Pennsylvania Code › Title 51 - PUBLIC OFFICERS › Part III - Lobbying Disclosure › Chapter 65 - PROHIBITION AGAINST LOBBYING FOR ECONOMIC CONSIDERATION AS A SANCTION › Section 65.2 - Procedures for imposing prohibition against lobbying for economic consideration

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				Giving consideration to the factors in subsection (b)(14), the Commission,
				through its Executive Director, may institute proceedings to seek the
				imposition of a prohibition against lobbying for economic
				consideration.
(b) The procedures
				for the imposition of a prohibition against lobbying for economic consideration
				will be as follows:
(1) The proceedings will
				be initiated with the Commission through the filing of a petition by the
				Investigative Division. The petition will be served upon the respondent by the
				Investigative Division.
(2) The
				petition will set forth the pertinent factual averments in numbered paragraph
				form, and will notify the respondent of the opportunity to file a written
				answer and to request a hearing in the matter. If the basis for the petition is
				the failure to comply with a Commission order, the petition will be docketed to
				the same number as the base case before the Commission. If the basis for the
				petition is the failure to comply with a court order, the petition will be
				docketed to the same number as the base case before the Commission if there was
				one, and if not, to a new number.
(3) An answer to the petition shall be filed
				(received at the Commission) within 30 days of service of the petition upon the
				respondent.
(4) An answer to the
				Investigative Division's petition must specifically admit or deny each of the
				averments made in the petition, and set forth the facts and state concisely the
				matters of law upon which the respondent relies. Matters not specifically
				denied will be deemed admitted.
(5)
				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 petition seeking
				the prohibition.
(6) 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 petition upon the respondent. The
				Commission will schedule a hearing at least 30 days after the filing of an
				answer.
(i) A request for a hearing may be
				set forth within an answer to the petition or it may be submitted
				separately.
(ii) 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.
(7) If the
				respondent does not 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.
(8) 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.
(9) The Investigative Division of the
				Commission will give the respondent access to evidence intended to be used by
				the Investigative Division at the hearing, as well as exculpatory evidence
				obtained by the Investigative Division.
(10) 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 (9).
(11) A hearing under this chapter will be
				public and 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.
(12) The hearing officer or the parties may
				request that briefs be presented. The filing of briefs shall be in accordance
				with the procedures for filing briefs under §
										21.27 (relating to briefs), to the
				extent applicable.
(13) After the
				opportunity for a hearing has been provided, and following the submission of
				briefs, the Commission will determine, based upon the record before it, whether
				and for how long a prohibition against lobbying for economic consideration is
				to be imposed against the respondent.
(i) If
				a lobbyist or person has been found to be in noncompliance or in violation of
				the act in a proceeding before the Commission, for which noncompliance or
				violation the penalty of prohibition against lobbying for economic
				consideration may be imposed, the finding of noncompliance or violation will be
				res judicata, and the Commission's further determination will be limited to the
				amount of time, if any, that the lobbyist or person shall be prohibited from
				lobbying for economic consideration.
(ii) To the extent any factual matters remain
				to be proven, the matters will be proven by clear and convincing
				evidence.
(iii) A prohibition
				against lobbying for economic consideration may only be imposed by a vote of at
				least four members of the Commission present at a meeting.
(14) In determining whether and for how long
				a prohibition against lobbying for economic consideration is to be imposed
				against a respondent, the Commission may consider factors including the
				following:
(i) Whether the respondent
				contacted the Commission or took any meaningful measures to attempt to remedy
				the violation or failure to comply.
(ii) Whether the respondent has raised a
				justifiable excuse.
(iii) Whether
				the record establishes that the matter involved the first instance that the
				respondent was subject to the requirements of the act.
(iv) Whether other proceedings have been
				initiated against the respondent under the act, either by the Commission or by
				the Office of Attorney General.
(v)
				Whether there are other factors that should be considered as aggravating or
				mitigating factors in the case.
(15) The determination of the Commission will
				be in the form of a final order with findings and reasons for the
				adjudication.
(16) 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.
(17) The official record of the case,
				including a consent agreement, before the Commission will be publicly
				available.
(18) The files of the
				Investigative Division will not be publicly available.