Overview
Pennsylvania’s Lobbying Disclosure Law requires, lobbyists, lobbying firms, and principals to register with the Pennsylvania Department of State, and also requires principals (and in some instances lobbyists and lobbying firms) to file quarterly expense reports with the Department of State. It also prohibits lobbyists, lobbying firms, and principals from engaging in the prohibited activities listed in Section 13A07 of the Lobbying Disclosure Law. If you believe a lobbyist, lobbying firm, or principal engaged in lobbying activities and failed to register, failed to file required quarterly expense reports, or engaged in the prohibited activities listed in Section 13A07 of the Lobbying Disclosure Law, you may file a complaint with the Commission.
Lobbying Complaint Form
Any individual may file a complaint concerning alleged violations of the Lobbying Disclosure Law.
Complaint forms are available above. Paper complaint forms are also available upon request from the State Ethics Commission. The complaint should state the name, and address of the subject of the complaint, and a description of the facts which are alleged to constitute a violation of the Lobbying Disclosure Law. Complaints must be sworn before a notary public.
The Commission's jurisdiction extends solely to alleged violations of: 65 Pa.C.S. § 13A04 Registration; 65 Pa.C.S. § 13A05 Reporting; and 65 Pa.C.S. § 13A07 Prohibited Activities.
Complaints concerning violations pertaining to 65 Pa.C.S. § 13A07(d) Conflicts of Interests for lobbyists who are also attorneys are handled by the Disciplinary Board of the Supreme Court of Pennsylvania.
If you are unsure as to whether the Commission has jurisdiction over the conduct or subject in question, visit the Commission's website, refer to the Lobbying Disclosure Law (65 Pa.C.S. § 13A01 et seq.) on this web site, or contact the State Ethics Commission.
If the matter is not within the Commission's jurisdiction or if the complaint lacks sufficient information, it will not be processed and the complainant will be notified.
Upon receipt of a sufficient complaint, the Commission’s Investigative Division may initiate a preliminary inquiry. A preliminary inquiry must be completed within 60 days, after which it must either be terminated or opened as a full investigation.
If the matter is terminated after the Investigative Division completes its preliminary inquiry, both the complainant and subject of the inquiry will be notified.
Prior to the initiation of a full investigation, the subject of an investigation must be notified of the allegations against them.
The Investigative Division must notify the complainant within 72 hours of the commencement of a full investigation, and both the complainant and subject of the investigation will be notified every 90 days thereafter of the status of the matter.
If a full investigation has been conducted, upon the conclusion of the investigation, the Investigative Division will issue a findings report to the subject of the complaint containing the relevant findings of fact. Findings reports must be issued within 360 days of the initiation of the full investigation. The subject of the investigation must respond to the findings report within 30 days after it is issued.
The subject will be afforded a full and fair opportunity to challenge the findings and allegations, which may include an evidentiary hearing and arguments of law.
Upon the conclusion of the proceedings, the Commission will issue a final order containing findings of fact and conclusions of law. Final orders issued by the Commission may be appealed to the Commonwealth Court of Pennsylvania.
The Investigative Division initially conducts a preliminary inquiry to determine if there is reasonable cause to indicate that the Lobbying Disclosure Law has been violated. Preliminary inquiries must be completed with sixty (60) days.
If there is reasonable cause to believe the Lobbying Disclosure Law has been violated, the Investigative Division will conduct a full investigation. The investigation must be completed within one hundred-eighty (180) days, however, the Investigative Division may obtain ninety (90) day extensions of the time frame to complete the investigation if needed.
No more than two (2) ninety day extensions may be obtained.
The Commission may conduct an investigation within five (5) years after the alleged occurrence of any violation of the Lobbying Disclosure Law except that the Commission may not investigate any activity that occurred prior to January 1, 2007.
The Commission keeps information, records, and proceedings relating to any preliminary inquiries and investigations confidential (this includes the identity of the complainant.)
The Commission may disclose information or records regarding a preliminary inquiry or investigation in relation to:
Final orders of the Commission which become public.
Hearings conducted in public, as provided by law.
Appeals of Commission orders.
Seeking the advice of legal counsel.
Consulting with a law enforcement official or agency for the purpose of initiating, participating in or responding to an investigation or prosecution by the law enforcement official or agency.
Testifying under oath before a governmental body or a similar body of the United States of America.
The provision of discovery materials to the subject of an investigation, as required by law.
No public official or public employee shall discharge any official or employee or change his official rank, grade, or compensation, or deny him a promotion, or threaten to do so, for filing a complaint with or providing information to the Commission or testifying in any Commission proceeding.
Any person who engages in such retaliatory activity commits a misdemeanor and, in addition to any other penalty provided by law, shall upon conviction be fined not more than $1,000 or imprisoned for not more than one year, or be both fined and imprisoned. See also, 43 P.S. § 1423 (Whistleblower Law).
For violations of the prohibited activities restrictions pertaining to conflicts of interest and certain unlawful acts (sections 13A07 (d) and (f)), the Commission may impose an administrative penalty in an amount not to exceed $2,000 per violation.
The Commission may also prohibit a lobbyist from lobbying for economic consideration for up to five years for violation of the prohibited activities section of the Lobbying Disclosure Law, for continued failure to register or report after notice, or for other conduct that constitutes a violation of the Lobbying Disclosure Law.
The Commission may refer as appropriate an alleged violation of the Lobbying Disclosure Law to the Attorney General or the Disciplinary Board of the Supreme Court of Pennsylvania.
Any negligent failure to register or report as required by the Lobbying Disclosure Law may result in an administrative penalty not exceeding: for the first 10 late days, $50 dollars for each late day; for each late day after the first 10 late days through the 20th late day, $100 dollars for each late day; and for each late day after the first 20 late days, $200 for each late day.
Any intentional failure to register or report as required by the Lobbying Disclosure Law constitutes upon conviction a misdemeanor of the second degree.
Any registrant who files a report under the Lobbyist Disclosure Law with knowledge that the report contains a false statement or is incomplete commits, a misdemeanor of the second degree.
In addition to any other penalties imposed under the Lobbying Disclosure Law, a court, upon conviction, may impose a fine not to exceed $25,000 against a principal found guilty of an intentional violation of the Lobbying Disclosure Law.