The UNC
Policy Manual
300.1.7 [R]
Adopted
11/04/08
This regulation governs all University contacts with covered
federal government officials.[1]
This regulation applies to
employees who in their official capacities interact with covered federal
government officials and is intended to assist these employees and the
University in presenting an authorized, accurate, and persuasive presentation.
1.
Official Policy Positions and Contact on Behalf of The University
The President
shall initiate a collaborative federal agenda development process to determine
the federal priorities of the University on an annual basis called the Unified
Federal Agenda. The Unified Federal
Agenda shall consist of the University’s “Federal Policy Priorities” and
“Federal Appropriations Guide.” Upon
Board of Governors approval, the Unified Federal Agenda shall serve as the
basis for all official federal lobbying efforts. Campus-based Congressionally-directed funding
requests shall be at the discretion of the individual campus. When federal policy questions that are not on
the University’s Unified Federal Agenda arise, the President will determine the
official position and the priority of the policy issue on behalf of the
University. Under direction from the
President, the Vice President for Federal Relations shall have primary
responsibility for representing the University with the federal government.
2.
University and Campus Federal Relations Personnel
The Vice
President for Federal Relations and the Director of Federal Relations shall
serve as Federal Relations Officers for the University at large as well as the
General Administration, and shall at a minimum have the following duties and
responsibilities:
·
Represent the President and the Board of Governors with the
federal government;
·
Represent the President and the General Administration on the
University Federal Relations Council;
·
Coordinate General Administration and Federal Relations Council
activities in support of the University’s approved Unified Federal Agenda;
·
Represent the President and the Board of Governors in pursuit of
Congressionally-directed grant funding;
·
Assist the Vice President for Research in the pursuit of contracts,
grants and cooperative agreements with federal government agencies;
·
Assist the Vice President for Research in the proper training of
campus research personnel for compliance with the Byrd Amendment (31 U.S.C.
1352);
·
Coordinate visits between covered federal government officials and
the Board of Governors, General Administration personnel, constituent
institution personnel and affiliated entity representatives;
·
Manage external consultants engaged in a federal lobbying capacity
on behalf of the General Administration.
·
Work with the University’s General Counsel to educate General
Administration employees and the Federal Relations Council on their role in and
the obligations of the campuses to comply with the federal Lobbying Disclosure
Act of 1995, as amended.
·
Monitor all lobbying activities on behalf of the campus and file
registration and quarterly reports as appropriate to ensure full compliance
with the federal Lobbying Disclosure Act of 1995, as amended.
Federal
Relations Officer Designation
Each
Chancellor shall designate a campus officer to carry out the function of
Federal Relations Officer (FRO). The duties and responsibilities of the campus
Federal Relations Officer shall be, but are not limited to:
·
Represent the campus on the University’s Federal Relations
Council;
·
Coordinate campus activities in support of the University’s
approved Unified Federal Agenda;
·
Assist the campus research officer in pursuing contracts, grants
and cooperative agreements with federal government agencies;
·
Assist the campus research officer in the proper training of
campus research personnel for compliance with the Byrd Amendment (31 USC 1352);
·
Coordinate visits by covered federal government officials to the
campus or affiliated campus program;
·
Represent the campus in pursuit of Congressionally-directed grant
funding;
·
Manage external consultants engaged in a federal lobbying capacity
on behalf of the campus;
·
Work with the campus attorney to educate all campus employees on
their role in compliance, and the obligations of campus personnel to comply,
with the Lobbying Disclosure Act of 1995 as amended; and
·
Monitor all lobbying activities on behalf of the campus and file
registration and quarterly reports as appropriate to ensure full compliance
with the federal Lobbying Disclosure Act of 1995, as amended.
3.
Federal Relations Council
The Federal
Relations Council (FRC) shall serve as a coordinating body in support of the
following activities:
·
Development, strategy, and advocacy in support of the University’s
Unified Federal Agenda;
·
Training of FRC members on lobbying best practices, federal policy
and funding trends and activities;
·
Compliance with federal lobbying disclosure requirements.
Composition
The FRC is
composed of one representative, the Federal Relations Officer, from each of the
seventeen constituent institutions of the University of North Carolina, as well
as the Vice President for Federal Relations and the Director of Federal
Relations from the General Administration.
Additional representatives or alternates may be named as ad hoc members
to the FRC.
Meetings
Official FRC
meetings shall be conducted on a semi-annual basis. The Vice President for Federal Relations and
Director of Federal Relations will organize FRC meetings and develop the agenda
based upon current federal issues and input from the FRC. At each FRC meeting, lobbying and ethics
compliance guidance and best practices will be provided. Additional meetings may be arranged to enable
information sharing on specific topics.
4.
Contact by University Employees with Covered Federal Government
Officials
Prior
approval from the Chancellor or his/her designee is required before any campus
employee may initiate contact with covered federal government officials on
behalf of the University. The Chancellor
may delegate this responsibility to the Federal Relations Officer. The following scenarios specifically require
advance approval by the Chancellor or the Federal Relations Officer:
·
Appearances on behalf of the University before federal bodies,
including testimony before Congressional Committees or participation in
meetings with White House personnel. Note:
When University employees appear before such bodies as representatives of other
agencies, such as professional societies, it is requested that they notify the
campus Federal Relations Officer prior to the appearance
·
Any request on behalf of the University to a covered federal
government official, particularly requests for Congressionally-directed
funding, support of grant proposals or nominations to federal advisory
councils.
·
The delivery of materials, University publications, and
periodicals to covered federal government officials.
·
Any verbal or written statement made on behalf of the University
that concerns federal policies, legislation or regulations.
·
Invitations to covered federal government officials to visit
campus in an official capacity. Note:
The visit should be coordinated by the FRO.
·
Responses to requests for information, reports, and statistics
from covered federal government officials and their staffs, including responses
to inquiries from investigative congressional committees.
·
Participation in press events with covered federal government
officials intended to promote federal policy or funding priorities.
·
Any planned University event to honor a covered federal government
official including but not limited to, the naming of a building or endowed
chair, conferral of an honorary degree, or hosting of a meeting, retreat, conference
or other similar event in the name of the official.
After
contacts or visits have been made with covered federal government officials by
a person on behalf of the University, a short report on the contact should be
made to the campus Federal Relations Officer.
5.
External Consultants
Chancellors
may retain external consultants to assist the campuses in securing
Congressionally-directed grant funding for special projects. No State or federal funds may be used for
this purpose. Consultants shall
never engage Congress, covered officials at the agencies, or White House
personnel on policy matters on behalf of the University. Care should be taken to ensure that all
external consultant expenditures are reported as “lobbying activity” as
appropriate.
6.
Personal and Professional Society Contacts
Personal and
professional society contacts by University employees with elected officials or
governmental agencies, whether in person or in writing, must be done in the
name of the individual or the professional society. University letterhead may
not be used. In each instance, the
employee is obligated to make clear that the contact is not made on behalf of
the University. Nothing in this
Regulation shall prevent faculty or staff from expressing personal views on
personal time, with personal resources.
7.
Disclosure of Lobbying Activity
Employees who
engage in approved lobbying activities shall report issues lobbied upon,
officials contacted, time spent, and an estimate of expenses on a quarterly
basis to the Federal Relations Officer.
Consistent with federal law, even those University employees who do not
qualify as lobbyists must report all lobbying activities with covered officials
to the Federal Relations Officer. For
purposes of this Regulation, the phrase “lobbying activities” shall be defined
in accordance with the definitions set forth in the Lobbying Disclosure Act of
1995, as amended.[2]
No University
of North Carolina employee, administrator, faculty member, or other individual
retained to provide outside assistance shall engage in activities that require
registration with the United States House of Representatives or Senate under
the Lobbying Disclosure Act of 1995 without prior review and approval by the
respective Chancellor and the President.
8.
Tickets to University Events
University
events that require tickets for which there is a charge to the public may
be extended to Members of Congress and their staff free of charge. Invitations to free University events are
also appropriate and may be extended to Members of Congress and/or other
covered federal government officials.
Invitations to Members of Congress and/or covered federal government
officials must be extended by the President of the University, Vice President
for Federal Relations, Chancellor, or campus Federal Relations Officer.
[1] Covered
federal government officials include any member, officer, or employee of
Congress or the President, Vice President, officers and employees of the
Executive office of the President, and various high-level officials and
uniformed officers in the executive branch outlined in the “Plum Book.” http://www.gpoaccess.gov/plumbook/index.html
[2]Lobbying activity is defined as “lobbying contacts and efforts in support of such contacts, including background work that is intended, at the time it was performed, for use in contacts, and coordination with the lobbying activities of others.” 2 U.S.C. 1602 (7)