Chapter 120C.
Lobbying.
Article 1.
General Provisions.
§§ 120C‑1 through 120C‑99: Reserved for future codification purposes.
§ 120C‑100.
Definitions.
(a) As used in
this Article, the following terms mean:
(1) Commission. – The
State Ethics Commission under Chapter 138A of the General Statutes.
(2) Designated
individual. – A legislator, legislative employee, or public servant.
(3) Executive
action. – The preparation, research, drafting, development, consideration,
modification, amendment, adoption, approval, tabling, postponement, defeat, or
rejection of a policy, guideline, request for proposal, procedure, regulation,
or rule by a public servant purporting to act in an official capacity. This
term does not include any of the following:
a. Present,
prior, or possible proceedings of a contested case hearing under Chapter 150B
of the General Statutes, of a judicial nature, or of a quasi‑judicial
nature.
b. A public
servant's communication with a person, or another person on that person's
behalf, with respect to any of the following:
1. Applying for a
permit, license, determination of eligibility, or certification.
2. Making an
inquiry about or asserting a benefit, claim, right, obligation, duty,
entitlement, payment, or penalty.
3. Making an
inquiry about or responding to a request for proposal made under Chapter 143 of
the General Statutes.
4. Ratemaking.
c. Internal
administrative functions, including those functions exempted from the
definition of "rule" in G.S. 150B‑2(8a).
d. Ministerial
functions.
e. A public
servant's communication with a person or another person on that person's behalf
with respect to public comments made at an open meeting, or submitted as
written comment, on a proposed executive action in response to a request for
public comment, provided the identity of the person on whose behalf the
comments are made is disclosed as part of the public participation, and no
reportable expenditure is made.
(4) In session. – One
of the following:
a. The General
Assembly is in extra session from the date the General Assembly convenes until
the General Assembly:
1. Adjourns sine
die.
2. Recesses or
adjourns for more than 10 days.
b. The General
Assembly is in regular session from the date set by law or resolution that the
General Assembly convenes until the General Assembly:
1. Adjourns sine
die.
2. Recesses or
adjourns for more than 10 days.
(5) Legislative
action. – The preparation, research, drafting, introduction, consideration,
modification, amendment, approval, passage, enactment, tabling, postponement, defeat,
or rejection of a bill, resolution, amendment, motion, report, nomination,
appointment, or other matter, whether or not the matter is identified by an
official title, general title, or other specific reference, by a legislator or
legislative employee acting or purporting to act in an official capacity. It
also includes the consideration of any bill by the Governor for the Governor's
approval or veto under Article II, Section 22(1) of the Constitution or for the
Governor to allow the bill to become law under Article II, Section 22(7) of the
Constitution.
(6) Legislative
employee. – Employees and officers of the General Assembly, consultants and
counsel to committees of either house of the General Assembly or of legislative
commissions, who are paid by State funds, but not including legislators,
members of the Council of State, or pages.
(7) Legislator. – As
defined in G.S. 138A‑3 and G.S. 120C‑104.
(8) Liaison
personnel. – Any State employee or officer whose principal duties, in practice
or as set forth in that person's job description, include lobbying designated
individuals.
(9) Lobbying. – Any
of the following:
a. Influencing or
attempting to influence legislative or executive action, or both, through
direct communication or activities with a designated individual or that
person's immediate family.
b. Developing
goodwill through communications or activities, including the building of
relationships, with a designated individual or that person's immediate family
with the intention of influencing current or future legislative or executive
action, or both.
The term "lobbying" does not
include communications or activities as part of a business, civic, religious,
fraternal, personal, or commercial relationship which is not connected to
legislative or executive action, or both.
(10) Lobbyist. – An
individual who engages in lobbying and meets any of the following criteria:
a. Is employed by
a person for the intended purpose of lobbying.
b. Represents
another person, but is not directly employed by that person, and receives
compensation for the purpose of lobbying. For the purposes of this sub‑subdivision,
the term compensation shall not include reimbursement of actual travel and
subsistence.
c. Contracts for
economic consideration for the purpose of lobbying.
d. Is employed by
a person and a significant part of that employee's duties include lobbying. In
no case shall an employee be considered a lobbyist if less than five percent
(5%) of that employee's actual duties in any 30‑day period include
engaging in lobbying as defined in subdivision (9)a. of this section.
The term "lobbyist" shall
not include individuals who are specifically exempted from this Chapter by G.S.
120C‑700 or registered as liaison personnel under Article 5 of this
Chapter.
(11) Lobbyist principal
and principal. – The person on whose behalf the lobbyist lobbies. In the case
where a lobbyist is compensated by a law firm, consulting firm, or other entity
retained by a person for lobbying, the principal is the person whose interests
the lobbyist represents in lobbying. In the case of a lobbyist employed or
retained by an association or other organization, the lobbyist's principal is
the association or other organization, not the individual members of the
association or other organization.
The term "lobbyist's
principal" shall not include those designating registered liaison
personnel under Article 5 of this Chapter.
(12) Reportable
expenditure. – Any of the following that directly or indirectly is made to, at
the request of, for the benefit of, or on the behalf of a designated individual
or that individual's immediate family member:
a. Any advance,
contribution, conveyance, deposit, distribution, payment, gift, retainer, fee,
salary, honorarium, reimbursement, loan, pledge, or thing of value greater than
ten dollars ($10.00) per designated individual per single calendar day.
b. A contract,
agreement, promise, or other obligation whether or not legally enforceable.
(13) Solicitation of
others. – A solicitation of members of the public to communicate directly with
or contact one or more designated individuals for the purpose of influencing or
attempting to influence legislative or executive action to further the
solicitor's position on that legislative or executive action, when that request
is made by any of the following methods:
a. A broadcast,
cable, or satellite transmission.
b. An e‑mail
communication or a Web site posting.
c. A
communication delivered by print media as defined in G.S. 163‑278.38Z.
d. A letter or
other written communication delivered by mail or by comparable delivery
service.
e. Telephone.
f. A
communication at a conference, meeting, or similar event.
The term "solicitation of
others" does not include communications made by a person or by the
person's agent to that person's stockholders, employees, board members,
officers, members, subscribers, or other recipients who have affirmatively
assented to receive the person's regular publications or notices.
(b) Except as
otherwise defined in this section, the definitions in Article 1 of Chapter 138A
of the General Statutes apply in this Chapter. (1933,
c. 11, s. 1; 1975, c. 820, s. 1; 1991, c. 740, s. 1.1; 2001‑424, s.
6.10(b); 2005‑456, s. 1.; 2006‑201, s. 18.)
§ 120C‑101.
Rules and forms.
(a) The Commission
shall adopt any rules necessary to interpret and carry out the provisions of
this Chapter. The Secretary of State shall adopt any rules, orders, forms, and
definitions as are necessary to carry out the provisions of this Chapter. The
Secretary of State may appoint a council to advise the Secretary in adopting
rules under this section.
(b) With respect
to the forms adopted under subsection (a) of this section, the Secretary of
State shall adopt rules to protect from disclosure all confidential information
under Chapter 132 of the General Statutes related to economic development
initiatives or to industrial or business recruitment activities. The
information shall remain confidential until the State, a unit of local
government, or the business has announced a commitment by the business to expand
or locate a specific project in this State or a final decision not to do so,
and the business has communicated that commitment or decision to the State or
local government agency involved with the project.
(c) In adopting
rules under this Chapter, the Commission is exempt from the requirements of
Article 2A of Chapter 150B of the General Statutes, except that the Commission
shall maintain a mailing list of interested persons as provided in G.S. 150B‑21.2(d).
At least 30 business days prior to adopting a rule, the Commission shall:
(1) Publish the
proposed rules in the North Carolina Register.
(2) Submit the rule
and a notice of public hearing to the Codifier of Rules, and the Codifier of
Rules shall publish the proposed rule and the notice of public hearing on the
Internet to be posted within five business days.
(3) Notify persons
on the mailing list maintained in accordance with G.S. 150B‑21.2(d) and
any other interested parties of its intent to adopt a rule and of the public
hearing.
(4) Accept written
comments on the proposed rule for at least 15 business days prior to adoption
of the rule.
(5) Hold at least
one public hearing on the proposed rule no less than five days after the rule
and notice have been published.
A rule adopted under this section becomes effective the first
day of the month following the month the final rule is submitted to the
Codifier of Rules for entry into the North Carolina Administrative Code. (1991, c. 740, s. 1.1; 2005‑456, s. 1; 2006‑201,
s. 18.)
§ 120C‑102.
Advisory opinions.
(a) At the request
of any person affected by this Chapter, the Commission shall render advisory
opinions on specific questions involving the meaning and application of this
Chapter and that person's compliance therewith. The request shall be in writing
and relate to real or reasonably anticipated fact settings or circumstances.
The Commission shall issue advisory opinions having prospective application
only. Reliance upon a requested written advisory opinion on a specific matter
shall immunize the designated individual, lobbyist, lobbyist's principal, or
other person requesting that written advisory opinion from both of the
following:
(1) Investigation
by the Commission.
(2) Any adverse
action by the employing entity.
(b) Staff to the
Commission may issue advisory opinions under procedures adopted by the
Commission.
(c) The Commission
shall publish its advisory opinions at least once a year, edited as necessary
to protect the identities of the individuals requesting opinions.
(d) Except as
provided under subsection (c) of this section, requests for advisory opinions
and advisory opinions issued pursuant to this section are confidential and not
matters of public record. (2006‑201, s. 18.)
§ 120C‑103.
Lobbying education program.
(a) The Commission
shall develop and implement a lobbying education and awareness program designed
to instill in all designated individuals, lobbyists, and lobbyists' principals
a keen and continuing awareness of their obligations and sensitivity to
situations that might result in real or potential violation of this Chapter or
other related laws. The Commission shall make basic lobbying education and
awareness presentations to all designated individuals upon their election,
appointment, or hiring and shall offer periodic refresher presentations as the
Commission deems appropriate. Every designated individual shall participate in
a lobbying presentation approved by the Commission within six months of the
person's election, appointment, or hiring and shall attend refresher lobbying education
presentations at least every two years thereafter in a manner the Commission
deems appropriate. The Commission shall also make lobbying education and
awareness programs available to lobbyists and lobbyists' principals. Upon
request, the Commission shall assist each agency in developing in‑house
education programs and procedures necessary or desirable to meet the agency's
particular needs for lobbying education.
(b) The Commission
shall publish a newsletter containing summaries of the advisory opinions,
policies, procedures, and interpretive bulletins as issued from time to time,
but no less than once per year. The newsletter shall be distributed to all
designated individuals, lobbyists, and lobbyists' principals. Publication under
this subsection may be done electronically.
(c) The Commission
shall assemble and maintain a collection of relevant State laws, rules, and
regulations that set forth lobbying standards applicable to designated
individuals. The collection of laws, rules, and regulations shall be made
available electronically as resource material to designated individuals,
lobbyists, and lobbyists' principals upon request. (2006‑201,
s. 18.)
§ 120C‑104.
Chapter applies to candidates for certain offices.
For purposes of this Chapter, the term "legislator"
as defined in G.S. 120C‑100(7) and the term "public servant" as
defined in G.S. 138A‑3(30)a. shall include a person having filed a notice
of candidacy for such office under G.S. 163‑106 or Article 11 of Chapter
163 of the General Statutes or nominated under G.S. 163‑114 or G.S. 163‑98.
(2006‑201, s. 18.)
§§ 120C‑105 through 120C‑199: Reserved for future codification purposes.
Article 2.
Registration.
§ 120C‑200.
Lobbyist registration procedure.
(a) A lobbyist
shall file a separate registration statement for each principal the lobbyist
represents with the Secretary of State before engaging in any lobbying. It
shall be unlawful for a person to lobby without registering within one business
day of engaging in any lobbying as defined in G.S. 120C‑100(9) unless
exempted by thisChapter.
(b) The form of
the registration shall be prescribed by the Secretary of State and shall
include the registrant's full name, firm, complete address, and telephone
number; the registrant's place of business; the full name, complete address,
and telephone number of each principal the lobbyist represents; and a general
description of the matters on which the registrant expects to act as a
lobbyist.
(c) Each lobbyist
shall file an amended registration form with the Secretary of State no later
than 10 business days after any change in the information supplied in the
lobbyist's last registration under subsection (b) of this section. Each
supplementary registration shall include a complete statement of the
information that has changed.
(d) Each
registration statement of a lobbyist required under this Chapter shall be
effective from the date of filing until January 1 of the following year. The
lobbyist shall file a new registration statement after that date, and the
applicable fee shall be due and payable.
(e) Each lobbyist
shall identify himself or herself as a lobbyist prior to engaging in lobbying
communications or activities with a designated individual. The lobbyist shall
also disclose the identity of the lobbyist's principal connected to that
lobbying communication or activity. (1933, c. 11, s.
2; 1973, c. 1451; 1975, c. 820, s. 1; 1983, c. 713, s. 51; 1991, c. 740, s.
1.1; 2004‑203, s. 50(a); 2006‑201, s. 18.)
§ 120C‑201.
Lobbyist's registration fee.
(a) Except as
provided for in subsection (b) of this section, a fee of one hundred dollars
($100.00) is due and payable to the Secretary of State at the time of each
lobbyist registration. Fees so collected shall be deposited in the General Fund
of the State. The Secretary of State shall allow fees required under this
section to be paid electronically but shall not require the fees to be paid
electronically.
(b) The Secretary
of State shall adopt rules providing for a waiver or reduction of the fees
required by this section for lobbyists registering to represent persons who
have been granted nonprofit status under 26 U.S.C. § 501(c)(3). (1975, c. 852, s. 1; 1983, c. 713, s. 50; 1991, c. 740, s.
1.1; 2002‑126, s. 29A.33; 2005‑456, s. 1; 2006‑201, s. 18.)
§§ 120C‑202 through 120C‑205: Reserved for future codification purposes.
§ 120C‑206.
Lobbyist's principal's authorization.
(a) A written
authorization signed by the lobbyist's principal authorizing the lobbyist to
represent the principal shall be filed with the Secretary of State within 10
business days after the lobbyist's registration.
(b) The form of
the authorization shall be prescribed by the Secretary of State and shall
include the lobbyist's principal's full name, complete address, and telephone
number, name and title of the official signing for the lobbyist's principal,
and the name of each lobbyist registered to represent that principal.
(c) An amended
authorization shall be filed with the Secretary of State no later than 10
business days after any change in the information on the principal's
authorization. Each supplementary authorization shall include a complete
statement of the information that has changed. (1933,
c. 11, s. 4; 1961, c. 1151; 1975, c. 820, s. 1; 1991, c. 740, s. 1.1; 2005‑456,
s. 1; 2006‑201, s. 18.)
§ 120C‑207.
Lobbyist's principal's fees.
(a) Except as
provided for in subsection (b) of this section, a fee of one hundred dollars
($100.00) is due and payable to the Secretary of State at the time the
principal's first authorization statement is filed each calendar year for a
lobbyist. Fees so collected shall be deposited in the General Fund of the
State. The Secretary of State shall allow fees required under this section to
be paid electronically but shall not require the fees to be paid
electronically.
(b) The Secretary
of State shall adopt rules providing for a waiver or reduction of the fees
required by this section for lobbyist's principals that have been granted
nonprofit status under 26 U.S.C. § 501(c)(3). (1933,
c. 11, s. 4; 1961, c. 1151; 1975, c. 820, s. 1; 1991, c. 740, s. 1.1; 2005‑456,
s. 1; 2006‑201, s. 18.)
§§ 120C‑208 through 120C‑214: Reserved for future codification purposes.
§ 120C‑215.
Other persons required to register.
(a) A person not
otherwise required to register under this Chapter shall register and report
when the total expense incurred for solicitation of others exceeds three
thousand dollars ($3,000) during any 90‑day period. Expenses incurred
shall mean the costs of producing and transmitting the communication and, if
the communication is made at a conference, meeting, or similar event, the costs
of planning, hosting, sponsoring, and attending the conference, meeting, or
similar event.
(b) A person
required to register and report under this section shall be referred to as a
"solicitor" for purposes of this Chapter.
(c) No fee shall
be charged for registering as a solicitor. (2006‑201,
s. 18.)
§§ 120C‑216 through 120C‑219: Reserved for future codification purposes.
§ 120C‑220.
Publication and availability of registrations.
(a) The Secretary
of State shall make available as soon as practicable the registrations of the
lobbyists in an electronic, searchable format.
(b) The Secretary
of State shall make available as soon as practicable the authorizations of the
lobbyists' principals in an electronic, searchable format.
(c) The Secretary
of State shall make available as soon as practicable the registrations of other
persons required by this Chapter to file a registration in an electronic,
searchable format.
(d) Within 20 days
after the convening of each session of the General Assembly, the Secretary of
State shall furnish each designated individual and the State Legislative
Library a list of all persons who have registered as lobbyists and whom they
represent. A supplemental list of lobbyists shall be furnished periodically
every 20 days while the General Assembly is in session and every 60 days
thereafter. For each special session of the General Assembly, a supplemental
list of lobbyists shall be furnished to the State Legislative Library.
(e) All lists
required by this section may be furnished electronically. (2006‑201, s. 18.)
§§ 120C‑221 through 120C‑299: Reserved for future codification purposes.
Article 3.
Prohibitions and Restrictions.
§ 120C‑300.
Contingency fees prohibited.
(a) No person
shall act as a lobbyist for compensation that is dependent upon the result or
outcome of any legislative or executive action.
(b) This section
shall not apply to a person doing business with the State who is engaged in
sales with respect to that business with the State whose regular compensation
agreement includes commissions based on those sales.
(c) Any
compensation paid to a lobbyist in violation of this section is subject to
forfeiture and shall be paid into the Civil Penalty and Forfeiture Fund. (1933, c. 11, s. 3; 1975, c. 820, s. 1; 1991, c. 740, s.
1.1; 2005‑456, s. 1; 2006‑201, s. 18.)
§ 120C‑301.
Election influence prohibited.
(a) No person
shall attempt to influence the action of any designated individual by the
promise of financial support of the designated individual's candidacy, or by
threat of financial support in opposition to the designated individual's
candidacy in any future election.
(b) No lobbyist,
lobbyist's principal, or other person required to register under this Chapter
shall attempt to influence the action of any designated individual by the
promise of financial support of the designated individual's candidacy, or by
threat of financial support in opposition to the designated individual's
candidacy in any future election. (1933, c. 11, s. 3;
1975, c. 820, s. 1; 1991, c. 740, s. 1.1; 2005‑456, s. 1; 2006‑201,
s. 18.)
§ 120C‑302.
Campaign contributions prohibition.
(a) No lobbyist
may make a contribution as defined in G.S. 163‑278.6 to a candidate or
candidate campaign committee as defined in G.S. 163‑278.38Z when that
candidate meets any of the following criteria:
(1) Is a legislator
as defined in G.S. 120C‑100.
(2) Is a public
servant as defined in G.S. 138A‑3(30)a.
(b) No lobbyist
may collect contributions from multiple contributors, take possession of such
multiple contributions, or transfer or deliver the collected multiple
contributions to the intended recipient. This section shall apply only to
contributions to a candidate or candidate campaign committee as defined in G.S.
163‑278.38Z when that candidate is a legislator as defined in G.S. 120C‑100
or a public servant as defined in G.S. 138A‑3(30)a.
(c) This section
shall not apply to a lobbyist, who has filed a notice of candidacy for office
under G.S. 163‑106 or Article 11 of Chapter 163 of the General Statutes
or has been nominated under G.S. 163‑114 or G.S. 163‑98, making a
contribution to that lobbyist's candidate campaign committee. (2006‑201, s. 18.)
§ 120C‑303.
Gifts by lobbyists and lobbyist's principals prohibited.
(a) Except as
provided in subsection (b) of this section, no lobbyist or lobbyist's principal
may directly or indirectly give a gift to a designated individual.
(b) Subsection (a)
of this section shall not apply to gifts as described in G.S. 138A‑32(e).
(c) The offering
or giving of a gift in compliance with this Chapter without corrupt intent
shall not constitute a violation of the statutes related to bribery under G.S.
14‑217, 14‑218, or 120‑86, but shall be subject to civil
fines under G.S. 120C‑602(b). (2006‑201,
s. 18.)
§ 120C‑304.
Restrictions.
(a) No legislator
or former legislator may register as a lobbyist under this Chapter:
(1) While in
office.
(2) Before the
later of the close of the session in which the legislator served or six months
after leaving office.
(b) No public
servant or former public servant as defined in G.S. 138A‑3(30)a. may
register as a lobbyist while in office or within six months after leaving
office.
(c) No person
serving as a public servant as defined in G.S. 138A‑3(30)c. may register
as a lobbyist under this Chapter within six months after separation from
employment.
(d) No individual
registered as a lobbyist under this Chapter shall serve as a treasurer as
defined in G.S. 163‑278.6(19) or an assistant campaign treasurer for a
political committee for the election of a member of the General Assembly or a
Constitutional officer of the State.
(e) A lobbyist
shall not be eligible for appointment by a State official to, or service on,
any body created under the laws of this State that has regulatory authority
over the activities of a person that the lobbyist currently represents or has
represented within 120 days after the expiration of the lobbyist's registration
representing that person. Nothing herein shall be construed to prohibit
appointment by any unit of local government.
(f) Any
appointment or registration made in violation of this section shall be void. (2005‑456, s. 1; 2006‑201, s. 18.)
§ 120C‑305.
Prohibition on the use of cash or credit of the lobbyist.
No lobbyist or another acting on the lobbyist's behalf shall
permit a designated individual, or that person's immediate family member, to
use the cash or credit of the lobbyist for the purpose of lobbying unless the
lobbyist is in attendance at the time of the reportable expenditure. (2006‑201, s. 18.)
§§ 120C‑306 through 120C‑399: Reserved for future codification purposes.
Article 4.
Reporting.
§ 120C‑400.
Reporting of reportable expenditures.
For purposes of this Chapter, all reportable expenditures
made for the purpose of lobbying shall be reported, including the following:
(1) Reportable
expenditures benefiting or made on behalf of a designated individual, or those
persons' immediate family members, in the regular course of that individual's
employment.
(2) Contractual
arrangements or direct business relationships between a lobbyist or lobbyist's
principal and a designated individual, or that person's immediate family
member, in effect during the reporting period or the previous 12 months.
(3) Reportable expenditures
reimbursed to a lobbyist in the ordinary course of business by the lobbyist's
principal or other employer. (2005‑456, s. 1;
2006‑201, s. 18.)
§ 120C‑401.
Reporting generally.
(a) Reports shall
be filed whether or not reportable expenditures are made and shall be due 10
business days after the end of the reporting period.
(b) Each report
shall set forth the fair market value or face value if shown, date, a
description of the reportable expenditure, name and address of the payee, or
beneficiary, and name of any designated individual, or that person's immediate
family member connected with the reportable expenditure. When more than 15
designated individuals benefit from a reportable expenditure, no names of
individuals need be reported provided that the report identifies the
approximate number of designated individuals benefiting and the basis for their
selection, including the name of the legislative body, committee, caucus, or
other group whose membership list is a matter of public record in accordance
with G.S. 132‑1 or including a description of the group that clearly
distinguishes its purpose or composition from the general membership of the
General Assembly. The approximate number of immediate family members of
designated individuals who benefited from the reportable expenditure shall be
listed separately.
(c) Reportable
expenditures shall be reported using the following categories:
(1) Transportation
and lodging.
(2) Entertainment.
(3) Food and
beverages.
(4) Meetings and
events.
(5) Gifts.
(6) Other
reportable expenditures.
(d) Each report
shall be in the form prescribed by the Secretary of State, which may include
electronic reports.
(e) When any
report as required by this Article is not filed, the Secretary of State shall
send a certified or registered letter advising the lobbyist, lobbyist's
principal, or other person required to report of the delinquency and the
penalties provided by law. Within 20 days of the receipt of the letter, the
report shall be delivered or posted by United States mail to the Secretary
of State together with a late filing fee in an amount equal to the late filing
fee under G.S. 163‑278.34(a)(2). Filing of the required report and
payment of the additional fee within the time extended shall constitute
compliance with this section.
(f) Failure to
file a required report in one of the manners prescribed in this section shall
void any and all registrations of the lobbyist, lobbyist's principal, or
solicitor. No lobbyist, lobbyist's principal, or solicitor may register or reregister
until full compliance with this section has occurred.
(g) Appeal of a
decision by the Secretary of State under this section shall be in accordance
with Article 3 of Chapter 150B of the General Statutes.
(h) The Secretary
of State may adopt rules to facilitate complete and timely disclosure of
required reporting, including additional categories of information, and to
protect the addresses of payees under protective order issued pursuant to
Chapter 50B of the General Statutes or participating in the Address
Confidentiality Program pursuant to Chapter 15C of the General Statutes. The
Secretary of State shall not impose any penalties or late filing fees upon a
lobbyist, lobbyist's principal, or solicitor for subsequent failures to comply
with the requirements of this section if the Secretary of State failed to
provide the required notification under subsection (e) of this section. (1933, c. 11, s. 5; 1973, c. 108, s. 70; 1975, c. 820, s. 1;
1991, c. 740, s. 1.1; 1991 (Reg. Sess., 1992), c. 1030, s. 51.9; 1999‑338,
s. 1; 2005‑456, s. 1; 2006‑201, s. 18.)
§ 120C‑402.
Lobbyist's reports.
(a) Each lobbyist
shall file quarterly reports under oath with the Secretary of State with
respect to each lobbyist's principal.
(b) The report
shall include all of the following for the reporting period:
(1) All reportable
expenditures made for the purpose of lobbying.
(2) Solicitation of
others when such solicitation involves an aggregate cost of more than three
thousand dollars ($3,000).
(3) Reportable
expenditures reimbursed by the lobbyist's principal, or another person on the
lobbyist's principal's behalf.
(4) All reportable
expenditures for gifts given under G.S. 138A‑32(e)(1)‑(9) and all
gifts given under G.S. 138A‑32(e)(10).
(c) In addition to
the reports required by this section, each lobbyist incurring reportable
expenditures in any month while the General Assembly is in session with respect
to lobbying legislators and legislative employees shall file a monthly
reportable expenditure report. The monthly reportable expenditure report shall
contain information required by this section with respect to all lobbying of
legislators and legislative employees, and is due within 10 business days after
the end of the month. The information on the monthly reportable expenditure
report shall also be included in each quarterly report required by subsection
(a) of this section. (1933, c. 11, s. 5; 1973, c. 108,
s. 70; 1975, c. 820, s. 1; 1991, c. 740, s. 1.1; 1991 (Reg. Sess., 1992), c.
1030, s. 51.9; 1999‑338, s. 1; 2005‑456, s. 1; 2006‑201, s.
18.)
§ 120C‑403.
Lobbyist's principal's reports.
(a) Each
lobbyist's principal shall file quarterly reports under oath with the Secretary
of State with respect to each lobbyist's principal.
(b) The report
shall be filed whether or not reportable expenditures are made, shall be due 10
business days after the end of the reporting period, and shall include all of
the following for the reporting period:
(1) All reportable
expenditures made for the purpose of lobbying.
(2) Solicitation of
others when such solicitation involves an aggregate cost of more than three
thousand dollars ($3,000).
(3) Compensation
paid to all lobbyists during the quarter. If a lobbyist is a full‑time
employee of the principal, or is compensated by means of an annual fee or
retainer, the principal shall estimate and report the portion of the salary,
fee, or retainer that compensates for lobbying.
(4) Reportable
expenditures reimbursed or paid to lobbyists for lobbying that are not reported
on the lobbyist's report, with an itemized description of those reportable
expenditures.
(5) All reportable
expenditures for gifts given under G.S. 138A‑32(e)(1)‑(9) and all
gifts given under G.S. 138A‑32(e)(10) with a value of more than two
hundred dollars ($200.00).
(c) In addition to
the reports required by this section, each lobbyist principal incurring
reportable expenditures in any month while the General Assembly is in session
with respect to lobbying legislators and legislative employees shall file a
monthly reportable expenditure report. The monthly reportable expenditure
report shall contain information required by this section with respect to all
lobbying of legislators and legislative employees, and is due within 10
business days after the end of the month. The information on the monthly report
shall also be included in each quarterly report required by subsection (a) of
this section. (1933, c. 11, s. 5; 1973, c. 108, s. 70;
1975, c. 820, s. 1; 1991, c. 740, s. 1.1; 1991 (Reg. Sess., 1992), c. 1030, s.
51.10; 1999‑338, s. 2; 2005‑456, s. 1; 2006‑201, s. 18.)
§ 120C‑404.
Solicitor's reports.
(a) Each solicitor
shall file quarterly reports under oath with the Secretary of State.
(b) The report
shall include all of the following:
(1) All reportable
expenditures made for the purpose of lobbying during the reporting period.
(2) Solicitation of
others when such solicitation involves an aggregate cost of more than three
thousand dollars ($3,000). (2006‑201, s. 18.)
§ 120C‑405.
Report availability.
(a) All reports
filed under this Chapter shall be open to public inspection upon filing.
(b) The Secretary
of State shall coordinate with the State Board of Elections to create a
searchable Web‑based database of reports filed under this Chapter and
reports filed under Subchapter VIII of Chapter 163 of the General Statutes. (2006‑201, s. 18.)
§§ 120C‑406 through 120C‑499: Reserved for future codification purposes.
Article 5.
Liaison Personnel.
§ 120C‑500.
Liaison personnel.
(a) All agencies
and constitutional officers of the State, including all boards, departments,
divisions, constituent institutions of The University of North Carolina, and
other units of government in the executive branch, except local units of
government, shall designate liaison personnel to lobby for legislative action.
(b) No State funds
may be used to contract with persons who are not employed by the State to lobby
legislators and legislative employees.
(c) No more than
two persons may be designated as liaison personnel for each agency and
constitutional officers of the State, including all boards, departments,
divisions, constituent institutions of The University of North Carolina, and
other units of government in the executive branch. (1933,
c. 11, s. 7; 1975, c. 820, s. 1; 1977, c. 697; 1991, c. 740, s. 1.1; 1993, c.
553, s. 3; 2001‑424, s. 6.10(a); 2005‑456, s. 1; 2006‑201, s.
18.)
§ 120C‑501.
Applicability of Chapter on liaison personnel.
(a) Except as
otherwise provided in this section, this Chapter shall not apply to liaison
personnel.
(b) G.S. 120C‑200
shall apply to liaison personnel. No registration fee shall be required for
registration under this subsection.
(c) Liaison
personal designated under this Article shall file reports under G.S. 120C‑402.
(d) G.S. 120C‑303
shall apply to liaison personnel with respect to legislators and legislative
employees.
(e) The University
of North Carolina or any of its constituent institutions, or designated liaison
personnel of those persons, shall not give, for the purpose of lobbying,
athletic tickets to any designated individual, except for those who are
described in G.S. 138A‑3(30)j. or those who are students and receive
tickets on the same basis as other students. (2001‑424,
s. 6.10(a); 2005‑456, s. 1; 2006‑201, s. 18.)
§§ 120C‑502 through 120C‑599: Reserved for future codification purposes.
Article 6.
Violations and Enforcement.
§ 120C‑600.
Powers and duties of the Secretary of State.
(a) The Secretary
of State shall perform systematic reviews of reports required to be filed under
Articles 4 and 8 of this Chapter on a regular basis to assure complete and
timely disclosure of reportable expenditures. The Secretary of State shall
refer to the Commission any complaints of violations of this Chapter other than
those related solely to Articles 2, 4, or 8 of this Chapter.
(b) The Secretary
of State may petition the Superior Court of Wake County for the approval to
issue subpoenas and subpoenas duces tecum as necessary to conduct
investigations of violations of Articles 2, 4, and 8 of this Chapter. The court
shall authorize subpoenas under this subsection when the court determines they
are necessary for the enforcement of Articles 2, 4, and 8 of this Chapter.
Subpoenas issued under this subsection shall be enforceable by the court
through contempt powers. Venue shall be with the Superior Court
of Wake
County for any
nonresident person, or that person's agent, who makes a reportable expenditure
under this Chapter, and personal jurisdiction may be asserted under G.S. 1‑75.4.
(c) Complaints of
violations of Articles 2, 4, and 8 of this Chapter and all other records
accumulated in conjunction with the investigation of these complaints shall be
considered records of criminal investigations under G.S. 132‑1.4. (2005‑456, s. 1; 2006‑201, s. 18; 2006‑259,
s. 43.5(a).)
§ 120C‑601.
Powers and duties of the Commission.
(a) The Commission
may investigate complaints of violations of this Chapter and shall refer
complaints related solely to Articles 2, 4, or 8 of this Chapter to the
Secretary of State.
(b) The Commission
may petition the Superior
Court of
Wake County
for the approval to issue subpoenas and subpoenas duces tecum as necessary to
conduct investigations of violations of this Chapter. The court shall authorize
subpoenas under this subsection when the court determines they are necessary
for the enforcement of this Chapter. Subpoenas issued under this subsection
shall be enforceable by the court through contempt powers. Venue shall be with
the Superior Court of Wake County
for any nonresident person, or that person's agent, who makes a reportable
expenditure under this Chapter, and personal jurisdiction may be asserted under
G.S. 1‑75.4.
(c) Complaints of
violations of this Chapter and all other records accumulated in conjunction
with the investigation of these complaints shall be considered records of
criminal investigations under G.S. 132‑1. (2006‑201,
s. 18; 2006‑259, s. 43.5(a).)
§ 120C‑602.
Punishment for violation.
(a) Whoever
willfully violates any provision of Article 2 or Article 3 of this Chapter
shall be guilty of a Class 1 misdemeanor, except as provided in those Articles.
In addition, no lobbyist who is convicted of a violation of the provisions of
this Chapter shall in any way act as a lobbyist for a period of two years from
the date of conviction.
(b) In addition to
the criminal penalties set forth in this section, the Secretary of State may
levy civil fines for a violation of any provision of Articles 2, 4, or 8 of
this Chapter up to five thousand dollars ($5,000) per violation. In addition to
the criminal penalties set forth in this section, the Commission may levy civil
fines for a violation of any provision of this Chapter except Article 2, 4, or
8 of this Chapter up to five thousand dollars ($5,000) per violation. (1933, c. 11, s. 8; 1975, c. 820, s. 1; 1991, c. 740, s.
1.1; 1993, c. 539, s. 914; 1994, Ex. Sess., c. 24, s. 14(c); 2005‑456, s.
1; 2006‑201, s. 18; 2006‑259, s. 43.5(a).)
§ 120C‑603.
Enforcement by district attorney and Attorney General.
(a) The Commission
or the Secretary of State, as appropriate, may investigate complaints of
violations of this Chapter and shall report apparent violations of this Chapter
to the district attorney of the prosecutorial district as defined in G.S. 7A‑60
of which Wake County is a part, who shall prosecute
any person who violates any provisions of this Chapter.
(b) Complaints of
violations of this Chapter involving the Commission or any member employee of
the Commission shall be referred to the Attorney General for investigation. The
Attorney General shall, upon receipt of a complaint, make an appropriate
investigation thereof, and the Attorney General shall forward a copy of the
investigation to the district attorney of the prosecutorial district as defined
in G.S. 7A‑60 of which Wake
County is a part, who
shall prosecute any person who violates any provisions of this Chapter. (1975, c. 820, s. 1; 1987 (Reg. Sess., 1988), c. 1037, s.
112; 2005‑456, s. 1; 2006‑201, s. 18; 2006‑259, s. 43.5(b).)
§§ 120C‑604 through 120C‑699: Reserved for future codification purposes.
Article 7.
Exemptions.
§ 120C‑700.
Persons exempted from this Chapter.
Except as otherwise provided in Article 8, the provisions of
this Chapter shall not be construed to apply to any of the following:
(1) An individual
solely engaged in expressing a personal opinion or stating facts or
recommendations on legislative action or executive action to a designated
individual and not acting as a lobbyist.
(2) A person
appearing before a committee, commission, board, council, or other collective
body whose membership includes one or more designated individuals at the
invitation or request of the committee or a member thereof and who engages in
no further activities as a lobbyist with respect to the legislative or
executive action for which that person appeared.
(3) A duly elected
or appointed official or employee of the State, the United States, a county,
municipality, school district, or other governmental agency, when appearing
solely in connection with matters pertaining to the office and public duties,
except for a person designated as liaison personnel under G.S. 120C‑500.
(4) A person
performing professional services in drafting bills, or in advising and
rendering opinions to clients, or to designated individuals on behalf of
clients, as to the construction and effect of proposed or pending legislative
or executive action where the professional services are not otherwise connected
with the legislative or executive action.
(5) A person who
owns, publishes, or is an employee of any recognized news medium, while engaged
in the acquisition and publication of news or news and commentary on behalf of
that recognized news medium.
(6) Designated
individuals while acting in their official capacity.
(7) A person
responding to inquiries from a designated individual and who engages in no
further activities as a lobbyist in connection with that inquiry.
(8) A person who is
a political committee as defined in G.S. 163‑278.6(14), that person's
employee, or that person's contracted service provider. (1933, c. 11, s. 7; 1975, c. 820, s. 1; 1977, c. 697; 1991,
c. 740, s. 1.1; 1993, c. 553, s. 3; 2005‑456, s. 1; 2006‑201, s.
18.)
§§ 120C‑701 through 120C‑799: Reserved for future codification purposes.
Article 8.
Miscellaneous.
§ 120C‑800.
Reportable expenditures made by persons exempted or not covered by this
Chapter.
(a) If a
designated individual accepts a reportable expenditure made for the purpose of
lobbying with a total value of over two hundred dollars ($200.00) per calendar
quarter from a person or group of persons acting together, exempted or not
otherwise covered by this Chapter, the person, or group of persons, making the
reportable expenditure shall report the date, a description of the reportable
expenditure, the name and address of the person, or group of persons, making
the reportable expenditure, the name of the designated individual accepting the
reportable expenditure, and the estimated fair market value, or face value if
shown, of the reportable expenditure.
(b) If the person
making the reportable expenditure in subsection (a) of this section is outside
North Carolina, and the designated individual accepting the reportable
expenditure is also outside North Carolina at the time the designated
individual accepts the reportable expenditure, then the designated individual
accepting the reportable expenditure shall be responsible for filing the report
or reporting the information in the designated individual's statement of
economic interest in accordance with G.S. 138A‑24(a)(2).
(c) If a
designated individual accepts a scholarship valued over two hundred dollars
($200.00) from a person, or group of persons, acting together, exempted or not
covered by this Chapter, the person, or group of persons, granting the
scholarship shall report the date of the scholarship, a description of the
event involved, the name and address of the person, or group of persons,
granting the scholarship, the name of the designated individual accepting the
scholarship, and the estimated fair market value.
(d) If the person
granting the scholarship in subsection (c) of this section is outside North Carolina, the
designated individual accepting the scholarship shall be responsible for filing
the report or reporting the information in the designated individual's
statement of economic interest in accordance with G.S. 138A‑24(a)(2).
(e) This section
shall not apply to any of the following:
(1) Lawful campaign
contributions properly received and reported as required under Article 22A of
Chapter 163 of the General Statutes.
(2) Any gift from
an extended family member to a designated individual.
(3) Gifts
associated primarily with the designated individual's or that person's
immediate family member's employment.
(4) Gifts, other
than food, beverages, travel, and lodging, which are received from a person who
is a citizen of a country other than the United
States or a state other than North Carolina and given during a ceremonial
presentation or as a custom.
(5) A thing of
value that is paid for by the State.
(f) Within 10
business days after the end of the quarter in which the reportable expenditure
was made, reports required by this section shall be filed with the Secretary of
State in a manner prescribed by the Secretary of State, which may include
electronic reports. If the designated individual is required to file a statement
of economic interest under G.S. 138A‑24, then that designated individual
may opt to report any information required by this section in the statement of
economic interest.
(g) For purposes
of this section, the term "scholarship" shall mean a grant‑in‑aid
to attend a conference, meeting, or other similar event. (2005‑456, s. 1; 2006‑201, s. 18.)
§§ 120C‑801 through 120C‑899: Reserved for future codification purposes.