Promoting Integrity in the
Next Generation of Researchers
A Curriculum for Responsible Conduct of Research
in Occupational Therapy (2005)
Funded by the Office of Research Integrity through the American
Association of Medical Colleges
Conflicts of Interest
Objectives
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Define conflicts of interest, and discuss how it applies to
personal, financial, political, and other perceived or real
influences.
Recognize situations in which protections should be
established to control the appearance of conflict of interest
or true conflict of interest.
Discuss how professionals and institutions can avoid or
minimize the impact of conflicts of interest.
Differentiate between conflict of interest and conflict of
commitment.
Feel empowered to prevent or address conflicts of interest.
Definition

Conflicts of interest are situations in which a
person’s or an institution’s objectivity, ethics, or
responsibility is compromised or appear to be
compromised by a “competing financial, personal, or
political obligation, gain, desire, loyalty, or bias”.
(Shamoo

& Resnick, 2003, pg. 139)
The conflict is between a gain or an “interest and a
duty”.
(Shamoo
& Resnick, 2003, pg. 139)
Everyday Examples of Possible Conflicts
of Interest
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Financial: A Governor who owns 20 recreational
vehicles proposes elimination of the state tax on that
type of vehicle.
Personal: A mother who judges a beauty contest
which her daughter wins.
Political: A doctoral student who teaches part-time in
an occupational therapy master’s curriculum gets
permission to take a doctoral exam several days after
her peers, without penalty.
(Based on examples in Shamoo & Resnick, 2003)
Research Examples of Potential Conflicts
of Interest

Financial: A researcher studying the effects of a new
device holds stock in and accepts funding for trips
from the manufacturer.

Personal: A researcher studies the effects of a
treatment developed by and strongly endorsed by a
friend. The researcher reports glowing results.

Political: A researcher reviewing an article
recommends against its publication. She is currently
researching the same question and hopes to publish
results soon.

“…it is often difficult to determine (or know)
whether a person has a conflict of interest,
because we may not know how their personal,
financial, or political interests are affecting…
their judgment, reasoning, motivation, or
behavior.” (Shamoo & Resnik, 2003, pg. 141)

Therefore, researchers must manage both real
and perceived conflicts of interest
In Summary:

Having a conflict of interest is not unethical
and does not imply that someone is doing
anything wrong. It indicates that the
situation could create bias.

It is unethical and unprofessional to ignore a
real or apparent conflict of interest.
Control Conflict of Interest by
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Disclosure
Management
Avoidance
(Shamoo & Resnick, 2003)
Controlling conflict of interest by:
Disclosure
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Faced with a real or apparent conflict of
interest, the researcher or institution should
disclose the conflict to an objective party who
is independent but interested party, such as :
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The journal editor
The grant manager
The article’s readers
A Conflict of Interest Review Board
Controlling conflict of interest by:
Management

Informed of the conflict of interest, the
interested but independent party establishes
safeguards to control the conflict. These
include:

Added oversight or vigilance:
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External review of study design
Analysis of data before unmasking group assignment
Review of article or grant by additional persons
Controlling conflict of interest by:
Management (continued)
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The federal government has defined financial
conflict of interest.
It allows a maximum of $10,000/year in
salary, gifts, or services to the researching
individual, spouse, or children.

Accepting less than $10,000/yr in salary, gifts or
services does not constitute a conflict of interest.
(National Institutes of Health, 1999)
Controlling conflict of interest by:
Avoidance (continued)
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Avoiding a service activity is a last resort, and is
used only when disclosure and management are
insufficient to control the real or apparent conflict of
interest.
It removes the researcher or institution from the
research or review being performed.
Avoidance should be selective (i.e., to a specific
study or review)
It should not be used as an excuse to withdraw from
performing all reviewing.
Definition

Conflict of Commitment describes a
situation where a person’s or an
institution’s resources (including time
and efforts) are unbalanced by
competing demands.
Resolving Conflicts of Commitment
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Determine the required commitments
Set clear goals and priorities related to those
commitments.
Limit or remove additional commitments that
are optional and not within capabilities.
(Shamoo & Resnik, 2003)
Resources
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Association of American Universities, Task Force on
Research Accountability. (2001, October). Report on
individual and institutional financial conflict of
interest. Washington, DC: AAU. Retrieved August
20, 2005, from
http://www.aau.edu/research/COI.01.pdf.
Magnus, P. D., & Kalichman, M. (2002, September).
Conflicts of interest. Retrieved August 20, 2005,
from RCR Education Resources, Online Resource
for RCR Instructors:
http://rcrec.org/r/index.php?module=ContentExpress
&func=display&meid=76&ceid=42.
Resources (continued)
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National Institutes of Health, Office of Extramural
Research (1999). NIH initiative to reduce
regulatory burden: identification of issues and
potential solutions, Chapter III: Financial conflict of
interest - workgroup report.
http://grants.nih.gov/grants/policy/regulatoryburden/
conflictofinterest.htm
Shamoo, A. E., & Resnik, D. B. (2003). Responsible
conduct of research. New York: Oxford University
Press.
This completes the presentation on
Conflicts of Interest
THANK YOU!