North Carolina Administrative Code

30 NCAC 05B .0103 SECOND MORTGAGE NOT REPORTABLE A second mortgage is another form of "indebtedness on the filing person's primary personal residence. Therefore, that debt is not reportable on that individual's Statement of Economic Interest. History Note: Authority G.S. 138A-10(…

30 NCAC 05B .0104 REPORTABLE LIABILITY THRESHOLD IS PER CREDITOR The ten thousand dollar ($10,000) threshold that triggers reporting of liabilities is per creditor and not the cumulative value of multiple debts. History Note: Authority G.S. 138A-10(a)(2); 138A-10(a)(4); 138A-10(a…

30 NCAC 05B .0105 DEFINITION OF INCOME In addition to the types of income listed in G.S. 138A-24(a)(3) that must be reported on the Statement of Economic Interest, income shall also include all types of income required to be reported on the filer's federal tax return. History Not…

CHAPTER 07 - GIFTS SUBCHAPTER 07A - INTERESTED PERSONS 30 NCAC 07A .0101 "INTERESTED PERSONS" For purposes of this Chapter, "interested persons" are those persons listed in G.S. 138A-32(d). History Note: Authority G.S. 138A-10(a)(2); 138A-10(a)(10);138A-32(d); Eff. January 1, 201…

SUBCHAPTER 07B - FOOD AND BEVERAGE FOR IMMEDIATE CONSUMPTION AT CERTAIN GATHERINGS 30 NCAC 07B .0101 GATHERINGS OPEN TO THE GENERAL PUBLIC For purposes of G.S. 138A-32(e)(1)b., if the general public is required to pay a fee to attend a gathering, while individual public servants,…

30 NCAC 07B .0102 ASSOCIATED WITH THE PERSON OR GOVERNMENTAL UNIT (a) For purposes of G.S. 138A-32(e)(1)c.1, when legislators or legislative employees are invited and the person or governmental unit sponsoring the gathering only consists of lobbyists, lobbyist principals, or liai…

30 NCAC 07B .0103 INVITED (a) For purposes of G.S. 138A-32(e)(1)c., a "specific qualifying group" means all members of one of the groups of public servants, legislators, or legislative employees listed in G.S. 138A-32(e)1.c. (b) If more than one specific qualifying group is invit…

SUBCHAPTER 07C - CERTAIN MEETINGS AND CONFERENCES FUNDED BY LOBBYIST PRINCIPALS 30 NCAC 07C .0101 EDUCATIONAL MEETING CRITERIA A determination as to whether an event qualifies as an "educational meeting" under G.S. 138A-32(e)(3)(i) shall be based upon consideration of the followi…

CHAPTER 08 – CONFLICTS OF INTEREST AND OTHER ETHICAL STANDARDS 30 NCAC 08 .0101 USE OF TITLE (a) For purposes of G.S. 138A-31(b), the following definitions shall apply: (1) "Advertising" means a written or oral communication that is published, disseminated, circulated, or placed …

CHAPTER 09 - ETHICS COMPLAINTS SUBCHAPTER 09A - FILING A COMPLAINT 30 NCAC 09A .0101 SCOPE The rules in this Subchapter apply only to complaints filed pursuant to the State Government Ethics Act, Chapter 138A of the North Carolina General Statutes. History Note: Authority G.S. 13…

30 NCAC 09A .0102 FORMS Complaints shall be filed in accordance with G.S. 138A-12(c). A form for filing a complaint is available on the Commission's website at www.ethicscommission.nc.gov or by contacting the Commission at (919) 715-2071, or any successive phone number published …

SUBCHAPTER 09B - PRELIMINARY INQUIRY AND PROBABLE CAUSE DETERMINATION 30 NCAC 09B .0101 INQUIRY AND PROBABLE CAUSE PANELS (a) The preliminary inquiry and the determination of probable cause shall be made by a Commission panel of two Commission members, who shall not be of the sam…

30 NCAC 09B .0102 WRITTEN RESPONSE AFTER PRELIMINARY INQUIRY (a) After a preliminary inquiry, if the covered person or legislative employee elects to file a response with the Commission pursuant to G.S. 138A-12(g), the covered person or legislative employee shall file the respons…

CHAPTER 10 - LOBBYING SUBCHAPTER 10a - REGISTRATION 30 NCAC 10A .0101 SIGNIFICANT PART (a) For purposes of G.S. 120C-100(a)(10)d., a "significant part" of an employee's job duties include lobbying if during any rolling 30 day period either: (1) five percent or more of an employee…

SUBCHAPTER 10C - REPORTING SECTION .0100 - GENERAL 30 NCAC 10C .0101 CALCULATING VALUE OF REPORTABLE EXPENDITURES When determining if reporting is required pursuant to the ten dollar threshold of G.S. 120C-100(a)(12), the aggregate amount of all things of value made to, at the re…

30 NCAC 10C .0102 REPORTABLE EXPENDITURES MADE TO OR FOR THE BENEFIT OF A DESIGNATED INDIVIDUAL OR A DESIGNATED INDIVIDUAL’S IMMEDIATE FAMILY MEMBER (a) A reportable expenditure made to or for the benefit of a designated individual or a designated individual's immediate family me…

30 NCAC 10C .0103 Reportable Expenditure Made at the Request of or on Behalf of a Designated Individual or a Designated Individual's Immediate Family Member (a) A reportable expenditure made at the request of or on behalf of a designated individual or a designated individual's im…

30 NCAC 10C .0104 DESCRIPTION OF REPORTABLE EXPENDITURE (a) For purposes of G.S. 120C-401(b)(3), which requires that "a description" of the reportable expenditure be set forth on each report, the following information should be provided where applicable: (1) An identification of …

30 NCAC 10C .0105 CONNECTED WITH REPORTABLE EXPENDITURE For purposes G.S. 120C-401(b)(5), the name of the designated individual or member of the designated individual's immediate family "connected with" a reportable expenditure means the designated individual or the immediate fam…

section .0200 – lobbyist reporting 30 NCAC 10C .0200 reserved for future codification

SECtion .0300 - LOBBYIST PRINCIPAL REPORTING 30 NCAC 10C .0301 REASONABLY ALLOCATED ESTIMATES ALLOWED (a) For purposes of lobbyist principal reporting required by G.S 120C-403(d) and (e), a lobbyist's estimate does not need to be an exact calculation or determination but shall be…

30 NCAC 10C .0302 REPORTABLE EXPENDITURES MADE FOR LOBBYING (a) For purposes of G.S. 120C-402(b)(1) and 120C-403(b)(1), when reporting expenditures for events held for lobbying, the entire cost of the event must be reported, not just the "gift" given or provided to the designated…

SUBCHAPTER 10D – LOBBYING COMPLAINTS SECTION .0100 – GENERAL 30 NCAC 10D .0101 SCOPE The rules in this Subchapter execute the authority granted to the State Ethics Commission pursuant to the Lobbying Law, G.S. 120C of the North Carolina General Statutes regarding lobbying complai…

30 NCAC 10D .0102 COMPLAINT rEQUIREMENTS (a) Complaints shall be initiated in one of the following ways: (1) a written complaint. A form is available on the Commission's website at www.ethicscommission.nc.gov or by contacting the Commission at (919) 715-2071. The form is not mand…

30 NCAC 10D .0103 ACKNOWLEDGMENT Within 10 business days of receipt of a Lobbying Law complaint from a third party or a referral, the Commission shall provide written acknowledgment as to the receipt of the complaint to the complainant. The acknowledgment shall indicate that an i…

30 NCAC 10D .0104 NOTICE TO THE COMPLAINANT OF REFERRAL The Commission shall notify the complainant of a referral to the Secretary of State's Lobbying Compliance Division pursuant to G.S. 120C-601(a). History Note: Authority G.S. 120C-101(a); 120C-601; Eff. June 1, 2014.

30 NCAC 10D .0105 PANEL COMPOSITION The Commission panels referred to under this Subchapter shall be comprised of two Commission members, who shall not be of the same political party. The Chair shall appoint members of the panel to serve on a rotating basis. The Chair may appoint…

SECTION .0200 – PRELIMINARY INQUIRY 30 NCAC 10D .0201 GENERAL (a) A preliminary inquiry is conducted to determine whether the individual against whom the complaint is filed is subject to the Lobbying Law and whether the facts are sufficient to allege a violation of the Lobbying L…

30 NCAC 10D .0202 pRELIMINARY INQUIRY PROCEDURE A preliminary inquiry decision shall be made by: (1) The full Commission if the complaint is received from one of the following: (a) any member of the Commission; (b) a duly constituted panel of the Commission; or (c) Commission sta…

30 NCAC 10D .0203 TIMING The preliminary inquiry shall conclude within 30 business days of receipt of the complaint. This provision may be extended by the Chair when necessary to comply with Rule .0201(b) of this Subchapter. History Note: Authority G.S. 120C-101(a); 120C-601; Eff…

30 NCAC 10D .0204 PRELIMINARY INQUIRY DECISIONS (a) Upon completion of the preliminary inquiry, the following actions may be taken: (1) an investigation, if the information alleges a violation over which the Commission has jurisdiction under G.S. 120C. (2) decline or dismiss a co…

SECTION .0300 – INVESTIGATION OF AN ACCEPTED COMPLAINT 30 NCAC 10D .0301 NOTICE OF INVESTIGATION TO RESPONDENT Within 10 business days of a decision by the Commission or a panel to investigate, the Commission shall notify the respondent in writing of: (1) the general allegation(s…

30 NCAC 10D .0302 MIXED COMPLAINT INVESTIGATIONS A mixed complaint is a complaint alleging one or more violations under Article 1, 3, 5, or 7 of G.S. 120C and one or more violations under Article 2, 4, or 8 of G.S. 120C. Commission staff shall investigate the portions of the comp…

30 NCAC 10D .0303 INVESTIGATIVE REPORT Upon completion of the investigation, Commission staff shall prepare an investigative report that contains the following: (1) the allegations; (2) investigative facts and findings; (3) relevant statutory provisions; (4) disposition options; …

section .0400 – Complaint dispositions 30 NCAC 10D .0401 PANEL REVIEW AND RECOMMENDATION (a) For complaints initiated pursuant to Rule .0202(2) of this Subchapter, Commission staff shall present the investigative report to the same Commission panel that conducted the preliminary …

30 NCAC 10D .0402 SETTLEMENT OF COMPLAINTS (a) At any time, the respondent or his or her legal counsel may meet by mutual consent with the Commission staff to discuss the possibility of settlement of the complaint subject to Article 1, 3, 5, or 7 of G.S. 120C. Settlement of compl…

30 ncac 10D .0403 COMMISSION review (a) For complaint investigations initiated pursuant to Rule .0202(1) of this Subchapter, Commission staff shall present the investigative report to the full Commission, and the Commission shall determine the appropriate action as set forth in R…

30 NCAC 10D .0404 COMMISSION ACTIONS ON A COMPLAINT The Commission may take one or more of the following actions regarding the Article 1, 3, 5, or 7 allegations: (1) accept, modify or reject any proposed settlement agreement. (a) If accepted, the Commission shall notify the respo…

30 NCAC 10D .0405 MIXED COMPLAINT DETERMINATIONS (a) In a mixed complaint, within 10 business days after determination by the Commission of the Article 1, 3, 5, and 7 portions of the complaint, Commission staff shall: (1) provide the Secretary of State's Lobbying Compliance Divis…

30 NCAC 10D .0406 NOTIFICATION OF VIOLATION TO RESPONDENT If the Commission finds that a violation has occurred, the respondent shall be notified of the following: (1) the Commission's decision; (2) any sanctions imposed pursuant to Rule .0501 of this Subchapter; (3) if it is a m…

30 NCAC 10D .0407 NOTIFICATION OF VIOLATION TO COMPLAINANT If the Commission determines that a violation occurred, Commission staff shall notify the complainant that an Order has been entered and, if relevant that a referral has been made to the Secretary of State under Rule .040…

SECTION .0500 – SANCTION CRITERIA AND IMPOSITION OF SANCTIONS 30 NCAC 10D .0501 potential sanctions Upon finding a violation and taking the criteria in Rule .0502 of this Subchapter into consideration, the Commission may: (1) issue a letter of warning; (2) impose a fine of up to …

30 NCAC 10D .0502 SANCTION CRITERIA The Commission may consider one or more of the following criteria in imposing sanctions: (1) the length of time the respondent has been engaged in lobbying for payment; (2) the length of time the respondent has been paying an individual to lobb…