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LOBBYING EDUCATION: PART I

LOBBYING EDUCATION: PART I. I. ROLE OF THE STATE ETHICS COMMISSION II. REQUESTING ADVICE III. GIFT BAN & GIFT BAN EXCEPTIONS IV. ADDITIONAL REQUIREMENTS, PROHIBITIONS & RESTRICTIONS ON LOBBYISTS. ROLE OF THE STATE ETHICS COMMISSION. Investigation. Interpretation.

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LOBBYING EDUCATION: PART I

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  1. LOBBYING EDUCATION: PART I I.ROLE OF THE STATE ETHICS COMMISSION II. REQUESTING ADVICE III. GIFT BAN & GIFT BAN EXCEPTIONS IV. ADDITIONAL REQUIREMENTS, PROHIBITIONS & RESTRICTIONS ON LOBBYISTS

  2. ROLE OF THE STATE ETHICS COMMISSION Investigation Interpretation Investigate alleged violations of Lobbying Law, including gift ban Interpret State Government Ethics Act (Ch. 138A) and Lobbying Law (Ch. 120C) Issue advice & formal advisory opinions to anyone affected by Lobbying Law Refer alleged registration & reporting violations to Secretary of State Adopt rules interpreting Ch. 120C & administering Ch. 120C, except for Art. 2, 4 & 8 (registration & reporting). See 30 NCAC

  3. REQUESTING ADVICE Anyone affected by the Lobbying Law Who can request advice? Who issues advice? State Ethics Commission Advice involving specific questions relating to real or reasonably anticipated situations What can you request? When must it be requested? Before situation occurs

  4. Informal Advice vs.Formal Advisory Opinions

  5. NC’s GIFT BAN & GIFT BAN EXCEPTIONS What is it? When & to whom does it apply? What are the exceptions?

  6. Gift Ban Rule: Unless there is an exception LOBBYISTS & LOBBYIST PRINCIPALS • Cannot knowingly give a gift, directly or indirectly, to “designated individuals” • Legislators • Legislative Employees • Public Servants LIAISON PERSONNEL • Cannot knowingly give a gift, directly or indirectly, to: • Legislators • Legislative Employees Gift Ban Applies 24/7/365

  7. “Indirect Gift” • Lobbyist or Lobbyist Principal cannot knowingly give a gift with the intent that a designated individual be an ultimate recipient.

  8. WHO are… • Legislators • Members of the General Assembly. • Individuals elected or appointed to General Assembly before taking office. • Candidates. • Legislative Employees • Employees & Officers. • Consultants & Committee Counsel. • Law school interns. • NOT included: nonsupervisory employees of facility maintenance, food services staff, & pages.

  9. WHO are… • Public Servants • Executive Branch Constitutional Officers, including individuals elected or appointed prior to taking office, & candidates. • Heads of principal State departments. • Governor’s office employees. • Policy-making positions, chief deputies, confidential assistants. • Certain managerial positions. • Others designated by Governor. • Certain UNC & community college officials, Board of Governors & boards of trustees members. • Voting members of State non-advisory boards.

  10. HOW do you know if someone is a “Designated Individual”? List available on Commission’s website at www.ethicscommission.nc.gov or by calling (919) 715-2071

  11. What is a “Gift”? • “Anything of monetary value” • Given or received without valuable consideration No de minimis exception

  12. What is NOT a “Gift”? • Paid fair market or face value. • Commercially available loans made on same terms & not for lobbying. • Contractual or commercial arrangements not made for lobbying. • Academic or athletic scholarships. • Campaign contributions properly received & reported. (Lobbyists cannot make campaign contributions to certain candidates.) • Certain expressions of condolence. • Cards, letters, notes, e-mails, etc (State Ethics Commission determination).

  13. GIFT BAN EXCEPTIONS Food & Beverage for “Immediate Consumption” Meetings & Conferences Generally Non-Partisan Organizations Informational Materials Family, Friends, Others Gifts to State or Related to State Business Available to General Public UNC Athletic Tickets

  14. Food & Beverage: Open Meetings & Gatherings Open to Public Lobbyist, Lobbyist Principal, or Liaison Personnel can pay for food & beverage for “immediate consumption”  on premises consumption • Gathering Open to the • General Public • 10 or more attendees • Sign or other communication outside gathering indicating open to the public • If general public is required to pay fee, NOT open to the general public (30 NCAC 07B .0101) Open Meeting of Public Body Properly noticed under the Open Meetings Law

  15. Food & Beverage: Specific Invitees • Lobbyist, Lobbyist Principal, Liaison Personnel can pay for • Food & beverage for immediate consumption when 1 or more from the following groups are “invited”: • All House or Senate members; • All members of county or municipal legislative delegation; • Recognized caucus; • Committee/commission of General Assembly; • All legislative employees; or • Public servant’s entire board orat least 10 public servants. At least 10 people associated with person or govt. unit actually attend; or all shareholders, employees, bd. members, officers, members, subscribers located in NC are invited. And “Invited” – written; at least 24 hrs. in advance; date, time, location; from at least 1 host or sponsor; if sponsored by lobbyist or lobbyist principal, must state whether gathering is permitted by this exception.

  16. Food & Beverage: Specific Invitees (30 NCAC 07B .0102 & .0103) Associated with person or govt. unit actually attend: When sponsored by lobbyists or lobbyist principals, 10 individuals associated with the “group” of sponsoring lobbyists or lobbyist principals must actually attend. • Associated with person or govt. unit: • Employee. • Director, officer, partner, holds leadership position. • Owner of interest of $10,000 or more. • Owner of 5% or more of the business. • Registered lobbyist. • Commission will make case-by-case determinations on other relationships, such as memberships in organizations. • Written notice by 1 host or sponsor to 1 of the qualifying groups is sufficient • Notices by e-mail are permitted.

  17. Food & Beverage: “Official Duty” for Public Servants • Lobbyist or lobbyist principal can pay for • Food & beverage for immediate consumption at • Organized gathering where • Public servant’s attendance is primarily related to public position; and, • 10 individuals other than public servant or immediate family actually attend or individuals connected with sponsor in specific NC office or county notified & invited.

  18. Meetings & Conferences GenerallyEducational & Speaker/Panel Member • Meeting has formal agenda,notice given at least 10 days in advance and attended by at least 10 participants. • Food, beverage, transportation & entertainment must be • Provided to all attendees or defined groups of 10 or more; and, • Part of or in conjunction with meeting. • Entertainment must also be incidental to the principal agenda. Lobbyist principal • Can pay reasonable actual expendituresfor food & beverage, travel, registration, lodging, incidental items of nominal value, incidental entertainment. • 1)“Educational” Meeting(primarily related to public duties; see 30 NCAC 07C .0101 ); or, 2) Designated Individual is a “bona fide speaker or panel member”.

  19. Meetings & Conferences GenerallyReimbursable Expenses for Public Servants Applies ONLY to Public Servants & NOT legislators or legislative employees. Lobbyist or lobbyist principal • Can pay for any expense that would otherwise be reimbursable by the State if • Public servant received approval in advanceto accept the expense on behalf of the State. Actual expense may exceed State rate.

  20. Nonpartisan Agency OrganizationsMeetings & Conferences • Meeting has formal agenda,notice given at least 10 days in advance and attended by at least 10 participants. • Food, beverage, transportation & entertainment must be • Provided to all attendees or defined groups of 10 or more; and, • Part of or in conjunction with meeting. • Entertainment must also be incidental to the principal agenda. Lobbyist principalONLY • Can pay reasonable actual expendituresfor food & beverage, travel, registration, lodging, incidental items of nominal value, incidental entertainment. • Attendance at meeting of nonpartisan organization where agency is a member or designated individual attending because of public position.

  21. Nonpartisan Agency Organizations: Gifts Directly to Nonpartisan Organization Gifts are allowed if they are: • Made by a lobbyist or lobbyist principal to • Nonpartisan state, regional, national, or international organization of which • Agency is a member; or, • Designated Individual is a member or participant by virtue of public position.

  22. Informational Materials • May give informational materials relevant to designated individual’s public duties.

  23. Family, Friends & OthersExtended Family May give gifts to your extended family member who is a designated individual.

  24. Family, Friends & Others:Other Relationships Gifts based on business, civic, religious, fraternal, personal, or commercial relationship permitted if: • Relationship not based on public position; and, • Reasonable person would conclude not given for “lobbying.”

  25. Family, Friends & Others:Relationship with Lobbyist Principal • Lobbyist principal only • Can give food & beverage for immediate consumption, & related transportation to • Designated individual who is a director, officer, board member, employee or independent contractor of lobbyist principal or a 3rd party that received funds from the lobbyist principal at • Conference, meeting, similar event • Available to all attendees of same class

  26. Family, Friends & Others:Plaques & Non-Monetary Mementos May give a plaque or similar non-monetary mementos recognizing designated individual’s services in a field or specialty or to a charitable cause

  27. Gifts to the State • Lobbyist or lobbyist principal • May pay for gifts • For use by and benefit of the State

  28. Related to State Business: Public Servants Industry & Tourism Related: Food, beverage, transportation, lodging, entertainment, or related expenses if • Gift not otherwise subject to an exception • Public servant is responsible for conducting industry recruitment, international trade, or tourism promotion • Gift was not solicited or accepted in exchange for performing public duties • Gift is reported to the State Ethics Commission Cultural Protocol: Gift • Valued at less than $100 • Given in accordance with cultural protocol • As part of overseas trade mission

  29. Gifts to General Public or All State Employees • Anything made available to the general public; or • All State employees.

  30. UNC Athletic Tickets • UNC Board of Governors, UNC constituent institutions, or their legislative liaisons • Cannot give designated individuals • Athletic tickets • For lobbying

  31. GIFT BAN REMINDERS • Gift ban applies to Executive Branch public servants. • Gift ban applies at all times. • Commission may designate other boards and commissions as covered by the State Ethics Act.

  32. OTHER PROHIBITIONS & RESTRICTIONS “Code of Conduct”

  33. Additional Lobbyist Requirements, Prohibitions & Restrictions • Register and Report. • Identify. • No Contingency Fees.Cannot accept a fee contingent upon the outcome of lobbying. • Exception for individuals who are also sales people doing business with the State whose regular remuneration agreement includes commissions based on sales. • Regular remuneration means any money, thing of value, or economic benefit conferred on or received by the individual in return for services rendered or to be rendered by that individual or another.

  34. Additional Lobbyist Requirements, Prohibitions & Restrictions 4. Cannot Serve as Treasurer.Lobbyists cannot serve as campaign treasurer or assistant campaign treasurer for a political committee for the election of a legislator or Constitutional officer. 5. No Use of Cash/Credit. No lobbyist or another acting on lobbyist’s behalf can allow a DI or a DI’s immediate family member to use cash or credit of the lobbyist for lobbying, unless the lobbyist is present.

  35. Additional Lobbyist Requirements, Prohibitions & Restrictions 6. Appointments to Certain Boards Prohibited.Lobbyist ineligible for appointment by State official to any State board that has regulatory authority over the activities of a person or governmental unit the lobbyist currently represents or has represented within 120 days after lobbyist’s registration has expired. • Does not prohibit appointments by local government. • Any appointment or registration made violating this section is void.

  36. Additional Lobbyist Requirements, Prohibitions & Restrictions 7. Legislators Cannot Be Lobbyists. No legislator or former legislator can be a registered lobbyist: • While in office; or, • Before the later of the close of the legislative session during which the legislator served or 6 months after leaving office. 8. Certain Public Servants Cannot Be Lobbyists.Constitutional officers and heads of principal State departments cannot be a registered lobbyist while in office or employed or within 6 months thereafter.

  37. “Cooling Off Period” for “State Agency” Employees An employee of a “State agency” Cannot register as a lobbyist To lobby the State agency that previously employed him or her For 6 months after leaving the State agency Applies to all employees of a State agency, If the former employee registers as a NC lobbyist within the 6 mo. period, the employee must indicate the former employing State agency “State agency” an agency in executive branch

  38. Liaison Personnel State employees, counsel employed under G.S. 147-17, officer, OR local government employee whose principal duties include “lobbying” legislators or legislative employees. • NOT a “lobbyist”. • Employing or appointing State entity is NOT a lobbyist principal. • Must register and report. • No registration fee. • Gift Ban applies to giving to legislators and legislative employees.

  39. Lobbying Education: Part II

  40. “LOBBYING”

  41. Registration and Reporting • What triggers the requirement to register and report? • Who must register and when? • What must be reported? • When must the report be filed?

  42. What Triggers the Requirement to Register?

  43. What is “Lobbying” G.S. 120C-100(a)(9) a. and b. • Direct communications or activities with a designated individual or a designated individual’s immediate family member • Designed to influence current or future legislative or executive action • Also Includes developing goodwill through communications and activities, including the building of relationships, designed to influence current or future legislative or executive action

  44. Communications or activities with a DI or DI’s immediate family • Designated Individuals include: • legislators, legislative employees; and • legislative candidates who have filed • public servants (G.S. 138A-3(30): and • State constitutional officer candidates who have filed

  45. Designated Individual’s Immediate Family Members • Spouse, if not legally separated • child who lives in the household • extended family who live in the household G.S. 138A-3(17)).

  46. What is “Legislative Action”?G.S. 120C-100(a)(5) • Generally includes all steps in the legislative process taken by a legislator or a legislative employee – from preparation and research to final action; including reports, bills, amendments, etc., whether or not the matter is identified by an official title, general title, or other specific reference. • Also includes consideration of any bill by the Governor for approval or veto.

  47. What is “Executive Action”G.S. 120C-100(a)(3) • Generally speaking, consists of all actions taken by a public servant acting in an official capacity that are necessary to • consider, prepare, draft, approve, postpone, reject or defeat • a policy, procedure, guideline, regulation, rule, or a request for proposal or invitation for bid.

  48. NOT“Executive Action”G.S. 120C-100(a)(3)a.-b. • Prior, present, or possible contested cases, judicial proceedings or quasi-judicial proceedings. • Communications regarding permits, licenses, eligibility, certification, benefits, claims, rights, obligations, duties, entitlements, payments, or penalties. • Inquiries about or responding to requests for proposals. Pertains to active RFP, not the development or drafting of RFP • Ratemaking.

  49. NOT“Executive Action” (cont’d)G.S. 120C-100(a)(3)c.-e. • Internal administrative functions • Ministerial functions • Public servant’s communication with a person or another on that person’s behalf with respect to: • Public comments made at an Open Meeting; or, • Submitted as written comments on proposed executive action in response to a request for public comment, provided that: • Identity of person on whose behalf comments are made is disclosed as part of public participation; and, • No reportable expenditure is made

  50. What is NOT “Lobbying”G.S. 120C-(a)(9) Lobbying does not include: • Communications or activities as part of • Business, civic, religious, fraternal, personal, or commercial relationship which are • Not connected to legislative or executive action. Example - Communications with a DI that pertain to current contract obligations and duties are not lobbying.

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