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.

More information about obtaining a formal advisory opinion and informal advice from the Commission’s staff.

**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

The Indirect Gift Ban

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

Gift Ban Exceptions. Receptions, Dinners, and Other Food and Beverage Events

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)

Gift Ban Exceptions. Reasonable Actual Expenses To Attend Meetings, Including Educational Meetings

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)

Other Gift Ban Exceptions and Safe Harbors

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

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

Gifts Reporting

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)

Reporting of Non-Gift Reportable Expenditures

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).

Reporting of Payments for Lobbying and Lobbying Services (Compensation)

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

Cooling Off Period & Prohibition Against Hiring Lobbyists with State Funds

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	La 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