Conflict of Interest considerations for faculty involved in startups

Additional information for faculty involved with Duke startup companies

In situations where a faculty member or other investigator has a significant role or interest in a start-up company that is also engaged in research with the University, consideration is given on a case-by-case basis as to whether or not the investigator may be involved in the University research activity involving the same company.

Duke faculty or investigator with a significant role or interest in a startup company must:

• Separate and clearly distinguish on-going University research and education from work being conducted at the company. This should be documented in writing at least annually and reviewed by the Department Chair and/or Dean.
• Limit work for the company so that it does not exceed the four (4) days per month standard, for full- time faculty, averaged over an annual period of service based on term of appointment

Duke faculty or investigator with a significant role or interest in a startup company must NOT:

• Negotiate with the University on behalf of the company.
• Receive monetary gifts for research or sponsored research funding from the company without prior University review and a written agreement between the University and the company.
• Involve company personnel in University research without prior written agreement between the University and the company.
• Supervise individuals at the company who are non-faculty members of the Duke community and with whom the faculty member has a position of influence over at Duke, without prior review and approval by appropriate University official (see Appendix B, Guidelines for Faculty/Non-Faculty Outside Relationships)
• Use University resources or facilities for company purposes without prior written agreement between the University and the company.
• Undertake human subjects research for the company at the University as PI/protocol director or supervise faculty who are PI/protocol directors for such human subject research without prior review/approval of the University.

Exceptions to these policies will not be granted without the existence of compelling circumstances. Faculty members are responsible for presenting information that would substantiate a claim of compelling circumstances; and the DOSI-COI office is responsible for reviewing and processing these claims.