Disclosing Financial Interests: Publication of Research Results

Many scientific journals and funding agencies have implemented requirements for authors to disclose related financial interests to improve the integrity of science and manage conflicts of interest. Full disclosure removes the suspicion that something of relevance to objectivity is being hidden and allows readers to form their own opinions on whether a conflict of interest exists and what relevance that has to the study.

The scientific community and the public will be best served by open publication and presentation of financial disclosures for readers, reviewers and colleagues to evaluate.

In accordance with NIH grants policy, all grantee publications, including research publications, press releases, other publications or documents about research that is funded by NIH must include a specific acknowledgment of NIH grant support, such as: “Research reported in this [publication/press release] was supported by [name of the Institute(s), Center, or other NIH offices] of the National Institutes of Health under award number [specific NIH grant number(s) in this format: R01GM987654].”

NIH requires researchers to submit final peer-reviewed journal manuscripts that arise from NIH funds to the digital archive PubMed Central upon acceptance for publication. To help advance science and improve human health, the Policy requires that these papers are accessible to the public on PubMed Central no later than 12 months after publication.

Importance of precisely and accurately acknowledging NIH awards in publications

1. Mandated by terms and condition of award
2. Allows to properly assess award outputs
3. Allows to make recommendations for future research directions
4. Ensures proper stewardship of taxpayer funds
5. Over-citing and under-citing may distort the true effect of NIH funding
   • Over-citing: Improperly citing awards not directly connected to the publication
   • Under-citing: Failing to properly acknowledge NIH-funding on publications

When to acknowledge NIH awards in publications

Grants should only be cited if they directly supported the work described in the paper and work described in the paper is clearly within scope of the grant award.

When it is difficult to identify which award(s) directly support a specific activity, reach out to NIH program staff identified on the award notice for guidance.

If a researcher wants to be transparent about salary support from another grant, clearly state to the journal that the separate grant did not support the research reported in the article.

Useful NIH Resources

• “Communicating and Acknowledging Federal Funding” as a handy reference, which describes when, where, and how to cite your NIH grant in your manuscripts, presentations, and in press releases describing NIH-supported research. From grant number format to special information for public information officers at research universities receiving NIH funds https://grants.nih.gov/policy/federal-funding.htm
• Why Properly Acknowledging NIH Support in Your Paper is Important?https://nexus.od.nih.gov/all/2021/04/19/why-properly-acknowledging-nih-support-in-your-paper-is-important/
• Reminders About When to Cite an NIH Grant in a Paper: Overcite Oversight https://nexus.od.nih.gov/all/2023/10/05/reminders-about-when-to-cite-an-nih-grant-in-a-paper-overcite-oversight/

The following are examples of how a financial interest with an outside entity should be disclosed in presentations and publications of research results:

Example #1

These studies were supported by the University of California, San Diego, Department of Medicine and a grant from NIH (Award #________________). Joe Doe has an equity interest in XYZ, Inc., a company that may potentially benefit from the research results, and also serves on the company’s Scientific Advisory Board. The terms of this arrangement have been reviewed and approved by the University of California, San Diego in accordance with its conflict of interest policies. 

Example #2

These studies were supported by a grant from the NSF (Award #________________). John Doe has an equity interest in XYZ, Inc., a company that may potentially benefit from the research results. In addition, he receives income from the company for consulting. The terms of this arrangement have been reviewed and approved by the University of California, San Diego in accordance with its conflict of interest policies.

Example #3

This study was funded by XYZ, Inc. Jane Doe is the scientific founder of XYZ, Inc. and has an equity interest in the company. In addition, Dr. Doe receives income from XYZ, Inc. for consulting as a member of the company’s Scientific Advisory Board. The terms of this arrangement have been reviewed and approved by the University of California, San Diego in accordance with its conflict of interest policies.

Example #4

Dr. John Doe receives research funding from YYZ, Inc., which is developing products related to the research described in this paper. In addition, the author serves as a consultant to YYZ, Inc., and receives compensation for these services. The terms of this arrangement have been reviewed and approved by the University of California, San Diego in accordance with with its conflict of interest policies.

Example #5

The University of California, San Diego has a financial [ownership] interest in X Biotech, the company sponsoring this research. Jane Doe and the University of California, San Diego may financially benefit from this interest if the company is successful in marketing its product(s) that is/are related to this research. The terms of this arrangement have been reviewed and approved by the University of California, San Diego in accordance with its conflict of interest policies.

Example #6

These studies were supported by a grant from the NIH (Grant #________________). Principal Investigator _______________ has an equity interest in XYZ, Inc, and also serves on the Scientific Advisory Board. Although this grant has been identified for conflict of interest management based on the overall scope of the project and its potential benefit to XYZ, Inc., the research findings included in this particular publication may not necessarily relate to the interests of XYZ, Inc. The terms of this arrangement have been reviewed and approved by the University of California, San Diego in accordance with its conflict of interest policies.

Please Note: Different journals have different standards about publishing financial relationships. However, by always including acknowledgement of your financial interests in the manuscript you submit to the publication, you will have complied with the recommendations issued by the Independent Review Committee on Conflict of Interest as a condition of approval of your participation in federally or privately sponsored research.  Additional information on disclosure can be found on the following websites from The International Committee of Medical Journals Editors, and the Council of Science Editors.