The instrument organises around three principal concepts: (1) the prescribed Code of Conduct; (2) registration and transparency; and (3) administrative enforcement and record preservation.

1. Prescribed Code of Conduct. The Regulation prescribes the NSW Lobbyists Code of Conduct as the operative ethical and procedural standard for both third‑party and other lobbyists (cl 4; Schedule 1). The Code states its purpose as promoting “transparency, integrity and honesty” (Schedule 1, cl 2) and sets out obligations ranging from pre‑meeting disclosure (cls 5-6) to prohibitions on misleading conduct (cl 7) and an obligation to use reasonable endeavours to verify information provided to officials (cl 8).

2. Registration and transparency framework. The Regulation builds out the operational detail of the Lobbyists Register required by the Act. It prescribes:

   • who must be registered: third‑party lobbyists and the individuals they engage to undertake lobbying (Schedule 1, cl 9( a)-(b));
   • update cadences: register entries must be updated within 10 business days of a change and periodic confirmations must be provided on fixed quarterly dates (cl 5(1)-(2));
   • the retention period: register information must remain publicly retained for at least two years after a lobbyist ceases to be registered (cl 6);
   • additional register data for foreign principals: names of foreign principals and the foreign country associated with them are prescribed particulars (cl 4B(1)(a)-(b), cl 15).

3. Administrative enforcement mechanics. The regulation emphasises administrative levers rather than in‑text fines. It prescribes that the Electoral Commission may cancel or suspend registrations for, among other things, contraventions of the former NSW Government Lobbyist Code if those contraventions occurred before the Regulation commenced (cl 7). The Code itself cross‑refers to the Act’s enforcement provisions, for example noting that s 9(7)(a) of the Act enables cancellation or suspension for contraventions (Schedule 1, cl 9A note). The register update process can also require statutory declaration verification under the Act (cl 5 note).

Ancillary and definitional concepts to track when applying the instrument:

• “Lobbying” is defined broadly to include communications for the purpose of representing others on legislation, planning applications, or the exercise of official functions, and extends beyond the business of lobbying to employees and community representatives (Schedule 1, cl 4(1)-(2)).
• Exclusions and narrow professional carve‑outs: certain professionals are excluded from being third‑party lobbyists where lobbying is incidental to professional services (cl 3A(1)). The exclusion for qualified accountants is defined by specific membership and practice licence criteria (cl 3A(2)).
• Third‑party lobbyist is defined by carrying on a business “generally for money or other valuable consideration” of lobbying officials on behalf of another (cl 15).

These concepts structure who must act, what they must disclose, how the Register is kept and who enforces compliance.

The Regulation and the prescribed Code affect several identifiable groups, with distinct obligations and constraints spelled out in the text.

• Third‑party lobbyists. The most directly affected group. A “third‑party lobbyist” is defined as an individual or body carrying on the business, generally for money or other valuable consideration, of lobbying NSW Government officials on behalf of another (cl 15). Third‑party lobbyists must be registered to undertake lobbying (Schedule 1, cl 9) and must comply with the additional standards in Part 3 of the Code: appointment of a responsible officer (cl 9A), disclosure to officials of third‑party status and the identity of clients including foreign principals (cl 10), and adherence to prohibitions such as the ban on success fees (cl 14).

• Individuals engaged by third‑party lobbyists. The Code attaches duties to “individuals engaged to undertake lobbying for a third‑party lobbyist” on the same basis as it applies to the lobbyist organization. Such individuals must be registered on the Register if they undertake the lobbying (cl 9( b)), and can be the subject of cancellation or suspension by the Electoral Commission (cl 7).

• NSW Government officials. The term “NSW Government official” is defined broadly and includes Ministers, Parliamentary Secretaries, their staff (including electorate office staff), heads of NSW public service agencies, public servants, contracted workers providing services to the public service, and members of governing bodies of statutory authorities (cl 15). The Code’s duties impose obligations on lobbyists in respect of communications with these officials: pre‑meeting disclosure of matters and interests (cls 5-6), truthfulness and no misleading conduct (cls 7-8), and the duty to disclose third‑party status and client identity (cl 10). The Code also notes that conduct obligations apply to Ministers and officials, including obligations not to permit lobbying by unregistered third‑party lobbyists and restrictions on meetings with lobbyists on the Lobbyists Watch List (Schedule 1, cl 9 note).

• Professionals whose lobbying is incidental to professional services. Clause 3A excludes certain professions from the “third‑party lobbyist” definition for the purposes of the Act where lobbying is incidental to professional services. The clause gives examples , Australian legal practitioners, medical practitioners and qualified accountants , but requires the lobbying to be incidental to the provision of professional services in the course of the person’s work (cl 3A(1)). The definition of “qualified accountant” is narrow and membership‑based (cl 3A(2)).

• Persons with management, financial or other interest in third‑party lobbyists. Clause 4A prescribes that directors, secretaries or other persons holding executive positions with a registered third‑party lobbyist are to be treated as persons having a management, financial or other interest for the purposes of s 10(1)(c) of the Act. That affects what must be recorded in the Lobbyists Register and who may be appointed as the responsible officer (see cl 9A).

• Officers of registered political parties. The definition note under cl 15 explicitly states that officers of registered political parties are not eligible to be registered on the Register of Third‑Party Lobbyists (cl 15 note). That excludes party officers from operating as registered third‑party lobbyists.

• Foreign principals. A third‑party lobbyist whose business includes lobbying for foreign principals has additional disclosure obligations for the Register: the lobbyist must record the name of each foreign principal and the foreign country associated with each (cl 4B(1)(a)-(b)). The meanings of “foreign country” and “foreign principal” are imported from the Commonwealth Foreign Influence Transparency Scheme Act 2018 (cl 4B(2), cl 15).

In practice these provisions delineate a compliance perimeter that includes external consultants and internal employees representing organisational interests, while exempting certain professional advisers where lobbying is incidental. The Regulation imposes duties of registration, disclosure, record updates, an obligation to appoint a responsible officer with specific interests, and an annual training requirement for that officer (cl 9A), thus creating administrative obligations for organisations and individuals within the defined perimeter.

The Regulation prescribes a set of duties for all lobbyists and a tranche of additional duties for third‑party lobbyists. The document does not articulate affirmative “rights” in the rights‑based sense; rather it frames duties and administrative entitlements such as registration and the ability to continue to lobby if properly registered. Below are the principal duties, with direct textual references.

Common duties applying to all lobbyists (Schedule 1, Part 2)

• Pre‑meeting disclosure of the matter to be discussed. Lobbyists who seek a meeting must disclose to the NSW Government official the nature of the matter to be discussed before the meeting (Schedule 1, cl 5).

• Pre‑meeting disclosure of financial or other interest. Lobbyists meeting officials must disclose before the meeting any financial or other interest they have in the matter to be discussed (cl 6).

• Prohibition on misleading, corrupt or unlawful conduct. Lobbyists must not engage in misleading, dishonest, corrupt or other unlawful conduct in connection with a meeting or other communication for the purpose of lobbying (cl 7).

• Obligation to provide true and accurate information. Lobbyists must use all reasonable endeavours to satisfy themselves of the truth and accuracy of all material information they provide in connection with lobbying (cl 8).

Additional duties for third‑party lobbyists (Schedule 1, Part 3)

• Mandatory registration. Third‑party lobbyists must not meet or otherwise communicate with NSW Government officials for the purpose of lobbying unless they are registered on the Register of Third‑Party Lobbyists, any individuals they engage to undertake lobbying are registered, and they have provided all other information required to be included in the Register (cl 9).

• Appointment of a responsible officer. Third‑party lobbyists must appoint, in a form approved by the Electoral Commission, a person having a management, financial or other interest in the lobbyist as the officer responsible for compliance with the Act and the Code; they must provide the Electoral Commission with a copy of the appointment and ensure the officer annually completes online training approved by the Electoral Commission (cl 9A).

• Disclosure of third‑party status and client identity. Third‑party lobbyists must disclose to NSW Government officials they lobby that they are third‑party lobbyists, the names of any individuals they have engaged to undertake the lobbying, the name of the individual or body whose interests they represent, and, where the client is a foreign principal, that fact and the foreign country associated with the foreign principal (cl 10(1)(a)-(d); cl 10(2) requires disclosure before meetings or communications).

• Not to lobby on matters related to Government boards or committees of which they are members. Third‑party lobbyists must not lobby on matters that relate to the functions of a NSW Government board or committee of which they, or the individuals they engage, are members (cl 11).

• Not to misrepresent access. Third‑party lobbyists and their engaged individuals must not exaggerate or misrepresent their access to political parties, the Government or persons associated with them (cl 12).

• Separation of party political involvement and lobbying activities. Personal activity or involvement on behalf of a political party must be kept separate from lobbying activities (cl 13).

• Prohibition on success fees. The Regulation reiterates that third‑party lobbyists are prohibited by the Act from receiving or agreeing to receive success fees for lobbying NSW Government officials (cl 14).

Administrative duties relating to the Register and records (Regulation cl 5, cl 6, cl 4B)

• Update timing. Registered third‑party lobbyists must update the Lobbyists Register within 10 business days after a change occurs to the information (reg cl 5(1)).

• Periodic confirmations and approved forms. Registered lobbyists must provide confirmations to the Electoral Commission on 31 January, 31 May and 30 September each year in a form approved by the Electoral Commission, which may require disclosure of application‑level information (reg cl 5(2)). The Act allows the Commission to require verification of submitted information by statutory declaration (reg cl 5 note).

• Retention. Information relating to a third‑party lobbyist is to be retained on the Register until at least the end of the period of two years after the person ceased to be a registered third‑party lobbyist (reg cl 6).

Who decides and who enforces

• The Electoral Commission is the administrative decision maker for registration, and it is the body referenced as having cancellation and suspension powers for contraventions (cl 7; Schedule 1, cl 9A note). The Regulation itself prescribes the standards and recordkeeping; enforcement measures such as cancellation and suspension rest with the Commission as authorised under the Act.

Rights of regulated parties

• The instrument allows third‑party lobbyists to be registered and to carry on their business subject to compliance with the code and register duties (cl 9). The Code also contemplates formal appointment of a responsible officer and training, which operates as both a compliance duty and as a pathway to remain registered and retain the ability lawfully to lobby under the Act and Code.

These duties create compliance obligations that are primarily administrative and behavioural, and they interact with the Electoral Commission’s statutory powers under the Act for registration oversight and cancellation or suspension where required.

The Regulation sets out administrative enforcement modalities, but does not itself specify monetary fines or criminal sanctions in the text provided. Enforcement is framed through administrative acts by the Electoral Commission and procedures under the Act that the Regulation operationalises.

Electoral Commission powers and cancellation or suspension

• Clause 7 expressly empowers the Electoral Commission to cancel or suspend registration of a third‑party lobbyist or any individual engaged to undertake lobbying if the lobbyist or individual contravened the former Lobbyist Code before this Regulation commenced (cl 7(1)). This is an additional ground for cancellation or suspension; the clause also preserves cases where the Secretary had considered pre‑commencement contraventions and determined whether to act in connection with the former Register of Lobbyists (cl 7(2)).

• Schedule 1, cl 9A’s note specifically links the Code to s 9(7)(a) of the Lobbying of Government Officials Act 2011, stating that the Electoral Commission may cancel or suspend registration if the lobbyist or an individual so engaged contravenes the Code. The note thereby ties suspension and cancellation to the Act’s enforcement architecture.

Record verification and statutory declarations

• The Regulation notes that under s 11(2) of the Act the Electoral Commission may require that information submitted be verified by statutory declaration (reg cl 5 note). The approved forms for the triannual confirmations may therefore carry a verification requirement and potentially trigger evidentiary obligations for signatories.

Administrative decision processes embedded

• The Regulation contemplates administrative decision‑making in its transitional and retrospective provisions. Clause 7(2) recognises prior administrative decisions made by the Secretary under the former Register of Lobbyists and allows those decisions to stand, indicating an administrative continuity and a role for the Secretary’s prior assessments in current enforcement decisions.

What the Regulation does not do (in the text provided)

• It does not itself set out financial penalties or criminal offences in the Schedule or body of the Regulation text supplied. Instead, it embeds obligations and cross‑references to the Act for enforcement consequences such as suspension and cancellation. For monetary penalties, criminal sanctions, or further enforcement mechanisms, readers must consult the Lobbying of Government Officials Act 2011 as the Regulation repeatedly points to that Act for registration and enforcement powers (see cl 4, cl 9 note, cl 9A note, cl 5 note).

Practical enforcement implications

• The main practical enforcement tools available under the instrument are administrative: removal of registration, suspension, and record verification. Removal or suspension terminates the right under cl 9 to meet or otherwise communicate with NSW Government officials for the purpose of lobbying. The Regulation preserves the Commission’s ability to act in relation to historical contraventions of the prior Code, thereby widening the temporal scope for administrative action in certain cases (cl 7).

• Because the Regulation fixes update and disclosure deadlines (reg cl 5) and prescribes retention periods (reg cl 6), failure to observe those administrative duties may expose a registrant to commission scrutiny and potential suspension or cancellation as grounded in the Act. The Regulation itself does not provide an internal appeal mechanism in the text supplied, although administrative decisions of the Electoral Commission are the operative enforcement instruments.

In sum, enforcement under the instrument is administrative and tied to the Electoral Commission’s powers under the Act. The Regulation prescribes duties, sets deadlines and data obligations, and identifies the Commission as the decision maker for registration discipline; monetary or criminal sanctions must be sought in the Act if available.

The Regulation both depends on and imports concepts from other NSW and Commonwealth legislation. The text repeatedly cross‑references other instruments, so compliance and interpretation will often require consulting the referenced Acts.

Key interactions specified in the text

• Lobbying of Government Officials Act 2011. The Regulation operates under and implements aspects of the Act. Clause 3 defines “the Act” as the Lobbying of Government Officials Act 2011. Clause 4 prescribes the Code under Part 2 of the Act as the code of conduct for lobbyists. Several notes in the Schedule directly cite provisions of the Act for enforcement or registration mechanics (Schedule 1, cl 9 note; Schedule 1, cl 9A note; reg cl 5 note referring to s 11(2) of the Act). Therefore the Act supplies the statutory authority for registration, cancellation and the Electoral Commission’s powers.

• Foreign Influence Transparency Scheme Act 2018 (Commonwealth). Clause 4B(2) and Schedule 1, cl 15 import the definitions of “foreign country” and “foreign principal” from the Commonwealth Foreign Influence Transparency Scheme Act 2018. Clause 4B prescribes that where a registered third‑party lobbyist’s business includes lobbying for foreign principals, the Register must include the names of foreign principals and the foreign country in respect of which they are principals (cl 4B(1)). Because these terms are imported, compliance will require alignment with the Commonwealth definitions and any subsequent changes at Commonwealth level could affect what must be recorded on the NSW Lobbyists Register.

• Environmental Planning and Assessment Act 1979 (NSW). The definition of “planning application” in Schedule 1, cl 15 refers to the Environmental Planning and Assessment Act 1979 to specify what counts as a planning application for the purposes of the lobbying definition. Where lobbying concerns planning applications as defined under that Act, that interaction will determine whether a communication falls within the code’s “lobbying” definition (Schedule 1, cl 4(1), cl 15).

• Electoral and Lobbying Legislation Amendment (Electoral Commission) Act 2014. The Regulation’s commencement is linked to Schedule 3 of that Act (reg cl 2). The Amendment Act therefore underlies the timing and institutional shift contemplated by the Regulation, including transfer of some responsibilities to the Electoral Commission.

Operational consequences of these interactions

• Register content and format are affected by Commonwealth definitions of foreign principals. A third‑party lobbyist dealing with foreign principals must record particulars that are defined by a Commonwealth statute (cl 4B, cl 15). That creates a multi‑jurisdictional compliance task: a NSW registrant must read Commonwealth definitions to understand its NSW disclosure obligations.

• The definition of lobbying is not self‑contained and links to other NSW legislation for particular subject matters (planning). Lobbying activities tied to planning processes require reference to the Environmental Planning and Assessment Act to determine whether a given communication is within scope (Schedule 1, cls 4 and 15).

• Administrative powers and verification mechanisms depend on the Act. The Regulation prescribes update deadlines and periodic confirmations (reg cl 5), but notes that the Electoral Commission’s power to require verification by statutory declaration comes from the Act (reg cl 5 note). Therefore, the Regulation’s operational teeth are delivered through powers embedded in the parent Act.

• Transitional and prior enforcement interactions. Clause 7 permits the Commission to cancel or suspend in relation to contraventions of the former Lobbyist Code that occurred before this Regulation commenced, except where the Secretary had already considered those contraventions and made determinations under the former Register of Lobbyists (cl 7(1)-(2)). That builds a legal bridge to prior administrative actions and points to the continuing relevance of decisions made under prior NSW administrative arrangements.

In short, compliance with the Regulation requires active cross‑reference to the Act and the Commonwealth and other NSW Acts it imports. The Regulation standardises operational detail, but many legal effects and enforcement mechanisms sit in or are defined by the Act and by the Commonwealth Foreign Influence Transparency Scheme Act for foreign principal matters.

The Regulation and its Schedule have been amended since their initial enactment. The text includes amendment notes that identify insertions and amendments with year and instrument references. The following items are stated in the text.

• Insertion of cl 3A (persons excluded from definition of “third‑party lobbyist”) was made by an instrument cited as Ins 2018 (367), Sch 1 [1]. That amendment narrows the circumstances in which persons are treated as third‑party lobbyists by excluding members of certain professions when lobbying is incidental to the provision of professional services, and establishes a specific, membership‑based definition of “qualified accountant” (cl 3A(1)-(2)).

• Insertion of cl 4A (information in the Lobbyists Register: persons having a management, financial or other interest in third‑party lobbyists) appears in the text as Ins 2018 (367), Sch 1 [2]. Clause 4A prescribes that directors, secretaries and other persons holding executive positions are to be treated as persons having a management, financial or other interest for s 10(1)(c) purposes. This places those officeholders within the disclosure perimeter for register entries and for appointment as responsible officers (cl 9A).

• Insertion of cl 4B (information in Lobbyists Register: section 10(1)(e) of Act) was effected by Ins 2019 (188), Sch 1 [1]. Clause 4B prescribes the additional register details required where a registered third‑party lobbyist’s business includes lobbying for foreign principals , specifically, the name of each foreign principal and the foreign country in respect of which the foreign principal is a principal (cl 4B(1)(a)-(b)). Clause 4B(2) imports the Commonwealth meanings of “foreign country” and “foreign principal” from the Foreign Influence Transparency Scheme Act 2018.

• Clause 7, which provides for additional grounds for cancellation or suspension of registration in relation to contraventions of the former Lobbyist Code, is cited as having been inserted by Ins 2014 (771), cl 3. That amendment addresses transitional enforcement issues between the former Secretary‑administered arrangements and the Electoral Commission’s regime.

• The Schedule itself, titled NSW Lobbyists Code of Conduct, bears amendment notes: sch 1 Am 2018 (367), Sch 1 [3] [4]; 2019 (188), Sch 1 [2] [3]. Those notes indicate that the Code was amended in 2018 and 2019, consistent with the insertions noted above.

What the amendment notes show

• The 2018 amendments (Ins 2018 (367)) added cl 3A and cl 4A and amended Schedule 1 accordingly. Those changes created carve‑outs for certain professional advisers and prescribed who counts as a person with a management, financial or other interest in a registered third‑party lobbyist.

• The 2019 amendment (Ins 2019 (188)) added cl 4B and altered Schedule 1 (including referencing the Commonwealth Foreign Influence Transparency Scheme Act definitions). The 2019 changes formalise the additional register obligations where lobbying is performed for foreign principals.

• The 2014 insertion of cl 7 (Ins 2014 (771)) addressed transitional enforcement in respect of contraventions of the former, Secretary‑administered Lobbyist Code.

These amendment notes are the only amendment history contained in the text supplied. They identify the years and instrument identifiers for the insertions and schedule amendments. For a full legislative history with government explanatory memoranda, second reading speeches, or consolidated text showing tracked changes, an interested reader should consult the NSW legislation database and the instruments cited in the notes (Ins 2014 (771); Ins 2018 (367); Ins 2019 (188)). The Regulation as printed carries those amendment markers to indicate sections introduced or altered in the specified instruments and years.

The Regulation text supplied contains no case law citations, no reported judicial decisions, and no express record of litigation arising from its provisions. The Schedule and the Regulation itself do not reference any decided cases or court authorities, and the amendment and note markers are administrative in nature rather than judicial.

What the text records that may generate disputes

• Administrative disciplinary decisions. Clause 7 authorises the Electoral Commission to cancel or suspend registration for contraventions of the former Lobbyist Code occurring prior to commencement, subject to a carve‑out where the Secretary had already considered the contravention and determined action under the former Register of Lobbyists (cl 7(2)). That provision contemplates administrative determinations about prior conduct and may generate disputes over the factual basis, timing and procedural fairness of cancellation or suspension decisions.

• Registration and disclosure obligations. The Regulation prescribes precise disclosure and update obligations (reg cl 5: 10 business days for updates and specified dates for triannual confirmations), and imposes record retention (reg cl 6: two years post‑cessation). Disputes may arise over whether particular communications amount to “lobbying” under Schedule 1, cl 4, or over whether a person qualifies as a third‑party lobbyist or an excluded professional under cl 3A.

• Foreign principal recordings. Clause 4B prescribes register entries for foreign principals using terms defined in the Commonwealth Foreign Influence Transparency Scheme Act 2018. That cross‑jurisdictional element may give rise to disputes about definitions and registration obligations where the Commonwealth Act is the decisive source.

Absence of reported litigation in the text

• There is no internal litigation summary, no footnoted cases and no listed judicial review instances in the Regulation’s text as supplied. The instrument instead embeds administrative powers and procedural requirements and relies on the Electoral Commission and the Act to implement enforcement. If adjudicated disputes exist, they are not recorded in the Regulation text and must be located through external legal research in court or tribunal databases.

How to hunt litigation if needed

• To locate any litigation history involving registration cancellation, suspension, or interpretation of the Code, an interested party must search NSW court and tribunal decisions, judicial review records, and administrative decisions involving the Electoral Commission and the former Secretary. Because the Regulation cross‑references the Act and Commonwealth definitions in the foreign influence space, relevant litigation may appear under the Act or under the Commonwealth legislation cited.

In sum, the supplied Regulation contains no litigation history; it creates administrative obligations and identifies administrative enforcement levers that may be litigated, but the text furnishes no report of such litigation.

The Regulation includes several technical and operational features that can catch practitioners and organisations unprepared. These are concrete compliance pitfalls grounded in the text.

1. Broad definition of “lobbying” and who is caught. The Code defines lobbying to include communications for the purpose of representing others on legislation, planning applications or the exercise of official functions, and explicitly extends to communications by persons who work for an organisation to represent that organisation’s interests and communications representing community interests (Schedule 1, cl 4(1)-(2)). Consequence: in‑house staff and community advocates who are not paid consultants may nonetheless be captured. The exclusion for members of Parliament acting in their ordinary course and for NSW Government officials acting in their ordinary course is narrow (cl 4(3)), so practitioners should analyse whether staff communications fall inside the definition.

2. Professional carve‑out is conditional and narrow. Clause 3A excludes members of certain professions from the definition of “third‑party lobbyist” only where the lobbying is incidental to provision of professional services in the course of their work (cl 3A(1)). The definition of “qualified accountant” is membership‑based and dependent on holding a public practice certificate from specific professional bodies (cl 3A(2)). Consequence: a lawyer or accountant who undertakes sustained or discrete lobbying on behalf of clients may still be a third‑party lobbyist unless the activity is truly incidental.

3. Third‑party status must be disclosed before meetings. Third‑party lobbyists are required to disclose their status, names of individuals they have engaged, and client identity including foreign principal details before any meeting or communication (Schedule 1, cl 10(1)-(2)). Consequence: failure to prepare this information ahead of a meeting can result in an immediate breach of the Code and expose the lobbyist or engaged individual to administrative action.

4. Foreign principal reporting imports Commonwealth definitions. Clause 4B prescribes additional register information where lobbying for foreign principals, using the meanings in the Foreign Influence Transparency Scheme Act 2018 (cl 4B(2), cl 15). Consequence: an organisation may be uncertain whether a client is a “foreign principal” under the Commonwealth Act. Misclassification risks incompleteness of the Register and possible Commission scrutiny.

5. Tight update deadlines and recurring confirmations. Registered third‑party lobbyists must update the Lobbyists Register within 10 business days of a change (reg cl 5(1)) and must provide confirmations on precise dates (31 January, 31 May, 30 September) in an approved form (reg cl 5(2)). The approved form may require application‑level information and verification by statutory declaration under s 11(2) of the Act (reg cl 5 note). Consequence: recordkeeping systems must be calibrated to these deadlines; failure to meet them is an administrative breach.

6. Retention and public availability. Information must be retained on the Register for at least two years after a person ceases to be a registered third‑party lobbyist (reg cl 6). Consequence: client and personnel data remain publicly available beyond termination of engagements for a specified period.

7. Responsible officer requirement and narrow pool of eligible officers. Third‑party lobbyists must appoint a person with a management, financial or other interest as a responsible officer, lodge the appointment with the Electoral Commission, and ensure that officer undertakes annual online training approved by the Commission (Schedule 1, cl 9A). Clause 4A prescribes that directors, secretaries and executive position holders are persons having such an interest (cl 4A). Consequence: organisations must identify and designate a qualifying officer, and ensure that officer completes approved training on the Commission’s schedule.

8. Ban on success fees is statutory. Clause 14 reiterates the Act’s prohibition on success fees for lobbying. Consequence: fee arrangements must be structured to avoid contingent or outcome‑based remuneration tied to success of lobbying efforts.

9. Board membership conflict. Third‑party lobbyists must not lobby on matters related to the functions of a Government board or committee of which they or their engaged individuals are members (Schedule 1, cl 11). Consequence: lobbyists must map their firm’s board memberships and staff appointments prior to taking instructions to avoid conflicts that bar lobbying on particular matters.

10. Officers of registered political parties cannot register. The cl 15 note expressly states that officers of registered political parties are not eligible to be registered as third‑party lobbyists. Consequence: firms must be careful when hiring former party officers or when party officers seek to undertake lobbying work.

11. Nothing in the Regulation sets out monetary penalties in the text supplied. While the Regulation ties enforcement to the Electoral Commission and the Act, the instrument as supplied does not list fines or criminal penalties. Practitioners must therefore check the Act for punitive consequences coupled to breaches of registration, disclosure and Code obligations.

Each of the above is a potential operational or legal hazard. In practice, firms should map client relationships, fee structures, personnel status, and recordkeeping procedures against the exact textual requirements in Schedule 1 and the timing obligations in reg cl 5 and cl 6.

Compliance requires aligning organisation processes, engagement terms, staff responsibilities and recordkeeping with the Code and the register rules. Below are concrete, text‑grounded steps to create a compliance framework.

1. Determine whether the activity is “lobbying” and whether the person is a “third‑party lobbyist.” Use Schedule 1, cl 4 to test whether communications are for the purpose of representing others on legislation, planning applications, or the exercise of official functions. If the activity is performed “generally for money or other valuable consideration” on behalf of another, treat the entity as a third‑party lobbyist for registration purposes (cl 15).

2. If a third‑party, register promptly. Ensure the organisation is registered on the Register of Third‑Party Lobbyists before any lobbying meeting or communication (Schedule 1, cl 9(a)). If individuals are engaged to undertake lobbying, register those individuals as required (cl 9(b)).

3. Appoint and lodge a responsible officer. Appoint a person having a management, financial or other interest in the lobbyist as the responsible officer in the manner approved by the Electoral Commission, provide the Electoral Commission with a copy of the appointment, and ensure the officer completes the Commission’s approved online training annually (Schedule 1, cl 9A). Use clause 4A as the guide for who counts as having a management/financial interest (directors, secretaries, executives).

4. Put pre‑meeting disclosure procedures in place. For every planned meeting or lobbying communication, ensure that the following are disclosed to the NSW Government official before the meeting or communication:

   • the nature of the matter to be discussed (Schedule 1, cl 5);
   • any financial or other interest the lobbyist has in the matter (cl 6);
   • for third‑party lobbyists, disclosure of third‑party status, names of engaged individuals, the name of the individual or body whose interests are being represented, and where relevant, that the client is a foreign principal and the foreign country concerned (cl 10(1)(a)-(d); cl 10(2)).

5. Implement accuracy and truth‑verification protocols. Require that material provided to NSW Government officials is vetted such that lobbyists “use all reasonable endeavours” to verify truth and accuracy (Schedule 1, cl 8). Keep supporting documents and audit trails demonstrating the steps taken to verify material.

6. Avoid banned remuneration structures. Do not accept or agree to success fees for lobbying. Structure engagement letters and invoicing to avoid contingent fees tied to the outcome of lobbying activities (cl 14).

7. Maintain clear internal segregation of party political activity. Ensure that personal party political activity by staff is kept separate from lobbying activities and that firm marketing or client materials do not conflate party political roles with lobbying services (Schedule 1, cl 13).

8. Train staff and ensure messages on access are not exaggerated. Train anyone who may represent the organisation before officials on the prohibition against exaggerating or misrepresenting access to political parties or government persons (Schedule 1, cl 12), and align business development materials accordingly.

9. Put robust register update and confirmation workflows in place. For registered third‑party lobbyists, update Register entries within 10 business days of any change (reg cl 5(1)). Prepare to provide confirmations to the Electoral Commission on 31 January, 31 May and 30 September each year in the Commission’s approved form (reg cl 5(2)). Anticipate that the approved form may require application‑level details and that the Commission may seek statutory declaration verification under s 11(2) of the Act (reg cl 5 note).

10. Record retention and privacy controls. Maintain records supporting Register entries and engagement details for at least two years after ceasing to be a registered third‑party lobbyist, because Register information is to be retained publicly for that minimum period (reg cl 6). Ensure privacy and client confidentiality processes account for this retention and potential public availability.

11. Map conflicts related to board and committee memberships. Before accepting instructions, check whether the matter relates to functions of a NSW Government board or committee of which the firm or any engaged individual is a member, because such lobbying is prohibited (Schedule 1, cl 11).

12. Determine foreign principal status early. For clients who may be foreign principals, determine whether they meet the Commonwealth Act’s definition of “foreign principal” and, if so, ensure the Register includes each foreign principal’s name and the relevant foreign country (cl 4B(1); cl 4B(2) and cl 15).

13. Keep contemporaneous disclosure records. For each meeting and communication, maintain contemporaneous records showing pre‑meeting disclosures required by cls 5, 6 and 10 and evidencing the steps taken to verify information under cl 8. These records support compliance and can be used to respond to Electoral Commission inquiries.

14. Review and update engagement letters and fee terms. Amend client engagement terms to reflect the prohibition on success fees and to include express client consent to being recorded on the Register where needed. Ensure fee structures are fixed, retainer‑based, or otherwise non‑contingent relative to lobbying outcomes.

15. Monitor regulatory changes and Commission guidance. The Regulation cross‑references the Act and Commonwealth definitions. Monitor the Electoral Commission’s approved forms, training requirements and any guidance it publishes, and watch for changes at Commonwealth level that affect definitions of foreign principals.

Operational checklist for immediate implementation

• Internal legal review to classify staff and clients under cl 15 and cl 3A.
• Registration and registration of engaged individuals if third‑party activity occurs.
• Designate and file an appointment for the responsible officer; schedule annual completion of Commission training.
• Draft mandatory pre‑meeting disclosure scripts and client intake forms to collect client identity and foreign principal details.
• Establish recordkeeping policies to support 10 business day updates and triannual confirmations, and retention for two years post‑cessation.
• Audit fee arrangements and amend engagement letters to ban success fee structures.
• Train relevant personnel on prohibitions in cl 7 and cl 12 and accuracy obligations in cl 8.

Following these text‑based steps, and aligning with the Act and Electoral Commission requirements, will position an organisation to meet the Regulation’s administrative and conduct obligations.