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Significant Financial Interests

Disclosure Thresholds

Federal regulations and the Conflict of Interest in Research policy require disclosure of Significant Financial interests prior to submitting a proposal and within 30 days of receiving a new interest. 

Significant Financial Interests (SFIs) are defined as:

Nature of SFI Threshold Excluded (Do Not Disclose)
Compensation and/or other payments for service Exceeds $5,000* Compensation received less than $5,000, as well as any compensation received for lectures, seminars, teaching engagements, or service on advisory committees or review panels relating to federal, state, or local government agencies, an institution of higher education as defined in 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an institution of higher education, and compensation received from NU funds
Equity interests in a publicly-traded entity Exceeds $5,000* Interests in publicly-traded entities valued at less than $5,000 as well as interests in any entity through personal retirement accounts and mutual funds
Equity interests in a non-publicly-traded entity 0 / Any Interests in any entity through personal retirement accounts and mutual funds
Intellectual property rights and interests upon receipt of income related to such rights and interests Exceeds $5,000* Royalties received from NU funds, and unlicensed intellectual property that does not generate income
Sponsored or reimbursed travel

Applies to PHS-funded researchers only: Investigators who have any PHS funding or any funding from agencies following PHS COI regulations must disclose any reimbursed or sponsored travel
Exceeds $5,000* Travel administered through NU funds, and travel reimbursed or sponsored by a federal, state, or local government agency, an institution of higher education as defined in 20 U.S.C. 1001(a), an academic teaching hospital, a medical center, or a research institute that is affiliated with an Institution of higher education.

*Note that while these are the definitions required by regulations and the Conflict of Interest in Research policy, your school or unit may require more stringent disclosure thresholds. For example, Feinberg School of Medicine has a $0 disclosure threshold for faculty.