Outside Activity Disclosure Guidance

Outside Activity Disclosure Guidance

Outside activities, relationships, or interests (“outside activities”) are those endeavors you undertake with an external entity/organization which rely upon, or utilize, the professional expertise that you provide to Duke.

Whether your Duke appointment is full-time, part-time, or less than 12 months, you are responsible for disclosing the outside activities for you, your spouse, domestic partner, and/or dependent children when:

  • The outside activity relies upon or utilizes your area of expertise, scholarship, employment;
  • The outside activity has the potential to influence your Duke duties (research, teaching, clinical, or public service); or
  • The external entity does business with Duke

In general, outside activities fall into the following five categories. Within each category, there are specific activities to disclose and not disclose. Use this chart as guidance when disclosing your outside activities.

Category

Disclose

Exceptions/Don’t Disclose

International Activities

 

  • Appointment, employment, or visiting scholar at a foreign entity
  • Participation in a foreign talent recruitment (or similar) programs
  • Travel paid or reimbursed by a foreign entity including academic and healthcare  institutions, governments, companies, or non-profits (any dollar amount)
  • Research support from a foreign entity that did not route through Duke
  • Grant reviewer or other advisory services for foreign institutions, organizations, and entities
  • Visitors/trainees working in your Duke lab
  • Lab space and equipment you utilize at a non- Duke site
  • Foreign financial support received by trainees in your lab

 

Although you are not required to disclose these exceptions in your COI/COC Disclosure Form, you may be required to report them in Current/Pending or Other Support documentation to funding agencies (e.g., NSF, NIH etc.).

Intellectual Property (IP)

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  • Optioned or licensed IP developed at Duke or outside Duke
  •  Software apps marketed by a company
  •  Open source IP (e.g. software)
  •  Royalties, milestones, option fees
  • Inventions/IP that have not been optioned, licensed, or reassigned even if there is a patent
  •  Software apps that are not marketed or sold

Activities & Relationships (Paid & UnPaid)

 

  •  Consulting
  •  Advisory role (e.g., scientific advisory  board, data and safety monitoring board)
  •  Board of Directors, Corporate Officer, Trustee, or other position with fiduciary responsibility
  •  Leadership role in a professional society
  •  Speaking engagements (see exceptions)
  •  Research at an outside entity (that is not part of your Duke research)
  •  Editor of journals or other publications
  •  Expert witness or other legal service
  •  Grant reviewer (see exceptions)
  •     Speaking engagement and/or travel that is:

    • Supported by a U.S. federal, state, or local government agency
    • Supported by a U.S. academic institution  that is public or non-profit and accredited, or said academic institution’s  affiliated hospital, medical center, or research center
  • Professional society activity:
    • Membership
    • Service that is not paid or involves paid travel
    • Speaking at or travel to national annual meetings, forums, congresses (under $5,000 in a 12-month period from a single entity*)
    • Activities or relationships that are not related to your Duke expertise
  • Reviewer of books or journal articles
  • Grant reviewer for U.S. governmental agencies (any dollar amount) or U.S. non-profit entities (under $5,000 in a 12-month  period from a single entity*)

Ownership Interest (Equity, Stock, Stock Options)

 

  • Ownership (e.g., stock, stock options, LLCs, etc.) in a company (including start-up companies)
  • Ownership of 5% or greater of a publicly-traded company that conducts business with Duke (e.g., sponsors research, contracts, vendor/supplier of purchases)
  • Ownership (e.g., stock, stock options) less than 5% of a publicly-traded company not related to your Duke responsibilities or research.
  • Mutual funds, retirement funds, and similar investments where you do not control the investment decisions within the portfolios at the level of specific companies

Payments, Loans & Reimbursements

 

 

 

  • Royalties, milestones, option fees
  • Payments from professional societies for services
  • Loans and loan repayment
  • Travel expenses reimbursed directly to you by a single domestic outside organization of $5,000 or above in aggregate in a 12-month period*
  • Gifts from outside entities

 

  • Payments for service as a U.S. federal, state, or local government agency grant/study section reviewer
  • Effort (paid or unpaid) on a research or sponsored project routed through Duke (e.g., sponsored research, other sponsored activities, Duke funded research, unfunded agreements, or other payments to Duke resulting from a Duke contract)
  • Financial support (domestic or foreign) received by trainees in your lab (although foreign support may be required in Other Support reports to funding agencies)
  • Domestic travel (under $5,000 in a 12-month period from a single entity*)
  • Travel paid by Duke or yourself  

*Keep in mind that if you travel, speak, and/or perform grant reviews for a single domestic entity multiple times over the course of any rolling 12-month period, the $5,000 threshold may be exceeded and such activities will need to be reported. Travel, speaking, and/or performing grant reviews for a foreign entity should be disclosed, regardless of dollar amount.