reglab/statecodes huggingface dataset:
North Carolina Administrative Code › Title 27 - STATE BAR › Chapter 02 - RULES OF PROFESSIONAL CONDUCT OF THE NORTH CAROLINA STATE BAR › Section .0800 - MAINTAINING THE INTEGRITY OF THE PROFESSION › Section 02 RULE 8.06 - INFORMATION ABOUT A POSSIBLE WRONGFUL CONVICTION

Current through Register Vol. 39, No. 2, July 15, 2024
(a)
				Subject to paragraph (b), when a lawyer knows of credible evidence or
				information, including evidence or information otherwise protected by Rule 1.6,
				that creates a reasonable likelihood that a defendant did not commit the
				offense for which the defendant was convicted, the lawyer shall promptly
				disclose that evidence or information to the prosecutorial authority for the
				jurisdiction in which the defendant was convicted and to North Carolina Office
				of Indigent Defense Services or, if appropriate, the federal public defender
				for the district of conviction.
(b)
				Notwithstanding paragraph (a), a lawyer shall not disclose evidence or
				information if:
(1) the evidence or
				information is protected from disclosure by law, court order, or 27 N.C. Admin.
				Code Ch. 1B §.0129;
(2)
				disclosure would criminally implicate a current or former client or otherwise
				substantially prejudice a current or former client's interests; or
(3) disclosure would violate the
				attorney-client privilege applicable to communications between the lawyer and a
				current or former client.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 01 - GENERAL › Section 01 .0101 - SCOPE

Current through Register Vol. 39, No. 2, July 15, 2024
The rules in this Title implement the authority granted to the
				State Ethics Commission ("Commission") pursuant to Chapter 138A, State
				Government Ethics Act, and Chapter 120C, Lobbying, of the North Carolina
				General Statutes.
Authority
				G.S.
				120C-101(a);
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 01 - GENERAL › Section 01 .0102 - LOCATION AND CONTACT INFORMATION

Current through Register Vol. 39, No. 2, July 15, 2024
The State Ethics Commission is located at 424 N. Blount St.,
				Raleigh, NC 27601-1010. The mailing address is 1324 Mail Service Center,
				Raleigh, NC 27699-1324. The Commission's telephone number is (919) 715-2071.
				The Commission's e-mail address is ethics.commission@doa.nc.gov. Any change of
				address or telephone number will be published on the Commission's
				website.
Authority
				G.S.
				138A-9;
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 01 - GENERAL › Section 01 .0103 - OFFICE HOURS

Current through Register Vol. 39, No. 2, July 15, 2024
The State Ethics Commission office shall be staffed from 9:00
				a.m. until 5:00 p.m., Monday through Friday. The Commission follows the State
				Government Holiday Schedule. Any change of office hours will be published on
				the Commission's website.
Authority
				G.S.
				138A-9;
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 01 - GENERAL › Section 01 .0104 - CALCULATION OF TIME PERIODS

Current through Register Vol. 39, No. 2, July 15, 2024
In computing any period of time prescribed or allowed by the
				rules in this Title, or by any applicable statute,
				G.S.
				1A-1, Rule 6, applies, including all
				subsequent editions and amendments.
Authority
				G.S.
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 01 - GENERAL › Section 01 .0105 - PUBLIC RECORD REQUESTS

Current through Register Vol. 39, No. 2, July 15, 2024
(a) There is no
			 charge for copies of public records of 20 pages or less. For more than 20
			 pages, the fee is ten cents ($.10) per page.
(b) For information contained on a compact
			 disc ("CD"), the charge is two dollars ($2.00) per compact disc.
Authority
				G.S.
				132-6(a);
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 02 - COVERED PERSONS AND BOARDS › Section 02 .0101 - NON-ADVISORY BOARDS

Current through Register Vol. 39, No. 2, July 15, 2024
A board as defined in
				G.S.
				138A-3(1c) that is
				authorized to perform any of the following functions shall be deemed a
				non-advisory board:
(1) Allocate,
			 spend, award, or invest public money where the expenditures do not relate
			 solely to the internal operations of the boards;
(2) Issue, renew, deny, revoke or suspend
			 licenses;
(3) Adopt rules,
			 regulations, standards, or criteria affecting those outside of the board or
			 commission;
(4) Enter into or
			 approve contracts involving public money; or
(5) Set policy governing operation of a State
			 agency.
Authority
				G.S.
				138A-3(1c);
				138A-10(a)(2)
									138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 02 - COVERED PERSONS AND BOARDS › Section 02 .0102 - NOTIFICATION OF STAFF RECOMMENDATION TO COMMISSION

Current through Register Vol. 39, No. 2, July 15, 2024
Commission staff shall notify an entity of staff's initial
				recommendation to the Commission that the entity is a "board" pursuant to
				G.S.
				138A-3(1c) at least 60 days
				prior to the Commission meeting at which the matter will be
				considered.
Authority
				G.S.
				138A-3(1c);
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 02 - COVERED PERSONS AND BOARDS › Section 02 .0103 - RIGHT TO CONTEST RECOMMENDATION

Current through Register Vol. 39, No. 2, July 15, 2024
(a) If
			 Commission staff recommends that the entity be designated a "board" pursuant to
			 G.S.
			 138A-3(1c), that entity may
			 contest the staff's recommendation. If the board elects to contest the staff's
			 recommendation, the board shall respond in writing and submit any materials in
			 support of the board's position within 45 days of receipt of the initial
			 recommendation. If the board has timely responded to the initial notice, the
			 board has the right to be heard at the Commission meeting at which the matter
			 will be considered.
(b) The
			 Executive Director may extend the deadline in Paragraph (a) of this Rule upon
			 good cause shown.
Authority
				G.S.
				138A-3(1c);
				138A-10(a)(2);
				138A-10(a)(10);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0101 - MANDATORY USE OF COMMISSION FORMS

Current through Register Vol. 39, No. 2, July 15, 2024
The Commission's most current forms shall be used to file all
				  Statements of Economic Interest ("SEI").
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-22(g);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0102 - SIGNATURE VERIFIES INFORMATION IS TRUE

Current through Register Vol. 39, No. 2, July 15, 2024
An individual's signature on a Statement of Economic Interest
				  constitutes that person's verification that all information contained in the
				  Statement of Economic Interest and any documents incorporated by reference are
				  true and complete.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-22;
				  138A-24(c);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0103 - ELECTRONIC SIGNATURE

Current through Register Vol. 39, No. 2, July 15, 2024
Signers of electronic documents may use any form of
				  electronic signature permissible under
				  G.S.
				  66-312(9), except that it
				  shall not be a sound.
Authority
				  G.S.
				  66-312(9);
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-22;
Eff.
				  January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0104 - GENERAL SUBMISSION LOCATIONS AND METHODS

Current through Register Vol. 39, No. 2, July 15, 2024
(a)
				Statements of Economic Interest shall be filed using one of the following
				methods:
(1) Electronically via the
				Commission's website.
(2) United
				States mail addressed to: State Ethics Commission, 1324 Mail Service Center,
				Raleigh, NC 27699-1324.
(3)
				Designated delivery service authorized by
				G.S.
				1A-1, Rule 4, addressed to: State Ethics
				Commission, 424 N. Blount St., Raleigh, NC 27601-1010 or any successive address
				published on the Commission's website.
(4) Hand-delivery during regular business
				hours to the Commission's offices at 424 N. Blount St., Raleigh, NC 27601-1010,
				or any successive address published on the Commission's website.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0105 - INCOMPLETE FORMS

Current through Register Vol. 39, No. 2, July 15, 2024
Incomplete Statements of Economic Interests shall not be
				  considered timely filed for the purpose of
				  G.S.
				  138A-22.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-22;
				  138A-24(c);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0106 - PROOF OF SUBMISSION

Current through Register Vol. 39, No. 2, July 15, 2024
A person may obtain proof of submission of a filing to the
				  Commission by:
(1) Any means acceptable
				pursuant to
				G.S.
				1A-1, Rules of Civil Procedure;
(2) Requesting that the Commission return a
				file stamped copy and supplying a postage prepaid envelope or prepaid delivery
				service envelope; or
(3) Requesting
				that the Commission date-stamp a copy at the time of hand-delivery.
Authority
				  G.S.
				  1A-1;
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-22;
Eff.
				  January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter A - FILING › Section 05A .0107 - RECEIPT DATE

Current through Register Vol. 39, No. 2, July 15, 2024
For the purpose of determining compliance with filing
				  deadlines, the postmarked date on a Statement of Economic Interest filed by
				  U.S. Mail shall be used. For electronic filing and commercial or hand-delivery,
				  the receipt date is the actual date received by the
				  Commission.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-22;
Eff.
				  January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter B - CONTENTS › Section 05B .0101 - DEFINITION OF IMMEDIATE FAMILY

Current through Register Vol. 39, No. 2, July 15, 2024
A child of a covered person who is 18 years of age or older
				  and who temporarily resides away from home is "residing in the covered person's
				  household" for each year in which the child is claimed as a dependent on the
				  covered person's Federal Income Tax Return.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-24(a);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter B - CONTENTS › Section 05B .0102 - REPORTABLE STOCK HOLDING THRESHOLD IS PER COMPANY

Current through Register Vol. 39, No. 2, July 15, 2024
The ten thousand dollar ($10,000) threshold that triggers
				  reporting of stocks is per company and not the cumulative value of stocks held
				  in multiple companies.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)(10);
				  138A-24(a)(2)(e);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter B - CONTENTS › Section 05B .0103 - SECOND MORTGAGE NOT REPORTABLE

Current through Register Vol. 39, No. 2, July 15, 2024
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.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)10);
				  138A-24(a)(2)(k);
Eff. January 1,
				  2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter B - CONTENTS › Section 05B .0104 - REPORTABLE LIABILITY THRESHOLD IS PER CREDITOR

Current through Register Vol. 39, No. 2, July 15, 2024
The ten thousand dollar ($10,000) threshold that triggers
				  reporting of liabilities is per creditor and not the cumulative value of
				  multiple debts.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(4);
				  138A-10(a)10);
				  138A-24(a)(2)(k);
Eff. January 1,
				  2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 05 - STATEMENT OF ECONOMIC INTEREST › Subchapter B - CONTENTS › Section 05B .0105 - DEFINITION OF INCOME

Current through Register Vol. 39, No. 2, July 15, 2024
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.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(10);
				  138A-24(a)(3);
Eff. January 1, 2013.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 07 - GIFTS › Subchapter A - INTERESTED PERSONS › Section 07A .0101 - "INTERESTED PERSONS"

Current through Register Vol. 39, No. 2, July 15, 2024
For purposes of this Chapter, "interested persons" are those
				  persons listed in
				  G.S.
				  138A-32(d).
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(10);138A-32(d);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 07 - GIFTS › Subchapter B - FOOD AND BEVERAGE FOR IMMEDIATE CONSUMPTION AT CERTAIN GATHERINGS › Section 07B .0101 - GATHERINGS OPEN TO THE GENERAL PUBLIC

Current through Register Vol. 39, No. 2, July 15, 2024
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, legislators, or legislative employees are not charged the same
				  fee, the gathering is not "open to the general public."
Authority
				  G.S.
				  120C-101(a);
				  120C-303;
				  138A-10(a)(2);
				  138A-10(a)(10);
				  .138A-32(c); 138A-32(d); 138A-32(d1); 138A-32(e)(1)b;
Eff. January
				  1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 07 - GIFTS › Subchapter B - FOOD AND BEVERAGE FOR IMMEDIATE CONSUMPTION AT CERTAIN GATHERINGS › Section 07B .0102 - ASSOCIATED WITH THE PERSON OR GOVERNMENTAL UNIT

Current through Register Vol. 39, No. 2, July 15, 2024
(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 liaison personnel, 10 individuals associated with that group must attend the
				gathering. For purposes of this Paragraph, "group" shall mean more than one
				sponsoring lobbyist, lobbyist principal or liaison personnel.
(b) For purposes of
				G.S.
				138A-32(e)(1)c.1, when only
				public servants are invited or when public servants and legislators or
				legislative employees are invited and the person or governmental unit
				sponsoring the gathering only consists of interested persons, lobbyists or
				lobbyist principals, 10 individuals associated with that group must actually
				attend the gathering. For purposes of this Paragraph, "group" shall mean more
				than one sponsoring interested person, lobbyist or lobbyist
				principal.
(c) For purposes of
				G.S.138A-32(e)(1)c.1,
				"associated with the person or governmental unit" includes, where applicable:
(1) An employee;
(2) An individual who is a director, officer,
				partner, or holds another leadership position;
(3) An owner of a legal, equitable, or
				beneficial interest of ten thousand dollars ($10,000) or more, other than a
				trustee on a deed of trust;
(4) An
				owner of five percent or more of the business, other than a trustee on a deed
				of trust; and
(5) A registered
				lobbyist;
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 07 - GIFTS › Subchapter B - FOOD AND BEVERAGE FOR IMMEDIATE CONSUMPTION AT CERTAIN GATHERINGS › Section 07B .0103 - INVITED

Current through Register Vol. 39, No. 2, July 15, 2024
(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 invited to a gathering, the requirements of
				G.S.
				138A-32(e)(1)c. are
				satisfied if one host or sponsor provides written notice to all members of at
				least one of those specific qualifying groups.
(c) For purposes of
				G.S.
				138A-32(e)(1)c., "written
				notice" includes a notice made by e-mail.
Authority
				  G.S.
				  120C-101(a);
				  120C-303;
				  138A-10(a)(2);
				  138A-10(a)(10);
				  138A-32(e)(1)c;
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 07 - GIFTS › Subchapter C - CERTAIN MEETINGS AND CONFERENCES FUNDED BY LOBBYIST PRINCIPALS › Section 07C .0101 - EDUCATIONAL MEETING CRITERIA

Current through Register Vol. 39, No. 2, July 15, 2024
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 following non-exclusive factors:
(1) Whether the meeting's primary purpose is
				to influence a public servant, legislator, or legislative employee with respect
				to executive or legislative action or to promote learning for professional
				improvement notwithstanding a particular executive or legislative action. In
				applying this factor, the following facts shall be considered:
(a) Whether the meeting is directly related
				to an upcoming official vote, recommendation, or other action that the public
				servant, legislator, or legislative employee may take, such as the discussion
				of a legislative or executive proposal or specific concerns with respect to a
				matter that would require legislative or executive action to remedy.
(b) Whether the individual or entity hosting
				the meeting is attempting to influence particular legislative or executive
				action by the public servant, legislator, or legislative employee whose meeting
				expenditures will be paid or intends to request such action at the time the
				meeting is held.
(c) Whether the
				facts otherwise demonstrate that the individual's or entity's purpose in
				holding the meeting is to influence legislative or executive action.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 08 - CONFLICTS OF INTEREST AND OTHER ETHICAL STANDARDS › Section 08 .0101 - USE OF TITLE

Current through Register Vol. 39, No. 2, July 15, 2024
(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 before the public for the purpose of attracting public
			 attention to a product, business, or service. "Advertising" excludes a letter
			 sent to an individual or business concerning the qualifications or
			 characteristics of an individual or business and that is not otherwise publicly
			 distributed.
(2) "Nongovernmental
			 advertising" means that the funding or resources used to produce and publicize
			 the advertisement was not derived from the State, a political subdivision of
			 the State, or the federal government.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 09 - ETHICS COMPLAINTS › Subchapter A - FILING A COMPLAINT › Section 09A .0101 - SCOPE

Current through Register Vol. 39, No. 2, July 15, 2024
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.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(5);
				  138A-10(a)(6);
				  138A-10(a)(10);
				  138A-12;
Eff.
				  January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 09 - ETHICS COMPLAINTS › Subchapter A - FILING A COMPLAINT › Section 09A .0102 - FORMS

Current through Register Vol. 39, No. 2, July 15, 2024
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 on the Commission's
				  website.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(5);
				  138A-10(a)(6);
				  138A-10(a)(10);
				  138A-12(c);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 09 - ETHICS COMPLAINTS › Subchapter B - PRELIMINARY INQUIRY AND PROBABLE CAUSE DETERMINATION › Section 09B .0101 - INQUIRY AND PROBABLE CAUSE PANELS

Current through Register Vol. 39, No. 2, July 15, 2024
(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 same
				political party. The Chair shall appoint members of the panel to serve on a
				rotating basis. The Chair may appoint substitute panel members.
(b) After a preliminary inquiry, the
				Commission panel may dismiss a complaint if it determines the following:
(1) that the individual against whom the
				complaint was filed is not a covered person or legislative employee;
				or
(2) that the complaint did not
				allege facts sufficient to constitute a violation under
				G.S.
				138A-12(b).
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 09 - ETHICS COMPLAINTS › Subchapter B - PRELIMINARY INQUIRY AND PROBABLE CAUSE DETERMINATION › Section 09B .0102 - WRITTEN RESPONSE AFTER PRELIMINARY INQUIRY

Current through Register Vol. 39, No. 2, July 15, 2024
(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 response no later than 30
				calendar days after receiving the written notice that the Commission is
				conducting a further inquiry.
(b)
				The Executive Director may extend the deadline in Paragraph (a) of this Rule
				for up to 30 calendar days upon good cause shown.
Authority
				  G.S.
				  138A-10(a)(2);
				  138A-10(a)(5);
				  138A-10(a)(6);
				  138A-10(a)(10);
				  138A-12(g);
Eff. January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter A - REGISTRATION › Section 10A .0101 - SIGNIFICANT PART

Current through Register Vol. 39, No. 2, July 15, 2024
(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's actual duties included direct lobbying;
				or
(2) five percent or more of an
				employee's actual duties included goodwill lobbying.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0100 - GENERAL › Section 10C .0101 - CALCULATING VALUE OF REPORTABLE EXPENDITURES

Current through Register Vol. 39, No. 2, July 15, 2024
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 request of, for the
					 benefit of, or on behalf of a designated individual and that designated
					 individual's immediate family members on that calendar day shall be
					 used.
Authority
					 G.S.
					 120C-100(a)(12);
					 120C-101(a);
					 120C-400;
					 120C-401;
					 120C-402;
					 120C-403;
Eff.
					 January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0100 - GENERAL › Section 10C .0102 - REPORTABLE EXPENDITURES MADE TO OR FOR THE BENEFIT OF A DESIGNATED INDIVIDUAL OR A DESIGNATED INDIVIDUAL'S IMMEDIATE FAMILY MEMBER

Current through Register Vol. 39, No. 2, July 15, 2024
(a) A
				  reportable expenditure made to or for the benefit of a designated individual or
				  a designated individual's immediate family member shall be reported on the
				  expense report filed for the month the reportable expenditure is received by
				  the designated individual or the designated individual's immediate family
				  member.
(b) When the reportable
				  expenditure is made to or for the benefit of a designated individual or a
				  designated individual's immediate family member, the date of the reportable
				  expenditure is the date the reportable expenditure is received by the
				  designated individual or the designated individual's immediate family
				  member.
Authority
					 G.S.
					 120C-100(a)(12);
					 120C-101(a);
					 120C-400;
					 120C-401;
					 120C-402;
					 120C-403;
Eff.
					 January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0100 - GENERAL › Section 10C .0103 - REPORTABLE EXPENDITURE MADE AT THE REQUEST OF OR ON BEHALF OF A DESIGNATED INDIVIDUAL OR A DESIGNATED INDIVIDUAL'S IMMEDIATE FAMILY MEMBER

Current through Register Vol. 39, No. 2, July 15, 2024
(a) A reportable expenditure made at the
				  request of or on behalf of a designated individual or a designated individual's
				  immediate family member shall be reported on the expense report filed for the
				  month the reportable expenditure is made by the giver.
(b) When the reportable expenditure is made
				  at the request of or on behalf of a designated individual or a designated
				  individual's immediate family member, the date of the reportable expenditure is
				  the date the reportable expenditure is made by the giver.
Authority
					 G.S.
					 120C-100(a)(12);
					 120C-101(a);
					 120C-400;
					 120C-401;
					 120C-402;
					 120C-403;
Eff.
					 January 1, 2011.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0100 - GENERAL › Section 10C .0104 - DESCRIPTION OF REPORTABLE EXPENDITURE

Current through Register Vol. 39, No. 2, July 15, 2024
(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 what was
				  given;
(2) An identification of the
				  third party recipient of the item, service, monetary contribution, etc., made
				  at the request of or on behalf of a designated individual or a member of his or
				  her immediate family; and
(3) An
				  identification, name or title of the event or meeting at which the item,
				  service, monetary contribution, etc., was given and the date(s) of the event or
				  meeting.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0100 - GENERAL › Section 10C .0105 - CONNECTED WITH REPORTABLE EXPENDITURE

Current through Register Vol. 39, No. 2, July 15, 2024
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 family member who:
(1) Received or benefited from the reportable
				  expenditure, if the designated individual or immediate family member was the
				  ultimate recipient of the expenditure; or
(2) Requested the reportable expenditure or
				  on whose behalf the reportable expenditure was made, if a third party other
				  than the designated individual or immediate family member was the ultimate
				  recipient of the expenditure.
Authority
					 G.S.
					 120C-101(a);
					 120C-401(b)(5);
Eff. January 1, 2013.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0300 - LOBBYIST PRINCIPAL REPORTING › Section 10C .0301 - REASONABLY ALLOCATED ESTIMATES ALLOWED

Current through Register Vol. 39, No. 2, July 15, 2024
(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 reasonably allocated. "Lobbyist's estimate" means a lobbyist's
				  estimate of the portion of the salary or other payment that is reasonably
				  allocated for lobbying and lobbying services. "Lobbying services" are those
				  communications and activities listed in
				  G.S.
				  120C-403(e)(2).
(b) A lobbyist's estimate is reasonably
				  allocated if it:
(1) Specifies the portion of
				  the lobbyist's salary, fee, or retainer that is estimated to be in payment for
				  lobbying and lobbying services (for example, "twenty-five percent" (25%),
				  rather than "under forty percent" (40%) or "from ten percent to thirty percent"
				  (10%-30%).
(2) Includes all
				  payments for lobbying that the lobbyist principal conveyed to the lobbyist
				  during the registration period under
				  G.S.
				  120C-200(d);
(3) Includes all payments for lobbying
				  services the lobbyist principal conveyed to the lobbyist during the
				  registration period under
				  G.S.
				  120C-200(d);
(4) Is consistent with the known facts and
				  circumstances underlying the employment terms or compensation agreement between
				  the lobbyist principal and the lobbyist;
(5) Is made retrospectively; and
(6) Is made in good faith.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter C - REPORTING › Section .0300 - LOBBYIST PRINCIPAL REPORTING › Section 10C .0302 - REPORTABLE EXPENDITURES MADE FOR LOBBYING

Current through Register Vol. 39, No. 2, July 15, 2024
(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 individual(s) attending the event. Examples of non-gift reportable
				  expenditures made for lobbying are expenses and charges incurred for items
				  and/or services provided in connection with the lobbying event, such as
				  planning and organizing services, printing services and supplies, facility
				  rental and set-up charges, food supplies and services, name badges, flowers,
				  and other decorations.
(b)
				  Reportable expenditures made for lobbying events shall be reported on the
				  expense report filed with the Secretary of State for the month the lobbying
				  event is held.
Authority
					 G.S.
					 120C-101(a);
					 120C-402(b)(1);
					 120C-403(b)(3);
Eff. January 1, 2013.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0100 - GENERAL › Section 10D .0101 - SCOPE

Current through Register Vol. 39, No. 2, July 15, 2024
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
					 complaints.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0100 - GENERAL › Section 10D .0102 - COMPLAINT REQUIREMENTS

Current through Register Vol. 39, No. 2, July 15, 2024
(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 mandatory for a
				  complaint to be valid and considered;
(2) an oral complaint. Oral complaints shall
				  be confirmed in writing by Commission staff;
(3) a complaint based upon information
				  through general notice. Commission staff or a member of the Commission may take
				  general notice of available information, even if not formally provided to the
				  Commission in the form of a complaint; or
(4) referrals from a local, state or federal
				  agency.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0100 - GENERAL › Section 10D .0103 - ACKNOWLEDGMENT

Current through Register Vol. 39, No. 2, July 15, 2024
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 investigation has not begun, shall
					 direct the complainant to preserve any potentially relevant information, and
					 shall include the confidentiality provisions of
					 G.S.
					 120C-601(c).
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0100 - GENERAL › Section 10D .0104 - NOTICE TO THE COMPLAINANT OF REFERRAL

Current through Register Vol. 39, No. 2, July 15, 2024
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).
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0100 - GENERAL › Section 10D .0105 - PANEL COMPOSITION

Current through Register Vol. 39, No. 2, July 15, 2024
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 substitute panel
					 members.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0200 - PRELIMINARY INQUIRY › Section 10D .0201 - GENERAL

Current through Register Vol. 39, No. 2, July 15, 2024
(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 Law.
(b) In preparing for a preliminary
				  determination, Commission staff may take pre-investigative actions, including
				  contacting the complainant to seek additional information, requesting the
				  identity of the original source of the information, or contacting the source
				  for further information. Any additional requested information shall be provided
				  within no less than ten business days of the request.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0200 - PRELIMINARY INQUIRY › Section 10D .0202 - PRELIMINARY INQUIRY PROCEDURE

Current through Register Vol. 39, No. 2, July 15, 2024
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 staff.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0200 - PRELIMINARY INQUIRY › Section 10D .0203 - TIMING

Current through Register Vol. 39, No. 2, July 15, 2024
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.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0200 - PRELIMINARY INQUIRY › Section 10D .0204 - PRELIMINARY INQUIRY DECISIONS

Current through Register Vol. 39, No. 2, July 15, 2024
(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
				  complaint for the following reasons:
(A) the
				  complaint is not within the Commission's jurisdiction and authority under G.S.
				  120C;
(B) the facts are
				  insufficient to constitute a violation under any provisions within the
				  Commission's jurisdiction under G.S. 120C;
(C) the complaint is determined to be
				  frivolous; or
(D) the respondent
				  and the conduct complained of are the same actions or conduct that have been
				  the subject of a prior complaint.
(3) refer to one of the following:
(A) the N.C. Secretary of State when a
				  complaint relates to Article 2, 4, or 8 of G.S. 120C. The complainant shall be
				  notified.
(B) other State, federal
				  or local agencies or law enforcement authorities. The complainant shall be
				  notified.
(4) stay. If
				  other agencies or authorities are conducting an investigation of the same
				  actions or conduct, the Commission may stay its inquiry pending final
				  resolution of the other investigation. This provision does not prohibit the
				  Secretary of State's Lobbying Compliance Division from exercising its
				  investigative and enforcement authority for portions of a complaint subject to
				  Article 2, 4, or 8.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0300 - INVESTIGATION OF AN ACCEPTED COMPLAINT › Section 10D .0301 - NOTICE OF INVESTIGATION TO RESPONDENT

Current through Register Vol. 39, No. 2, July 15, 2024
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);
(2) the potential
				  statutory violations;
(3) the
				  Commission's subpoena power;
(4)
				  that the respondent shall retain any relevant information, including documents,
				  correspondence, notes, electronic communications, electronically stored
				  information and emails; and
(5)
				  that respondent may respond within 30 calendar days after receiving the notice.
				  The Executive Director may extend this deadline for up to 30 calendar days upon
				  good cause shown.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0300 - INVESTIGATION OF AN ACCEPTED COMPLAINT › Section 10D .0302 - MIXED COMPLAINT INVESTIGATIONS

Current through Register Vol. 39, No. 2, July 15, 2024
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 complaint subject to Article 1, 3, 5, and 7 of G.S. 120C.
					 Commission staff may investigate the portions of the complaint subject to
					 Articles 2, 4, and 8 of Chapter 120C as incidental to making a determination on
					 the Article 1, 3, 5, and 7 allegations.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0300 - INVESTIGATION OF AN ACCEPTED COMPLAINT › Section 10D .0303 - INVESTIGATIVE REPORT

Current through Register Vol. 39, No. 2, July 15, 2024
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;
(5) if relevant, possible
				  sanctions; and
(6) any response
				  from the respondent.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0400 - COMPLAINT DISPOSITIONS › Section 10D .0401 - PANEL REVIEW AND RECOMMENDATION

Current through Register Vol. 39, No. 2, July 15, 2024
(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 inquiry or a substitute panel appointed pursuant to
				  Rule .0105 of this Subchapter.
(b)
				  The Commission panel shall review the investigative report and shall take one
				  or more of the following actions regarding the Article 1, 3, 5, and 7
				  allegations:
(1) direct Commission staff to
				  conduct further investigation or obtain additional information;
(2) recommend that the Commission refer the
				  lobbying complaint to another agency;
(3) recommend that the Commission dismiss the
				  lobbying complaint or specific allegations within the complaint for lack of a
				  violation of Article 1, 3, 5, or 7 of G.S. 120C.
(4) recommend that the Commission find a
				  violation of Article 1, 3, 5, or 7 of G.S. 120C and that a specific sanction or
				  sanctions should be imposed. A violation shall be shown to exist by a
				  preponderance of the evidence.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0400 - COMPLAINT DISPOSITIONS › Section 10D .0402 - SETTLEMENT OF COMPLAINTS

Current through Register Vol. 39, No. 2, July 15, 2024
(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
				  complaints subject to Article 2, 4, or 8 of G.S. 120C is within the Secretary
				  of State's discretion. Resolution by settlement between the respondent and the
				  Commission does not impact or impede the Secretary of States authority to
				  determine that violations of Article 2, 4, or 8 have occurred, to assess
				  penalties for those violations and to refer to a District Attorney.
(b) If a panel finds that an alleged
				  violation has occurred, Commission staff shall provide the respondent with the
				  panel's recommended determination and offer to engage in settlement
				  discussions. Any recommended determinations provided to the respondent to
				  facilitate settlement discussions shall redact information regarding Article 2,
				  4, or 8 to the extent possible under the circumstances.
(c) Staff shall present any proposed
				  settlement to the panel. The panel may accept, reject, or modify the terms of
				  the proposed settlement. The panel shall make a final recommendation regarding
				  the settlement to the Commission for approval. If the panel members disagree on
				  acceptance of a proposed settlement, the complaint shall go before the
				  Commission for a decision with the panel members recusing themselves from
				  voting.
(d) Upon the Commission's
				  approval of a settlement under Rule .0404(1)(a) of this Subchapter, the
				  complaint shall be closed as to the complaints subject to Article 1, 3, 5, or
				  7, subject to re-opening by the Commission if the settlement agreement is
				  breached.
(e) The Commission shall
				  only provide written notice of a settlement to the complainant and the
				  complainant shall not receive a copy of the settlement agreement.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0400 - COMPLAINT DISPOSITIONS › Section 10D .0403 - COMMISSION REVIEW

Current through Register Vol. 39, No. 2, July 15, 2024
(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 Rule
				  .0404 of this Subchapter.
(b) For
				  complaint investigations initiated pursuant to Rule .0202(2) of this
				  Subchapter, upon receipt of a recommendation from the panel, the Commission
				  shall determine the appropriate action as set forth in Rule .0404 of this
				  Subchapter with the panel members recusing themselves from voting.
Authority
					 G.S.
					 120C-101(a);
					 120C-601;
Eff. June
					 1, 2014.
North Carolina Administrative Code › Title 30 - STATE ETHICS COMMISSION › Chapter 10 - LOBBYING › Subchapter D - LOBBYING COMPLAINTS › Section .0400 - COMPLAINT DISPOSITIONS › Section 10D .0404 - COMMISSION ACTIONS ON A COMPLAINT

Current through Register Vol. 39, No. 2, July 15, 2024
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 respondent of the Commission's decision.
(b) If modified, staff shall present the
				  modifications to the respondent for approval.
(c) If rejected, the Commission shall proceed
				  with any other action under Subparagraphs (2)-(5) of this Rule.