The UNC Policy Manual
300.1.7 [R]
Adopted 11/04/08
Amended 06/05/24
I.
Purpose
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.
A. 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 Director
of Federal Relations
shall have primary responsibility for representing the University with the
federal government.
B. University and Constituent Institution Federal Relations Personnel
The President shall designate a Federal Relations Officer for the University at large as well as
the UNC
System Office, who shall
at a minimum have the following duties and responsibilities:
1.
Represent
the President and the Board of Governors with the federal government;
2.
Represent
the President and the UNC
System Office on
the University Federal Relations Council;
3.
Coordinate
UNC
System Office and
Federal Relations Council activities in support of the University’s approved
Unified Federal Agenda;
4.
Represent
the President and the Board of Governors in pursuit of Congressionally directed grant funding;
5.
Assist
the UNC
System Office senior leadership
in the pursuit of contracts, grants and cooperative agreements with federal
government agencies;
6.
Assist
the UNC
System Office senior leadership
in the proper training of campus research personnel for compliance with the
Byrd Amendment (31 U.S.C. 1352);
7.
Coordinate
visits between covered federal government officials and the Board of Governors,
UNC
System Office personnel,
constituent institution personnel, and affiliated entity representatives;
8.
Manage
external consultants engaged in a federal lobbying capacity on behalf of the UNC System Office;
9.
Work
with the University’s General Counsel to educate UNC System Office employees and the Federal Relations
Council on their role in and the obligations of the constituent institutions
and affiliated entities to comply with the federal Lobbying Disclosure Act of
1995, as amended;
and,
10.
Monitor
all lobbying activities on behalf of the university and file registration and
quarterly reports as appropriate to ensure full compliance with the federal
Lobbying Disclosure Act of 1995, as amended.
C. Federal Relations Officer Designation
Each Chancellor shall designate an officer at their constituent institution 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:
1.
Represent
the institution on the University’s Federal Relations Council;
2.
Coordinate
institutional activities in support of the
University’s approved Unified Federal Agenda;
3.
Assist
the institutional research officer in pursuing
contracts, grants and cooperative agreements with federal government agencies;
4.
Assist
the institution's research officer in the proper
training of institution research personnel for compliance with the Byrd
Amendment (31 USC 1352);
5.
Coordinate
visits by covered federal government officials to the institution or affiliated institutional program;
6.
Represent
the institution in pursuit of Congressionally directed grant funding;
7.
Manage
external consultants engaged in a federal lobbying capacity on behalf of the institution;
8.
Work
with the institution’s attorney to educate all institutional employees on their role in compliance,
and the obligations of institutional personnel to comply, with the Lobbying
Disclosure Act of 1995 as amended; and
9.
Monitor
all lobbying activities on behalf of the institution and file registration and quarterly reports as appropriate
to ensure full compliance with the federal Lobbying Disclosure Act of 1995, as
amended.
D. Federal Relations Council
1.
The
Federal Relations Council (FRC) shall serve as a coordinating body in support
of the following activities:
a. Development, strategy, and advocacy in support of the
University’s Unified Federal Agenda;
b. Training of FRC members on lobbying best practices, federal
policy and funding trends and activities;
c. Compliance with federal lobbying disclosure requirements.
2.
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 System,
as well as the president’s
designated Director
of Federal Relations from the UNC System Office. Additional representatives or alternates may be named as
ad hoc members to the FRC.
3.
Meetings
Official FRC meetings shall be
conducted on a semi-annual basis. 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.
II. Contact by University Employees with
Covered Federal Government Officials
Prior approval from the Chancellor or their designee is required before any institutional
employee may initiate contact with covered federal government officials, or respond to requests from 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:
A.
Appearances
on behalf of the University before federal bodies, including testimony before
Congressional Committees or participation in meetings with White House
personnel;[2]
B.
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;
C.
The
delivery of materials, University publications, and periodicals to covered
federal government officials;
D.
Any
verbal or written statement made on behalf of the University that concerns
federal policies, legislation,
or regulations;
E.
Invitations
to covered federal government officials to visit campus in an official capacity
(Note: The visit should be coordinated by the FRO);
F.
Responses
to requests for information, reports, and statistics from covered federal
government officials and their staffs, including responses to inquiries from
investigative congressional committees;
G.
Participation
in press events with covered federal government officials intended to promote
federal policy or funding priorities; and,
H.
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 institution’s
Federal Relations Officer.
III. External Consultants
Chancellors may retain external
consultants to assist 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.
A.
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.
B.
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.[3]
No University of
North Carolina System 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.
C.
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, the Director of Federal Relations,
Chancellor, or campus Federal Relations Officer.
IV. Other Matters
A.
Effective
Date. The requirements of this regulation will be effective on the date of
adoption of this regulation by the president.
B.
Relation
to State Laws. The foregoing regulation as adopted by the president is meant to
supplement, and does not purport to supplant or modify, those statutory
enactments, regulations, and policies which may govern the activities of public
officials.
[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] Note: When University employees
appear before such bodies as representatives of other agencies, such as
professional societies, it is requested that they notify the institutional
Federal Relations Officer prior to the appearance.
[3] 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)