South Dakota State University’s (SDSU) overarching 4:9 Conflict of Interest Reporting and Approval policy, which applies to all members of SDSU. The policy requires certain conflicts of interest and commitment disclosures and prior approval of specified private practice, private consulting, employment with entities outside of the University, and other related activity. Federal regulations also govern the disclosure and management of conflicts of interest. Federal provisions applicable to objectivity in research and financial conflicts of interest require certain disclosures. University employees are required to review and comply with all SDBOR provisions which control this policy and its procedures, this implementing policy, and its procedures, and controlling laws, as applicable.
Definitions
When a SDSU employee's outside interests could potentially affect decisions they make in their capacity as a university employee, conflicts of interest may occur in the two basic categories below:
Conflict of Commitment
A "conflict of commitment" typically refers to circumstances where a SDSU employee's extracurricular activities have the potential to take away from the time and focus they can dedicate to their university work, which could have a detrimental effect on their performance or other assigned tasks.
- A scenario where an SDSU employee's professional obligations to other institutions and organizations they serve as professionals take precedence over other professional duties to SDSU, particularly when it comes to time and effort allocation.
Financial Conflict of Interest
A financial interest consists of one or more of the following interests of the SDSU researcher and those of the researcher’s immediate family members that reasonably appear to be related to the researcher’s responsibilities:
- When a SDSU faculty member is serving outside interest – Conducting research when any of the participants or their immediate family members have equity ownership, managerial or consulting role, or financial interest in the sponsor whose product, process or device is under study.
- When a SDSU faculty member is accepting gifts and gratuities – Accepting gifts of more than nominal value, gratuities or special flavors from outside entities supporting sponsored research.
- When a SDSU faculty member is consulting – Entering into paid consulting agreements that may affect research in a material way (direction, focus, timing, reporting, etc.).
- When using SDSU employees, students, or staff to perform services for an outside entity in which the researcher or the researcher’s immediate family has an equity ownership, managerial or consulting role, or financial interest.
- When using SDSU non-reimbursed or otherwise unauthorized institutional resources such as equipment, supplies, facilities or space to support the interests or activities of an outside entity in which a researcher or the researcher’s immediate family has an equity ownership, managerial or consulting role, or financial conflict of interest.
- When a SDSU faculty is accessing to research information – providing unauthorized privileged access to research information or other intellectual property developed with university resources or support to an outside entity in which the researcher or the researcher’s immediate family has an equity ownership, managerial or consulting role, or financial conflict of interest.
SDSU’s policy and procedure for reporting and approving conflicts of interest is detailed in policy 4:9. Any person may obtain information about financial conflicts of interest by submitting an email request to the vice president for research.
Faculty members who propose to enter into private practice, private consulting, additional teaching or research, or other activity for which additional compensation is received, must complete a private practice, consulting and outside activity form.
Below are some general management strategies for handling conflicts of interests, including but not limited to:
- Recusal from decisions involving the hiring of family members or close friends
- Recusal from decisions involving an outside company with whom the employee or an employee’s family member has a relationship
- Limitations on using subordinates or students in outside activities without agreements and/or supervision changes in place
- Agreements to use university resources for outside activities (equipment, materials, time, labs/space, etc.)
- Certification of conflicts to research collaborators, team members, and the public in writing, scholarly publications, presentations, and articles/press releases.
Faculty may devote up to but not exceeding four working days per month on such activity during the contract period. The activity must be related to assigned responsibilities and must promote state and local economic development or benefit the professional discipline or development of the individual or otherwise, as determined by the institution.
Non-faculty exempt and career service employees may not be dually employed, or enter into outside activities that may be reasonably viewed to influence the performance of their professional duties, and must receive prior approval from their supervisor for activities for which leave is required. Outside activities may not interfere with assigned full-time employment responsibilities. Employees with Extension appointments have special restrictions outside activities that differ from other University employees. Approval of proposed paid activities that present actual or potential conflicts of interest or commitment may be withheld or a conflict management plan may be required.
The form must be completed by the individual requesting approval and all approvals must occur before the service to the outside entity can be provided.
Based on the review of the Private Practice, if a conflict of interest is identified, a Conflict or Potential Conflict of Interest/Commitment Management Plan form must be completed. Management of any conflict is determined on a case-by-case review, specific to the situation. Conflict of Interest/Commitment Management Plan must be in place for all faculty members for outside activities that may create a conflict of interest or a conflict of commitment before the activity begins.
The following individuals have been appointed as the approval authorities for Conflict or Potential Conflict of Interest/Commitment Management Plan:
- Department Head
- Dean
- Research Integrity and Compliance Officer
- Vice President for Research and Economic Development
Disclosure Requirements
Prior to submitting a research application to an external Sponsor, Investigators must submit a Financial Conflict of Interest Disclosure Form to their department chair. For internally funded research that has a potential SFI, Investigators must submit a Disclosure Form to their department chair before funds are expended. During the period of award, Investigator must submit an updated Disclosure Form within 30 days of discovering or acquiring a new SFI.
Annual Disclosure
Annually, faculty disclose all conflicts of interest through the Dynamic Forms system. In addition to this disclosure, faculty will use the Disclosure Form to update previously disclosed SFIs and to disclose any new SFIs.
Outside Employment Disclosure
The Provide Practice, Private Consulting and Outside Employment Disclosure and Request for Prior Approval form is available on the Conflict-of-Interest website and must be completed and submitted if the employee conducts outside work or consultation during or outside of business hours.
Conflict of Interest Management Plan
The Conflict or Potential Conflict of Interest/Commitment Management Plan form is available on the Conflict-of-Interest website and must be completed and submitted if the employee is requested.