideration may be submitted to the Commission. The Commission will
				consider and rule upon requests for reconsideration under the procedures in
				§
									21.29(b) and
				(d)-(f) (relating to finality;
				reconsideration) to the extent applicable.
(20) The Commission will notify the Board of
				any administrative/civil penalty imposed by the Commission against an attorney
				at law for failure to register or report.
(21) A complainant will be notified of the
				final resolution of the matter.
(22) The official record of the case before
				the Commission will be publicly available.
(23) The files of the Investigative Division
				will not be publicly available.
This section cited in 51 Pa. Code §
											63.1 (relating to commission
					 referrals); 51 Pa. Code §
											63.3 (relating to Commission
					 proceedings regarding late or deficient filings); and 51 Pa. Code §
											63.4 (relating to noninvestigative
					 process for late or deficient
					 filings).