Formal Lobbying Advisory Opinions
This is a list of formal advisory opinions issued by the State Ethics Commission interpreting the Lobbying Law in response to written requests for an advisory opinion from:
- Prospective or registered lobbyists or lobbyist principals subject to the Lobbying Law and their counsel.
- Former legislators and state agency employees subject to the restrictions against registering as a lobbyist within six months of service.
- Individuals, entities, legislators, legislative employees, and public servants who are not otherwise subject to the Lobbying Law, but who may have to report under the “Miscellaneous Reporting” requirements of Article 8 of the Lobbying Law.
- State agencies subject to certain restrictions against using state funds to hire contract lobbyists.
- Legislative Liaisons
The Lobbying Law requires that formal advisory opinions issued by the State Ethics Commission be published in an edited format to protect the requester’s identity. If the requester authorized the publication of an unedited version of the opinion it will have an * beside it.
These opinions are arranged according to the issues addressed in the opinion.
**Please note that the General Assembly recodified the Ethics Act in 2019, renumbering G.S. 138A-32(d1) to (e) and the gift ban exceptions from G.S. 138A-32(e) to G.S. 138A-32(f)**
The Gift Ban & Gift Ban Exceptions
Tab/Accordion Items
| L-12-002 | 2012 | Applicability of Lobbying Law's Gift Ban and Reporting Requirements and the Ethics Act's Gift Ban to an Event. | G.S. 120C-303(a); 120C-402; 120C-403; 138A-32(c)-(d); S.L. 2010-169 |
| L-11-004 | 2011 | Donation of Products, Informational Materials, "Branded Items," and Funding to a State Agency's Public Outreach Efforts and the Reporting of Those Donations. | G.S. 120C-303(a); 120C-403(b)(1); 120C-403(b)(5); 138A-32(e)(2); 138A-32(e)(6) |
| L-10-002 | 2010 | Sponsoring Legislator and Public Servant Participation in International Trip. | G.S. 120C-303(a)(2); 138A-32(c) and (d1); 138A-32(e)(3) 138A-32(f) |
| L-09-004 | 2009 | Lobbyists’ and Lobbyist Principals’ In-Kind Contributions to a State Governmental Entity for a Meeting of a Regional Affiliate of a National Nonpartisan Organization. | G.S. 120C-303(a)(2) and (b); 138A-32(e)(5) |
| L-08-007 | 2008 | Donations to the Junior League of Raleigh for the 2009 Inaugural Ball Weekend — A Fund Raiser with Ticketed Events. | G.S. 120C-303(a); 120C-402; 120C-403; 138A-32(c)-(d) |
| L-07-007 | 2007 | Gift to a Non-Covered Spouse of a Public Servant — “Indirect” Gifts & Reporting Requirements. | G.S. 138A-32(c) and (d); 120C-100(a)(12); 120C-400; 120C-402; 120C-403 |
| L-12-003 | 2012 | Permissibility of Providing Food and Beverages to Organization's Advisors and Directors. | G.S.138A-32(e)(1)c; 138A-32(e)(10) - (12) |
| L-10-003 | 2010 | Legislative Reception Sponsored by A Lobbyist Principal — Complimentary Transportation Cannot be Provided under the G.S. 138A-32(e)(1) Food and Beverage Gift Ban Exception. | G.S.120C-303(a); 138A-32(e)(1)c |
| L-09-003 | 2009 | Gathering Open to the General Public - Requisite Sign Displayed at Gathering. | G.S. 120C-303; 138A-32(e)(1)b |
| L-09-001 | 2009 | Legislative Reception and Fundraiser with Multiple Sponsors — Who is the “Person” and Who is “Associated with the Person?.” | G.S. 120C-303; 138A-32(e)(1)c |
| L-07-010 | 2007 | Lobbyists’ and Lobbyist Principals’ Sponsorship of Events Held In Conjunction With Legislative Conferences; “Public Event” Gift Ban Exception & Reporting Requirements. | G. S. 138A-32(e)(1); 138A-3(29); 120C-401, -402, -403 |
| L-07-009 | 2007 | Municipality’s Reception for Municipal Legislative Delegation — Application of Gifts Ban to Local Governmental Units — Local Governmental Officials Performing Official Duties Exempt from Lobbying Law. | G.S. 138A-32(c);138A-32(e)(1);138A-3(29); 120C-700(3) |
| L-07-005 | 2007 | Legislative Reception with Multiple Sponsors - Indirect Gifts & the “Public Event” Gift Ban Exception. | G.S. 138A-32(e)(1) |
| L-07-003 | 2007 | Legislative Dinner and the “Public Event” Gift Ban Exception. | G.S.138A-32(e)(1); 138A-3(29); 138A-32(e)(3)(i) |
| L-07-001 | 2007 | “Freshman” Legislative Breakfast Not a “Public Event” or “Educational Meeting.” | G.S.138A-32(e)(1); 138A-3(29); 138A-32(e)(3)(i) |
| L-15-003 | 2015 | Providing Complimentary Admission to Public Servants and Judicial Officers Attending the NCSA’s 2015 Annual Training Conference | G.S. 138A-32(c); 138A-32(e)(3)(i); 138A-32(f); 120C-303(e); 120C-403(b)(5) |
| L-15-002 | 2015 | Providing Complimentary Admission to Public Servants and Judicial Officers Attending the NCSA’s 2015 Spring Meeting | G.S. 138A-32(c); 138A-32(e)(3)(i); 138A-32(f); 120C-303(e); 120C-403(b)(5) |
| L-11-003 | 2011 | Sponsoring Legislator and Public Servant Participation in International Trip - Global Leaders Program to China | G.S. 120C-303(a); 138A-32(e)(3)(i) |
| L-11-002 | 2011 | Paying Expenses of Legislators and Public Servants to Participate in International Trip - "Learning From Finland" | G.S. 120C-303(a); 138A-32(e)(3)(i) |
| L-11-001 | 2011 | Providing Admission and Complimentary Food and Beverages to Legislators and Public Servants Attending Conference | G.S. 120C-303(a); 138A-32(e)(3)(i); 138A-32(e)(3)(ii) |
| L-10-002 | 2010 | Sponsoring Legislator and Public Servant Participation in International Trip. | G.S. 120C-303(a)(2); 138A-32(c) and (d1); 138A-32(e)(3); 138A-32(f) |
| L-09-012 | 2009 | Application of the Educational Meeting Gift Ban Exception to International Trip Sponsored by Lobbyist Principals and Others. | G.S. 120C-303(a) and (b); G.S. 138A-32(e)(3)(i) |
| L-09-009 | 2009 | Application of the Educational Meeting Gift Ban Exception to a Rural North Carolina Study Tour. | G.S. 138A-32(c); 138A-32(e)(3)(i) |
| L-09-007 | 2009 | Permissibility of Providing Free Registration to NCSEA Forum. | G.S. 120C-303(a); 138A-32(e)(3)(i) |
| L-08-006 | 2008 | Lobbyist Principals and Others Sponsoring Legislator and Public Servant Participation in International Trip & the “Educational Meeting” Gift Ban Exception. | G.S. 120C-303(a); 138A-32(c); 138A-32(e)(3)(i); 120C-403(b) |
| L-08-005 | 2008 | Legislative Leaders Healthcare Retreat & the “Educational Meeting” Gift Ban Exception. | G.S. 120C-303; 138A-32(e)(3)(i); 120C-403(b) |
| L-07-012 | 2007 | International Study Trip & the “Educational Meeting” Gift Ban Exception. | G.S. 120C-303(a) and (b); 138A-32(e)(3) |
| L-15-001 | 2015 | Sexual Favors or Sexual Acts as a Gift or “Thing of Value” | G.S. 138A-24(a)(3); 138A-26; 138A-27; 138A-22(a); 138A-21 |
| L-13-002 | 2010 | Lobbyist Giving Event Tickets to Designated Individual with Whom Lobbyist Has Personal Relationship | G.S. 138A-32(e)(10); 120C-402(b)(4); 120C-303(a); 120C-100 (a)(2); 120C-100(a)(12)a; 120C-403(b)(5); 138A-32(c) |
| L-10-003 | 2010 | Legislative Reception Sponsored by One Lobbyist Principal – Complementary Transportation Will Not Be “Generally Available to the General Public or All Other State Employees” and Cannot Be Provided under the G.S. 138A-32(e)(6) Exception. | G.S.120C-303(a); 138A-32(e)(6) |
| L-09-004 | 2009 | Lobbyists’ and Lobbyist Principals’ In-Kind Contributions to a State Governmental Entity for a Meeting of a Regional Affiliate of a National Nonpartisan Organization — Gift to the State Exception. | G.S. 138A-32(e)(5); 120C-303(b) |
| L-08-001 | 2008 | Lobbyists’ and Lobbyist Principals’ Donations to a Nonpartisan State, Regional, National, or International Organization and the Reporting of Such Donations. | G.S. 120C-303(d); 120C-403(b)(1); 120C-401(b1) and (b2) |
| L-07-006 | 2007 | Lobbyist Giving Legislator a Free Ride; Gift Ban Exception for Personal Relationship and Reporting Obligations. | G.S. 138A-32(e)(10); 120C-401(b); 120C-402(b) |
Lobbying & Registration Requirements
Tab/Accordion Items
| L-15-001 | 2015 | Sexual Favors or Sexual Acts as a Gift or “Thing of Value” | G.S. 138A-24(a)(3); 138A-26; 138A-27; 138A-22(a); 138A-21 |
| L-14-001 | 2014 | The Application of the Lobbying Law's "Cooling Off" Period to Former Legislative Employee | |
| L-13-001 | 2012 | Law Firm Contracting with Employee of State Board to Provide Non-Lobbying Consulting Services to the Board upon Retirement | G. S. 120C-304(c); 120C-100(a)(8); 120C-500; 120C-501(b), (c), and (d); 120C-700(4) |
| L-11-005 | 2011 | The Application of the Lobbying Law's "Cooling Off" Period to Former Legislators and the Local Government Liaison Equivalent Exemption | G.S. 120C-304(a)(2); 120C-501(a); 120C-502(b); 120C-700(3) |
| L-10-004 | 2010 | Payment for Lobbying and Reimbursement of Actual Travel Expenses: Apartment Lease | G.S. 120C-100(a)(9); 120C-100(a)(10)b. and c.; and 120C-100(a)(11k) |
| L-09-006 | 2009 | Association Employing/Retaining Lobbyist is Lobbyist Principal, Not the Individual Members of the Association. | G.S. 120C-100(a)(11); 120C-206; 120C-207 |
| L-09-005 | 2009 | Executive Action and Executive Lobbying. | G.S. 120C-100(a)(3) and (a)(9); 120C-100(a)(10); 120C-200; 120C-201; 120C-206; 120C-207 |
| L-07-0011 | 2007 | Members of State Board Lobbying Members of Congress are not “Liaison Personnel.” | G.S. 120C-500(a),(b), and (c) |
| L-07-0004 | 2007 | Designated Individuals Acting in Their Official Capacity Do Not Need to Register as “Liaison Personnel.” | G.S 120C-700 |
| L-07-0002 | 2007 | Designated Individuals Acting in Their Official Capacity Do Not Need to Register as “Liaison Personnel.” | G.S 120C-700 |
Lobbyist, Lobbyist Principal & Liaison Reporting Requirements
Tab/Accordion Items
| L-13-002 | 2013 | Lobbyist Giving Event Tickets to Designated Individual with Whom Lobbyist Has Personal Relationship | G.S. 138A-32(e)(10); 120C-402(b)(4); 120C-303(a); 120C-100 (a)(2); 120C-100(a)(12)a; 120C-403(b)(5); 138A-32(c) |
| L-11-004 | 2011 | Donation of Products, Informational Materials, "Branded Items," and Funding to a State Agency's Public Outreach Efforts and the Reporting of Those Donations | G.S. 120C-303(a); 120C-403(b)(1); 120C-403(b)(5); 138A-32(e)(2); 138A-32(e)(6) |
| L-09-008 | 2009 | Reporting of Lobbyists’ and Lobbyist Principals’ In–Kind Contributions for the 2009 Southern Legislative Conference Annual Meeting. | G.S. 138A-32(e)(15); 120C-402(b); 120C-403(b); 120C-401(b1) and (b2) |
| L-09-003 | 2009 | Gathering Open to the General Public – Required Sign Displayed at Gathering. | G.S. 120C-303; 138A-32(e)(1)b; 120C-403(b)(1) and (b)(5); 120C-401(b) and (b1) |
| L-09-002 | 2009 | Reporting of Gifts Given by Multiple Sponsors at Legislative Reception and Fundraiser. | G.S. 120C-400; 120C-401; 120C-403; 120C-800(a) |
| L-08-006 | 2008 | Lobbyist Principals and Others Sponsoring Legislator and Public Servant Participation in International Trip, the “Educational Meeting” Gift Ban Exception & Reporting. | G.S. 120C-303(a); 138A-32(c); 138A-32(e)(3)(i); 120C-403(b); 120C-401; 120C-800(a); 120C-800(e)(5) |
| L-09-008 | 2009 | Reporting of Lobbyists’ and Lobbyist Principals’ In–Kind Contributions for the 2009 Southern Legislative Conference Annual Meeting. | G.S. 138A-32(e)(15); 120C-402(b); 120C-403(b)(1) |
| L-09-003 | 2009 | Gathering Open to the General Public — Requisite Sign Displayed at Gathering. | G.S. 120C-303; G.S. 138A-32(e)(1)b; 120C-100(a)(12); 120C-403(b)(1) and (b)(5); and 120C-401(b) and (b1) |
| L-09-002 | 2009 | Reporting of Reportable Expenditures for Legislative Reception. | G.S. 120C-100(a)(12); 120C-400; 120C-401; 120C-403 |
| L-08-001 | 2008 | Lobbyists’ and Lobbyist Principals’ Donations to a Nonpartisan State, Regional National, or International Organization and the Reporting of Such Donations. | G.S. 120C-100(a)(12); 120C-402(b)(1); 120C-403(b)(1); 120C-401(b1) and (b2) |
| L-07-010 | 2007 | Lobbyists’ and Lobbyist Principals’ Sponsoring Events Held In Conjunction With Legislative Conferences; “Public Event” Gift Ban Exception & Reporting Requirements. | G. S. 138A-32(e)(1); 138A-3(29); and 120C-401, -402, and -403 See indirect gifts ban exception. See also 138A-32(e)(3)(iii). |
LC: Effective January 1, 2011, S.L. 2010-169 amended the Lobbying Law’s reporting requirements applicable to payments for lobbying and lobbying services. See G.S. 120C-403(d) and (e).
| L-10-001 | 2010 | Determining What Services are For the Purpose of Lobbying — Application of the “But For” Test. |
| L-09-010 | 2009 | Lobbyist Principal Reporting of “Payment for Services” — Establishing the “But For” Test. |
LC: Effective August 15, 2008, S.L. 2008-213 amended the Lobbying Law’s payment for services reporting requirements to exclude reimbursement of actual travel, administrative expenses, or subsistence.
| L-08-004 | 2008 | Responsibilities and Requirements for Reporting Payments for Lobbying. |
| L-08-003 | 2008 | Reporting Compensation. |
| L-08-002 | 2008 | Reporting Compensation. |
Miscellaneous
Tab/Accordion Items
| L-13-003 | 2013 | The Application of the Lobbying Law’s “Cooling Off Period” to a Legislator’s Employment by a Private Company | G.S. 120C-304(a); 120C-100(a)(10); 120C-100(a)(9) |
| L-13-001 | 2012 | Law Firm Contracting with Employee of State Board to Provide Non-Lobbying Consulting Services to the Board upon Retirement | G. S. 120C-304(c); 120C-100(a)(8); 120C-500; 120C-501(b), (c), and (d); 120C-700(4) |
| L-12-001 | 2012 | Registered Lobbyist Filing Notice of Candidacy and Running for State Legislative Office. | G. S. 120C-304(a) |
| L-11-005 | 2011 | The Application of the Lobbying Law's "Cooling Off" Period to Former Legislators and the Local Government Liaison Equivalent Exemption | G.S. 120C-304(a)(2); 120C-501(a); 120C-502(b); 120C-700(3) |
| L-09-011 | 2009 | Restriction Against State Agency Using State Funds for Contract Lobbyist/Liaison Personnel Inapplicable to Local Management Entity; LME’s Contract Lobbyist Not Exempt from Lobbying Law. | G.S. 120C-304(a)(2); 120C-501(a); 120C-502(b); 120C-700(3) |
| L-08-001 | 2008 | Contributions to Non-Partisan Organizations. | G.S. 120C-304(a)(2); 120C-501(a); 120C-502(b); 120C-700(3) |
| L-07-0008 | 2007 | Lobbyists Contributing to a Political Action Committee (“PAC”). | G.S. 120C-302 |