The
UNC Policy Manual
300.2.2.1[R]
Adopted
08/12/05
Amended
06/21/12
Amended
10/19/15
In
accordance with the Board of Governors policy on Conflict of Interest and
Commitment (UNC Policy Manual, Section
300.2.2), UNC faculty and EHRA non-faculty employees (together “Covered Employees”)
sometimes may engage in compensated activities that are not a part of
University employment. Through such
opportunities, employees apply their specialized knowledge and experience to
activities outside of their University employment, thereby enhancing their own
capabilities in teaching and research and contributing significant societal
benefits, including economic development through technology transfer. These activities are encouraged if the
intended activity complies with sections II and III of the corresponding UNC
Policy, Section 300.2.2, and do not create a conflict of interest or conflict
of commitment (see UNC Policy Manual, Section
300.2.2, I, Definitions[1]).
Covered
Employees, including faculty with nine-month appointments or contracts except
as provided in III.C., below, who wish to engage in an External Professional
Activity for Pay must adhere to these regulations to provide satisfactory
assurances that such activity will not interfere with University employment
obligations. Covered employees not
complying with these regulations or policies implemented by their Constituent Institution
will be subject to disciplinary action.
External
Professional Activities for Pay should generally be limited to no more than the
equivalent of 20 percent (20%) of the Covered Employee’s contracted time,
during the appointment; however Constituent Institutions may adopt differing
standards dependent upon a Covered Employee’s full-time status equivalent.
I.
Notice, Approval, and
Appeal Requirements
A.
Notice Requirements
1.
Any Covered Employee who
plans to engage in an External Professional Activity for Pay shall complete the
"Notice of Intent to Engage in External Professional Activity for
Pay" (hereinafter referred to as "Notice of Intent," which shall
solicit, at a minimum, the data elements shown in Appendix I to this regulation).
A separate "Notice of Intent"
shall be filed for each such activity in which a Covered Employee proposes to
engage.
2.
Unless there are
exceptional circumstances or if the Constituent Institution has implemented a
different time period for filing, the "Notice of Intent" shall be
filed not less than ten (10) calendar days before the date the proposed
external professional activity for pay is to begin.
3.
The Notice of Intent shall
be filed with the appropriate administrator in accordance with the Constituent
Institute’ implementing procedures and may include the head of the department
in which the Covered Employee is employed, the Conflict of Interest Officer,
and/or the Conflict of Interest Committee.
4.
Additionally, Covered
Employees must disclose their financial interests consistent with the Board of
Governors’ policy on Conflict of Interest and Commitment (UNC Policy Manual, Section
300.2.2), and the Constituent Institution’s implementing policies and
procedures.
B.
Review and Approval
Requirements.
1.
Except as set out in
paragraph B.2., below, the "Notice of Intent" shall be reviewed and
considered as follows:
a.
If, after a review of the
"Notice of Intent" and consultation with the Covered Employee, the
department head (or appropriate administrator, as defined in UNC Policy Manual, Section 300.2.2, I.H.) determines that the proposed
activity is consistent with the policy statements of the institution or Board
of Governors, an approval of a "Notice of Intent" may be granted for
a period not to exceed the balance of either (1) the fiscal year (in the case
of 12-month employees and employees with contract service periods that include
the summer session), or (2) the academic year (in the case of nine-month
employees with no summer session contract period) remaining as of the date of
approval. The Covered Employee shall be
notified in writing of the approval within ten (10) calendar days of the date
the "Notice of Intent" is filed.
If the approved activity will continue beyond the end of the relevant
fiscal or academic year in which it was begun, the Covered Employee must file an
additional "Notice of Intent" at least ten (10) calendar days before
engaging in such activity in the succeeding relevant year unless the
Constituent Institution has adopted another time period for filing.
b.
If, after a review of the
"Notice of Intent" and consultation with the Covered Employee, the
department head (or appropriate administrator, as defined in UNC Policy Manual, Section 300.2.2, I.H.) determines that the proposed
activity is not consistent with the policy statements of the institution or
Board of Governors, the Covered Employee shall be notified in writing of that
determination within ten (10) calendar days of the date the "Notice of Intent"
is filed.
2.
If the “Notice of Intent”
discloses (1) a proposed activity for an entity that provides funding that
directly supports the Covered Employee’s University Employment Responsibilities
or activities, or (2) a proposed activity for a private entity in which the
Covered Employee or member of the Covered Employee’s Immediate Family (see UNC
Policy Manual, Section 300.2.2, I,
Definitions) holds an equity or ownership interest or holds an office, the review
and consideration procedure set out in item B.1., above, shall be modified as
follows:
a.
The decision of the
department head to approve the activity shall be reviewed promptly and approved
or disapproved within ten (10) calendar days of receipt by the administrative
officer to whom the department head reports.
b.
An appeal of a disapproval
by that officer shall be to the chancellor or the chancellor’s designee (or, in
General Administration, to the president or the president’s designee). The decision of the chancellor or
chancellor’s designee (or of the president or president’s designee) shall be
final.
C.
Appeal Requirements
1.
In the event of such
notification by the department head, the Covered Employee shall not proceed
with the proposed activity but may appeal that decision to the administrative
officer to whom the department chair reports, and then to the chancellor or the
chancellor’s designee (or, at UNC General Administration, to the president or
the president’s designee). Appeals shall
be made in writing within the time frame implemented by the Constituent
Institution.
2.
A decision on any such
appeal shall be given by the administrative officer of the chancellor or
chancellor’s designee (or, at UNC General Administration, to the president or
the president’s designee) to the Covered Employee within ten (10) calendar days
of the date on which the appeal is received.
3.
The decision of the
chancellor or chancellor’s designee (or of the president or president’s
designee) shall be final.
II.
Reporting Requirements
A.
Annually departmental
summaries of all "Notices of Intent" filed and of actions taken in
response to such "Notices of Intent" during the preceding fiscal year
shall be submitted by department heads to the chancellor or the chancellor’s
designee (or, at UNC General Administration, to the president or the
president’s designee).
B.
On or before September 1 of
each year, UNC General Administration’s Office of Research and Sponsored
Programs will initiate the submission of annual summary reports from the
chancellors to the president.
III.
Special Provisions
A.
External Professional
Activities for Pay performed for another institution or agency of the State of
North Carolina also must comply with State policies governing dual employment
and compensation, unless an exception to those State policies is expressly authorized
by the chancellor or the chancellor’s designee (or, at UNC General
Administration, to the president or the president’s designee).
B.
In addition, senior
academic and administrative officers may be subject to special regulations
regarding honoraria. (UNC Policy Manual, Section 300.2.2.2[R].)
C.
These regulations shall not
be required of Covered Employees serving on academic year appointments, if the External
Professional Activity for Pay is wholly performed and completed outside of the
academic year, provided that the activity does not conflict with the policy
statements of the Constituent Institution or Board of Governors and is not
conducted concurrently with a contract service period for teaching, research,
or other services to the institution during a summer session. Notwithstanding this regulation, such employees will disclose their financial
interests in accordance with the Board of Governors’ policy on Conflict of
Interest and Conflict of Commitment (UNC Policy Manual, Section 300.2.2), and
the implementing policies and procedures of the Constituent Institutions.
Appendix I
Notice of Intent to Engage in External Professional
Activities for Pay Data Elements
[1] This
regulation incorporates by reference the definitions used in Section 300.2.2,
UNC Policy Manual.