Ethics and Compliance for the Duke Community
Duke faculty and staff activities are governed by institutional policies and by federal and state lobbying and ethics laws. As a Duke employee, you are responsible for understanding and complying with these policies and regulations. Student groups are encouraged to consult with our office for guidance on planning events with government officials.
Compliance Quick Links:
- Government relations policy affecting all DUHS employees.
- Lobbying definitions, exceptions, and examples for both federal and state compliance.
- Answers to frequently asked questions about compliance with North Carolina’s ethics and lobbying laws.
- Lobbying reporting form (PDF, 98 KB)
- Guidelines for Personal Political Activity (January 2016)
To better serve you, Duke University Health and State Government Relations (DGR) should be informed when faculty and staff interact with the government. We may be able to simplify this process for you. It is important to contact DGR before you:
- Invite a government official to campus
- Speak with a government official about an issue important to you
- Respond to an invitation to testify before a committee
- Evaluate proposed legislation
- Engage in other such interactions with the federal or state government
As a registered lobbying principal, Duke is required to report certain government relations-related expenses to federal and state regulators, including employee time spent in lobbying activities even if the employee does not meet the statutory definition of a “lobbyist,” items falling within the “gift” provisions such as food and beverages served at Duke-hosted events, and the portion of Duke paid membership dues that are designated for lobbying activities. Your assistance will be required to enable us to prepare these reports.
Should you have questions, please contact our office at 919-416-8910 or Julie.firstname.lastname@example.org.
Duke University’s Policy Statement on Earmarks
Duke University is committed to excellence in research and hence to competitive peer review in the federal funding of research. Research funded by earmarks threatens to undermine national excellence in research by diverting resources from the peer review process. As a result, the University does not seek or accept earmarks except under extraordinary circumstances and with the express permission of the President of the University. Such extraordinary circumstances would include only those in which the President, in consultation with the senior administrative leadership of the University, determined that the proposed project involved inherently unique circumstances that could not be replicated elsewhere. When the case for an exception is considered, the strong presumption must be against the taking of earmarks.
Approved by President Richard Brodhead and Senior Leadership Group on 31 January 2006