RULES AND REGULATIONS
Title 51--PUBLIC OFFICERS
LOBBYING DISCLOSURE COMMITTEE
[51 PA. CODE CHS. 31, 33, 35, 37, 39, 41,
43 AND 45]
Lobbying Disclosure
[29 Pa.B. 3868] The Lobbying Disclosure Committee (Committee) statutorily created to promulgate regulations necessary to carry out 65 Pa.C.S. Chapter 13 (act) (relating to Lobbying Disclosure Act), comprised of the Secretary of the Senate, the Chief Clerk of the House of Representatives, the Chairperson of the State Ethics Commission, the Attorney General, the Secretary of the Commonwealth, the Auditor General and the General Counsel, or their designees, adds Chapters 31, 33, 35, 37, 39, 41, 43 and 45 under the authority of 65 Pa.C.S. §§ 1305(b)(3)(iii) and 1310(c) (relating to reporting; and filing fees; fund established; regulations).
Purpose
The regulations implement the act and also impact upon section 1105(b)(6) and (7) of the Public Official and Employee Ethics Act (Ethics Act), 65 Pa.C.S. § 1105(b)(6) and (7) (relating to statements of financial interests).
The regulations are generally procedural in nature and implement the requirements of the act concerning: definitions; registration and reporting by principals and lobbyists; the maintenance of records of lobbying activity; the issuance of opinions and advices of counsel; compliance audits; investigations and hearings; referrals; the imposition of civil penalties; and the imposition of prohibitions against lobbying as a sanction.
The regulations have been drafted to be thorough and comprehensive, and to be easily understood by the regulated community and the general public.
Fiscal Impact and Paperwork Requirements
Since the regulations are under a new act, the fiscal impact cannot be discerned. Paperwork will be as dictated by the act.
Summary of Public Comments and Changes
The regulations were published as proposed at 29 Pa.B. 548 (January 30, 1999), with an invitation to submit written comments within 30 days.
Comments were received from the public; the House Judiciary Committee; the Senate Rules and Executive Nominations Committee; and the Independent Regulatory Review Commission (IRRC). A summary of the comments, the Committee's responses to those comments, and related changes to the proposed regulations are set forth in ''The Lobbying Disclosure Committee's Comment and Response Document for Final Form Regulation (63-06)'' which is incorporated herein by reference.
All comments were considered by the Committee, and at a public meeting on May 19, 1999, there was review and a vote by the Committee to then adopt the final-form regulations and to submit them to IRRC, the aforesaid Standing Committees and the Office of Attorney General for approval. The final-form regulations were disapproved by the House Judiciary Committee and IRRC, and were subsequently submitted with revisions or modifications, or both, under section 7(c) of the Regulatory Review Act (71 P. S. § 745.7(c)).
The final-form regulations as revised/modified reflect numerous and substantial changes to the proposed regulations. The following are some of the more noteworthy changes:
(1) The use of calendar year quarters for reporting.
(2) The clarification that the contents of communications and the identity of those with whom the communications take place need not be reported, recorded or maintained.
(3) The inclusion of a provision allowing a parent corporation and its subsidiaries to register and report on a consolidated basis if they meet the eligibility standards of the Internal Revenue Service for filing a consolidated corporate tax return.
(4) Clarifications as to the burden of proof and the number of Commission members required for the Commission to find a violation, impose a civil penalty or impose a prohibition against lobbying.
(5) Clarifications as to certain definitions.
(6) Clarifications as to access to computerized/electronic records.
(7) The maintenance of books and records on the same basis used by the registrant for Federal tax purposes, or, for those who do not file tax returns, on a cash basis.
(8) The clarification of what a principal must do when unable to secure a lobbyist's signature for a report.
(9) The inclusion of an additional valuation method that may be used where more than one individual is benefited incident to an occasion or transaction.
With regard to the latter point, the regulations recognize several different valuation methods as acceptable. Depending upon the method chosen, the valuation will likely vary. Moreover, the fact that a registrant chooses a given method for valuing an item under the act does not compel the recipient to use the same method for valuing it when reporting it under the Ethics Act, 65 Pa.C.S. §§ 1101--1113. Thus, variations between the respective reports are to be expected and do not necessarily indicate that either report is erroneous.
Effective Date
The regulations will take effect on August 1, 1999.
Sunset Date
The effectiveness of these regulations will be reviewed by the Committee periodically. Thus, no sunset date is necessary.
Regulatory Review
Under section 5(a) of the Regulatory Review Act (71 P. S. § 745.5(a)), on January 20, 1999, the Committee submitted a copy of the proposed regulations to IRRC and to the Chairpersons of the House Judiciary Committee and Senate Committee on Rules and Executive Nominations. In addition to submitting the proposed regulations, the Committee provided IRRC and the Standing Committees with a copy of a detailed Regulatory Analysis Form. A copy of this material is available to the public upon request.
In compliance with section 5.1(a) of the Regulatory Review Act (71 P. S. § 745.5a(a)), the Committee submitted a copy of the final-form regulations to IRRC and the aforesaid Standing Committees on May 26, 1999. In addition, the Committee provided IRRC and the Standing Committees with information pertaining to commentators and a copy of a detailed Regulatory Analysis Form prepared by the Committee. A copy of this material is available to the public upon request.
In preparing the final-form regulations, the Committee considered all comments received from IRRC, the Standing Committees and the public.
The final-form regulations were deemed approved by the Senate Committee on Rules and Executive Nominations on June 15, 1999. The final-form regulations were disapproved by the House Judiciary Committee on June 15, 1999, and were disapproved by IRRC on June 17, 1999. Under section 7(c) of the Regulatory Review Act (71 P. S. § 745.7(c)), the regulations were submitted with revisions or modifications to the Standing Committees and IRRC on June 24, 1999. The revised/modified regulations were deemed approved by the Senate Committee on Rules and Executive Nominations and the House Judiciary Committee on July 6, 1999, and approved by IRRC on July 8, 1999.
Contact Person
Questions regarding these regulations may be submitted to: John J. Contino, Executive Director, or Vincent J. Dopko, Chief Counsel, State Ethics Commission, P. O. Box 11470, Room 309, Finance Building, Harrisburg, PA 17108-1470 (717) 783-1610.
Findings
The Committee finds that:
(1) Public notice of intention to adopt the regulations adopted by this order has been given under sections 201 and 202 of the act of July 31, 1968 (P. L. 769, No. 240) (45 P. S. §§ 1201 and 1202), and the regulations thereunder, 1 Pa. Code §§ 7.1 and 7.2.
(2) A public comment period was provided as required by law and all comments were considered.
(3) The adoption of regulations in the manner provided by this order is necessary and appropriate for the administration of the authorizing statute.
Order
The Committee, acting under the act, orders that:
(a) The regulations of the Commission, 51 Pa. Code, are amended by adding §§ 31.1--31.14, 33.1--33.5, 35.1, 35.2, 37.1, 37.2, 39.1--39.3, 41.1--41.5, 43.1--43.7, 45.1 and 45.2 to read as set forth in Annex A.
(b) The Chief Counsel of the State Ethics Commission shall submit this order and Annex A to the Office of Attorney General for approval as required by law.
(c) The Chief Counsel of the State Ethics Commission shall submit this order, Annex A and a Regulatory Analysis Form to IRRC, the Senate Committee on Rules and Executive Nominations and the House Judiciary Committee for their review and action as required by law.
(d) The Chairperson of the Committee shall certify this order and Annex A and deposit them with the Legislative Reference Bureau as required by law.
(e) This order shall take effect on August 1, 1999.
AUSTIN M. LEE,
Chairperson(Editor's Note: For the text of the order of the Independent Regulatory Review Commission relating to this document, see 29 Pa.B. 3978 (July 24, 1999).)
Fiscal Note: 63-6. (1) General Fund; (2) Implementing Year 1998-99 is $165,000; (3) 1st Succeeding Year 1999-00 is $280,275; 2nd Succeeding Year 2000-01 is $294,849; 3rd Succeeding Year 2001-02 is $310,181; 4th Succeeding Year 2002-03 is $326,310; 5th Succeeding Year 2003-04 is $343,279; (4) 1997-98 New Program--Not Applicable; 1996-97 New Program--Not Applicable; 1995-96 New Program--Not Applicable; (7) State Ethics Commission; (8) recommends adoption. Fees and revenues deposited in the Lobbying Disclosure Fund should offset, to some extent, the cost of running this program.
Annex A
TITLE 51. PUBLIC OFFICERS
PART II. LOBBYING DISCLOSURE COMMITTEE
CHAPTER 31. GENERAL PROVISIONS Sec.
31.1. Definitions. 31.2. Application to Ethics Act regulations. 31.3. Filing deadlines to fall on Commonwealth working days. 31.4. Registration periods and reporting periods. 31.5. Delinquency. 31.6. Deficiency. 31.7. Biennial review of exemption threshold and reporting threshold. 31.8. Forms, records and Commission publications. 31.9. Amended filings. 31.10. Filings to be originals signed under oath or affirmation. 31.11. Electronic filing. 31.12. Faxed filings. 31.13. Enforcement of Commission orders. 31.14. Parent corporations and subsidiaries. § 31.1. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
Act--The Lobbying Disclosure Act, 65 Pa.C.S. Chapter 13.
Administrative action--The term includes one or more of the following:
(i) An agency's proposal, consideration, promulgation or rescission of a regulation; development or modification of a guideline or a statement of policy as defined in 1 Pa. Code § 1.4 (relating to definitions); or approval or rejection of a regulation.
(ii) The review, revision, approval or disapproval of a regulation under the Regulatory Review Act.
(iii) The Governor's approval or veto of legislation.
(iv) The nomination or appointment of an individual as an officer or employe of the Commonwealth.
(v) The proposal, consideration, promulgation or rescission of an executive order.
Affiliated political action committee--A ''political action committee'' as defined in section 1621(l) of the Election Code (25 P. S. § 3241(l)), which has a chairperson, a treasurer or another officer who is a principal, an employe of a principal, a lobbyist or an employe of a lobbyist. If an employe of a registrant serves as the officer of a political action committee in what is clearly a personal capacity, and the goals and mission of that political action committee clearly have no relationship to the goals and mission of the registrant, the political action committee will not be considered an affiliated political action committee.
Agency--A State agency, board, commission, authority or department.
Anything of value--
(i) For the limited purpose of reporting gifts, transportation, lodging or hospitality under section 1304 or 1305 of the act (relating to registration; and reporting), or under section 1105(b)(6) or (7) of the Ethics Act (relating to statement of financial interests), these terms mean anything of any nature whatsoever which is not or would not ordinarily be obtainable in the marketplace without consideration, including, but not limited to:
(A) A pecuniary or negotiable item such as money; a bank bill or note; a stock, bond, note or other investment interest in an entity; a promissory note, bill of exchange, order, draft, warrant, check or bond given for the payment of money.
(B) A discount or rebate not extended to the public generally.
(C) A conveyance, or a contract, agreement, promise, or other obligation for a conveyance.
(D) A deposit, distribution, payment, pledge, or transfer of money, or a contract, agreement, promise or other obligation for these.
(E) An advance or loan, or a contract, agreement, promise, or other obligation for an advance or loan.
(F) A forgiveness of indebtedness, or a contract, agreement, promise or other obligation for a forgiveness of indebtedness.
(G) Personalty or an interest in personalty, such as works of art, antiques or collectibles.
(H) Real property or an interest in real property.
(I) A service not extended free of charge to the general public.
(J) The use of real property, personal property or services belonging to other persons or entities.
(K) Entertainment and recreation not extended free of charge to the general public, or the payment of fees or charges incident thereto.
(L) A complimentary ticket/pass, or the purchase of a ticket/pass, to an event such as a reception, rally, fund-raiser, sporting event, theater, opera, concert, exhibition, or the like.
(M) Food, beverage or lodging.
(N) Rewards or prizes from any contest, event or drawing not open to the general public.
(O) An automobile or other means of transportation not extended free of charge to the general public.
(ii) The term does not include services to a constituent or other member of the public based upon a referral or recommendation by a legislator or other State official or employe made within the scope of such office or employment.
(iii) For the purpose of reporting the amount of gifts, transportation, lodging and hospitality, see § 35.1(k) (relating to quarterly expense reports).
Association--An ''association'' as defined in the Association Code in 15 Pa.C.S. § 102 (relating to definitions). The term includes a corporation, a partnership, a limited liability company, a business trust or two or more persons associated in a common enterprise or undertaking. The term does not include a testamentary trust or an inter vivos trust as defined in 20 Pa.C.S. § 711(3) (relating to mandatory exercise of jurisdiction through orphans' court division in general).
Audit--A review of registration statements or disclosure reports, or both, and related information to determine compliance with the act and to review methods of recordkeeping and reporting.
Candidate's political committee--A ''candidate's political committee'' as defined in the Election Code. The words ''candidate's political committee'' mean any political committee formed on behalf of a specified candidate and authorized by the candidate.
Child--The term includes adopted and biological children.
Commission--The State Ethics Commission of the Commonwealth.
Compensation--Anything of value, including benefits, received or to be received from a principal by one acting as a lobbyist.
Complaint--A complaint on a form prescribed by the Commission, or the equivalent of the form, which is signed and sworn under penalty of perjury and which otherwise meets, to the extent applicable, the criteria for complaints under §§ 11.1 (relating to definition of ''sworn complaint'') and 21.1 (relating to complaints).
De minimis--Insignificant.
Docket (noun)--The official listing of entries to the record of a matter before the Commission.
Docket (verb)--The initial, official assignment of a file number to a matter before the Commission; or the entry of an item on the docket of a matter before the Commission.
Direct communication--An effort, whether written, oral or by another medium, made by a lobbyist or principal, directed to a State official or employe, the purpose or foreseeable effect of which is to influence legislative action or administrative action.
Economic consideration--Anything of value offered or received.
Effort to influence legislative action or administrative action--An effort to initiate, support, promote, modify, oppose, delay or advance a legislative action or administrative action. The term does not include services to a constituent or other member of the public based upon a referral or recommendation by a legislator or other State official or employe made within the scope of such office or employment.
Election Code--25 P. S. §§ 2600--3591.
Employe--For the limited purpose of determining exemption under section 1306(6) of the act, the term ''employee'' means an individual from whose wages an employer is required under the Internal Revenue Code (26 U.S.C.A.) to withhold Federal income tax.
Engaging a lobbyist--Engaging means making an arrangement, and ''engagement'' means an arrangement, whereby a lobbyist is employed or otherwise hired or retained to lobby on behalf of a principal for economic consideration.
Ethics Act--The Public Official and Employee Ethics Act, 65 Pa.C.S. §§ 1101--1113.
Fax--Facsimile transmission.
Filed--Registration statements, reports, and other official statements or papers are filed on the date they are physically received at the Commission office whether filed electronically or delivered by United States mail, express carrier, hand delivery or by fax. See § 31.12 (relating to faxed filings) for additional requirements when filing by fax.
Fund--The Lobbying Disclosure Fund established in section 1310(b) of the act (relating to filing fees; fund established; regulations).
Gift--Anything which is received without consideration of equal or greater value.
(i) The term does not include a political contribution which is otherwise reported as required by law or a commercially reasonable loan made in the ordinary course of business.
(ii) For the purpose of categorizing a reportable item under section 1304 or 1305 of the act, or under section 1105(b)(6) or (7) of the Ethics Act, the term does not include ''transportation and lodging or hospitality received in connection with public office or employment'' as defined in this section, which is otherwise reported as required by law.
(iii) The term does not include services to a constituent or other member of the public based upon a referral or recommendation by a legislator or other State official or employe made within the scope of such office or employment.
(iv) The term does not include information received by a legislator or other State official or employe within the scope of such office or employment, except to the extent that such has a fair market value beyond the actual information contained therein.
Hospitality--Includes the following:
(i) Meals.
(ii) Beverages.
(iii) Recreation and entertainment.
Immediate family--An individual's spouse, child, parent, brother, sister, mother-in-law, father-in-law, brother-in-law or sister-in-law.
Indirect communication--An effort, whether written, oral or by another medium, to encourage others, including the general public, to take action, the purpose or foreseeable effect of which is to directly influence legislative action or administrative action. The term includes, but is not limited to, letter-writing campaigns, mailings, telephone banks, print and electronic media advertising, billboards, publications and educational campaigns on public issues. The term does not include regularly published periodic newsletters primarily designed for and distributed to members of a bona fide association or charitable or fraternal nonprofit corporation.
Investigative Division--The Investigative Division of the Commission.
Intentional--The term has the meaning set forth in 18 Pa.C.S. § 302(b) (relating to general requirements of culpability).
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.
Legislative action--An action taken by a State official or employe involving the preparation, research, drafting, introduction, consideration, modification, amendment, approval, passage, enactment, tabling, postponement, defeat or rejection of legislation; legislative motions; overriding or sustaining a veto by the Governor; or confirmation of appointments by the Governor or of appointments to public boards or commissions by a member of the General Assembly.
Lobbying--An effort to influence legislative action or administrative action. The term includes the following:
(i) Providing any gift, entertainment, meal, transportation or lodging to a State official or employe for the purpose of advancing the interest of the lobbyist or principal.
(ii) Direct or indirect communication.
Lobbyist--An individual, firm, association, corporation, partnership, business trust or business entity that engages in lobbying on behalf of a principal for economic consideration. The term includes an attorney who engages in lobbying. The term does not include an individual who receives economic consideration which is de minimis. Membership in an association alone is not sufficient to make an association member a lobbyist.
Negligence--Conduct, whether of action or omission, which violates or fails to comply with the act, and which is occasioned by a failure to exercise such care as a reasonably prudent and careful principal or lobbyist would exercise in satisfying the requirements of the act, and is characterized by inadvertence, thoughtlessness, inattention, or the like.
Political subdivision--A ''political subdivision'' as defined in section 1102 of the Ethics Act (relating to definitions).
Principal--
(i) An individual, firm, association, corporation, partnership, business trust or business entity on whose behalf a lobbyist influences or attempts to influence an administrative action or a legislative action; or that engages in lobbying on the principal's own behalf.
(ii) Membership in an association alone is not sufficient to make an association member a principal.
Registrant--A registered lobbyist or a registered principal.
Regulatory Review Act--71 P. S. §§ 745.1--745.14.
Regulation--Any rule, regulation or order in the nature of a rule or regulation, including formal and informal opinions of the Attorney General, of general application and future effect, promulgated by an agency under statutory authority in the administration of a statute administered by or relating to the agency, or prescribing the practice or procedure before the agency.
Respondent--The subject of an audit, complaint, notice of noncompliance, investigation or formal proceeding before the Commission.
Service (of official papers)--Official papers are deemed served by the Commission, or by a Division thereof, on the date of mailing if delivered by United States mail; the pickup date if delivered by express carrier; or the date received from the Commission if hand delivered or transmitted by fax.
Staff--The Executive Director, the Chief Counsel, investigators and other personnel as may be employed by or assigned to assist the Commission.
State official or employe--An individual elected or appointed to a position in State government or employed by State government, whether compensated or uncompensated, who is involved in legislative action or administrative action.
Transportation and lodging or hospitality received in connection with public office or employment--Transportation, lodging or hospitality received in the course of, or incident to, the performance of official duties or responsibilities, or received on the basis of the status of the recipient as a public official or employe or State official or employe as those terms are defined under the Ethics Act or the act, respectively.
§ 31.2. Application to Ethics Act regulations.
(a) The definitions of ''gift'' and ''transportation and lodging or hospitality received in connection with public office or employment'' in § 31.1 (relating to definitions) apply to administration of the act and section 1105(b)(6) and (7) of the Ethics Act (relating to statement of financial interests).
(b) Section 35.1(k) (relating to quarterly expense reports) applies to reporting the amount of gifts or transportation, lodging or hospitality to be disclosed under section 1304 or 1305 of the act (relating to registration; and reporting) or under section 1105(b)(6) or (7) of the Ethics Act.
§ 31.3. Filing deadlines to fall on Commonwealth working days.
When the deadline for filing a registration statement, report, answer, brief or other official paper with the Commission falls on a weekend or holiday, or on another day that Commission offices are closed or close early, the deadline for the filing shall be extended to the following Commonwealth working day.
§ 31.4. Registration periods and reporting periods.
(a) Registration under section 1304 of the act (relating to registration) shall be within biennial registration periods that coincide with the terms of the members of the House of Representatives (December 1 of each even-numbered year to November 30 of the following even-numbered year), except that the first registration period shall commence August 1, 1999, and continue through November 30, 2000.
(b) Reporting under section 1305 of the act (relating to reporting) shall be quarterly within each calendar year, specifically, for January through March; April through June; July through September; and October through December, except that the first quarterly reporting period shall commence August 1, 1999, and shall continue through September 30, 1999.
§ 31.5. Delinquency.
(a) A registration statement or report required to be filed under section 1304 or 1305 of the act (relating to registration; and reporting) is delinquent if not received by the Commission on the date due as follows:
(1) Hard copy filings must be received by 5 p.m.
(2) Faxed or electronic filings may be filed until 11:59 p.m.
(b) A failure to timely file a registration statement constitutes a failure to register as required by the act.
(c) A failure to timely file a report constitutes a failure to report as required by the act.
(d) A delinquent registration statement or report continues to be delinquent until received in proper form as required by the act and this part.
§ 31.6. Deficiency.
(a) A registration statement, report or notice of termination required to be filed under section 1304 or 1305 of the act (relating to registration; and reporting) is deficient if one or more of the following exist:
(1) It does not fully and accurately include and disclose all that is required by the act and this part.
(2) It includes a false statement.
(3) It is illegible.
(4) The filer fails to use the appropriate form prescribed by the Commission.
(5) The filer fails to date the registration statement, report or notice of termination.
(6) The filer fails to sign the registration statement, report or notice of termination under oath or affirmation as set forth in § 31.10 (relating to filings to be originals signed under oath or affirmation).
(b) The filing of a deficient registration statement constitutes a failure to register as required by the act.
(c) The filing of a deficient report constitutes a failure to report as required by the act.
(d) The filing of a deficient notice of termination shall be ineffective.
(e) A deficient registration statement, report or notice of termination continues to be deficient until it is amended to fully and accurately disclose all of the information that is required to be disclosed by the act and this part.
§ 31.7. Biennial review of exemption threshold and reporting threshold.
(a) On a biennial basis commencing in January 2002, the Commission will review the threshold for reporting under section 1305(d) of the act (relating to reporting) and the threshold for exemption under section 1306(3)(ii)--(iv) of the act (relating to exemption from registration and reporting), using, to the extent applicable, the procedures within § 19.5 (relating to reporting threshold adjustments) for reviewing the threshold dollar amounts in section 1105(b) of the Ethics Act (relating to statement of financial interests).
(b) The Commission may increase the exemption threshold and reporting threshold amounts to rates deemed reasonable for assuring appropriate disclosure. Changes to the thresholds made under this section will become effective as determined by the Commission.
(c) The Commission will publish adjusted threshold amounts in the Pennsylvania Bulletin by June 1, 2002, and every 2 years thereafter, as necessary.
§ 31.8. Forms, records and Commission publications.
(a) Blank forms for filing or amending registration statements, quarterly expense reports, separate quarterly expense reports, lobbyists' statements of limitations of knowledge, notices of termination, termination reports or separate termination reports under the act may be obtained by contacting the Commission at: State Ethics Commission, Post Office Box 11470, Harrisburg, Pennsylvania 17108-1470, (717) 783-1610 or (800) 932-0936, or by visiting any Commission office during business hours on Commonwealth working days. Forms are also available at the Commission's web address: http://www.ethics.state.pa.us
(b) Additional sheets of equal size may be attached to any hard copy form filed under the act, if more space is required.
(c) Completed registration statements, quarterly expense reports, separate quarterly expense reports, lobbyists' statements of limitations of knowledge, notices of termination, termination reports and separate termination reports filed with the Commission shall remain on file for 4 years and shall be available for public inspection at the office of the Commission in Harrisburg, Pennsylvania during business hours on Commonwealth working days. The Commission will provide copies of these documents for the cost of the copying. Documents that are maintained and reproducible in an electronic format are available in that format upon request, at cost.
(d) Payments to the Commission for charges under subsection (c) shall be deposited into the Fund established by section 1310(b) of the act (relating to filing fees; fund established; regulations).
(e) Under section 1308 of the act (relating to administration and enforcement), the Commission will prepare and publish the following:
(1) An annual report of lobbying activities in this Commonwealth.
(2) An annual listing of principals, which shall identify affiliated political action committees and lobbyists.
(3) An annual listing of lobbyists, which shall identify affiliated political action committees and principals.
(4) A biennial directory of all registered lobbyists, which shall include photographs.
(i) The directory will be produced and distributed on or before May 1 of each odd-numbered year.
(ii) Copies of the directory will be made available to the public at a price not to exceed the actual cost of production.
(iii) Revenue received by the Commission from sales of this directory will be deposited into the Fund established by section 1310(b) of the act.
(5) One or all of the items in paragraphs (1)--(3) may, at the discretion of the Commission, be supplemented or be combined in a single publication or combined with the annual report prepared and published by the Commission under the Ethics Act.
§ 31.9. Amended filings.
(a) Filings under the act may be amended.
(b) Amended registration statements shall conform to the additional requirements detailed in § 33.4 (relating to amended registration statements).
(c) Amended filings will not affect the Commission's authority to conduct investigations, hearings or other proceedings under the act.
§ 31.10. Filings to be originals signed under oath or affirmation.
(a) Registration statements, quarterly expense reports, separate quarterly expense reports, lobbyists' statements of limitations of knowledge, notices of termination, termination reports, separate termination reports and amendments to these forms filed with the Commission shall be signed originals bearing the signature of the filer. See §§ 31.11 and 31.12 (relating to electronic filing; and faxed filings) for requirements when filing electronically or by fax.
(1) A document shall be deemed to be a signed original if it is filed electronically under § 31.11 or if it bears an original manual signature in ink.
(2) A principal who is an individual shall sign his own filings.
(3) Filings by a principal that is a firm, association, corporation, partnership, business trust or business entity shall be signed by a named officer or other individual who has the authority to sign documents on its behalf.
(4) A lobbyist who is an individual shall sign his own filings.
(5) Filings by a lobbyist that is a firm, association, corporation, partnership, business trust or business entity shall be signed by a named officer or other individual who has the authority to sign documents on its behalf.
(6) The signature shall appear on the line indicated on the form as prescribed by the Commission.
(b) Registration statements, notices of termination and amendments to these filed under the act shall include an affirmation subject to 18 Pa.C.S. § 4904 (relating to unsworn falsifications to authorities) that the information provided therein is true and correct to the best of the filer's knowledge, information and belief.
(c) Quarterly expense reports, separate quarterly expense reports, termination reports, separate termination reports and amendments to these, filed under the act, shall be filed under oath or affirmation.
(d) A lobbyist who signs a principal's quarterly expense report, termination report or amendment to these, shall do so under an affirmation subject to 18 Pa.C.S. § 4904 that the information provided therein is true and correct to the best of the lobbyist's knowledge, information and belief.
(e) A lobbyist attaching a statement to a principal's quarterly expense report, termination report or amendment to these, describing the limits of the lobbyist's knowledge concerning the expenditures contained therein, shall do so under an affirmation subject to 18 Pa.C.S. § 4904 that the information provided in the statement is true and correct to the best of the lobbyist's knowledge, information and belief.
§ 31.11. Electronic filing.
(a) Electronic filing shall be available when notice of its availability is announced in the Pennsylvania Bulletin by the Commission.
(b) Upon the availability of electronic filing, forms that are required to be filed under the act may be filed electronically. The use of a digital signature assigned by the Commission shall have the same force and effect as a manual signature upon acceptance by the filer. The digital signature assigned shall be: unique to the person to whom it is assigned; capable of verification; under the sole control and authority of the person to whom it is assigned; and linked to the data in a manner so that if the data are changed, the digital signature is invalidated.
(1) A digital signature shall be assigned to a lobbyist or principal that submits to the Commission, in proper form as required by this section, an application to file electronically.
(2) The application to file electronically shall be on a form prescribed by the Commission.
(3) In submitting an application to file electronically, the applicant shall agree to all of the following:
(i) For any registration statement, notice of termination or amendment to these that the applicant files with the Commission electronically, the digital signature assigned to the applicant shall constitute the applicant's signature under affirmation as set forth in § 31.10(b) (relating to filings to be originals signed under oath or affirmation).
(ii) For any quarterly expense report, separate quarterly expense report, termination report, separate termination report or amendment to these that the applicant files with the Commission electronically, the digital signature assigned to the applicant shall constitute the applicant's signature under oath or affirmation as set forth in § 31.10(c).
(iii) The use of the digital signature assigned to the applicant to ''sign'' a quarterly expense report, termination report or amendment to these filed by another shall constitute the applicant's affirmation as set forth in § 31.10(d).
(iv) The use of the digital signature assigned to the applicant to attach a statement to a quarterly expense report, termination report or amendment to these filed by another shall constitute the applicant's affirmation as set forth in § 31.10(e).
(4) An application to file electronically may be rejected if the application is illegible, incomplete or unsigned.
(c) A registration statement or amendment that is submitted to the Commission electronically is filed on the date the Commission receives the document electronically if the Commission receives the required photograph (in the case of a lobbyist's registration statement) and the biennial filing fee, if due, within 5 business days thereafter.
(1) If the Commission does not receive the required photograph (in the case of a lobbyist's registration statement) and the biennial filing fee, if due, within 5 business days from the date of receiving the document electronically, the registration statement or amendment is filed on the date the Commission receives all the required items.
(2) The failure to submit a photograph or to pay a biennial filing fee as required by the act and this part constitutes a failure to register as required by the act.
§ 31.12. Faxed filings.
(a) A registration statement or amendment sent by fax is filed on the date the Commission receives the faxed copy if the Commission receives the signed original, together with the required photograph (in the case of a lobbyist's registration statement) and the biennial filing fee, if due, within 5 business days thereafter. A registration statement or amendment shall be deemed to be a signed original if it is filed electronically under § 31.11 (relating to electronic filing) or if it bears an original manual signature in ink.
(1) If the Commission does not receive the signed original, together with the required photograph (in the case of a lobbyist's registration statement) and the biennial filing fee, if due, within 5 business days from the date of receiving the faxed copy, the registration statement or amendment is filed on the date the Commission receives all the required items.
(2) The failure to submit a photograph or to pay a biennial filing fee as required by the act and this part constitutes a failure to register as required by the act.
(b) A quarterly expense report, separate quarterly expense report, lobbyist's statement of limitations of knowledge, notice of termination, termination report, separate termination report or amendment to these sent by fax transmission is filed on the date the Commission receives the faxed copy if the Commission receives the signed original within 5 business days thereafter. The document shall be deemed to be a signed original if it is filed electronically under § 31.11 or if it bears an original manual signature in ink. If the Commission does not receive the signed original within 5 business days from the date of receiving the faxed copy, the document is filed on the date the Commission receives the signed original.
§ 31.13. Enforcement of Commission orders.
The Commission through its staff may take appropriate action to enforce its orders.
§ 31.14. Parent corporations and subsidiaries.
(a) Subject to the requirements of subsection (b), a parent corporation and its subsidiaries may register and report under the act on a consolidated basis if they meet the eligibility standards of the Internal Revenue Service for filing a consolidated corporate tax return.
(b) When registration and reporting is on a consolidated basis, the registration statements, quarterly expense reports, separate quarterly expense reports, notices of termination, termination reports and separate termination reports shall disclose with particularity all of the required information as to the parent corporation and the subsidiaries.
[Continued on next Web Page]
No part of the information on this site may be reproduced for profit or sold for profit.This material has been drawn directly from the official Pennsylvania Bulletin full text database. Due to the limitations of HTML or differences in display capabilities of different browsers, this version may differ slightly from the official printed version.
